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ISO/IEC JTC 1/SC 22/OWGV N 0143
New Vulnerability Descriptions Proposed by J3 (Fortran), contributed by Dan Nagle, 26 August 2008
(reformatted by JWM)
6.9+ Unused Subprogram Argument [YZS]
6.9+.0 Status and History
6.9+.1 Description of application vulnerability
A dummy argument to a subprogram is present on the argument list, but it is never used within the subprogram. As a variant, it may be assigned an initial value, but otherwise be unused. Depending upon the programming language and argument passing mechanism, a value may or may not have been changed in any caller of the subprogram. This type of error suggests that the design has been incompletely or inaccurately implemented.
6.9+.2 Cross Reference
6.9+.3 Mechanism of failure
A dummy argument is declared, but never used. When the subprogram signature is present during compilation of calling subprograms, there must be an associated actual argument. It is likely that the argument is simply vestigial, but it is also possible that the unused argument points to a bug. This is likely to suggest that the design has been incompletely or inaccurately implemented.
The dummy argument may be assigned an initial value by the subprogram. This value may or may not have an effect on the corresponding actual argument in the calling subprogram. If the called subprogram is called from many points of the program, it might not be repaired due to the difficulty of finding all lines where it has been called.
An unused dummy argument is indicative of sloppy programming or of a design change or of a coding bug: either the use of the value was forgotten (almost certainly a bug) or the assignment was done even though it was not needed (sloppiness).
An unused dummy argument is unlikely to be the cause of a vulnerability. However, since compilers diagnose unused dummy arguments routinely, their presence is often an indication that compiler warnings are either suppressed or are being ignored by programmers. Also, a new version of the called subprogram, perhaps innocently in a new version of a library, or maliciously in a subverted shared library, may store a value in the calling subprogram causing erroneous execution.
6.9+.4 Applicable language characteristics
This vulnerability is intended to be applicable to languages with the following characteristics
- Unused dummy arguments are possible in any language that provides declaration of dummy arguments
- A store to a dummy argument may affect the actual argument in any language that allows sideeffects in called subprograms
- A store may be more likely to affect the actual argument in a language that does not require argument intents
- A store may be more likely to affect variables in the calling subprogram where separate compilation of subprograms is allowed
6.9+.5 Avoiding the vulnerability or mitigating its effects
Software developers can avoid the vulnerability or mitigate its ill effects in the following ways:
- Enable detection of unused variables and dead stores in the compiler. The default setting may be to suppress these warnings.
- Use argument intents to limit where the called subprogram can store to a variable in the calling subprogram
- Declare subprograms to be pure so no stores to dummy arguments are allowed
6.9+.6 Implications for standardization
- Languages should consider requiring a mandatory diagnostics for unused dummy arguments.
- Languages should provide for argument intents.
- Languages should provide for pure subprograms.
6.9+.7 Bibliography [None]
6.11+ Type Choice [JIO]
6.11+.0 Status and History
6.11.1 Description of application vulnerability
Types are often subdivided into subtypes that differ in terms of the capacity for holding values. Using a lesser capable subtype where a more capable subtype is needed can result in overflow or other loss of information resulting in unpredictable values.
6.11+.2 Cross reference
6.11+.3 Mechanism of failure
Types often have subtypes, differing only in capability. The operations, (some) literal values, and (most) valid contexts are the same. Many programmers think of types in terms of the storage used, not the mathematical properties of variables of the type. Selecting the correct one for a programming variable requires analysis of the role to be supported by variables of that type. This must be done by reference to the values to be stored, not to the storage used to do so.
For example, in C, the types long int, int and short int might (or might not) be three different types of integer. A programmer might have a belief that array indices may always be ints. But with larger memories, a long int may be required. Specific analysis of the problem at hand is the only way to know whether int is serviceable, or long int is necessary.
The fact of larger memories implies that more operands may be stored, which implies that more operations may be undertaken for a given calculation. The magnitude of the accumulated roundoff errors may then imply that a more precise floating point number is required where previously a less precise floating point number sufficed. Since many floating point calculations scale as some power of the amount of input data, an explicit calculation must be done to estimate the reliability of the use of any particular precision.
For example, in Fortran, a default real may suffice for inverting a small (say, 3 x 3) matrix, but a double precision real may be necessary for a large (say, 1000 x 1000) system.
6.11+.4 Applicable language characteristics
This vulnerability is intended to be applicable to languages with the following characteristics:
- Languages supporting more than one subtype of the same type, with different capabilities.
6.11+.5 Avoiding the vulnerability or mitigating its effects
Software developers can avoid the vulnerability or mitigate its ill effects in the following ways:
- Analyze the problem to be solved to learn the magnitudes and/or the precisions of the quantities needed as auxiliary variables, partial results and final results.
6.11+.6 Implications for standardization
- Provide a mechanism for selecting types with sufficient capability for the problem at hand.
- Provide a way to learn the limits of types actually selected.
6.11+.7 Bibliography
6.39+ Sentinel Values [DTK]
6.39+.0 Status and history
6.39+.1 Description of application vulnerability
When a queue of work items is maintained, each work item may be marked with a work category. When information beyond the work category is attempted to be encoded in the work category, to indicate, say, end of work items, a sentinel value may be used. This confuses two different categories of information. When the software is generalized, or used in a new application, the previously distinct sentinel value may coincide with a newly valid category, thereby causing unpredictable behavior.
6.39+.2 Cross reference
6.39+.3 Mechanism of failure
A "magic number" or a "special value" of a computational quantity might be used to signal some action on the part of the program other than processing data. If the use of the software is later generalized, the once-special value can become indistinguishable from valid data. When interpreted as the signal, the program can behave unexpectedly by a user who expects the valid data to be processed.
An example is provided: Suppose a program analyzes radar data, taking data every degree of azimuth from 0 to 359. A packet of data is sent to an analysis module for processing, updating displays, recording, and so on. Since all degree values are non-negative, a degree "value" of -1 is used to signal to stop processing, compute summary data, close files, and so on. When the software driving this software is reconfigured to record data from -180 degrees to 179 degrees, the analysis will halt when -1 degrees is reached. If the magic value is changed to, say, -999, the software is still at risk of failing when future enhancements (say, counting accumulated degrees on complete revolutions) bring -999 into the range of valid data.
Sentinel values should not be used. Rather, the software should be designed to use a separate predicate function to return the needed extra signals. In the above example, a shut_down() function, returning a boolean value, removes the possibility that subsequent generalization of the software will fail mysteriously.
The fact that the software is trusted may lead to less emphasis on it during testing of the more general ensemble of software.
This is not to be taken to indicate that language-standard-defined conventions, or other widespread conventions or usages, must be avoided, but rather that application-specific, and therefore likely surprising, sentinel values are to be avoided.
6.39.4 Applicable language characteristics
Most programming languages allow this type of fault.
6.39.5 Avoiding the vulnerability or mitigating its effects
Design software so that distinct logical predicates are signaled by distinct mechanisms. Embedding signals in a data channel should be shunned. Do not allow the possibility that metadata is confused with data.
Use an enumeration type to convey category information. Do not rely upon large ranges of integers, with outliers having special meanings.
6.39.6 Implications for standardization
Most programming languages have a boolean or logical type to convey the needed predicate.
6.39.7 Bibliography
6.41+ Extra Intrinsics [PUS]
6.41+.0 Status and history
6.41+.1 Description of application vulnerability
Most languages define intrinsic procedures, which are easily available, or always "simply available", to any translation unit. If a translator extends the set of intrinsics beyond those defined by the standard, and the standard specifies that intrinsics are selected before procedures of the same signature defined by the application, a different procedure may be unexpectedly used when switching between translators.
6.41+.2 Cross reference
6.41+.3 Mechanism of failure
Most standard programming languages define a set of intrinsic procedures which may be used in any application. Some language standards allow a translator to extend this set of intrinsic procedures. Some language standards specify that intrinsic procedures are selected ahead of an application procedure of the same signature. This may cause a different procedure to be used when switching between translators.
For example, most languages provide a routine to calculate the square root of a number, usually named sqrt(). If a translator also provided, as an extension, a cube root routine, say named cbrt(), that extension may override an application defined procedure of the same signature. If the two different cbrt() routines chose different branch cuts when applied to complex arguments, the application could unpredictably go wrong.
If the language standard specifies that application defined procedures are selected ahead of intrinsic procedures of the same signature, the use of the wrong procedure may mask a linking error.
6.41+.4 Applicable language characteristics
This vulnerability description is intended to be applicable to implementations or languages with the following characteristics:
Any language where translators may extend the set of intrinsic procedures and where intrinsic procedures are selected ahead of application defined (or external library defined) procedures of the same signature.
6.41+.5 Avoiding the vulnerability or mitigating its effects
Software developers can avoid the vulnerability or mitigate its ill effects in the following ways:
- Use whatever language features are available to mark a procedure as language defined or application defined.
- Be aware of the documentation for every translator in use and avoid using procedure signatures matching those defined by the translator as extending the standard set.
6.41+.6 Implications for standardization
Language standards should:
- clearly state whether translators may extend the set of intrinsic procedures or not
- clearly state what the precedence is for resolving collisions
- clearly provide ways to mark a procedure signature as being the intrinsic or an application provided procedure
- provide that a warning is issued when an application procedure matches the signature of an intrinsic procedure
6.41+.7 Bibliography
6.41+ Library Signature [NSQ]
6.41+.0 Status and history
6.41+.1 Description of application vulnerability
Some older libraries were coded before the value of subprogram signatures was recognized, and added to language standards. If the library is large, the effort of adding those signatures by hand may be tedious and error-prone.
6.41+.2 Cross reference
6.41+.3 Mechanism of failure
When an older software library lacks the language specified signatures, due to its being prepared prior to the requirement that signatures be used, the signature must be created. If this is done manually, it may be tedious and error-prone.
Automated methods may exist. Or, translators may have options to create the signatures as they compile the older library. However, neither of these remedies might be required by the language standard.
6.41+.4 Applicable language characteristics
Languages where older versions of the language did not specify that subprogram signatures be supplied for all subprogram references.
6.41+.5 Avoiding the vulnerability or mitigating its effects
Software developers can avoid the vulnerability or mitigate its ill effects in the following ways:
- Use translator options to create the needed signatures when compiling the library
- Use tools to create the signatures
- Avoid using translator options to reference library procedures without proper signatures
- Try to find a later version of the library that has the signatures
6.41+.6 Implications for standardization
Language standards should:
- Require translators to create signatures when needed when translating older libraries that lack them
- Provide correct linkage even in the absence of correctly specified procedure signatures. (Note that this may be very difficult where the original source code is unavailable.)
6.41+.7 Bibliography
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UTC Chancellor's Multicultural Advisory Council November 8, 2016
MINUTES
PRESIDING: MR. TRAVIS LYTLE, CHAIR
I. Welcome/Introductions
- Chairman Lytle welcomed all who were present and addressed the interest cards on each table for CMAC members to complete.
II. Remarks & Introductions
- Chancellor Angle introduced Jill Woodruff, Event and Program Specialist, who will be the liaison from the Chancellor's office for CMAC and helping with the four current CMAC initiatives/objectives:
o Recruitment and Retention
o Faculty and Staff Diversity
o Economic Development
o CMAC Awareness
- The Chancellor also welcomed the other guests attending, which included two Chancellor's Ambassadors and Rachel Smith, UT Board of Trustees' student Trustee.
- Ann Yoachim introduced the students from her Honor and Innovation class.
III. Retention & Recruitment Update
- Assistant Provost for Enrollment Services, Yancy Freeman discussed the profile of UTC students. Statistics on graduation rates by ethnicity for all UTC students can be found here. Questions and answers from this update are on pages 3-4.
IV. Faculty & Staff Diversity Update
- Dr. Jerald Ainsworth, Provost, and Dr. Bryan Samuel, Director of Office of Equity and Diversity, discussed the diversity profile of UTC's faculty and staff. Please see the meeting's Powerpoint here. Questions and answers from this update are on pages 5-7.
V. Economic Development on MLK
- Dr. Richard Brown, Executive Vice Chancellor for Finance, Operations and Information Technology discussed current actions and initiatives to continue UTC's support and efforts to keep the MLK district viable and economically sustainable. Please see the meeting's Powerpoint here. Details from this update are on page 8.
VI. CMAC Community Engagement
- Ann Yoachim, Director of Civic Engagement, provided information on efforts and events focusing on community engagement. Please see the meeting's Powerpoint here. Questions and answers from this update are on page 9.
VII. Other
- Members were asked to complete an interest card to indicate the efforts and opportunities where they would like to be actively involved in connecting the community and UTC.
- If anyone has any other questions or topics for discussion, please send them to Chairman Lytle.
- Next meeting will take place on February 7, 2017 at 12:00PM. Location will be determined at a later date.
VIII. Adjournment
Retention & Recruitment Update
- Questions from the members with answers provided by Yancy Freeman, Assistant Provost for Enrollment Services:
Q: What is UTC doing to increase retention of students of diversity?
A: Below are programs and initiatives aimed at increasing recruitment and retention of students at UTC. This is NOT an all-inclusive list of activities.
Recruitment Strategies
Rep the C - Partner with Hamilton, Marion, and Sequatchie County schools to ask teachers and administrators to represent UTC by wearing a C t-shirt on designated days during the school year.
Early Bird Program - Early entry into the orientation program, scholarship offers and residence halls. Students must apply for admission by Dec. 1 for fall.
Application Fee Waivers - UTC offers application fee waivers to students on free and reduced lunch programs. The applicant must submit a letter from the school counselor with the application materials to qualify.
Partnerships - Collaborated with the Public Education Foundation (PEF) and LaPaz to co-sponsor activities that engage the local students to consider post-secondary educational opportunities.
Retention Strategies
Summer Bridge Program - Pre-college intensive summer workshop for students within the highest risk categories. The program is free of charge to applicants.
First Year Experience Programs - Includes Freshman Seminar Course (USTU 1250), Common Reading Experience, Welcome Week activities. These activities offer intensive opportunities to assist students with acclimating to UTC.
Multicultural Center Programming - A series of programs aimed toward diversity and inclusion activities for all students. The Center serves as an activity space for students of color to plan, program, and engage with the campus.
Student Organizations - Brother to Brother, 100 Black Collegiate Chapter, Greek Letter fraternities and sororities, etc. These groups are intended to offer a seamless transition for students into the collegiate experience.
Q: What are the graduation rates/numbers of multicultural students from Chattanooga?
A: Getting data for students specifically from Chattanooga would be almost impossible because of changes to residency and the inclusion of other student populations (e.g., transfers, adults, etc.).
Faculty & Staff Diversity Update
- Questions from the members with answers provided by Dr. Jerald Ainsworth, Provost, and Dr. Bryan Samuel, Director of Office of Equity and Diversity:
Q: How are we identifying, recruiting and retaining diverse faculty? A: UTC has been very focused on obtaining a diverse group of candidates and actively recruiting multicultural faculty for vacancies. The faculty diversity should mirror the diversity of UTC's student population. As part of these efforts, we have expanded our use of affinity sources to advertise vacancies to include Blacksinhighered.com, Higheredjobs.com, Insiderhighered.com, Latinosinhighered.com, Asiansinhighered.com, Chronicle.com and the American Association for Hispanics in Higher Education (AAHHE.org). Additionally, Office of Equity Diversity staff as well as college Deans and faculty members routinely attend such meetings like AAHHE and Southern Regional Education Board conferences to engage attendees about their careers and UTC.
From the "retention" lens we have created and sustained partnerships with various affinity organizations such as Sisters of The Academy (SOTA), Brothers of The Academy (BOTA) and the National Center for Faculty Development and Diversity which works with women and minority populations on acquiring tenure and promotion in American higher education. Additionally, we have worked to support professional development opportunities and research including but not limited to hosting several events here on campus.
Q: How do our multicultural faculty fit on this campus?
A: UTC obviously attempts to onboard minority faculty so they understand and are integrated into the campus culture. Departments have mentoring programs for faculty that attempt to ensure new faculty understand the requirements for reappointment, promotion and tenure. We ensure committees have a cross-section of representation to ensure a diversity of representation and thought.
Dr. Samuel's understanding is that minority faculty feel supported and meaningfully engaged in things the campus has to offer. We have worked very diligently on this accord through strategies such as connecting new faculty with the internal and external community, supporting diversity of various committees, supporting research and professional development and connecting faculty with students for experiential learning outside of the classroom. However, there are some concerns.
Like most other institutions across the country there is concern that we need to do more to reward service in the tenure and promotion processes and that we have at times asked minorities to do "too much" service. It may be that our efforts to diversify committees coupled with "good service" on the part of some minority faculty members leads to having those members being repeatedly asked to serve.
Q: Does UTC know how to include/engage minority faculty?
A: We are certainly cognizant of the need to thoughtfully and respectfully include/engage minority in our campus activities and governance. We have done much to ensure minority faculty are introduced to the campus and community in order to meaningfully engage around issues of teaching, research and service as well as their personal lives. Examples include but are not limited to the Minority Health Fair which provides opportunities for UTC students, faculty and staff to engage the broader Chattanooga community and insuring minority faculty have participatory opportunities with organizations and activities in the community.
Q: Could you please provide more data about faculty tenure? A: Since 2012, 18/18 racial minority faculty participants in OED initiatives have applied for and received tenure or tenure and promotion. This includes 12 Black/African American, 2 Hispanic, 3 Asian and 1 Native American. This is especially noteworthy as 15 of these faculty members were in the tenure track pipeline; 12 of those in the pipeline went from Asst. to Assoc. Professor, while 1 went all the way from Asst. Professor to full Professor. One (1) is tenured and preparing for promotion. Also included in the 18 are 3 tenured and promoted Associate Professors from 2012 who have been promoted to full Professor over the last 2 years. These facts bode quite well for us and are indicative of our attention to meaningfully engage faculty of color. This is especially sensitive because in 2012 there was a minority faculty member who did not receive tenure or promotion and the community was quite upset about the matter.
Q: How are UTC's faculty diversity numbers compared to other Tennessee schools in our peer group?
A: As a part of the Diversity Plan process we collected data on UTC as well as institutions identified as our peer group by Tennessee Higher Education Commission (THEC) in the Fall of 2007. According to the Integrated Postsecondary Education Data System (IPEDS) data, UTC is 7 th in the peer set in faculty diversity at 18%. The average diversity representation across
the peer set is 21% with Arkansas Little Rock leading at 30% and Appalachian State reporting the lowest incumbency at 11%.
There are two caveats that need to be expressed here. First, the THEC Fall 2007 peer group for UTC includes several Higher Black Colleges and Universities (HBCU). For the purpose of these data, the HBCUs have been discounted. Secondly, there are no TN schools in our peer group as identified by the THEC Fall 2007 peer group.
Q: What are our goals to increase diversity in our staff?
A: IPEDS does not report EEO Categories any longer and thus we only have our data. IPEDS does use the DOL Standard Occupational Codes (SOC) however they are primarily aligned with non-higher education jobs and most states and institutions use titles for jobs very differently. Thusly there is little opportunity to make "apples to apples" comparisons in this regard. Currently our staff work force, across all job groups and EEO categories, is 18%. We are able to pull data from IPEDS on "Management" job groups (Executive, Managerial and Administrative) which include titles such as Directors, Deans, Assistant Deans and Assistant Directors, and other executive positions. Here UTC is at about 22% and second in the peer set to Arkansas Little Rock. In the draft Diversity Plan for the campus, the Diversity Advisory Council (DAC) is proposing a goal to improve the recruitment, retention and promotion of a diverse workforce by 10%.
Q: Please provide data on UTC's pay scale for minority employees as compared to universities in our peer group.
A: Pay scales for the UTC employees are created based on the position held, nature and scope of work and the credential and experience incumbents bring to the position. It is also influenced by things such as discipline, for employees in the faculty ranks, market and time in grade. Thusly there is no way to make a clear comparison strictly on race. Comparisons can only be made between similarly situated employees; those employees having similar jobs, similar duties, similar credentials and experiences, and time in grade. To ensure we are compensating employees equitably, each year a consultant reviews the compensation of employees to determine if we need to make any adjustments or provide further information on how the rate of compensation is appropriate. Over the past five or so years, per the affirmative action plan conducted by consultants, there have been no employees identified as being under compensated.
Economic Development on MLK
- Details of current actions and initiatives to continue our support and efforts to keep the MLK district viable and economically sustainable provided by Dr. Richard Brown, Executive Vice Chancellor for Finance, Operations and Information Technology:
o UTC-Aramark Mocs-Bucks Spend - We are working with Aramark to develop a process and partnership allowing the M.L. King district and area merchants to have UTC students use the discretionary spending power of their Mocs Cards with the businesses. The business would fly a banner signifying MocsBucks are accepted.
o 300 Block Development - UTC worked with our UC Foundation to leverage key held parcels of land for strategic development of mixed use projects in the 300 block of M.L. King. The Bentwood Foundation, River City Company and the City of Chattanooga also collaborated with this project. A competitive RFP process was engaged to select a project developer for this initiative.
o Gateways and Streetscapes - UTC continues to work with the merchants and City of Chattanooga to provide safe and lighted gateways for pedestrian and vehicular traffic on both Douglas and MLK and University Street and MLK. These pathways for students will enhance economic interaction within the district.
o Collaborative Planning - UTC will continue to plan with the M.L. King Neighborhood Association and the Bessie Smith Cultural Center to strengthen and diversify entertainment, arts, development and activities that make MLK a "community of choice."
o Mapp Building Redesign - UTC will redesign the Mapp Building as a Gateway to M.L. King and the Innovation District. This action will spur and support economic development.
o Future Structured Parking Partnerships - Economic growth and business development within the M.L. King District will require convenient access to additional parking systems. As UTC plans to develop new structured parking facilities for the campus, we will consider partnerships with M.L. King merchants and civic organizations to support economic and business growth.
CMAC Community Engagement
- Questions from the members with answers provided by Ann Yoachim, Director of Civic Engagement.
Q: How UTC and Chattanooga are making students feel more welcome and included?
A: The campus as a whole is working to develop a program of speakers, events, and conversations to support students and promote inclusion. As part of this effort, a cross-campus committee including representatives from student development and academic affairs are working together to explore options and ensure events are leveraged by both student organizations and in course curricula. UTC is working with local high schools, like The Howard School and Brainerd, to recruit students including highlighting the students who have been accepted to UTC.
The Office of Multicultural Affairs is hosting a series of Diversity Dialogues focused on current issues—encouraging students from across campus to discuss topics of concern including mental health issues and concerns related to the Presidential Election.
UTC is also expanding efforts to reach the Latino population of Chattanooga. As a first step, in partnership with La Paz and the Public Education Foundation, we recently offered a FASA workshop in Spanish.
In attendance:
CMAC Members
- Lisa Brady
- Nicole Gaines
- Bassam Issa
- Joyce Hardaway
- Ken Jordan
- Stacey Lightfoot
- Travis Lytle
- Warren Logan, Jr.
- James McKissic
- Patrick Miles
- Maria Noel
- Manny Rico
- Gladys Pineda-Loher
- Reggie Ruff
- Shalin Tejani
UTC Staff
- Steve Angle
- Jerald Ainsworth
- Dee Dee Anderson
Richard Brown
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- Laura Cagle
- Jeff Elwell
- Terry Denniston
- Kirk Englehardt
- Yancy Freeman
- Linda Frost
- Daniel Pack
- Bryan Rowland
- Joanne Romagni
- Valerie Rutledge
- Bryan Samuel
- Jill Woodruff
- Hannah Turcotte
- Ann Yoachim
Special Guest
- Vanessa Jackson
Students
- Jacob Bogard
- Victoria Baltz
- Sami Burns
- Jordan Madrigal
- Jordan Flowers
- Tina Nguyen
- Rachel Smith
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An Evaluation of the Labor Market Impact of SB 155
A Report Prepared by Dr. Donna K. Ginther, Director, CSTEP Patricia Oslund, Research Economist
Center for Science, Technology, & Economic Policy (CSTEP) Institute for Policy & Social Research, The University of Kansas
A REPORT COMMISSIONED BY THE KANSAS BOARD OF REGENTS
An Evaluation of the Labor Market Impact of SB 155 was funded under terms of an agreement with the State of Kansas, Department of Commerce. This workforce product was funded by a grant awarded by the U.S. Department of Labor's Employment and Training Administration. The product was created by the grantee and does not necessarily reflect the official position of the U.S. Department of Labor. The U.S. Department of Labor makes no guarantees, warranties, or assurances of any kind, express or implied, with respect to such information, including any information on linked sites and including, but not limited to, accuracy of the information or its completeness, timeliness, usefulness, adequacy, continued availability, or ownership. This product is copyrighted by the institution that created it. Internal use by an organization and/or personal use by an individual for non-commercial purposes is permissible. All other uses require the prior authorization of the copyright owner. The analysis reflects data sources from the Kansas Board of Regents, the National Student Clearinghouse, and the Kansas Department of Labor.
This report was prepared for the Kansas Board of Regents by the Center for Science, Technology & Economic Policy at the Institute for Policy & Social Research, the University of Kansas. The views expressed in this document are those of the authors and do not necessarily reflect the views of the Kansas Board of Regents or the University of Kansas.
We thank Genna Hurd and Xan Wedel for editorial assistance and graphic design.
Executive Summary
At the request of the Kansas Board of Regents, the Center for Science, Technology, & Economic Policy at the University of Kansas evaluated the labor market impact of Senate Bill 155 (SB 155). The SB155 program is intended to boost enrollment in college-level career and technical education (CTE) course and to prepare students for both post-high school employment and postsecondary education. The purpose of this study is to document early results of the SB155 program on employment, wages, and college achievement. We analyzed data on enrollment, credits, grades, certificates and degrees, and industry certifications provided by the Kansas Board of Regents. The data was linked to labor market outcomes provided by the Kansas Department of Labor.
We found that SB 155 had the following impact on labor market outcomes:
* The SB155 program substantially increased the number of college-level technical credits that Kansas high school students complete.
* About 30 percent of SB155 participants complete a college-level technical certificate or degree while in high school, while about 25 percent complete an industry-recognized credential.
* About 64 percent of SB155 participants enroll in college within two years of graduation.
* For students who do not move on to college, the number of SB155 technical credits completed in high school is positively related to employment and wages.
* In the two years following high school graduation, students who move directly into the labor market are less likely to be employed than students who move on to college. However their wage earnings are higher, probably because they work more hours.
* Academic outcomes of SB155 students exceed those of comparable traditional CTE college students in terms of degree completion and persistence (continuing to a second year of college).
* After two years, SB155 students remain ahead of traditional CTE college students in terms of certificates and degrees earned and higher-level certificates and degrees earned.
* SB155 students who attend college have higher employment rates than their traditional CTE college counterparts. Once employed, wages of the two groups are about the same.
An Evaluation of the Labor Market Impact of SB 155
By Donna K. Ginther and Patricia Oslund
Introduction
For decades students have been earning college credits before they graduate from high school. An example is the Advanced Placement program, which has grown from 1,000 students in the mid-1950s to over 2.5 million students today (College Board, 2003, 2016). Advanced placement students can earn college credit in liberal arts and sciences fields such as history, languages, math, and physics. Other academic opportunities include dual enrollment (course counts for college and high school) and International Baccalaureate programs. Students get a running start on college work and may save tuition money by finishing college in fewer semesters.
But many students pursue career and technical education (CTE) rather than liberal arts and sciences or a four-year degree. In fact, many of the jobs expected to open up in the future will require post-secondary education, but not necessarily at the bachelor's degree level. A Georgetown University study (Carnevale, Jayasundera, and Hanson, 2012) discusses "middle jobs"—jobs that provide middle class wages but do not require a four-year degree. Of 29 million such middle jobs today, about two thirds require education beyond high school, primarily certificates and associates degrees. Can CTE students get a head start on this education while still in high school, just as Advanced Placement students get a head start on academic pathways?
National data on college-level CTE enrollment for high school students appear to be limited. A 2013 report (Thomas, et al., 2013) provides 2011 data on dual high school-college enrollments. Dual credit options are more common for traditional academic courses than for technical courses, but technical opportunities still are substantial. Nationally, about 76 percent of high schools offer academic options, while 49 percent offer CTE options. Technical course opportunities are more common in the central states, where they are offered in 54 percent of high schools, than in the northeast (36%). In 2011, high school CTE students enrolled in more than 600,000 technical courses for college credit.
Kansas has been a leader in promoting high school enrollment in college-level CTE courses. In 2012, Governor Brownback proposed the Excel in Career Technical Education Initiative, which was passed by the legislature as Senate Bill 155 (SB 155) and implemented for the 2013 academic year. The program is intended to boost enrollment in college-level CTE courses and to prepare students for both post-high school employment and postsecondary education. Key elements of the program include:
* Participants must be high school students who live in Kansas.
* Free tuition for students who enroll in qualified CTE courses offered by community colleges in Kansas. Most technical courses at community colleges qualify.
* Financial incentives paid to school districts for students who earn industry-recognized credentials in specified high-demand occupations such as carpentry, nursing assistants, and welders (see Table 1).
The number of high school students in college-level CTE courses has risen greatly since implementation—by 2015, enrollment in college-level CTE stood at over twice the pre-implementation (2012) level (Kansas Legislative Research, 2015).
Source: Kansas Board of Regents.
Concepts and Methods
The purpose of this study is to document early results of the SB155 program on employment, wages, and college achievement. We analyze data on enrollments, credits, grades, certificates and degrees, and industry certifications provided by the Kansas Board of Regents. The data have been linked to labor market outcomes provided by the Kansas Department of Labor.
We undertake four distinct analyses:
* Description of SB155 students and outcomes (Analysis 1).
* Comparison across SB155 students who do not continue on to college. We examine whether the number of SB155 credits passed in high school and the certificates and credentials earned affect wages and employment (Analysis 2).
* Comparison of students who do not continue on to college with those who enroll within two years after high school graduation (Analysis 3).
* Comparison of students who take SB155 technical credits in high school with community college students who start their technical educations when they are first time freshmen (Analysis 4). We refer to this last group of students as "traditional CTE college students."
Description of SB155 Students and Outcomes (Analysis 1)
The number of students who enroll in SB155-qualified courses during high school has grown considerably since academic year 2013, the first year of operation (Table 2, Figure 1). The number of credits passed each year has expanded by about 50 percent since 2013 (Figure 2). An increasing number of students earn college certificates or industry credentials each year. Note that the students who take SB155 courses also enroll in a substantial number of other college credits.
| Table 2. High School Enrollment in College Courses by Academic Year | | | |
|---|---|---|---|
| | Academic Year | | |
| | 2013 | 2014 | 2015 |
| Students in SB155 courses during year SB155 credits passed during year Students in any college courses College credits passed (technical and non-technical) Students earning college certificate or degree Students earning industry credentials | 5,673 41,043 6,687 63,991 1,460 1,148 | 6,559 50,151 9,622 93,996 2,521 1,892 | 7,754 60,801 10,749 112,333 3,041 2,126 |
Source: Kansas Board of Regents.
While Table 2 presents a snapshot of enrollments and degrees by year, Table 3 presents the characteristics of high school graduates who have participated in the SB155 program. The students are a little more than 50 percent female. Students of color comprise over 20 percent of graduates with SB155 credits. For comparison, 50.5 percent of Kansas high school graduates are female and 31.2 percent are students of color (Kansas State Department of Education, 2015). Students of color appear to be under-represented in the SB155 program.
Source: Kansas Board of Regents.
Figure 1
On average, the students pass about 7.5 SB155-qualifying credits while in high school, with a B average in these courses. While the number of SB155-qualifying credits per student has remained constant, the total number of college credits (SB155 and others) has risen over time to almost 15 in 2015. Thus it is safe to say that SB155 has not crowded out or substituted for other college-level work.
Source: Kansas Board of Regents.
Figure 2
Close to 30 percent of the SB155 students finish high school with a community college certificate or degree, usually a SAPP certificate requiring less than 16 hours of study (Table 3, Figure 3). Around 25 percent of the students earn an industry-recognized credential while in high school. Emerging national research suggests that students who pass industry-recognized exams achieve a boost in wages compared with students without certifications (Association for Career and Technical Education, 2016). Most of the SB155 students (about 65%) go on to college, enrolling in both 4-year and 2-year institutions. In comparison, 75 percent of Kansas high school grads plan to attend college right after high school (Kansas State Department of Education, 2015).
| | High School Graduation Year | | |
|---|---|---|---|
| | 2013 | 2014 | 2015 |
| Number of HS grads in SB155 program | 3,092 | 5,452 | 6,218 |
| Percent graduates of color in SB155 program | 21.4% | 21.2% | 21.5% |
| Percent female graduates in SB155 program | 53.2% | 52.4% | 50.7% |
| Average SB155 credits passed in HS | 7.6 | 7.5 | 7.6 |
| GPA in SB155 courses taken in HS | 3.01 | 3.06 | 3.03 |
| Average total college credits passed in HS | 11.5 | 13.9 | 14.6 |
| GPA in all college courses taken in HS | 2.98 | 3.02 | 2.98 |
| Percent earning college degree or certificate in HS | 28.8% | 32.6% | 28.9% |
| Percent earning industry credentials earned in HS | 22.3% | 26.1% | 24.2% |
| Percent enrolling in college after HS | 64.3% | 63.7% | N/A |
| Percent enrolling in 2-yr institution | 41.1% | 37.8% | N/A |
| Percent enrolling in 4-year institution | 23.2% | 25.8% | N/A |
Source: Kansas Board of Regents.
Source: Kansas Board of Regents.
Figure 3
We also examined the post-high school behavior of students who did and did not earn a post-secondary credential while in high school (Table 4). Students who earn a certificate or degree in high school are more likely to be employed in the following year than those who do not—almost 10 percent more for 2014 graduates. Rates of college attendance are similar between the two groups.
| Grad Year | Certificate Status | # Students | Employment Status (Year after HS) Employed Not Employed Unknown |
|---|---|---|---|
| 2013 2014 | Earned certificate or degree in HS Did not earn certificate or degree Total Earned certificate or degree in HS Did not earn certificate or degree Total | 688 2,404 3,092 1,421 4,031 5,452 | 82.3% 15.1% 2.6% 75.3% 19.4% 5.3% 76.8% 18.5% 4.7% 83.0% 14.0% 3.0% 73.4% 20.7% 5.9% 75.9% 18.9% 5.2% |
Source: Kansas Board of Regents and Kansas Department of Labor. Note: Employment status is unknown if a student did not have a social security number in KBOR's records.
High School Graduates Who Do Not Attend College: The Impact of SB155 Credits (Analysis 2)
One way of assessing the impact of the SB155 program is to compare two groups of high school students who do not attend college during the first few years after high school graduation. Some students participate in the SB155 program intensely, earning a large number of college-level technical credits and completing college certificates and industry certifications. Others enroll in only a few SB155 credits. Does the intensity of technical education affect wages and employment for students who stop at high school?
We estimate the graduates' wages and employment by matching the students against the Kansas Department of Labor's Unemployment Insurance database (the matching was done by KDOL and identities of all graduates were masked). The database includes the earnings of most employed Kansans, but excludes those who:
* are self-employed,
* are military and other federal employees,
* live in Kansas but work in another state, and
* move away entirely.
Furthermore, the database contains no information on hours, so it is not possible to distinguish between full time and part time employment. Nevertheless, no other database allows us to merge individual labor market outcomes with individual education information.
We divide the SB155 high school graduates (who do not go to college) into two groups: those with 9 or more technical credits and those with fewer than 9 1 . 2013 high school graduates can be tracked forward for two years—2014 and 2015. 2014 graduates can only be tracked for one year. We use simple linear regressions to estimate differences in employment and average wages between the two groups. We use quantile regression techniques to estimate median wage differences. Average wages are highly sensitive to outliers—one person who does phenomenally well in the labor market can skew the entire average. Median wages simply show the wages of the person in the middle of the distribution and are quite insensitive to outliers. In the tables below, significance levels less than 0.05 generally are considered to be "statistically significant."
The number of SB155 credits taken in high school appears to affect employment in the first year after high school. The graduates who take more SB155 credits are significantly more likely to be employed than are those graduates with fewer credits (Table 5). However by the second year after graduation, employment rates show no significant difference.
Graduates with more SB155 credits earn significantly higher wages than those with fewer credits— between $3,000 and $4,000 more. Wage differences between the two groups persist over time, whether measured by average or median wages (Table 6, Figure 4). Wages rise over time as the high school graduates gain experience.
| Table 5. Employment Outcomes for SB155 Participants High School Graduates Who Do Not Attend College | | | |
|---|---|---|---|
| | Percent Employed | Number of Observations | Significance Level of Difference |
| Year after graduation Grads with < 9 SB155 Credits Grads with >= 9 SB155 Credits Two years after graduation Grads with < 9 SB155 Credits Grads with >= 9 SB155 Credits | 72.4% 79.1% 75.2% 76.1% | 2,738 981 | <.0001*** 0.7486 |
Source: Kansas Board of Regents and Kansas Department of Labor.
*** Indicates that the difference in employment is significant at the 1 percent level.
1 We experimented with an 8 credit cutoff and a 10 credit cutoff. Results were similar. We chose 9 credits because that often corresponded to taking 3 college level courses.
We also estimated the effects of community college certificates and industry credentials on wages (no table). Both showed positive and significant effects on wages in the first year after graduation but not in the second. The number of technical credits appears to be a stronger predictor of wage gains due to education than these other measures considered.
For those who are not college bound, a strong technical background earned in high school accrues substantial labor market rewards. It is easier for graduates with a strong background to find a job straight out of high school, and the wages that they earn are higher than those of their counterparts. It is not necessarily the case that these differences are due solely to the SB155 program. Those students who complete a large number of technical credits may have other personal characteristics such as persistence that contribute to labor market success. Most evaluation work confronts the same problem—we can find effects but it is difficult to attribute them to a single cause.
Table 6. Wage Outcomes for SB155 Participants High School Graduates Who Do Not Attend College
Source: Kansas Board of Regents and Kansas Department of Labor.
*** Indicates that the difference in wages is significant at the 1 percent level.
Source: Kansas Board of Regents and Kansas Department of Labor.
*** Indicates that the difference in wages is significant at the 1 percent level.
Figure 4
Graduates Who Do versus Do Not Enroll in College: Wage and Employment Differences (Analysis 3)
College attendance provides another distinction among high school graduates who enrolled in SB155 courses. For our third section of the analysis, we divide those students who earn 9+ technical credits in high school into college attendees versus those who move directly into the labor market. In general, we find that college attendees have higher employment rates compared with non-attendees but lower wages—probably due to part time employment while in school (Tables 7 and 8, Figure 5). Again, we point out that some of the students who do not attend college in Kansas may be in the military or may have left the state for other reasons, in part explaining their lower employment rate.
Table 7. Employment Outcomes for SB155 Participants with 9+ Credits Comparison of High School Graduates Who Do and Do Not Attend College
Source: Kansas Board of Regents and Kansas Department of Labor.
*** Indicates that the difference in employment is significant at the 1 percent level.
Source: Kansas Board of Regents and Kansas Department of Labor.
*** Indicates that the difference in employment is significant at the 1 percent level.
Figure 5
Table 8. Wage Outcomes for SB155 Participants with 9+ Credits Comparison of High School Graduates Who Do and Do Not Attend College
| | Average Annual Wage | Significance Level of Difference | Median Annual Wage | Significance Level of Difference | Number of Observations |
|---|---|---|---|---|---|
| Year after HS graduation Grads who do not attend college Grads who attend college Two years after HS graduation Grads who do not attend college Grads who attend college | 13,040 9,356 15,802 13,329 | <.0001*** 0.0021*** | 11,631 8,358 13,724 11,630 | <.0001*** 0.0482** | 2,031 791 |
Source: Kansas Board of Regents and Kansas Department of Labor.
*** Indicates that the difference in wages is significant at the 1 percent level.
** Indicates that the difference is significant at the 5 percent level.
Comparison of SB155 College Attendees with Traditional CTE Community College Enrollees (Analysis 4)
Our fourth section of the analysis looks at the outcomes of two groups of college attendees: 1) SB155 high school graduates who leave high school with at least 9 credits and 2) a comparison group of traditional college students who pursue a career and technical education program. We limit our comparison group to students completing 9 technical credits at community colleges in their first college year in courses that are eligible for SB155. We look at outcomes of the SB155 group versus the comparison group to examine whether high school enrollment in SB155 leads to a higher completion rate of degrees and certificates, better persistence in attending college for a second year (after completing the first year), and better labor market outcomes. We use statistical weighting techniques to account for any demographic differences between SB155 college attendees and the traditional group. The analysis is intended to isolate the effects of starting technical education in high school rather than college.
SB155 participants show a different pattern of academic outcomes than do traditional freshmen. In the first year of college, they earn about four fewer credits than their counterparts (Table 9). However, they start to catch up to the traditional CTE students in year 2. Including their work in high school, they are more likely to have to hold any certificate or degree, and they are more likely to hold a CERTC (45-60 credits) or higher than traditional students. It appears that SB 155 has given these students a head start on degree completion. Cumulative GPAs for SB155 students are slightly lower than for the traditional group. The pattern of fewer credits and lower grades can in part be explained by higher workforce participations among SB155 students (Table 11). Finally, the SB155 students are significantly more likely to move beyond the first year of college and enroll in a second year—their persistence rate is 62.4 percent versus 56.4 percent for traditional CTE students (Table 9). Unfortunately, data limitations prevent us from tracking students beyond the second year after college enrollment, and only those students who start college in 2014 can even be followed for two years.
Table 9. College Outcomes of Traditional CTE Community College Students and SB155 Participants
| | Traditional CTE Students | SB155 Participants | Number of Observations |
|---|---|---|---|
| First year of College Cumulative credits earned in college (per student) Cumulative number of degrees and certificates Percent of students with CERTC or higher Percent of students with Associates or higher Cumulative College GPA Persistence to second year of college (%) Second year after starting college Cumulative credits earned in college (per student) Cumulative number of degrees and certificates Percent of students with CERTC or higher Percent of students with Associates or higher Cumulative College GPA | 30.6 0.45 6.3% 1.8% 2.82 56.4% 43.5 0.74 26.2% 13.7% 2.79 | 26.9 0.80 13.5% 2.3% 2.61 62.4% 41.9 0.99 32.0% 14.2% 2.60 | 2,875 2,875 2,875 2,875 2,875 1,294 1,294 1,294 1,294 1,294 1,294 |
Source: Kansas Board of Regents.
*** Indicates that the difference between traditional students and SB155 participants is significant at the 1 percent level.
** Indicates that the difference is significant at the 5 percent level.
It appears that SB155 students do get a head start on college. Table 10 shows the highest degree earned for students who enroll in college starting in 2014. At the end of two years, the SB155 students remain ahead of the traditional CTE college students in terms of the percentage of students earning a degree or certificate and the percentage of students earning higher-level degrees and certificates.
| Table 10. Certificates and Degrees Earned by Students Starting College in 2014 | |
|---|---|
| Degree or Certificate: Highest Earned | SAPP CERTA CERTB CERTC ASSOC <16 16-29 30-44 45-59 60+ None credits credits credits credits credits |
| Before Freshman Year Traditional CTE SB155 First Year enrolling in college Traditional CTE SB155 Second year after enrolling Traditional CTE SB155 | 100.0% 0.0% 0.0% 0.0% 0.0% 0.0% 66.5% 22.6% 4.5% 2.1% 3.9% 0.4% 56.4% 22.0% 3.3% 10.5% 5.5% 2.4% 43.7% 24.4% 3.9% 10.3% 14.8% 2.9% 39.4% 21.7% 3.3% 9.5% 12.4% 13.7% 32.7% 21.4% 3.9% 9.9% 17.7% 14.2% |
Source: Kansas Board of Regents.
Employment rates of SB155 students exceed those of traditional students, particularly during the first year of college (Table 11, Figure 6). They may be able to leverage the technical training they earn in high school into jobs. By the second year after enrollment, employment of traditional CTE students rises as they gain technical skills and (in some cases) finish their educations. However, the SB155 students continue to surpass them in employment rates, perhaps because of financial need.
Once employed, the average and median wages of the two groups show no statistical difference. Wages for both groups rise by the second year when students gain experience and finish their educations.
Table 11. Labor Market Outcomes of Traditional CTE Community College Students and SB155 Participants
| | Traditional CTE Students | SB155 Participants | Number of Observations | Significance Level of Diff. |
|---|---|---|---|---|
| First year of College Employment (%) Average annual wage earnings Median annual wage earnings Second year after starting college Employment (%) Average annual wage earnings Median annual wage earnings | 75.9% 9,534 8,094 81.7% 14,332 12,689 | 84.5% 9,167 8,190 85.9% 13,612 11,801 | 2,834 2,834 2,834 1,272 1,272 1,272 | <.0001*** 0.2353 0.7978 0.0489** 0.2583 0.2968 |
Source: Kansas Board of Regents and Kansas Department of Labor.
*** Indicates that the difference between traditional students and SB155 participants is significant at the 1 percent level.
** Indicates that the difference is significant at the 5 percent level.
Source: Kansas Board of Regents and Kansas Department of Labor.
*** Indicates that the difference between students is significant at the 1 percent level.
** Indicates that the difference is significant at the 5 percent level.
Figure 6
Summary
We examined the education and workforce outcomes of SB155 program. We found that SB155 did provide a "head start" for high school students in terms of credits and employment. In particular, the SB155 program substantially increased the number of college-level technical credits that Kansas high school students complete. This increase in technical credits does not appear to come at the cost of other college credits in which high school students might enroll. Furthermore, about 30 percent of SB155 participants complete a college-level technical certificate or degree while in high school and nearly 25 percent complete an industry-recognized credential. These additional credits do not prevent students from enrolling in college. About 64 percent of SB155 participants enroll in college within two years of graduation.
For those SB155 students who do not move on to college, the number of SB155 technical credits completed in high school is positively related to employment and wages. During the two years immediately after high school, students with a technical concentration of more than 9 credits hours earn $3000-$4000 more per year than students with weaker technical backgrounds. When we compared SB155 students who did not enroll in college to those who did enroll, we found that students who move directly into the labor market are less likely to be employed than students who move on to college. However their wage earnings are higher, probably because they work more hours.
In addition, the academic outcomes of SB155 students exceed those of comparable traditional CTE college students in terms of degree completion and persistence (continuing to a second year of college). However they appear to take slightly fewer college credits per year and to have slightly lower GPAs. After two years, SB155 students remain ahead of traditional CTE college students in terms of certificates and degrees earned and higher-level certificates and degrees earned. SB155 gives students a head start on college. Finally, SB155 students who attend college have higher employment rates than their traditional CTE college counterparts. Once employed, wages of the two groups are about the same.
References
Association for Career and Technical Education. Measuring the Impact of Industry Credentials: Certification Data Exchange Project. February, 2016. https://www.acteonline.org/uploadedFiles/Policy_and_Advocacy/Key_Issues/CDEP_Fact_Sheet_FIN AL.pdf
Carnevale, Anthony P., Tamara Jayasundera, and Andrew R. Hanson. Five Ways that Pay along the Way to the B.A. Georgetown Public Policy Institute, Center on Education and the Workforce. September 2012. https://cew.georgetown.edu/wp-content/uploads/2014/11/CTE.FiveWays.FullReport.pdf
College Board. A Brief History of the Advanced Placement Program. 2003 http://www.collegeboard.com/prod_downloads/about/news_info/ap/ap_history_english.pdf
College Board. Annual AP Program Participation, 1956-2015. 2016. https://securemedia.collegeboard.org/digitalServices/pdf/research/2015/2015-Annual-Participation.pdf
Kansas Board of Regents. 2016-2017 SB 155 Qualifying Credential Incentive List. April, 2016. http://www.kansasregents.org/resources/PDF/2016-2017_SB_155_Qualifying_Credentials_List_03- 31-16.pdf
Kansas Legislative Research Department. "Career Technical Education Initiative (SB 155)." Chapter G-1 in Kansas Legislator Briefing Book, Prepared for the 2016 Kansas Legislature. 2016. http://www.kslegresearch.org/KLRD-web/Publications/2016Briefs/2016_briefing_book.pdf
Kansas State Department of Education. Kansas K-12 Reports. Online table generator. Data for AY 2015. http://uapps.ksde.org/k12/state_reports.aspx
Kollman, Martin and Lisa Beck. "Free CTE College Tuition and Certification Funding: KS SB155 at Work." Techniques. September, 2013. http://www.kansasregents.org/resources/PDF/2587- ACTE_Techniques_September_2013_Beck.pdf
Thomas, Nina, Stephanie Marken, Lucinda Gray, and Laurie Lewis. Dual Credit and Exam-Based Courses in U.S. Public High Schools: 2010–11. NCES 2013-001. U.S. Department of Education. Washington, DC: National Center for Education Statistics. February, 2013.
http://nces.ed.gov/pubs2013/2013001.pdf
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Headlines
* This is not meant to be an onerous requirement but does require some thought.
* Reinforces active engagement by the whole board in the annual reporting process.
* Most boards are likely to ask the audit committee to advise on the statement.
* There are early adoption examples available.
Governance in brief The new board statement – fair, balanced and understandable and sufficiency of information provided
A reminder of the new requirement
With effect from 30 September 2013 year ends onwards, under provision C.1.1 of the UK Corporate Governance Code (the Code), boards of premium listed companies are required to make the following statement in the annual report:
"The board confirms that the annual report and accounts, take as a whole, is fair, balanced and understandable and provides the information necessary for shareholders to assess the performance, strategy and business model of the company."
This new provision supports the main Code principle previously in force that " The board should present a fair, balanced and understandable assessment of the company's position and prospects". The supporting principle in section C.1 of the Code states:
"The board should establish arrangements that will enable it to ensure that the information presented is fair, balanced and understandable."
Code Provision C.3.4 says that, where the board asks, the audit committee should provide advice to the board on this statement. Since the audit committee already has the task of reviewing the annual report on behalf of the board, we believe that in most cases this task will land on the audit committee's agenda.
What is the FRC trying to achieve with this requirement?
This new requirement was developed by the FRC in response to criticism of the way in which companies were seen as having failed to provide key information and sensitivities in their annual reports. It was felt that the narrative report should reflect the board's considered view of the information which investors and other users of the annual report and accounts needed, rather than being viewed as promotional in nature, and to ensure that the narrative and financial sections of the report were consistent. The report should represent a fair, balanced and understandable account of the board's stewardship of the company.
The first consultation paper on this requirement suggested that the board should explain in the annual report the reasons why they consider the annual report is fair, balanced and understandable, rather than just a statement from the board that it is fair, balanced and understandable. Whilst that level of disclosure did not make into the final requirements, in our view, boards (or audit committees) should consider how they would justify their statement if challenged.
At the recent Annual Open Meeting of the Financial Reporting Council, the CEO Stephen Haddrill made the following comment:
"It was an important step forward when we said that the company's report should be fair, balanced and understandable and that this should apply to the corporate report as a whole. I hope that will favour pressure in the boardroom against any tendency to use parts of the report as a kind of advertisement for the company. It should be good quality information and it should be balanced."
Key considerations in preparing to make the statement
Fair, balanced and understandable
From the outset, the FRC has said that whether or not the annual report, taken as a whole, is 'fair, balanced and understandable' is a matter of board judgement. Stephen Haddrill has commented that 'fair, balanced and understandable' should be interpreted in accordance with the standard meaning of those words in the English dictionary. The recent consultation draft of the FRC guidance on the Strategic Report (available from www.frc.org. uk ) includes further reference to the meaning of 'fair, balanced and understandable' and those considerations are incorporated below.
Fair – Definition: not exhibiting any bias, reasonable or impartial, done according to the rules
* A "fair" story does not omit important elements – Is the whole story being presented? Have any sensitive material areas been omitted?
* Segmental reporting – are the business segments described in the business review consistent with those used for financial reporting in the financial statements? Are the messages in the front half reflected in the segment performance? Are the KPIs disclosed at an appropriate level based on the segments we are reporting?
Balanced – Definition: even‑handed, taking account of all sides on their merits without prejudice or favouritism
* Is the annual report properly now a document for shareholders? Is there a good level of consistency between the front and back sections of the annual report? Do you get the same message from reading the two sections independently?
* Is there an appropriate balance between statutory and adjusted measures and are any adjustments explained clearly and with appropriate prominence? This is likely to be an area of further focus by accounting regulators across Europe.
* Are the key judgements referred to in the narrative reporting and the significant issues reported in the Audit Committee Report (see Code Provision C.3.8) consistent with the disclosures of key estimation uncertainties and critical judgements set out in the financial statements? How do these compare with the risks that the external auditor is planning to include in their report?
Understandable – Definition: having a meaning or nature that can be understood, able to be accepted as normal, reasonable or forgivable
* Is there a clear and cohesive framework for the annual report? Are the important messages highlighted and appropriately "themed" throughout the document?
* All the changes this year represent an excellent opportunity to identify areas of duplication or disjointedness. Is information set out in the annual report easy to find and do sections link well together to tell the whole story?
* is the report written in accessible language? Are the messages clearly drawn out? Excessive use of specialist terms, acronyms and other jargon can make the annual report impenetrable – where the use of such language is necessary, is there a glossary that indicates how they are defined for clarity and consistency?
Logistical considerations
* Is the board interpreting this requirement consistently amongst themselves?
* Has the reporting timetable been amended to allow sufficient time for planning out and review of the annual report as a whole?
Performance, strategy and business model
The following are key questions that non executives could ask when challenging the presentation of your company's performance, strategy and business model. For a deeper dive please see our December 2013 publication Governance in focus: Describing your strategy and business model available from www.corpgov.deloitte.com/site/uk/
Governance in briefThe new board statement – fair, balanced and understandable and sufficiency of information provided2
| Performance | • Is it clear how outcomes are measured using key performance indicators? • Is there a good mix of financial and non‑financial key performance indicators? • Is it clear that the stated key performance indicators measure the achievement of the company’s strategy not just short term performance? • Are movements in key performance indicators over time, both favourable and adverse, open and well‑explained? • Can the reader understand why those measures are key performance indicators and how they are derived? • Are key performance risks explained? |
|---|---|
| Strategy | • Is the company’s purpose clearly articulated? • Does the strategy discuss how the business intends to achieve its objectives in the context of the market outlook? • Are the value drivers explained clearly? • Is there enough information to assess strategic risks? |
| Business model | • Are the key elements of the business model clearly explained? • Are business model risks and disruptions adequately drawn out? • Do the business risks disclosed in the narrative sit well with the risks or sensitivities set out within the financial statements? |
What we have seen from early adopters
Only a small number of companies included this new board statement in their December 2012 and March 2013 annual reports. In these examples the location of the statement varied between:
* the audit committee report
* the directors' responsibility statement
* the corporate governance statement
The board of BAE Systems provided some detail on the basis on which they were making the statement.
BAE Systems plc (extract from audit committee report) – Annual Report 2012
BAE Systems plc (extract from the Directors' responsibility statement) – Annual Report 2012
Other early adopters who included the new statement without further amplification of the basis include Barclays, Taylor Wimpey, Great Portland Estates, Mothercare and United Utilities.
Governance in briefThe new board statement – fair, balanced and understandable and sufficiency of information provided3
What evidence should be prepared to support the statement?
We believe that it is helpful to have a framework and a document of record setting out the key considerations – it can be a short one, even perhaps just a separate note in the minutes of any Board Disclosure Committee or the Audit Committee, but the essence of the considerations should be captured so if a later challenge were to arise, a diligent process can be seen to have been observed.
What will the benefits be?
If the underlying processes for making the statement are established in the ways we have discussed above then the resulting benefits should be enhanced corporate reporting which will meet the FRC's aim of giving investors greater insight into what company boards are doing to promote their interests, and to provide them with a better basis for engagement. It is also hoped that the nature of these considerations could help to reduce duplication and cut clutter. The requirement also reinforces the diligence and oversight role of the audit committee.
Applicability to AIM companies
AIM companies are not required to report compliance against the UK Corporate Governance Code. However, many AIM companies comply with the UK Corporate Governance Code voluntarily.
Deloitte view
* The processes being followed to meet this requirement are likely to differ between companies.
* In our view most companies will ask the Audit Committee to advise the board on the statement.
* We encourage a document of record.
Deloitte refers to one or more of Deloitte Touche Tohmatsu Limited ("DTTL"), a UK private company limited by guarantee, and its network of member firms, each of which is a legally separate and independent entity. Please see www.deloitte.co.uk/about for a detailed description of the legal structure of DTTL and its member firms.
Deloitte LLP is the United Kingdom member firm of DTTL.
This publication has been written in general terms and therefore cannot be relied on to cover specific situations; application of the principles set out will depend upon the particular circumstances involved and we recommend that you obtain professional advice before acting or refraining from acting on any of the contents of this publication. Deloitte LLP would be pleased to advise readers on how to apply the principles set out in this publication to their specific circumstances. Deloitte LLP accepts no duty of care or liability for any loss occasioned to any person acting or refraining from action as a result of any material in this publication.
© 2013 Deloitte LLP. All rights reserved.
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UNITED STATES DISTRICT COURT DISTRICT OF MASSACHUSETTS
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SHULI CHIU and AMANDA KIM, Derivatively on Behalf of OVASCIENCE, INC.,
Plaintiffs, vs.
MICHELLE DIPP, RICHARD ALDRICH, JEFFREY D. CAPELLO, JOHN HOWE, III, MARC KOZIN, and JOHN SEXTON,
Defendants, and,
OVASCIENCE, INC., a Delaware corporation,
Nominal Defendant.
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Plaintiffs Shuli Chiu and Amanda Kim ("Plaintiffs"), by and through their undersigned counsel, derivatively on behalf of Nominal Defendant OvaScience, Inc. ("OvaScience" or the "Company"), submit this Second Amended Shareholder Derivative Complaint (the "Complaint"). Plaintiffs' allegations are based upon their personal knowledge as to themselves and their own acts, and upon information and belief, developed from the investigation and analysis by Plaintiffs' counsel, including a review of publicly available information, including filings by OvaScience with the U.S. Securities and Exchange Commission ("SEC"), press releases, news reports, analyst reports, investor conference transcripts, publicly available filings in lawsuits, and matters of public record.
Index No: 1:17-cv-11382-IT
SECOND AMENDED SHAREHOLDER DERIVATIVE COMPLAINT
DEMAND FOR JURY TRIAL
NATURE OF THE ACTION
1. This is a shareholder derivative action brought in the right, and for the benefit, of OvaScience against certain of its officers and directors seeking to remedy Defendants' breach of fiduciary duties and unjust enrichment that occurred between January 8, 2015 and the present (the "Relevant Period") and have caused substantial harm to OvaScience.
2. OvaScience is a fertility company that claims to have discovered a therapy which increases in vitro fertilization ("IVF") live birth rates by extracting mitochondria (a substance in egg cells which is generally viewed as the energy source of the egg) from egg precursor cells (immature egg cells found in the protective outer layer of a woman's own ovaries) and injecting the same into the mature egg being utilized in the IVF process. In January of 2015 and thereafter, this process, the AUGMENT℠ treatment ("AUGMENT"), was the Company's sole marketable product.
3. The theory that such injection of additional mitochondria improves egg health and IVF success rates, is difficult to test and prove. It is further difficult to test the efficacy of the AUGMENT treatment.
4. Nonetheless, and as detailed herein, the Company repeatedly communicated to investors that the efficacy of AUGMENT had been scientifically validated, which was untrue. Further, on March 16, 2015, the Company represented to investors that it was on target to have 1,000 active AUGMENT treatment cycles in process by the end of fiscal 2015, which was untrue and known by the Defendants to be untrue.
5.
Throughout the Relevant Period, Defendants caused the Company to issue false
and misleading statements and/or failed to disclose, among other things, that: (a) the science behind AUGMENT had not been scientifically validated; (b) the Company was unable to achieve the purported success rates it claimed; (c) the real reasons why the Company moved its studies outside of the United States; (d) the Company had not chosen to undertake its studies outside of the United States, but was forced to as it did not want to meet stringent and expensive federal regulations; (e) that at all relevant times, the Company's profitability and prospects were false and misleading; and (f) resultantly, the Company lacked adequate internal controls over its publicly issued statements and financial reporting.
JURSIDICTION AND VENUE
6. Pursuant to 28 U.S.C. § 1332, this Court has diversity jurisdiction over the claims asserted herein.
7. Venue is proper in this Court under 28 U.S.C. § 1931(b) because a substantial portion of the transactions and wrongs complained of herein occurred in this District, and by doing business here and engaging in numerous activities that had an effect in this District.
PARTIES
A. Plaintiffs
8. Plaintiff Shuli Chiu ("Plaintiff Chiu") is, and was at relevant times, a shareholder of OvaScience. Plaintiff Chiu will fairly and adequately represent the interests of the shareholders in enforcing the rights of the corporation. Plaintiff Chiu is a citizen of California.
9. Plaintiff Amanda Kim ("Plaintiff Kim") is, and was at relevant times, a shareholder of OvaScience. Plaintiff Kim will fairly and adequately represent the interests of the shareholders in enforcing the rights of the corporation. Plaintiff Kim is a citizen of Colorado.
B. Nominal Defendant
10. Nominal Defendant OvaScience, Inc. ("OvaScience") is a Delaware Corporation with its principal executive offices located at 9 Fourth Avenue, Waltham, Massachusetts. OvaScience describes itself as a global fertility company developing proprietary potential treatments for female infertility based on scientific discoveries about the existence of egg precursor cells.
C. Director Defendants
11. Defendant Michelle Dipp, M.D., Ph.D. ("Dipp") co-founded OvaScience in April 2011 and served as a member of the Board since July 2011. Dipp served as Chief Executive Officer ("CEO") from June 2011 until July 2016, President from September 2011 until December 2014, and Executive Chair since January 2016. Defendant Dipp has contemporaneously served as partner of Longwood Fund, L.P. ("Longwood"), a venture capital investment fund, since 2010. Longwood is a beneficial owner of at least ten-percent of outstanding OvaScience common stock. Through Longwood, Defendant Dipp co-founded Verastem, Inc. ("Verastem") in 2010. Prior to that, she was a founding employee of Sirtris Pharmaceuticals, Inc. ("Sirtris"), a pharmaceutical company, where she served as vice president of corporate development from 2005 to 2008, along with fellow co-Defendants Aldrich as cofounder and Capello as member of the board. Defendant Dipp was said to take the lead role in the sale of Sirtris to GlaxoSmithKline plc ("GlaxoSmithKline") for $720 million and continued her affiliation with the drug giant following the acquisition. 1 According to the Company's Schedule 14A filed with the SEC on April 20, 2015 ("2015 Proxy Statement), as of April 8, 2015, Defendant Dipp owned 1,792,208 shares of OvaScience stock, 6.6% of the outstanding stock of the Company. Given the price per share of the Company's common stock at the close of trading on April 8, 2015 was $28.58, Dipp owned $51,221,304 worth of OvaScience stock. Between March 2014 and December 2015, Defendant Dipp sold 44,920 shares of artificially inflated OvaScience stock for proceeds of $1,281,172. 2 In 2014, for her executive services, OvaScience paid Defendant Dipp an additional $5,629,030 in stock and option awards. On July 1, 2016, Defendant Dipp stepped down from the CEO position. Pursuant to the EC Agreement, Defendant Dipp will initially receive an annual base salary of $500,000 per year. In addition, Defendant Dipp may be awarded an annual target bonus of up to 60% of her then-current annual base salary. Dipp is either a citizen of Texas or Massachusetts.
1 See Ryan McBride, "Sirtris Vet Michelle Dipp Takes Over Key Role at Glaxo as Westphal Returns to VC," Xconomy.com (at http://www.xconomy.com/boston/2010/04/22/sirtris-vet-michelle-dipp-takes-over-key-roleatglaxo-as-westphal-returns-to-vc/) (Following GlaxoSmithKline's acquisition of Sirtris, "the pharma giant said it wanted two of Sirtris's principals, Christoph Westphal and Michelle Dipp, to help it connect with some of the best people and biotech ideas in Boston).
2 During the Relevant Period, when OvaScience shares were trading at artificially inflated levels, Defendant Dipp sold 44,920 shares of Company stock, for overall proceeds of $1,281,172. On March 31, 2014, Defendant Dipp disposed of 5,081 shares of OvaScience stock at $8.94 per share for proceeds of $45,424. On June 30, 2014, Defendant Dipp sold 5,938 shares at $9.17 per share for $54,451. On September 30, 2014, Defendant Dipp sold 5,237 shares at $16.60 per share for $86,934. On December 31, 2014, Defendant Dipp sold 21,228 shares at $44.22 per share for $938,702. On March 3, 2015, Defendant Dipp sold 898 shares at $42.10 per share for $37,805. On March 31, 2015, Defendant Dipp sold 1,263 shares at $34.73 per share for $43,863. On June 30, 2015, Defendant Dipp sold 1,256 shares at $28.93 per share for $36,336. On September 30, 2015, Defendant Dipp sold 1,256 shares at $8.49 per share for $10,663. On December 31, 2015, Defendant Dipp sold 2,763 shares at $9.77 per share for proceeds of $26,994.
12. Defendant Richard Aldrich ("Aldrich") co-founded OvaScience in a nonoperational role in April 2011. He has served as a member of the Board since July 2011 and served as the Chairman of the Board from March 2012 until January 2016. Defendant Aldrich is the Chairperson of the Nominating and Corporate Governance Committee. Defendant Aldrich is also a co-founder and partner of Longwood, a majority beneficial owner of OvaScience common stock, according to Yahoo Finance. Defendant Aldrich co-founded and helped to build several successful biotech companies, including Sirtris where he worked with Defendants Dipp and Capello, and which was acquired by GlaxoSmithKline in 2008 for $720 million. Through Longwood, Defendant Aldrich started several biotechnology portfolio companies, including Flex Pharma, Inc. ("Flex Pharma"), where Defendants Capello and Kozin serve on the board of directors, and Verastem where Defendant Aldrich serves on the board of directors. According to the Company's 2015 Proxy, as of April 8, 2015, Defendant Aldrich owned 1,419,014 shares of OvaScience stock, 5.2% of the outstanding stock of the Company. Given the price per share of the Company's common stock at the close of trading on April 8, 2015 was $28.58, Defendant Aldrich owned $40,555,420 worth of OvaScience stock. Upon information and belief, Defendant Aldrich is a citizen of Massachusetts.
13. Defendant Jeffrey D. Capello ("Capello") has served as a member of the Board since March 2012. Capello is a "Financial Expert" and is the Chairperson of the Company's Audit Committee. Since July 2014, Defendant Capello has served as the executive vice president and chief financial officer of Ortho-Clinical Diagnostics, which was acquired by the Carlyle Group from Johnson & Johnson, with responsibility for global finance and business development. Prior to his role at Ortho-Clinical Diagnostics, Defendant Capello served as chief financial officer and executive vice president of Boston Scientific from March 2010 to December 2013. From 2006 to 2008, Defendant Capello was the senior vice president and chief financial officer with responsibilities for global finance and business development at PerkinElmer from 2006 to 2008. Previously, he served as PerkinElmer's vice president of finance, corporate controller, treasurer and chief accounting officer from 2001 to 2006. Defendant Capello is a board member of Flex Pharma, a biotechnology company created out of a Longwood portfolio by Defendant Aldrich, along with Defendant Kozin. Previously, a member of the board of directors of Sirtris, where he served along with Defendants Dipp and Aldrich, and which was acquired by GlaxoSmithKline in 2008 for $720 million and served as the Chair of its audit committee. Defendant Capello is also a certified public accountant. According to the Company's 2015 Proxy Statement, as of April 8, 2015, Defendant Capello owned 34,615 shares of OvaScience stock. Given the price per share of the Company's common stock at the close of trading on April 8, 2015 was $28.58, Defendant Capello owned $989,296 worth of OvaScience stock. Defendant Capello is a citizen of Massachusetts.
14. Defendant Marc Kozin ("Kozin") has served as a member of the Board since January 2014. Kozin is a member of the Company's Nominating and Corporate Governance Committee and the Global Strategy Committee. Defendant Kozin is also a member of the Audit Committee. Defendant Kozin has been a Senior Advisor to L.E.K. Consulting, a global strategy consulting firm, since July 2011. Prior to that, Defendant Kozin served as president of L.E.K.'s North American practice for 15 years. Defendant Kozin currently serves as a member of the board of directors of several companies, including Flex Pharma, along with Defendants Aldrich and Capello. According to the Company's 2015 Proxy Statement, as of April 8, 2015, Defendant Kozin owned 29,136 shares of OvaScience stock. Given the price per share of the Company's common stock at the close of trading on April 8, 2015 was $28.58, Defendant Kozin owned $832,706 worth of OvaScience stock. Kozin is a citizen of New Hampshire.
15. Defendant John Sexton, Ph.D. ("Sexton") has served as a member of the Board since April 2015. Sexton is a member of the Company's Global Strategy Committee. Defendant Sexton is the fifteenth President of NYU, serving in the role since 2001. Earlier in his career at NYU, he was the Dean and Benjamin Butler Professor of Law at NYU School of Law. In connection with Defendant Sexton's election to the Board, and pursuant to the Director Compensation Policy, Defendant Sexton will be granted a non-statutory stock option to purchase an aggregate of 20,650 shares of common stock of the Company, constituting his initial grant and 2015 annual meeting grant. These stock options will have an exercise price per share equal to the closing price of the Common stock on the NASDAQ on the date of grant. Going forward, the Director Compensation Policy provides for Defendant Sexton to be granted an option to purchase 12,000 shares of Common stock on the date of the first Board meeting held after the 2016 annual meeting of stockholders and each annual meeting held thereafter. The Director Compensation Policy also provides for Defendant Sexton to receive an annual fee of $35,000 for his service on the Board. Defendant Sexton is a citizen of New York.
16. Defendant John Howe, III ("Howe") has served as a member of the Board since June 2015. Howe is the Chairman of Company's Compensation Committee. He is also a
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member of the Audit Committee and the Global Strategy Committee. In connection with
Defendant Howe's election to the Board, and pursuant to the Amended and Restated Non-
Employee Director Compensation Policy (the "Director Compensation Policy"), on June 4, 2015,
Defendant Howe was granted a non-statutory stock option to purchase an aggregate of 20,650
shares of common stock of the Company, constituting his initial grant and 2015 annual meeting grant. These stock options will have an exercise price per share equal to $36.19, which was the
closing price of the common stock on the NASDAQ on the date of grant. In addition, the
Director Compensation Policy provides for Defendant Howe to be granted an option to purchase
12,000 shares of common stock on the date of the first Board meeting held after the 2016 annual meeting of stockholders and each annual meeting held thereafter. The Director Compensation
Policy also provides for Defendant Howe to receive an annual fee of $35,000 for his service on the Board. Defendant Howe is a citizen of Washington.
17.
Defendants Dipp, Aldrich, Capello, Kozin, Sexton, and Howe are hereinafter referred to as the “Defendants.”
THE COMPANY'S CODE OF BUSINESS CONDUCT CORPORATE GOVERNANCE GUIDELINES NOMINATING AND CORPORATE GOVERNANCE CHARTER GLOBAL STRATEGY COMMITTEE
18. As members of the Company's Board, Defendants were held to the highest standards of honesty and integrity and charged with overseeing the Company's business.
19. The Company's Code of Business Conduct entitled "Code of Conduct and Ethics" states in relevant part:
This Code of Business Conduct and Ethics (the "Code") sets forth
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legal and ethical standards of conduct for employees, officers and directors of OvaScience, Inc. (the "Company"). This Code is intended to deter wrongdoing and to promote the conduct of all Company business in accordance with high standards of integrity and in compliance with all applicable laws and regulations. Except as otherwise required by applicable local law, this Code applies to the Company and all of its subsidiaries and other business entities controlled by it worldwide.
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Compliance with Laws, Rules, and Regulations
The Company requires that all employees, officers and directors comply with all laws, rules and regulations applicable to the Company wherever it does business. You are expected to use good judgment and common sense in seeking to comply with all applicable laws, rules and regulations and to ask for advice when you are uncertain about them.
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Honest and Ethical Conduct and Fair Dealing
Employees, officers and directors should endeavor to deal honestly, ethically and fairly with the Company's suppliers, customers, competitors and employees. Statements regarding the Company's products and services must not be untrue, misleading, deceptive or fraudulent. You must not take unfair advantage of anyone through manipulation, concealment, abuse of privileged information, misrepresentation of material facts or any other unfair-dealing practice.
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Accuracy of Books and Records and Public Reports
Employees, officers and directors must honestly and accurately report all business transactions. You are responsible for the accuracy of your records and reports. Accurate information is essential to the Company's ability to meet legal and regulatory obligations.
All Company books, records and accounts shall be maintained in accordance with all applicable regulations and standards and accurately reflect the true nature of the transactions they record. The financial statements of the Company shall conform to generally accepted accounting rules and the Company's accounting policies. No undisclosed or unrecorded account or fund shall be established for any purpose. No false or misleading entries shall be made in the Company's books or records for any reason, and no disbursement of corporate funds or other corporate property shall be made without adequate supporting documentation.
It is the policy of the Company to provide full, fair, accurate, timely and understandable disclosure in reports and documents filed with, or submitted to, the Securities and Exchange Commission and in other public communications.
20. The Company's Corporate Governance Guidelines states in relevant part:
A. Director Responsibilities
1. Oversee Management of the Company. The principal responsibility of the directors is to oversee the management of the Company and, in so doing, serve the best interests of the Company and its stockholders. This responsibility includes:
* Reviewing and approving fundamental operating, financial and other corporate plans, strategies and objectives.
* Evaluating the Company's compensation programs on a regular basis and determining the compensation of its senior executives.
* Evaluating the performance of the Company and its senior executives and taking appropriate action, including removal, when warranted.
* Reviewing and approving senior executive succession plans.
* Establishing a corporate environment that promotes timely and effective disclosure (including robust and appropriate controls, procedures and incentives), fiscal
* Evaluating whether corporate resources are used only for appropriate business purposes.
accountability, high ethical standards and compliance with all applicable laws and regulations.
* Reviewing and approving material transactions and commitments not entered into in the ordinary course of business.
* Reviewing the Company's policies and practices with respect to risk assessment and risk management.
* Developing a corporate governance structure that allows and encourages the Board to fulfill its responsibilities.
* Evaluating the overall effectiveness of the Board and its committees.
* Providing advice and assistance to the Company's senior executives.
2. Exercise Business Judgment. In discharging their fiduciary duties, directors are expected to exercise their business judgment to act in what they reasonably believe to be the best interests of the Company and its stockholders.
3. Understand the Company and its Business. Directors have an obligation to become and remain informed about the Company and its business, including the following:
* The principal operational and financial objectives, strategies and plans of the Company.
* The results of operations and financial condition of the Company and of significant subsidiaries and business segments.
* The factors that determine the Company's success.
* The relative standing of the business segments within the Company and as compared to competitors, if applicable.
* The risks and problems that affect the Company's business and prospects.
4. Establish Effective Systems. Directors are responsible for determining that effective systems are in place for the periodic and timely reporting to the Board on important matters concerning the Company, including the following:
part:
21.
* Current business and financial performance, the degree of achievement of approved objectives and the need to address forward-planning issues.
* Financial statements, with appropriate segment or divisional breakdowns.
* Future business prospects and forecasts, including actions, facilities, personnel and financial resources required to achieve forecasted results.
* Compliance programs to assure the Company's compliance with law and corporate policies.
* Monitoring and, where appropriate, responding to communications from stockholders.
* Material litigation and governmental and regulatory matters.
Directors should also periodically review the integrity of the Company's internal control and management information systems.
The Company's Nominating and Corporate Governance Charter states in relevant
A. Purpose
The purpose of the Nominating and Corporate Governance Committee of the Board of Directors (the "Board") of OvaScience, Inc. (the "Company") is to:
* recommend to the Board the persons to be nominated for election as directors at any meeting of stockholders and the persons (if any) to be elected by the Board to fill any vacancies on the Board;
* recommend to the Board the directors to be appointed to each committee of the Board;
* develop and recommend to the Board corporate governance guidelines; and
* oversee the evaluation of the Board.
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C. Authority and Responsibilities
General
The Nominating and Corporate Governance Committee shall discharge its responsibilities, and shall assess the information provided to it by the Company's management and others, in accordance with its business judgment.
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Corporate Governance
5. Corporate Governance Guidelines. The Nominating and Corporate Governance Committee shall develop and recommend to the Board corporate governance guidelines applicable to the Company. The Committee shall, from time to time as it deems appropriate, review and reassess the adequacy of such corporate governance guidelines and recommend any proposed changes to the Board for approval.
6. Board Leadership Structure. As more fully provided for in the Company's Corporate Governance Guidelines, the Nominating and Corporate Governance Committee shall periodically review the Board's leadership structure to assess whether it is appropriate given the specific characteristics and circumstances of the Company.
Evaluation of the Board; Succession Planning
7. Evaluation of the Board. The Nominating and Corporate Governance Committee shall be responsible for overseeing an annual self-evaluation of the Board to determine whether it and its committees are functioning effectively. The Committee shall determine the nature of the evaluation, supervise the conduct of the evaluation and prepare an assessment of the Board's performance, to be discussed with the Board.
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22. The Company's Definitive Proxy Statement, filed on Form DEF 14A with the
Securities and Exchange Commission ("SEC") on April 26, 2017 (the "2017 Proxy"), generally describes the responsibilities of the Compensation Committee to include:
* annually reviewing and approving corporate goals and objectives relevant to our Chief Executive Officer's compensation;
* reviewing and approving, or making recommendations to our board with respect to, the compensation of our other executive officers;
* determining our Chief Executive Officer's compensation;
* overseeing an evaluation of our senior executives;
* overseeing and administering our equity incentive plans; and
* reviewing and making recommendations to our board with respect to director compensation.
23. The 2017 Proxy states that in March 2017, the Company established a Global Strategy Committee to support the Board in providing Board level global strategic guidance to the Executive Chair and executive management team. The Company's website does not mention this committee or provide a charter. The 2017 Proxy states that the Global Strategy Committee's responsibilities include:
* advising the Executive Chair and executive management team generally on global strategy, as well as on the development and implementation of the Company's strategic plan; and
* advising the Executive Chair and executive management team on strategies for approaching international markets, including guidance on cultural, regulatory and government affairs matters.
DUTIES OF DEFENDANTS
24. By reason of their positions as officers and/or directors of the Company, and because of their ability to control the business and corporate affairs of the Company, Defendants owed the Company and its investors the fiduciary obligations of trust, loyalty, and good faith. The obligations required Defendants to use their utmost abilities to control and manage the
Company in an honest and lawful manner. Defendants were and are required to act in furtherance of the best interests of the Company and its investors.
25. Each director of the Company owes to the Company and its investors the fiduciary duty to exercise loyalty, good faith, and diligence in the administration of the affairs of the Company and in the use and preservation of its property and assets. In addition, as officers and/or directors of a publicly held company, Defendants had a duty to promptly disseminate accurate and truthful information with regard to the Company's operations, finances, and financial condition, as well as present and future business prospects, so that the market price of the Company's stock would be based on truthful and accurate information.
26. To discharge their duties, the officers and directors of the Company were required to exercise reasonable and prudent supervision over the management, policies, practices, and controls of the affairs of the Company. By virtue of such duties, the officers and directors of the Company were required to, among other things:
(a) ensure that the Company complied with its legal obligations and requirements, including acting only within the scope of its legal authority and disseminating truthful and accurate statements to the SEC and the investing public;
(b) conduct the affairs of the Company in an efficient, businesslike manner so as to make it possible to provide the highest quality performance of its business, to avoid wasting the Company's assets, and to maximize the value of the Company's stock;
(c) properly and accurately guide investors and analysts as to the true financial condition of the Company at any given time, including making accurate statements about the Company's business prospects, and ensuring that the Company maintained an adequate system of financial controls such that the Company's financial reporting would be true and accurate at all times;
(d) remain informed as to how the Company conducted its operations, and, upon receipt of notice or information of imprudent or unsound conditions or practices, make reasonable inquiries in connection therewith, take steps to correct such conditions or practices, and make such disclosures as necessary to comply with federal and state securities laws;
(e) ensure that the Company was operated in a diligent, honest, and prudent manner in compliance with all applicable federal, state and local laws, and rules and regulations; and
(f) ensure that all decisions were the product of independent business judgment and not the result of outside influences or entrenchment motives.
27. Each defendant, by virtue of his position as a director and/or officer, owed to the Company and to its shareholders the fiduciary duties of loyalty, good faith, and the exercise of due care and diligence in the management and administration of the affairs of the Company, as well as in the use and preservation of its property and assets. The conduct of Defendants complained of herein involves a knowing and culpable violation of their obligations as directors and officers of the Company, the absence of good faith on their part, and a reckless disregard for their duties to the Company and its shareholders that Defendants were aware, or should have been aware, posed a risk of serious injury to the Company.
SUBSTANTIVE ALLEGATIONS
Background
28. OvaScience was founded in 2011 by Defendants Dipp and Aldrich and nonparties Jonathan Tilly ("Tilly") and Christoph Westphal ("Westphal"). Dipp, Aldrich and Westphal are all partners at Longwood Fund, LP. Longwood Fund GP, LLC, an affiliate of Longwood Fund, LP, at relevant times was an approximately 7% holder of OvaScience.
29. Defendant OvaScience is a life science company that engages in the discovery, development, and commercialization of new treatments for infertility. The Company is attempting to develop various fertility treatment options purported to enhance egg health and revolutionize in vitro fertilization ("IVF"). The Company's Autologous Germline Mitochondrial Energy Transfer ("AUGMENT") treatment, designed to improve the energy and health of the woman's eggs by using mitochondria from a woman's egg precursor cells ("EggPCs"), is available in certain IVF clinics in select international regions.
30. OvaScience claims it discovered a therapy which increases the "health" of female eggs using in vitro fertilization ("IVF") by extracting mitochondria (a substance in egg cells which is generally viewed as the energy source of the egg) from egg precursor cells and injecting them into mature eggs for better results in the IVF process.
31. OvaScience did not discover the scientific fact that egg precursor cells exist. The Company did not originate the idea of transferring mitochondria from one egg to another (IVF specialists used mitochondria from donor eggs). OvaScience's original idea was to utilize mitochondria from a patient's own precursor eggs during the IVF process.
32. OvaScience's new idea – extracting mitochondria from egg precursor and injecting it into mature eggs – lacks scientific validation. It is difficult to scientifically prove that OvaScience's therapy increases live birth rates; based on the nature of the therapy there can never be a control group.
33. Additionally, the size of the AUGMENT study groups are so small as to be statistically meaningless. The Company did not attempt to conduct scientifically meaningful trials of its product as evidenced by a statement of Defendant Dipp to Science Magazine: "The fertility [industry] just doesn't do trials."
34. On September 10, 2013, the Company issued a press release to provide an update on AUGMENT, which stated that OvaScience suspended enrollment in AUGMENT in the U.S. while moving forward with its plans for enrollment outside of the U.S. This decision came after it received an "untitled" letter from the U.S. Food and Drug Administration ("FDA") questioning the status of AUGMENT and advising the Company to file an Investigational New Drug ("IND") application. At that time, the Company stated "OvaScience anticipates having further discussions with the FDA to present details on AUGMENT and its qualifications . . . to determine the appropriate path forward." Upon information and belief, Plaintiffs allege that instead of continuing to develop AUGMENT to meet FDA standards, the Company took its IVF studies outside of the U.S. and never engaged in further discussions with the FDA.
35. On November 10, 2014, the Company filed a Form S-3 registration statement with the SEC for the registration of up to $150,000,000 of any combination of the Company's securities, including common stock, preferred stock, debt securities, warrants, rights, purchase contracts and units (the "Registration Statement"). The SEC declared the Registration Statement effective on November 21, 2014.
36. On December 17, 2014, the Company issued a press release, announcing "AUGMENT Treatment Available in Four International Regions." The press release further stated in relevant part:
The AUGMENT fertility treatment is available in select in vitro fertilization (IVF) clinics in Canada, the United Kingdom (UK), the United Arab Emirates (UAE) and Turkey.
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OvaScience exceeded its AUGMENT patient treatment goal with more than 150 patients now receiving the treatment. The Company has started transitioning some of the IVF clinics to commercial centers.
37. In connection with the Registration Statement, on January 6, 2015, the Company filed a preliminary prospectus for the sale of its common stock and a final prospectus on January 8, 2015 (the "Prospectus," together with the Registration Statement, the "Offering Materials"), in which the Company offered 2,300,000 shares of its common stock at a public offering price of $50.00 per share (the "Offering").
38. Prior to the Company's January 8, 2015 Secondary Offering (the "Offering"), the Company aired the alleged science behind the AUGMENT procedure which involved the transfer of mitochondria from EggPCs to the same woman's egg in a traditional IVF process. This process and the existence of EggPCs was the creation of one of OvaScience' s founders and was greatly hyped by the Company as being able to improve egg quality and enhance IVF. The process served as the backbone of AUGMENT.
39. In reality, though, that science had not fully been tested -- and had not ever been tested on humans, so it was actually unknown whether it was effective or even safe. The FDA had already pointed this out to Defendants, saying that the process was "not well supported" while a number of scientists and academics had been highly critical of the mitochondrial transfer process. Indeed, the Company itself, in the patient application for AUGMENT, acknowledged that a similar process (mitochondria from donor eggs) had resulted in genetic mutations in offspring.
40. Not only were investors misled about the science behind AUGMENT, they were also led to believe that it would increase IVF success rates. This was done in Company filings and in a pre-Offering, December 17, 2014 "investor day" where Defendants touted the success rates of IVF with AUGMENT. After the Offering, the Company continued this false optimism when, in March 2015, it announced results from two international studies (in Turkey and in Canada) of AUGMENT and suggested they had found a 53% and a 25% success rate in IVF with AUGMENT. In fact, when the actual number of women tested in each clinic (26 in Canada and 8 in Turkey) was compared to the number of ongoing pregnancies (7 in Canada and one in Turkey), the "success rate" was actually below that for IVF. Additionally, the studies undertaken by OvaScience were actually entirely incapable of producing accurate success rates because they were faultily designed with too few subjects, no control arm, younger patients, and patients who underwent limited prior IVF procedures.
41. Defendants also went to great lengths to explain away or even congratulate their "decision" to launch AUGMENT outside of the United States when, in reality, this choice was based solely on an attempt to avoid the costly regulatory procedures in the United States being imposed by the FDA. The FDA had long informed Defendants that AUGMENT could not be excepted from the regulatory procedures and, rather than comply, Defendants engaged in "regulatory arbitrage" by launching studies abroad. Despite their statements to the contrary, the very nature of AUGMENT dictates it is subject to FDA approval, as clearly evidenced by the lengthy paper trail between the FDA and OvaScience.
42. In connection with the Offering, the Company sold an aggregate of 2,645,000 shares of common stock at $50.00 per share, which included 345,000 shares that represented the full exercise of an option to purchase additional shares granted to the underwriters of the Offering.
43. The Offering resulted in $124.1 million on net proceeds, after deducting underwriting discounts and commissions and other offering expenses.
OVASCIENCE AND THE AUGMENT FERTILITY TREATMENT
44. OvaScience is a life science company working on the development and commercialization of new fertility treatments. The Company bases its procedures on "egg precursor cells" or "EggPCs" which are found in the lining of the ovaries. At the outset of the Relevant Period, the Company had three fertility treatments concerning EggPCs in development: AUGMENT, which aims to improve egg quality and increase the success of IVF; OvaPrime, designed to boost a woman's egg reserve using her own EggPCs; and OvaTure, which seeks to create mature fertilizable eggs from a woman's own EggPCs without the need for hormone injections.
45. As background, it is generally accepted that female mammals (including humans) are born with a fixed amount or supply of eggs. As those eggs age, they lose energy. Energy is stored in mitochondria, so the loss of energy relates to the decline in mitochondrial function. One often used analogy is to that of a flashlight: If an egg is seen as a flashlight and it has been sitting on the shelf for 38 years, it may still function, but will require new batteries (or mitochondria).
46.
47. One of OvaScience's founders, Jonathan Tilly, Ph.D. ("Tilly"), was involved in the discovery of EggPCs and began to study whether the mitochondria from those EggPCs in the lining of the ovaries could be injected into eggs, thereby using the same woman's mitochondria and eggs. This is the basis of the AUGMENT treatment whereby mitochondria are co-injected with the sperm during an IVF procedure.
48. The AUGMENT process works as follows: a woman undergoes a surgical procedure to remove a small piece of her ovary from which the mitochondria from Egg PCs are extracted. Then, in another procedure, mature eggs are removed from the same woman's ovaries and are injected with the previously withdrawn EggPC mitochondria as well as with sperm. The resulting embryo is then transferred back to the womb.
49. Therefore, the procedure is a traditional IVF process with the addition of the first extraction surgery and the injection of the mitochondria with the sperm.
50. The IVF market has grown dramatically over the past twenty years and is highly lucrative. In 2012, IVF market revenue was approximately $9.3 billion, and that number is expected to grow up to $21.6 billion by 2020. World In Vitro Fertilization Market to Reach $21.6 Billion by 2020, ALLIED MARKET RESEARCH (Jan. 2014),https://www.alliedmarketresearch.com/press-release/global-in-vitro fertilization-marketto-each-216-billion-by-2020.html. Another analyst has projected that by 2022, the global IVF market will reach $27 billion. JVF Market Size Projected to Reach USD 27 Billion by 2022: Grand View Research, PR NEWSWIRE (May 3, 2016), http://www.pmewswire.com/newsreleases/ivf-market-size-projected-to-reach-usd-27-billion-by-2022-grand-view-research-inc577926061.html.
51. As women opt to have children later and later in life, and as infertility rates continue to rise, the IVF market is only expected to continue to rapidly grow in the future. Due to the personal and time-sensitive nature of the market, it can be described as frantic or reactive.
52. Recognizing the lucrative market and the frantic needs of patients, the Company quickly began attempting to commercialize AUGMENT. It began by launching trials in the United States. In late 2012, OvaScience initiated a study of AUGMENT in the United States. In the Company's February 25, 2013 annual report filed on Form 10-K with the SEC, OvaScience stated that it had "initiated commercial preparations for AUGMENT and, assuming the final results of the AUGMENT Study are positive, plan to begin generating revenues from AUGMENT in the second half of 2014. […] We do not believe we will be required to seek premarket approval or clearance of AUGMENT from regulatory authorities in the United States .
. . ."
OVASCIENCE OFFERS SHARES
53. On November 10, 2014, OvaScience filed a Registration Statement on Form S-3 with the SEC for a proposed offering of shares of its common stock. On November 21, 2014, the Registration Statement was declared effective with the SEC.
54. On January 6, 2015, OvaScience filed a Preliminary Prospectus Supplement on Form 424B5 with the SEC, which preliminarily announced an $85 million Offering, but which did not set the Offering price.
55. On January 8, 2015, the Company issued SEC Form 424B5, a Prospectus Supplement that announced the pricing of its Offering of 2,300,000 shares of common stock at an Offering price of $50.00 per share, for a total of $115 million. Underwriter Defendants J.P Morgan and Credit Suisse acted as joint book-runners and Leerink Partners LLC ("Leerink") acted as a co-manager for the Offering.
56. In the Prospectus Supplement dated January 8, 2015, OvaScience incorporated, by reference, the following documents, as part of its Offering materials: (1) the annual report on Form 10-K for the year ended December 31, 2013, filed on February 27, 2014; (2) portions of the Definitive Proxy Statement on Schedule 14A, filed on April 30, 2014; (3) quarterly reports on Form 10-Q, filed on May 8, 2014, August 7, 2014, and November 10, 2014; (4) current reports on Form 8-K, filed on January 9, 2014, January 13, 2014, January 13, 2014, February 7, 2014, March 6, 2014, March 18, 2014, June 19, 2014, September 18, 2014, December 11, 2014, December 17, 2014, December 24, 2014, and January 6, 2015; and (5) the description of the Company's common stock contained in the Registration Statement on Form 8-A, filed on April
25, 2013. These materials, along with the Registration Statement, Preliminary Prospectus Supplement, and Prospectus Supplement, are collectively referred to herein as the "Offering Materials."
57. On January 13, 2015, the Company announced the closing of the Offering, including the exercise in full by the underwriters of their option to purchase an additional 345,000 shares of common stock at the public offering price of $50.00 per share. The exercise of the underwriters' option brought the total number of shares of common stock sold by OvaScience to 2,645,000 shares and increased the total gross proceeds raised in the Offering to $132.3 million, before deducting the underwriting discounts, commissions, and estimated expenses.
58. Although it is difficult to discern, Longwood (comprised of Defendants Dipp and Aldrich, as well as a third co-founder of OvaScience) profited handsomely surrounding the Offering -- reducing their overall holdings drastically.
59. The money raised in the Offering was allegedly to be used to fund: (1) the expanded international commercial launch of the AUGMENT treatment; (2) the anticipated 2015 launch of the OvaPrime treatment in select international IVF clinics outside of the United States; (3) the optimization of the OvaTure treatment and pursuit of a potentially accelerated development pathway; (4) the establishment of an international headquarters in the United Kingdom and additional international subsidiaries; and (5) working capital, capital expenditures, general research and development, and other general corporate purposes.
60. Before the Offering, the Company did not have any revenue. It did not announce
Case 1:17-cv-11382-IT Document 47 Filed 04/30/18 Page 27 of 85
any revenue until August 10, 2015, reporting for the second quarter of 2015, in which
OvaScience recognized $30,000 in revenue. As one analyst would note, "this is not a typo."
Meanwhile, net losses have steadily risen from $17.2 million from the first quarter of 2015 to $21.8 million for the first quarter of 2016. Many of these net losses were, according to the
Company, attributable to "non-cash based stock compensation," as well as the accounting for
"Founders' stock."
MATERIAL MISSTATEMENTS AND OMISSIONS DURING THE RELEVANT PERIOD
61. The Relevant Period begins on January 8, 2015, when the Company issued the
Prospectus in connection with the Offering, which incorporated the Registration Statement. The
Offering Materials contained false and misleading statements and/or omitted material information concerning the true results for the women who participated in the AUGMENT
fertility treatment, including that the Company's AUGMENT procedure did not achieve a significant success rate of clinical pregnancies compared to previous rates achieved without the
Company's AUGMENT procedure.
62. In particular, the Offering Materials emphasized that the Company's AUGMENT
treatment had been launched in select international clinics as early as 2014, and stated, in pertinent part:
The AUGMENT treatment
In 2014, we launched the AUGMENT treatment in select international IVF clinics through AUGMENT Centers of
Excellence, or ACE clinics, in Canada, the United Kingdom,
Turkey and the United Arab Emirates.
27
63. The Offering Materials were signed by Defendant Dipp and Jeffrey E. Young ("Young") (the Chief Financial Officer ("CFO")) of the Company from September 2014 until September 6, 2016).
64. On March 16, 2015, the Company filed its Annual Report on Form 10-K with the SEC for the fiscal year ended December 31, 2014 (the "2014 10-K"). Under the section entitled "Management's Discussion and Analysis of Financial Condition and Results of Operations," the 2014 10-K stated in pertinent part:
The AUGMENT treatment is not available in the United States. This treatment is specifically designed to improve egg health by supplementing a mitochondrial deficiency which may in turn offer the potential for enhanced IVF. With the AUGMENT treatment, energy-producing mitochondria from a patient's own EggPC cells are added to the patient's mature eggs during the IVF process to supplement the existing mitochondria. We expect 1,000 AUGMENT treatment cycles will be in process by the end of 2015. [Emphasis added].
65. The 2014 10-K was signed by Defendant Dipp and non-party Young and contained signed certifications pursuant to the Sarbanes-Oxley Act of 2002 ("SOX") by Defendant Dipp and non-party Young. The SOX certifications state the following:
I have reviewed this Annual Report on Form 10-K of OvaScience, Inc.;
Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;
The registrant's other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the registrant and have:
(a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
(b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
(c) Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
(d) Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter (the registrant's fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to material affect, the registrant's internal control over financial reporting; and
The registrant's other certifying officer and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions):
(a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize and report financial information; and
(b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.
66. Also, on March 16, 2015, the Company issued a press release and corresponding current report on Form 8-K with the SEC announcing its fourth quarter and year end 2014 financial results. In the press release, the Company stated, "[i]n 2015, OvaScience plans to have 1,000 AUGMENT treatment cycles in process." (Emphasis added).
67. Throughout the Relevant Period, Defendants issued false and misleading statements and failed to disclose material adverse facts about the Company's business, operations and prospects. In particular, Defendants caused the Company to issue false and misleading statements and/or failed to disclose, among other things, that: (a) the science behind AUGMENT had not been scientifically validated; (b) the Company was unable to achieve the purported success rates it claimed; (c) the reasons why the Company moved its studies outside of the United States (due to failure to achieve FDA approval); and (d) that at all relevant times, the Company's profitability and prospects was false and misleading.
68. As such, throughout the Relevant Period, Defendants failed to disclose that the approximately 150 patients that had received OvaScience's AUGMENT procedure in 2014 did not achieve a pregnancy success rate that was significantly higher than the rate achieved without the Company's AUGMENT procedure. As a result of the false and misleading statements issued by defendants, the price of the Company's shares was artificially inflated throughout the Relevant Period.
FALSE AND MISLEADING STATEMENTS CONCERNING THE SCIENCE BEHIND AUGMENT
69. The Offering Materials repeatedly emphasize the technology and scientific procedure behind AUGMENT and tout the revolutionary discovery of EggPCs and mitochondrial transfer.
70. For example, in the 2013 annual report filed on Form 10-K with the SEC (fully incorporated in the Registration Statement), the Company stated:
Our patented technology is based on egg precursor cells ("EggPCSM"), which are found in the outer layer of a woman's own ovaries. The recent discovery of EggPCs countered a long-held belief that women are born with a set number of eggs, thereby enabling new possibilities in the treatment of female infertility.
* * *
By applying our EggPC technology platform in unique ways, we are developing new fertility treatment options that are designed to improve egg quality and in vitro fertilization ("IVF"). [Emphasis added.]
71. These statements are likewise found in the November 10, 2014 Registration Statement, the January 6, 2015 Preliminary Prospectus Supplement, and the January 8, 2015 Prospectus Supplement, and in the Company's quarterly reports for 2014, filed on Form 10-Q with the SEC on May 8, 2014, August 7, 2014, and November 10, 2014.
72. Meanwhile, many of the 2014 8-Ks (incorporated in the Registration Statement) contain the following similar statement:
The Company's patented technology is based on the discovery of egg precursor cells (EggPCSM), which are found in the ovaries. By applying proprietary technology to identify and purify EggPCs, OvaScience is developing potential next generation in vitro fertilization (IVF) technologies. [Emphasis added.]
73. The November 10, 2014 Registration Statement, the January 6, 2015 Preliminary Prospectus Supplement, and the January 8, 2015 Prospectus Supplement all also state:
By applying our EggPC technology platform in unique ways, we are developing and commercializing new fertility treatment options that are designed to improve egg health and in vitro fertilization, or IVF.
74. The above statements concerning the technology, platform, and science behind AUGMENT were materially untrue and misleading and omitted material information because the Company failed to disclose that the EggPC mitochondria transfer was not sufficiently proven or tested to be able to support its use in fertility treatments such as AUGMENT.
75. The Center for Human Reproduction ("CHR") wrote an article in 2015 (after the Offering) reminding that the mitochondrial transfer behind AUGMENT "remained unproven in humans" and was solely based on animal experiments. AUGMENTSM, a new experimental treatment for "older" eggs?, CENTER FOR HUMAN REPRODUCTION (July 2015), https://www.centerforhumanreprod.com/fertility/chr-voice-july-20l5/. (the "CHR article").
76. The same article notes: "[a]s of this point, it is important to understand that AUGMENT is only a hypothesis, with no evidence to support that (i) improving mitochondrial content in older eggs really improves pregnancy chances; and (ii) that ovarian precursor cells used in the procedure really exist and/or contain appropriate mitochondria when 'ground up' and used in the procedure."
77. The April 2015 CHR article likewise highlighted the debate on whether the EggPC mitochondrial transfer theory was even viable and cited to failed studies in mice. It quoted one scientist as doubting the process behind AUGMENT and noting that "if there isn't proof of replicability for a claimed discovery or process, then the scientist has an obligation to note that, even though feelings are hurt." Another quoted scientist stated that there was "very little support" for the "science" behind the AUGMENT procedure.
78. Similarly, a March 2015 article in Science Magazine, entitled "Controversial fertility treatments focus on eggs' power plants," quoted a reproductive biologist as being "highly troubled" that OvaScience had "made the leap to human pregnancies" without animal studies and that no proper tests had been done to test "whether this approach can improve fertility-let alone whether it is safe for offspring . . . ."
79. Therefore, in stating that the EggPC mitochondria transfer procedure behind AUGMENT enabled new possibilities and developments in the fertility market, Defendants failed to disclose that the process was questionable, challenged, unproven, and potentially dangerous.
FALSE AND MISLEADING STATEMENTS CONCERNING SUCCESS RATES
80. The Offering Materials discuss the concept that use of AUGMENT can increase birth rates and decrease the number of IVF cycles required.
81. For example, the 2013 10-K clearly states: "We believe our EggPC technology could improve IVF by: Increasing live birth rates and reducing the number of IVF cycles. By improving egg quality, we believe we may be able to increase the percentage of IVC treatments which result in live births . . . ." This statement likewise appears in the Company's 10-Qs for 2014, filed on May 8, 2014, August 7, 2014, and November 10, 2014, in the November 10, 2014
Registration Statement, the January 6, 2015 Preliminary Prospectus Supplement, and the January 8, 2015 Prospectus Supplement.
82. The 2013 Form 10-K likewise states that "[a]s part of AUGMENT, a woman's eggs may be rejuvenated by injecting mitochondria prepared from her own EggPCs into her egg during IVF. This has the potential to improve egg quality and thereby increase the success of IVF." This statement also appears in the May 8, 2014 10-Q and a nearly identical one appears in the August 7, 2014 10-Q.
83. The November 10, 2014 10-Q, the the January 6, 2015 Preliminary Prospectus Supplement, and the January 8, 2015 Prospectus Supplement all state that AUGMENT "has the potential to improve egg health. Improved egg health may offer the potential for better IVF success rates."
84. The above statements concerning better success rates for IVF procedures using AUGMENT, rather than traditional IVF alone, were materially untrue and misleading and omitted material information because AUGMENT actually did not produce increased success rates for IVF and, in fact, the studies being undertaken by OvaScience to determine such a success rate were not even structured to be able to calculate that rate.
85. On a March 27, 2015 conference call to discuss the results of two studies of AUGMENT (in Canada and Turkey), the Company stated that, at the Canadian clinic, there had been 26 patients who underwent the AUGMENT procedure. Of those twenty-six, seventeen had embryo transfers and eleven became pregnant with nine ongoing pregnancies. In Turkey, there were eight patients and all eight had embryo transfers. Two of those patients became pregnant
(25% success rate), but only one was an ongoing pregnancy (12.5%). The Company touted the Canadian results as a 53% success rate (9/17), but as a March 27, 2015 Leerink report pointed out "different denominators suggest less robust benefit." For example, in a March 30, 2015 report, it was pointed out that including all IVF cycles as the denominator would result in 9/26 or a 35% success rate. Indeed, the Society for Reproductive Technology, which represents the majority of IVF clinics in the US, reports IVF pregnancy rates as a percentage of IVF cycles and not embryo transfers.
86. Therefore, using the proper (and recognized) equation, the results reported revealed at best a 35% and a 25% success rate (30% average) with use of AUGMENT. In fact, as pointed out in an article, only seven of the twenty-six women who got the AUGMENT treatment in Canada were able to maintain a pregnancy, for a 27% success rate. When combined with the one out of eight women who had an ongoing pregnancy using AUGMENT in Turkey (12.5% success rate), that makes an average success rate of under 20%.
87. While the success rate for traditional IVF varies, it is typically estimated to be around 30%. 2013 Assisted Reproductive Technology, National Summary Report, NATIONAL CENTER FOR CHRONIC DISEASE PREVENTION AND HEALTH PROMOTION, DIVISIONAL REPRODUCTIVE HEALTH, CENTER FOR DISEASE CONTROL (Oct. 2015), www.cdc.gov/art/pdf/20l3-report/art_2013_national_summary_report.pdf at 7 (54,323 live birth deliveries divided by 190,773 total cycles = 28.5%).
88. Thus, the "success rate" of AUGMENT (20-30%) was not better than, but equal to or less than the success rate for traditional IVF. While the Company stated that AUGMENT would help older women who had tried traditional IVF treatments prior, the median age for the Canadian study was actually only 33 with an average of only two previous IVF treatment failures.
89. As the 2015 above-referenced CHR article later pointed out, the average age (33) and the average number of previously failed IVF attempts (two) were very low and that, for both, CHR used higher numbers. CHR chided OvaScience for this manipulation, noting that: "If AUGMENT is meant as a treatment for 'older' ovaries, and women with truly poor prognosis, then the study of AUGMENT should, of course, primarily be conducted in older women with really poor prognosis, as evidenced by repeated failed IVF cycles and age in the 40s" See CHR article, supra. It therefore called the results reported from AUGMENT "anything but" excellent.
90. An article published in "Science," dated April 3, 2015, echoed this conclusion, citing a fertility specialist at the Weill Cornell Medical College in New York City as stating the results were "not that impressive," as he had a number of patients who had failed two IVF cycles prior to treatment by him who then got pregnant. See Jennifer Couzin-Frenkel, "Eggs' power plants energize new IVF debate", Science Magazine, April 3, 2015.
91. In fact, the very design of the studies the Company was undertaking made it impossible to demonstrate any such publicized "success rates." The study was extremely small (34 women total) and lacked a control group of those who would not receive the mitochondria, thereby running afoul of industry norms. For example, the following chart outlines clinical studies of IVF populations in recent years and clearly shows the appropriate sample size and use of a control group:
| 5-19-14 | The effect of transcutaneous electrical acupoint stimulation on pregnancy rates in women undergoing in vitro fertilization: a study protocol for randomized controlled trial. | A multicenter, randomized controlled trial to explore the effect of transcutaneous electrical acupoint stimulation (TEAS) on the clinical pregnancy rate (CPR) and live birth rate (LBR) compared with real acupuncture and controls in women undergoing IVF. Involved women who had two or more previous unsuccessful ETs. | 2,220 |
|---|---|---|---|
| 12-3-09 | A multi-centre randomized controlled study of pre-IVF outpatient hysteroscopy in women with recurrent IVF implantation failure. | A multi-centre randomized controlled trial to test the hypothesis that performing an outpatient hysteroscopy (OH) prior to starting an IVF cycle improves the live birth rate of subsequent IVF cycle in women who have experienced two to four failed IVF cycles. | 758 |
| 3-21-14 | The impact of Maternal Body Mass in Index on In Vitro Fertilization Outcomes. | Goals of study to examine the effect of body mass index on gonadotropin does requirements for ovarian stimulation, as well as other clinical outcomes in women undergoing IVF. | 752 |
92. In fact, one 2009 study, entitled "Neurological Condition of Infants Born After In Vitro Fertilization With Preimplantation Genetic Screeing (PGS)," looked at a study of children born to women randomly assigned to IVF with or without PGS. The study size was 46 women (12 more than the OvaScience studies) and included a control group, but still concluded that the study was unable to reach a definitive conclusion due to the small sample size. Karin J. Middelburg, et. al., "Neurological Condition of Infants Born After In VitroFertilization With Preimplantation Genetic Screening," PEDIATRIC RESEARCH (2010) 67, 430-434, available at http://www.nature.com/pr/joumal/v67/n4/full/pr20l 078a.html (accessed June 17, 2016).
93. Without the absolutely basic metrics of an appropriate sample size and a control group, OvaScience could not possibly calculate the success rate of AUGMENT versus traditional IVF. As concluded by the CHR in its July 2015 article:
The sad news from all so far published data on AUGMENT SM , therefore, is that these data offer no information whatsoever about what outcomes patients can expect from the procedure. The even sadder news, however, is that, even with accumulation of many more patients, the way this study is conducted, there is simply no way to determine the potential value of AUGMET SM . Pronouncements of "improved pregnancy rates in women with very poor prognoses" by the company, therefore, at least as of this point have to be considered as groundless and misleading.
See CHR Article, supra (Emphasis added).
94. The fallacy of the 2014 studies and their inability to show any sort of "success rates" has tacitly been admitted to by OvaScience. On February 25, 2016, the Company announced its year-end 2015 results and announced that it would be working with one of the largest IVF clinics to enroll patients in a "controlled, double-blind, prospective and randomized egg allocation study of the AUGMENT treatment" and that this study was "designed to evaluate the success rates of standard IVF and the AUGMENT treatment."
95. Therefore, the statements in the Offering Materials regarding AUGMENT's success rates were misleading and the Offering Materials omitted material information regarding these purported success rates.
FALSE AND MISLEADING STATEMENTS REGARDING INTERNATIONAL OPERATIONS
96. The Offering Materials emphasized that the Company's AUGMENT treatment had been launched in select international clinics as early as 2014 and trumpeted the international component of AUGMENT, including that "we have always had a strategy to make our fertility treatments available to patients worldwide." See, e.g., February 27, 2014 10- K; May 8, 2014 10-Q; August 7, 2014 10-Q; November 10, 2014 10-Q; January 6, 2015 Preliminary Prospectus Supplement. And further, "[t]he AUGMENT treatment is not available in the United States." See, e.g., November 10, 2014 10-Q; December 17, 2014 8-K.
97. Only after discussing the alleged benefits to international development do the Offering Materials discuss the fact that the FDA had required further regulatory processes in order for AUGMENT to be offered in the United States, concluding that "[w]e anticipate having further discussions in 2014 with the FDA to present details on AUGMENT and to determine the appropriate path forward." See February 27, 2014 Form 10-K at 2.
98. Furthermore, in the "risk" disclosures in the 2014 10-K, the Company writes that "[w]e believe that AUGMENT meets the regulatory definition of a 361 HCT/P. AUGMENT involves mere isolation of mitochondria from egg precursor cells, and injection of those mitochondria into the same woman's egg, which we believe constitutes minimal manipulation of both the mitochondria and the egg." (Emphasis added). The same Form 10-K also provides: "[w]e continue to believe that AUGMENT qualifies as a 361 HCT/P."
99. The above statements were materially untrue and misleading and omitted material information because the Company failed to disclose that the reason AUGMENT was being used abroad was because the Company sought to avoid the steps and costs of an IND application to the FDA and there was simply no basis to believe that AUGMENT qualified as a 361 HCT/P. Indeed, the choice to make AUGMENT commercially available outside of the United States was referred to by H.C. Wainwright & Co. in a March 18, 2015 report as "a clever display of regulatory arbitrage . . . ."
100. The Company was informed that it was required to submit an IND application to the FDA in order to use AUGMENT in the United States. It chose, rather, to avoid this process and set up AUGMENT centers outside of the country as the IND process is costly and time consuming. The IND stage alone can take anywhere from six to eleven years and could cost tens or even hundreds of millions of dollars. See, e.g., The Drug Development and Approval Process, FDAREVIEW.ORG, http://www.fdareview.org/03_drug_development.php (last visited June 17, 2016); see also Investigational New Drug (IND), INVESTOPEDIA, http://www.investopedia.com/terms/i/investigational-new-drug-ind.asp (last visited June 17, 2016). Rather than inform investors of these evasive tactics, Defendants touted the alleged benefits of international centers.
101. Furthermore, there was no basis for the statements that AUGMENT qualified as a 361 HCT/P. Section 361 of the Public Health Service Act allows some human cellular and tissue based products to be tested and marketed without FDA licensure. These are often referred to as "361 HCT/Ps." However, there is a list of criteria to classify as a 361 HCT/P, the main one being that the procedure or product involves "minimal manipulation."
102. Since 2001, products involving transfers of genetic materials, like AUGMENT,
have been subject to FDA regulation. That year, the FDA sent a letter to those companies performing mitochondria transfer procedures and stated that "[t]he use of such genetically manipulated cells (and/or their derivatives) in humans constitutes a clinical investigation and requires submission of an Investigational New Drug application (IND) to FDA." Kathryn C. Zoon, "Letter to Sponsors/Researchers - Human Cells Used in Therapy Involving the Transfer of Genetic Material By Means Other Than the Union of Gamete Nuclei", FDA.GOV (July 6, 2001), http://www.fda.gov/BiologicsBloodVaccines/SafetyAvailability/ucml05852.htm (last visited June 17, 2016). "[M]itochondrial genetic material" was explicitly included as an example of the genetic cells covered. In fact, no human trials of any such products have been allowed without submission of an IND.
103. In 2013, the FDA raised the same concerns about AUGMENT directly to OvaScience stating that it did not meet the criteria for regulation as a 361 HCT/P. On April 9, 2013, the FDA sent OvaScience a letter confirming that "the removal of mitochondria and introduction in other reproductive tissue appears to be more than minimal manipulation," thereby failing to meet the first requirement for classification as a 361 HCT/P. The letter further dictated that AUGMENT "may raise additional regulatory concerns" and that OvaScience should contact the FDA "[f]or more information about applicable regulations or to schedule a pre-IND meeting."
104. The FDA sent Defendants yet another letter on September 6, 2013, citing violations and recommending corrections. That letter was clear that "[t]he removal of mitochondria and the subsequent introduction of these organelles into other reproductive tissues appear to be more than minimal manipulation" and therefore "does not meet all the criteria in 21 CFR 1271.10 for regulation solely under section 361 of the Public Health Service Act." It concluded by stating "it appears you are treating subjects under your clinical study protocol, even though you have not submitted an IND. We are taking this opportunity to advise you that an IND is required for this study." (Emphasis added).
105. Therefore, at the time of the Offering, no doubt was left that AUGMENT, by its very nature (the transfer of genetic material), did not qualify as a 361 HCT/P.
PROFITABILITY STATEMENTS
106. The Offering Materials led investors to believe that the Company would be profitable imminently. For example, the January 6, 2015 Preliminary Prospectus Supplement, January 8, 2015 Form 8-K press release, and January 8, 2015 Prospectus Supplement all state that "[i]n 2015, we expect at least 1,000 additional patients to be receiving the AUGMENT treatment."
107. On May 8, 2014, the Company announced their first quarter of 2014 results and stated that they were confident they could "generate initial revenue by year end." See May 8, 2014 press release on Form 8-K.
108. Similarly, in the Form 10-Q for the third quarter of 2014 (filed November 10, 2014), the Company averred:
We expect to transition these ACE clinics to commercial centers by the end of 2014, generating initial revenue, and to expand the treatment's availability in additional IVF clinics in select international regions in 2015. [Emphasis added].
109. Following these statements in the Offering Materials, Defendants consistently
allowed the Company to repeat its representations about enrolling 1,000 AUGMENT patients and that "significant AUGMENT revenue" would be recognized in 2015.
110. Indeed, a March 18, 2015 Oppenheimer analyst report stated that "[w]e confirmed with management that guidance remains on track and the company is confident in meeting the goal [of 1,000 Augment cycles in 2015]."
111. The above statements concerning revenue and profitability were materially untrue and misleading and omitted material information because OvaScience was nowhere near recognizing revenue, but was continually recording net losses due, in large part, to insider payments. Furthermore, the faulty process behind AUGMENT and the dubious trials being conducted that did not result in any heightened success rate ensured that 1,000 patients would not be enrolled to try AUGMENT in 2015.
112. In repeated quarterly and year end filings made by Defendants after the Offering, the Company recorded increased and large net losses, due often, in part, to "stock-based compensation" and accounting for "Founders' stock." See, e.g., March 16, 2015 Form 8-K (net losses of $18.9 million in fourth quarter of 2014 that included "non-cash stock-based compensation expense of $6.4 million due in large part to accounting of certain Founders' stock"); August 10, 2015 Form 8-K (net losses of $17.5 million that included "non-cash stockbased compensation expense of $4.4 million"). Such expenses and accounting made it difficult to avoid net losses and to recognize revenue. Not surprisingly, therefore, on September 28, 2015, the Company announced it would miss this 1,000 cycle goal and ultimately only recorded any revenue from 14 patients in the fourth quarter o/2015. See September 29, 2015 Form 8-K;
February 25, 2016 Form 8-K.
113. The history of the Company reveals a propensity towards awarding insiders at the expense of investors. Defendants Dipp and Aldrich, along with non-party Christoph Westphal, OvaScience's other co-founder, are partners of Longwood, a venture capital firm that acquired its interest in OvaScience through a series of initial investments and private placements.
114. As of February 8, 2013, according to its Form 13D filing with the SEC, Longwood owned approximately 28.2% of all shares of OvaScience.
115. In the approach to the January 2015 Offering, however, Longwood began unloading its OvaScience shares. Then just three days after the Offering, Longwood filed another Form 13D in which it announced it had sold shares and reduced its ownership interest to 10.7% of all OvaScience shares.
116. While the stock price remained artificially inflated by the misstatements and omissions identified herein, Longwood continued to liquidate its OvaScience holdings, and by March 20, 2015 -- just days before the truth about the Company began to be revealed -Longwood had reduced its total holdings to only 6.5% of all OvaScience shares.
117. Furthermore, by sheltering their ownership interests behind Longwood, Defendants Dipp and Aldrich were able to reap tremendous profits via the Offering, without having to disclose their own personal transactions in the Company. Indeed, Aldrich did not file any Form 4s with the SEC between September 19, 2014 and January 16, 2015.
AUGMENT WAS NOT COMMERCIALLY VIABLE AND DEFENDANTS WERE NOT ON TRACK TO HIT 1,000 COMMERCIAL CYCLES
118. Contrary to Defendants' indication to the market that the data generated from the
150 free cycles established AUGMENT's efficacy and demand for the treatment, Defendants had no basis to proclaim that AUGMENT was commercially viable. Nor were Defendants ever on track to reach 1,000 commercial cycles, despite their repeated assurances to the contrary. Indeed, Defendants' admissions and data released after the Relevant Period – data that Defendants knew of in real time but concealed from investors – confirmed that Defendants' Relevant Period statements concerning the 1,000-cycle metric, the demand for AUGMENT, and the Company's ability to commercialize AUGMENT were false when made.
119. On September 29, 2015, Defendants revealed that they had "approximately 35 . . . commercial patients with [the] majority of commercial patients occurring i[n] September [2015]." Given that the majority of the approximate 35 commercial cycles (i.e., 18 or more) occurred in September 2015, according to Defendants, the remaining commercial cycles (i.e., 17 or less) occurred from January through August 2015. Therefore, on August 11, 2015 – when Defendant Dipp reiterated that "[w]e do continue to expect to achieve our goal of 1,000 AUGMENT treatment cycles in process" – the Company had initiated, at best, 17 commercial cycles. At that point, Defendants' statements could have been true only if they were expecting 983 commercial cycles to initiate from August 11 through the end of 2015 – approximately 196 new cycles per month for 5 months. In other words, Defendants would have needed to increase their monthly average from less than 3 cycles to 196 cycles. But this was impossible, as Defendants had no means or history of initiating anything close to that number in such a short time frame.
120. Throughout all of 2015 and 2016, moreover, OvaScience ultimately recognized
revenue for only 129 total commercial cycles, and it sold those cycles at an average price point of $7,209.30. 3 In other words, it took Defendants two years to reach only 12.9% of their oneyear goal, while selling AUGMENT at a substantial discount. By December 21, 2016, moreover, the Company announced that it had stopped its commercial expansion of AUGMENT, that its CEO was departing, and that its workforce was reducing by 30%. By June 21, 2017, the Company revealed that it was no longer planning to focus on its AUGMENT treatment and announced the layoffs of half of its remaining employees.
121. In sum, Defendants' repeated statements of being on track to enroll 1,000 AUGMENT commercial patients directly contradicted the data available to them at all times. Indeed, OvaScience performed all AUGMENT-related proprietary procedures and maintained laboratories that were within or contiguous to the IVF clinics. Defendants, therefore, were always privy to the exact numbers of AUGMENT cycles in progress, and they cannot claim that, as late as August 2015, they were unaware of the low AUGMENT numbers (e.g., there were no more than 17 commercial cycles by that time). Nor can Defendants claim that they reasonably expected participating IVF clinics to suddenly ramp up and conduct 983 cycles from August through December 2015. Even after an additional year had passed, Defendants had not exceeded 129 cycles, and the average price per-cycle was less than half of the low end of the $15,000 to $25,000 range that Defendants had repeatedly stated.
3 As stated in their Form 8-K filed on March 2, 2017, Defendants had 2015 revenue of $277,000 from 22 AUGMENT cycles and 2016 revenue of $653,000 from 107 AUGMENT cycles, for a total of $930,000 of revenue from 129 AUGMENT cycles.
DEFENDANTS KNOWINGLY MISLED THE MARKET ABOUT AUGMENT'S COMMERCIAL VIABILITY AND OVASCIENCE'S ABILITY TO REACH 1,000 COMMERCIAL CYCLES OF AUGMENT
122. Numerous facts support Defendants' knowledge of the materially false and misleading nature of their public statements and omissions during the Relevant Period. First, AUGMENT was OvaScience's only developed treatment throughout the Relevant Period, and, therefore, the commercialization of AUGMENT was OvaScience's core operation, garnering Defendants' full attention. Because AUGMENT was the Company's primary focus, coupled with the small size of the Company (fewer than 100 full-time employees during the Relevant Period), it would be absurd to suggest that Defendants were without knowledge of matters directly affecting AUGMENT's commercialization, including the treatment's lack of progress toward the projection of 1,000 commercial cycles in 2015. In particular, as an M.D., Ph.D., and co-founder of the Company, Defendant Dipp was closely involved with and responsible for developing AUGMENT's underlying science since the Company's formation, meaning she fully understood AUGMENT's disappointing clinical results and their negative implications on patient demand and commercial viability.
123. Moreover, the Company repeatedly stated that, in order to perform the proprietary procedures needed to isolate the mitochondria from EggPC cells, OvaScience developed laboratories that were within or contiguous to the IVF clinics that offered AUGMENT. The Company also trained personnel at its partner clinics to conduct AUGMENT treatments and stationed OvaScience employees within or contiguous to the clinics; therefore, OvaScience could report to Defendants and the market the number of AUGMENT treatments in process in real time. Defendant Dipp and other OvaScience executives routinely visited those clinics to meet with doctors, embryologists, and nurses administering AUGMENT, and had access to an international registry reporting data on AUGMENT treatments. Accordingly, OvaScience was intimately involved in every AUGMENT cycle and Defendants were necessarily privy to all data arising from AUGMENT cycles performed at its partner clinics. As such, Defendants knew that the efficacy of AUGMENT was questionable, the demand for AUGMENT at $15,000 to $25,000 per cycle was minimal, and the Company was not on track to achieve, and could never achieve, 1,000 commercial treatment cycles in 2015. This was true throughout the Relevant Period. Remarkably, as late as August 2015, when the Company had many months of data demonstrating the poor clinical and commercial results of AUGMENT, the Company falsely reassured investors that it was on track to achieve the 1,000 commercial cycles in 2015.
124. Defendant Dipp's own public statements confirm these facts. Defendant Dipp routinely discussed AUGMENT throughout the Relevant Period, including statements regarding its commercialization, patient demand, efficacy, and the precise number of AUGMENT treatment cycles the Company was performing (e.g., over 150 cycles as of December 17, 2014) and on pace to perform (e.g., 1,000 commercial cycles). In fact, during every public conference call during the Relevant Period, Defendant Dipp and/or her colleagues at OvaScience discussed AUGMENT, typically in great detail. Defendant Dipp confirmed that such information was known through various sources, including patient case studies, an international data registry, and on-site clinical visits. Through these statements, Defendant Dipp conveyed that the Company had specific knowledge of the matters of which she spoke and led investors to believe that she was speaking truthfully about them. For example, Defendant Dipp made the following statements about AUGMENT during the Relevant Period:
OvaScience Investor Day, 12/17/14
"The interest in AUGMENT in our global IVF clinic partners around the world has exceeded our expectations. We've met our goal of offering AUGMENT in select IVF clinics in four international regions. . . . We've exceeded our treatment goal of 40 to 60 patients, and now more than 150 patients are in AUGMENT treatment. And finally, the clinics have begun to transition to commercial, and we plan to expand the availability of AUGMENT internationally in 2015."
"The IVF market is really interesting. And those of you that know the Company know that we think a lot about this and we talk a lot about this. So the market is actually dominated by a very small number of clinic groups globally. And because of this, it has allowed us to take a really focused approach to our [AUGMENT] launch, and that allows for a really efficient commercial model. So AUGMENT is being offered in four of the leading clinic networks.
"More than 150 patients are now in AUGMENT treatment. That's more than double our original goal, and we plan to have at least 1,000 patients in treatment next year. Our partner clinics have begun to successfully transition to commercial and we have established a price range of $15,000 to $25,000, which we charge to the clinic for each AUGMENT cycle."
"I actually want to give you a little bit of insight into the patients who are currently receiving the AUGMENT treatment. And I've had the pleasure of the last year of traveling all over the world." [Dipp then provided a lengthy, detailed discussion of case studies involving patients who received the AUGMENT treatment.]
"So we have started to collect data [on AUGMENT] similar to what you saw in the case studies, and that goes into an international registry. And it's actually the first international registry of its kind. So I am really excited that we are doing that. And so you're exactly right. We do plan to use that registry to be able to look to see not if AUGMENT is working. The doctors are
already using AUGMENT, and we believe that, as you saw with some of the case studies. So, it's not a question of does AUGMENT work. It's a question of in which population does AUGMENT work best? . . . . [W]e are a science-driven company, we are a data-driven company, and we look forward to sharing that data once we have it.
"So demand driven from the patients, I would say that's not even close to the demand. So, we get, like I said, hundreds of inquiries every day, and so it's certainly demand driven to the extent that patients want AUGMENT. But there's no question that doctors are able to see, even patient by patient, what's happening. . . . [Data showing successful implementation of AUGMENT] is the kind of data that certainly has driven the uptake and the very rapid uptake, yes."
"But I've spent the last year traveling to each of these clinics and meeting with these doctors. . . . So it is really important – I spend a lot of time and actually [OvaScience CCO] David Harding is at one of our sites now, we spend a lot of time talking to all the physicians. So I am typically with a group of 20 to 40 physicians. But it doesn't stop with a physician right? . . . And then we talked with the nurses [at clinics]. We talk with the embryologists [at clinics]. And in fact, the embryologists are the ones who are trained to do the AUGMENT procedure."
JP Morgan Healthcare Conference, 01/14/15
"[W]e have launched AUGMENT . . . . We converted [AUGMENT] to commercial, with a price range of $15,000 to $25,000. That is what the clinics pay OvaScience. And in 2015, we are planning to treat 1,000 patients. . . . And 2015 is a build year for us, where we are adding these labs at the clinics where we are active and we can add on what we need in order to be able to meet the demand. We anticipate there to be a great demand, not only for AUGMENT, but also for OvaPrime."
OvaScience 2Q15 Earnings Call, 08/11/15
"We are really pleased with our progress over the last six months as we've made AUGMENT available to patients in Canada, Europe, Latin America, the Middle East, and Asia through some of the most well-respected clinic groups in the world. We continue to expect to be operational in Japan and the UK by the end of this year, and we are focused on developing a broad global infrastructure by partnering with the top clinic groups in order to be able to provide patients with our fertility treatment. . . . The patient experience has been overwhelmingly positive, including this most recent publication of another approach to demonstrate the benefits of AUGMENT."
"At the end of the year, that is when you will hear us talk about the total number [of biopsies], just like we did last year. We do continue to expect to achieve our goal of 1,000 AUGMENT treatment cycles in process. And, to your point, I'm glad you said biopsies, because that's exactly what we mean by 1,000 treatment cycles in process. So just as a reminder, the cycle begins when we actually receive the patient's tissue after the biopsy. That's also when we receive payment. But we defer revenue until we deliver the mitochondria to the clinic."
125.
In addition to these statements, Defendants' knowledge is supported by a highly suspicious pattern of reporting commercial information regarding AUGMENT. In the second
half of 2014, the Company publicly reported the specific number of AUGMENT treatment cycles that were in progress on a quarterly basis. However, after the Company’s Investor Day on
December 17, 2014, the Company changed course and stopped reporting the AUGMENT cycles in progress throughout the remainder of the Relevant Period, a period of over nine months.
Instead, the Company repeatedly provided only one metric – their expectation of achieving 1,000 commercial cycles in 2015 – without reporting the Company's actual progress towards that goal.
Indeed, when an analyst specifically questioned the number of commercial cycles rolled out in the second quarter of 2015, Defendant Dipp avoided the question and focused only on the 1,000-
cycle target:
Zarak Khurshid – Wedbush Securities – Analyst: Thanks for
taking the questions. I have a two-parter as well. First, can you break out the number of biopsies or rolled commercial cases from Q2? . . . .
Defendant Dipp: In terms of the biopsies [a.k.a cycles], we are not going to say the number of biopsies that we've achieved this quarter. At the end of the year, that is when you will hear us talk about the total number, just like we did last year. We do continue to expect to achieve our goal of 1,000 AUGMENT treatment cycles in process.
126. Thisc change in method of reporting shows that Defendants knowingly failed to reveal that AUGMENT's commercial cycles were far below their repeated target of 1,000 commercial cycles for 2015, and would not meet that projection, which Defendants knew would upset the market. In fact, on September 28, 2015, when Defendants admitted that only approximately 35 commercial cycles were completed or in progress (as opposed to the 1,000 commercial cycles repeatedly projected), investors were surprised and the Company's stock price plunged. The fact that Defendants had actual knowledge that the Company would not come close to making its promised 1,000 commercial cycles, is also supported by the close temporal proximity between their false commercial projections, as late as August 11, 2015, and the revelation that such projections would not be met on September 28, 2015.
127. In addition to Defendants' highly suspicious reporting of commercial cycles, during the Relevant Period they did not disclose the full results of the 150 free treatment cycles that were supposedly in progress as of December 2014. Defendants instead released data from only 34 patients who had received AUGMENT, and misleadingly couched those results as a success, hoping that such results would convey efficacy and commercial potential to the market.
128. Also suspicious was the fact that a number of OvaScience's senior executives left
the Company or suffered demotions in the wake of the material misrepresentations to the market. In total, six senior executives including Young departed the Company, while Defendant Dipp eventually relinquished her positions as CEO and Executive Chair and her seat on the OvaScience Board, moving to a reduced role as Company advisor. These sudden management changes, under highly questionable circumstances, provide additional support for Defendants' knowledge:
08/27/15: CCO Harding suddenly departed the Company after only nine months in the position and approximately one month before Defendants stunned investors by revealing that the Company would not reach 1,000 commercial AUGMENT cycles in 2015.
01/06/16: The Company announced that Defendant Dipp would be stepping down as CEO and replaced by Board member Harald Stock ("Stock"), effective July 1, 2016. Defendant Dipp was given the title of Executive Chairman of the Board in connection with this change.
03/31/16: President and Chief Scientific Officer Arthur Tzianabos ("Tzianabos") resigned from the Company.
09/06/16: Young resigned from the Company.
12/21/16: CEO Stock (Defendant Dipp's replacement) and Chief Operating Officer ("COO") Paul Chapman ("Chapman") both resigned from the Company. Stock had served as CEO for less than six months, while Chapman had served as COO for less than ten months. According to the Company, both Stock and Chapman had been "brought on board to lead a global commercial expansion of AUGMENT."
06/21/17: The Company announced that Defendant Dipp would once again be relinquishing senior leadership positions at the Company, stepping down from the Board and her role as Executive Chair and moving to Company advisor after September 1, 2017. On the same day, CFO Christophe Couturier ("Couturier") (Young's replacement) resigned, after serving in the position for a
short stint of just over seven months.
129. The Defendants were highly motivated to make the false and misleading statements and omissions alleged herein, including the bullish projection of 1,000 commercial AUGMENT cycles, in order to maintain the public perception that AUGMENT was an effective and commercially viable treatment within the multi-billion dollar IVF market. This perception was vitally important to Defendants because it validated, not only AUGMENT, but also the EggPC science upon which all of the Company's fertility treatments (AUGMENT, OvaPrime, and OvaTure) were based. Defendants knew that, if these problems were exposed to the market, they would badly undermine that science, all of the Company's fertility treatments, and the ongoing viability of the Company itself. Defendants sought to avoid that outcome by concealing those problems and giving the market a false impression of AUGMENT's efficacy and commercialization.
130. Defendants were also motivated to maintain a positive perception of AUGMENT in order to keep the Company's stock price afloat, enabling Defendants to conduct a highly lucrative SPO of the Company's stock during the Relevant Period. The SPO was completed on January 13, 2015, less than a month after Defendants began to falsely tell investors that "at least 1,000 additional patients to be receiving the AUGMENT treatment" in 2015. Through the offering, the Company was able to sell 2,645,000 shares of common stock (including the underwriters' overallotment option of 345,000 shares) at $50.00 per share, for gross proceeds of $132.25 million. Among other things, the money raised in the offering was earmarked for "further development and commercialization of the AUGMENT treatment." In other words,
Defendants used the offering as a way to obtain more seed money to continue funding AUGMENT and other treatments (which were generating little to no revenue) from investors who were duped into buying Company stock at an artificially inflated price of $50.00 per share based on the purported commercial success of AUGMENT. A few months later, the truth began to leak out that AUGMENT was a commercial failure with little market demand, causing the Company's stock price to fall well below the offering price in a series of declines ($8.57 per share as of September 29, 2015). Had investors known the truth, the SPO could not have been conducted at $50.00 per share, and OvaScience would not have been able to reap $132.25 million from the offering, with all Defendants remaining in their positions at that time, with all of their perks and income streams.
THE TRUTH EMERGES
131. The market first began to learn the truth concerning the success rate of the Company's AUGMENT fertility treatment when Company disclosed the results in press releases on March 26, 2015 and March 28, 2015.
132. On March 26, 2015, the Company issued a press release entitled "OvaScience AUGMENT Fertility Treatment Shows Improved Pregnancy Rates in Women with Prior Failed IVF Cycles." The press release stated in pertinent part:
Robert F. Casper, M.D., F.R.C.S.(C), Medical Director of TCART Fertility Partners of Toronto, Canada, a mitochondrial expert and one of the first IVF specialists to use the AUGMENT treatment in clinical practice, reported initial patient experiences in women whose ages ranged from 28 to 40 years and who had one to three previous failed IVF cycles, often with poor embryo quality. In 26 women who received the AUGMENT treatment, there were 9 clinical pregnancies out of 17 embryo transfers (53%).
The results reported in the poster presentation represent experiences from a small number of patients with different diagnoses, ages and prior IVF history. As of this reporting, pregnancy rates across IVF clinics that offer the AUGMENT treatment currently range from 25% - 53%, which includes clinics that are treating some of the more challenging infertility patients. OvaScience is collecting AUGMENT patient experience in a first-of-its-kind international registry, and anticipates sharing information from a broader patient experience when it is available. [Emphasis added].
133. In the press release, Dr. Casper further stated:
We are impressed with the pregnancy rate that we have seen with the AUGMENT treatment in women who tried IVF multiple times and never had a successful pregnancy . . . . We are encouraged by these results and believe the AUGMENT treatment may offer a much needed fertility treatment for women who are seeking new options. We look forward to continuing to report our clinical experiences in a wide range of patients who may benefit from the AUGMENT treatment. [Emphasis added].
134. On March 27, 2015, Gena Wang and Howard Liang, analysts for Leerink who covered the Company, stated that AUGMENT's "[o]verall pregnancy rate appears less robust with a different denominator" and "the magnitude of AUGMENT benefit is unclear given no clear benchmarks and lack of standardized metrics."
135. On March 28, 2015, the Company issued a press release entitled "Additional Clinical Reports of OvaScience AUGMENT Fertility Treatment Show Improved Pregnancy Rates in Women with Multiple Prior Failed IVF Cycles." The press release stated in pertinent part:
Kutluk Oktay, M.D., F.A.C.O.G, of Gen-art IVF in Ankara, Turkey, and one of the initial IVF specialists to use the AUGMENT treatment in clinical practice, presented initial clinical experience in eight women whose ages ranged between 27 and 41 years with three or more IVF failures and poor egg and embryo quality. In eight women who received the AUGMENT treatment, there were two clinical pregnancies out of eight embryo transfers (25%). Most notably, the two pregnancies occurred with single embryo transfers in women aged 34 and 41 who had previously failed to become pregnant following seven and three IVF cycles, respectively. One patient has an ongoing clinical pregnancy. [Emphasis added].
136. On March 30, 2015, Andrew S. Fein, an analyst for H.C. Wainwright & Co., questioned the Company's AUGMENT data pregnancy rate calculation stating that "the data raised interesting questions regarding . . . the use of embryo transfer as the denominator in calculating success rates . . . ." Fein further explained that an alternative representation of the data would result in a 35% success rather than the 53% success rate declared, and this method is utilized by The Society for Reproductive Technology ("SART"). Mr. Fein further stated:
Success rates for AUGMENT were presented as a fraction of the total number of embryo transfers, reporting a 53% pregnancy rate (9 pregnancies of 17 embryo transfers) for the Canadian site and 25% (2 pregnancies of 8 embryo transfers) at the site in Turkey. However, we note that an alternative representation of the data would have included all IVF cycles as the denominator (9 pregnancies form 26 cycles; 35% success rate). Due to the nature of the technology (requiring additional manipulation of the oocyte at time of ICSI), the denominator could have reflected those patients that failed fertilization and failed to produce viable blastocysts. This method is not without precedent: we note that The Society for Reproductive Technology (SART), which represents the majority of IVF clinics in the US, reports IVF pregnancy rates as a percentage of IVF cycles, which are further delineated by fresh and frozen transfers. [Emphasis added].
137. After the truth began to emerge concerning the AUGMENT treatment results, the Company's shares plummeted $17.14 from $48.29 on March 26, 2015 to $31.15 on April 1,
2015, a loss of approximately 35% on unusually heavy volume of approximately 1.9 million shares.
138. On April 2, 2015, Oppenheimer analyst Rohit Vanjani opined that "[s]hares of OvaScience have traded down over 40% over the last week" because investors were stuck on one metric, AUGMENT's reported pregnancy rate. Mr. Vanjani also added that "[m]uch has been made about the correct denominator to use in calculating the AUGMENT pregnancy rate . . ." and "[w]e certainly understand why investors have put the pregnancy rate metric in focus. Investors are still trying to understand if the AUGMENT technology works and if it will get adopted, and that metric is undoubtedly important."
139. On April 6, 2015, the Southern Investigative Reporting Foundation ("SIRF") published an article entitled "Irreproducible Results, Inc." which challenged the reported 53% clinical pregnancy rate observed from the Canadian physician's data and countered that "26 women got the treatment (AUGMENT) and, of them, 7 were able to successfully maintain a pregnancy for just under a 27 percent success rate." (Emphasis added).
140. In addition, the SIRF article suggests that the AUGMENT procedure data presented did not achieve a significant success rate of clinical pregnancies compared to previous rates achieved without the Company's AUGMENT procedure (rates provided by the CDC). The article stated the following:
. . . the Centers for Disease Control's archive of assisted reproductive technology statistics suggests at least a broad idea of what the press release's reported effects mean.
The median age of the women receiving OvaScience's treatment in the Toronto clinic was 33 years old, with an average of two
previous IVF treatment cycle failures.
According to the CDC in 2012 – the most recent year available for data – of the women studied who were 35 and under who failed two prior IVF treatment cycles and received IVF with fresh non-donor eggs or embryos, 33 percent were expected to deliver a live birth. [Emphasis added].
141. Other analyst reports opined that the SIRF article was partly responsible for investor doubt that led to material drops in the price of OvaScience stock. After this news was revealed, the Company's share price dropped $5.47, from $35.06 on April 2, 2015, to close at $29.59 on April 7, 2015, a loss of approximately 15%, on unusually heavy volume.
THE COMPANY ATTEMPTS TO BLAME ITS FAILURE TO ACHIEVE THE 1,000 COMMERCIAL TREATMENT CYCLE TARGET ON EVOLVING MARKET DYNAMICS IN THE FERTILITY SPACE, INCLUDING RECENT MERGER AND ACQUISITION ACTIVITIES
142. The Company attempted to blame its failure to achieve the 1,000 commercial treatment cycle target on "evolving market dynamics in the fertility space, including recent merger and acquisition activities at the key commercial IVF clinics where the AUGMENT treatment is offered" as having "hindered the Company's ability to drive major volume that was anticipated in the fourth quarter."
143. Indeed, Defendant Dipp stated:
We are adapting our regional commercial operations and infrastructure as well as addressing an even more dynamic global IVF landscape. In addition, we recently became aware of M&A activities in our key clinics. We believe these factors will prevent us from achieving our goal as we had anticipated the majority of AUGMENT treatment cycles would initiate in the fourth quarter. While disappointing in the short-term, the expanding clinic networks may enable more patients to have access to the AUGMENT treatment. With the positive patient experience to date, including multiple healthy births, we remain confident in the commercial potential of the AUGMENT treatment and our future fertility treatments. [Emphasis added].
144. The Company hosted a conference call on September 29, 2015, the very next day to provide an update on its corporate goals for the AUGMENT treatment. Defendant Dipp made the opening remarks during which she revealed that the Company "do[es] not to expect to meet the goal of a 1,000 augment-treatment cycles established at the end of 2014." She stated, in part:
At this point in time, more than 200 patients with poor prognoses have undergone, or are currently in, AUGMENT treatment, and approximately 35 of these are commercial patients with majority of commercial patients occurring is September.
We have been successful in building a high-quality, technical operation and manufacturing globally for the augment treatment, however, we realize that we need to enhance our commercial operations and infrastructure to better position the company for commercial success.
In addition, the [IVF] market is changing even more rapidly than we initially anticipated, and we recently learned of merger and acquisition activities at each of our main clinics, and this will prevent us from cycle-volume in the fourth quarter that we previously anticipated. [Emphasis added].
145. During the question and answer session that followed the Company's prepared remarks, Defendant Dipp responded to analysts who asked for more clarification and details regarding the Company's revelation that it had only conducted approximately 35 commercial cycles to date despite the Company's prior promises of greater achievements, and questioned the Company's expectations going forward:
Paul Matteis - Leerink Swann – Analyst
I have a couple, so. My first one is just on looking at the ramp over the next, say, 18 to 24 months. I know that this is new territory for everybody and there's no good comps and your burning a lot as you go, but you talked about expecting to do major volume in 4Q, so I guess does that major volume move into 1Q of 2016? I mean, right now -- right now analysts have about 16 million in sales next year, so there's obviously an expectation that major volume is going to happen pretty imminently.
Do you see that as realistic, or should we be more patient on our end?
Michelle Dipp - OvaScience, Inc. – CEO
Thanks Paul, I appreciate the question.
So in a word, I would say we'd ask you to be more patient. At this point in time it's really difficult to project the timing; we don't want to get ahead of ourselves. As you said, we're building the business and we're bringing a new treatment to a market that hasn't seen major innovation in quite a long time. And as we've just recently stated with the recent M&A activity, this is a very dynamic market. But let's not forget that it's also a market that is large and growing.
* * *
So, you know, our mission is unchanged, we'll continue to deliver but, to your point, you know, we're not at this point in time going to be projecting the timing of the ramp.
Paul Matteis - Leerink Swann – Analyst
OK. And I think you said that -- so you said about 35 -- correct me if I'm wrong, I -- I think you said about 35 commercial cycles so far this year, and most in September. With all the changes going on do you still, month over month this year, expect some linear growth or does the trajectory in the very near-term change?
Michelle Dipp - OvaScience, Inc. – CEO
It's really difficult to project it at this point in time, mainly the short-term is really difficult to predict mainly because of the
M&A, so just that, we are expecting a, you know, a short-term delay because of the inconvenience. [Emphasis added].
146. Other analysts questioned the Company's stated reasoning, requesting elaboration on the "M&A dynamic" and its effect on AUGMENT cycles, some incredulous of the revelation, given that earlier in the month the Company was reiterating the 1,000-cycle forecast:
Tycho Peterson - JPMorgan – Analyst
Michelle, I'm just wondering if you can elaborate a little bit more on the M&A dynamic, I mean, it feels like the adoption of augment at this stage is really dependent on, you know, individual physician rather than broader idea systems. So just wondering, you know, why this is so disruptive and -- and also maybe why, you know, you didn't see this coming.
I can just -- even earlier this month we talked about reiterating the thousand cycle forecast.
Michelle Dipp - OvaScience, Inc. – CEO
So ultimately, and you know, one of the things that we always try to keep in the front of our mind is, we think this is really great for patients. So patients will have more access to the augment treatment through these expanded clinic networks. And our initial decision with the inquirers or with those who are merging with the clinics have been positive, and they plan to also offer augment.
And as you can imagine, you know, some of these inquirers we may have been speaking with completely independent of the M&A, so we've always known that the [IVF] market is a dynamic market; you've seen a lot of consolidation in the market, but what we did not participate is that all of the currently commercial clinics would be in this position at the same time.
So that, you know, that is -- that was not anticipated. And sort -it -- we've learned of this very recently.
Tycho Peterson - JPMorgan – Analyst
Okay, but can you address the point? I mean at this stage it's really about the individual docks, right, then the broader [IVF] systems. I mean, if you got buying from the physicians I'm just wondering why, you know, some of the consolidation is -- is -- is disruptive as it is.
Michelle Dipp - OvaScience, Inc. – CEO
Yes, I mean, the individual doctors at the original clinics, and then there's also interest from doctors at the acquiring clinics, but bear in mind in some cases our clinics are actually moving, so they're moving to new sites. So in some cases we may have to move our lab. But quite frankly it's just that any M&A, whether it's [IVF] clinics or anything else, the integration process always takes times and it always, you know, moves the focus away, you know, from -- from the business for a short period of time. [Emphasis added].
147. Still unsatisfied with the Defendants' responses, analysts continued to ask the Company about the number of cycles it had performed to date, and whether there were any others in the pipeline:
Rohit Vanjani - Oppenheimer – Analyst
So you said there were 35 commercial cycle, most in September. Can you speak to how many cycles were committed to for 2015 either through prepayment or insurance reimbursement in the UAE, and will those cycles still happen in 2015?
Michelle Dipp - OvaScience, Inc. – CEO
I mean, when we stated the thousand goal, so just to take you back, the thousand goal that we stated last year was to be able to demonstrate our ability to establish global operation that consistently deliver high-quality treatment. We feel that we've been very successful at achieving this.
And we stated the goal early on in our business, we've learned a lot in a short period of time, but yes, we did have a plan with the clinics to ramp significantly in the fourth quarter, so you may remember that we spoke al of about the ramp taking place not only in the second half, but also the majority of the ramps taking place in the fourth quarter.
And a lot of that, as we stated in our last Q, was in fact due to what you're describing. So program as well as reimbursement. But in terms of, you know, what percentage of those we think we can deliver on; it is difficult at this point in time for us to be able to project how many of those we'll still be able to do. We're still continuing to work with the clinics, but again, since they're, you know, in this integration process it is tough for us to project at this point in time. [Emphasis added].
148. And, when further questioned about the Company's post-M&A relationships with these clinics and whether "augment [sic] will definitely be offered in the new merged-entity clinic," Defendants were unable to provide a response, stating only that it "look forward to providing . . . more detail. . . when we have it," despite having repeatedly promised a specific 1,000-cycle target.
149. On this news, the Company's stock price dropped 40.98% in a single trading day, falling from a close of $14.52 per share on September 28, 2015 to a close of $8.57 per share on September 29, 2015, on unusually high trading volume, and continued to fall the next trading day.
150. Analysts updated their financial models, ratings and price targets following the Company's revelations. For example, on September 29, 2015, J.P. Morgan dropped its price target by $25 to $15 per share (from $40 to $25) "to account for a significantly slower AUGMENT ramp relative to our prior expectations."
151. Ladenburg Thalmann issued a report on September 30, 2015 entitled, "Poor AUGMENT Commercial Execution Underscores Platform Risk: Target to $14" wherein it
reduced its price target to approximately $14 per share from nearly $50, reporting "[t]his announcement sheds light on a recent lack of transparency, as the company has chosen not to conduct quarterly results calls despite being in the throes of AUGMENT's launch (and on the verge of a second), and noted in an 8-K filing the recent departure of its recently-hired chief commercial officer."
152. Furthermore, although Defendants finally revealed the truth that they were not going to reach 1,000 cycles, they continued to lie about the true reason why they had not come close to that number of cycles. Defendants blamed their failure on "merger and acquisition activities," that prevented them from reaching the volume they anticipated in the fourth quarter of 2015. This made little sense. Defendants essentially suggested that, as of August 11, 2015 – even assuming they had initiated all of the approximate 35 commercial cycles for the year – they had a commitment to perform an additional 965 cycles before the end of the year, but that commitment suddenly disappeared as of September 28th because of "mergers and acquisition" activity.
153. However, if mergers had logistically delayed clinics from performing more than 900 commercial cycles that had previously been planned for the last three months of 2015, then those cycles still should have taken place in 2016. If, as Defendants suggested, AUGMENT was effective and in demand, such extensive demand (more than 900 planned cycles) for this fertility treatment, targeted to women with many failed IVF cycles, would hardly have disappeared because of merger activity. Yet, when asked about whether the missed treatments would still happen and how many treatments the Company had planned for the first quarter of 2016,
Defendant Dipp could not provide any meaningful information to investors, instead asking them "to be more patient . . . we're not at this point in time going to be projecting the timing of the ramp" and stating "[b]ut in terms of, you know, what percentage of those we think we can deliver on: it is difficult at this point in time for us to be able to project how many of those we'll still be able to deliver on." Ultimately, there was no ramp of treatments, because OvaScience recognized revenue for only 129 commercial AUGMENT treatments in total for 2015 and 2016 and effectively discontinued the treatment in 2017. Thus, merger activity among clinics, which existed even at the start of the Class Period, was not a recent phenomenon nor the driver of Defendants' failure to achieve 1,000 commercial cycles in 2015.
PARTIAL DISCLOSURES AS THE TRUTH EMERGES
154. On July 6, 2015, the Company published on its webpage a blog entitled "Women Receiving AUGMENT Treatment had Improved Pregnancy Rates and Healthy Births." The blog post stated:
07/06/15 | MICHELLE DIPP, M.D., PH.D.
The European Society of Human Reproduction and Embryology (ESHRE) conference is where new fertility innovations and treatments take center stage and collaboration within the fertility community is fostered. During this year's ESHRE in Lisbon, Portugal, OvaScience hosted the scientific symposium, "Experts in Egg Health: Advancing Fertility Patient Care." We were fortunate to have fertility specialists from more than forty countries in attendance -- all united by the goal of bringing new fertility treatment options to patients. The scientific session featured leading physicians, some of whom have experience using the AUGMENTSM fertility treatment in their clinics. The AUGMENT treatment is not available in the United States.
In addition to presentations on the importance of egg health and its important role in fertility, the scientific session also included the patient experiences of women who have used the AUGMENT treatment.
Of note, Michael Fakih, M.D., Founder and Chairman of Fakih IVF in the United Arab Emirates, reported his patients' experiences for the first time.
* He showed positive results from 59 women with poor egg health and embryo quality who were given the AUGMENT treatment during IVF.
* Before using the AUGMENT treatment, these women had a combined four percent clinical pregnancy rate and a two percent live birth rate based on a combined total of 257 previous IVF cycles.
* With the AUGMENT treatment, the women's clinical pregnancy rates increased at least five-fold.
Additionally, Kutluk Oktay, M.D., F.A.C.O.G, of Gen-Art IVF in Ankara, Turkey, shared the exciting news of the second birth by a woman who received the AUGMENT treatment. The healthy baby girl was born to a mother in Turkey who had failed seven previous IVF cycles and had never before had a successful pregnancy.
Robert F. Casper, M.D., F.R.C.S.(C), Medical Director of TCART Fertility Partners in Toronto, Ontario, also presented his patient experiences, as were previously reported during the 21st COGI Congress: Innovation in Reproductive Medicine, including the first birth with the AUGMENT treatment.
155. On August 27, 2015, Mr. David Harding resigned as Chief Commercial Officer of the Company, effective August 28, 2015. Harding had been CCO since December 11, 2014 – less than 9 months. This sudden departure of Harding, who was hired to assist in rolling out AUGMENT, was a prelude to Defendants' revelation that their statements about reaching 1,000 commercial cycles were fraudulent and indicated to the market that the commercialization of
AUGMENT was not as successful as Defendants had promised.
156. Then, on September 28, 2015, the Company issued a press release entitled "OvaScience Provides Update on Corporate Goal for AUGMENT Treatment" announcing "the Company does not expect to meet the 2015 goal of 1,000 AUGMENT treatment cycles."
157. On this news, the Company's shares fell from $14.52 on September 28, 2015 to close at $8.57 on September 29, a drop of over 40%, on unusually heavy volume.
158.
159. On March 31, 2016, Arthur Tzianabos, Ph.D., stepped down as the President and Chief Scientific Officer of OvaScience. Dr. Tzianabos and the Company entered into a consulting agreement which provides for Dr. Tzianabos to act as an advisor to the Company through December 31, 2016.
160. On July 1, 2016, Defendant Dipp resigned as Company CEO.
161. Running low on money and even lower on credibility, on December 21, 2016, OvaScience announced that it would continue to make the AUGMENT treatment available to patients at partner clinics in Canada and Japan and maintain its current commercial footprint, but would slow its commercial expansion, reassess its ongoing and planned clinical studies of AUGMENT, and undertake a corporate restructuring, including a workforce reduction to better align its workforce to its revised corporate strategy and to carefully manage the Company's cash burn.
162. On December 21, 2016, Harald Stock resigned from his positions as President and CEO and director and Paul Chapman resigned from his position as Chief Operating Officer.
163. As of December 31, 2016, the Company reported having only 118 employees left and announced a further corporate restructuring that would take place in January 2017, in which the Company would be reducing its workforce even more so by approximately 30%.
164. By December 2016, the Company's stock traded, and continues to trade, at under $2.00 per share, down from a Relevant Period high of $53.46 per share.
DERIVATIVE AND DEMAND FUTILITY ALLEGATIONS
165. Plaintiffs bring this action derivatively in the right and for the benefit of the Company to redress injuries suffered and to be suffered as a direct and proximate result of the breaches of fiduciary duties and gross mismanagement by Defendants.
166. Plaintiffs will adequately and fairly represent the interests of the Company and its shareholders in enforcing and prosecuting its rights and has retained counsel competent and experienced in derivative litigation.
167. Plaintiffs are current owners of OvaScience stock and have continuously been an owner of the stock during all times relevant to Defendants' illegal and wrongful course of conduct alleged herein. Plaintiffs understand their obligation to hold stock throughout the duration of this action and are prepared to do so.
168. During wrongful course of conduct at the Company, the Board consisted of the Director Defendants. Because of the facts set forth throughout this Complaint, demand on the Board to institute this action is not necessary because such a demand would have been a futile and useless act.
169. At the time suit was filed, the Board was comprised of seven (7) members: Dipp,
Aldrich, Capello, Kozin, Sexton, Howe, and non-party Mary Fisher ("Fisher"). Thus, Plaintiffs are required to show that a majority of the Director Defendants, i.e., four (4) cannot exercise independent objective judgment about whether to bring this action or whether to vigorously prosecute this action.
170. Defendants face a substantial likelihood of liability in this action because they caused the Company to issue false and misleading statements concerning its future prospects. Because of their advisory, executive, managerial, and directorial positions with the Company, each of the Defendants had knowledge of material non-public information regarding the Company and was directly involved in the operations of the Company at the highest levels.
171. Defendants either knew or should have known of the false and misleading statements that were issued on the Company's behalf and took no steps in a good faith effort to prevent or remedy that situation.
172. Defendants (or at the very least a majority of them) cannot exercise independent objective judgment about whether to bring this action or whether to vigorously prosecute this action. For the reasons that follow, and for reasons detailed elsewhere in this complaint, Plaintiffs have not made (and should be excused from making) a pre-filing demand on the Board to initiate this action because making a demand would be a futile and useless act.
173. Defendants approved and/or permitted the wrongs alleged herein to have occurred and participated in efforts to conceal or disguise those wrongs from the Company's stockholders or recklessly and/or with gross negligence disregarded the wrongs complained of herein and are therefore not disinterested parties.
174. Defendants authorized and/or permitted the false statements to be disseminated directly to the public and made available and distributed to shareholders, authorized and/or permitted the issuance of various false and misleading statements, and are principal beneficiaries of the wrongdoing alleged herein, and thus, could not fairly and fully prosecute such a suit even if they instituted it.
175. Because of their participation in the gross dereliction of fiduciary duties, and breaches of the duties of due care, good faith, and loyalty, Defendants are unable to comply with their fiduciary duties and prosecute this action. Each of them is in a position of irreconcilable conflict of interest in terms of the prosecution of this action and defending themselves in the securities fraud class action lawsuit brought under the Securities Exchange Act of 1934.
176. Additionally, each of the Defendants received payments, benefits, stock options, and other emoluments by virtue of their membership on the Board and their control of the Company.
THE DIRECTOR DEFENDANTS ARE NOT INDEPENDENT OR DISINTERESTED
Defendant Dipp
177. Defendant Dipp is not disinterested or independent, which is admitted by the Company in its 2017 Proxy, and therefore, is incapable of considering any demand. Defendant Dipp is the Executive Chair of the Company and derives substantially all of her income from her employment with the Company, making her not independent. As such, Defendant Dipp cannot independently consider any demand to sue herself for breaching her fiduciary duties to the Company, because that would expose her to liability and threaten her livelihood.
178. Additionally, Dipp and Aldrich are partners at Longwood Fund, LP. Longwood Fund GP, LLC, an affiliate of Longwood Fund, LP, is an approximately 7% holder of OvaScience.
179. Based on the forgoing and on the other facts alleged herein, Dipp cannot be considered independent or disinterested, and any demand on her would be futile.
180. Furthermore, Defendant Dipp signed OvaScience's Offering Materials during the Relevant Period and was largely responsible for the Company's operations, internal controls and false and misleading statements and omissions made, and the failure to correct them, throughout the Relevant Period. In her executive capacity, Defendant Dipp met directly with investors and securities analysts to discuss Company operations and business. As the maker of the false and misleading statements of material fact as alleged herein, Defendant Dipp breached her fiduciary duties. As the most plausible inference is that the misconduct alleged herein was widespread and systemic at the Company, Dipp knowingly engaged in, facilitated, concealed, and failed to disclose the truth, or recklessly turned a blind eye to it. Moreover, Defendant Dipp is beholden to Longwood, a controlling shareholder, as she depends on the controlling shareholder for her primary source of income. Due to her experience working in several executive capacities at the Company and her service on the Board, Defendant Dipp knew, or should have known that: (1) the very science behind AUGMENT was untested and in doubt; (2) the patients that had received OvaScience's AUGMENT procedure in 2014 did not achieve a pregnancy success rate that was significantly higher than the rate achieved without the Company's AUGMENT procedure; (3) the Company had not chosen to undertake its studies outside of the United States, but was compelled to do so to avoid being subject to more stringent and expensive federal regulations; and (4) the Company was far from profitable, not even approaching profitability. As a result of the foregoing, Dipp's statements about OvaScience's business, operations and prospects, were inaccurate and misleading and/or lacked a reasonable basis. In complete abdication of her fiduciary duties, Defendant Dipp was complicit in the misconduct to make, and to fail to correct, the inaccurate and misleading statements of material fact, which she knew to have been not truthful at the time they were made in order to make the stock as high as possible. Additionally, Defendant Dipp is a defendant in the securities fraud class actions. As Defendant Dipp is not independent or disinterested, and therefore faces a substantial likelihood of liability, demand upon her is futile and, therefore, excused.
Defendant Aldrich
181. Defendant Aldrich and Dipp are partners at Longwood Fund, LP. Longwood Fund GP, LLC, an affiliate of Longwood Fund, LP, is an approximately 7% holder of OvaScience.
182. As a Director of OvaScience, Aldrich was required to comply with its Code of Business Conduct, which includes that he comply with all laws, rules and regulations applicable to the Company wherever it does business, and further comply with its mandate of honest and ethical conduct and fair dealing as stated herein.
183. Additionally, as a member of the Nominating and Corporate Governance Committee, Aldrich was required to develop, recommend, and reassess corporate governance guidelines, and oversee an annual self-evaluation of the Board. Aldrich failed to meet his
responsibilities as evidenced by the corporate misconduct as alleged herein.
184. Based on the forgoing and on the other facts alleged herein, Aldrich cannot be considered independent or disinterested, and any demand on him would be futile.
185. Furthermore, Defendant Aldrich signed OvaScience's Offering Materials during the Relevant Period. As the most plausible inference is that the misconduct alleged herein was widespread and systemic at the Company, Defendant Aldrich knowingly engaged in, facilitated, concealed, and failed to disclose the truth, including the making of and the failure to correct the misrepresentations alleged herein, or recklessly turned a blind eye to it. Due to his experience working in an executive capacity as well as on the Board, Defendant Aldrich knew, or should have known that: (1) the very science behind AUGMENT was untested and in doubt; (2) the patients that had received OvaScience's AUGMENT procedure in 2014 did not achieve a pregnancy success rate that was significantly higher than the rate achieved without the Company's AUGMENT procedure; (3) the Company had not chosen to undertake its studies outside of the United States, but was compelled to do so to avoid being subject to more stringent and expensive federal regulations; and (4) the Company was far from profitable, not even approaching profitability. As a result of the foregoing, OvaScience's statements about its business, operations and prospects, were inaccurate and misleading and/or lacked a reasonable basis. In complete abdication of his fiduciary duties, Defendant Aldrich was complicit in the misconduct to make, and to fail to correct, the inaccurate and misleading statements of material fact, which he knew to have been not truthful at the time they were made in order to make the stock as high as possible. Additionally, Defendant Aldrich is a defendant in the securities fraud state class action. Thus, as Defendant Aldrich is not independent or disinterested, and therefore faces a substantial likelihood of liability, demand upon him is futile and, therefore, excused.
Defendant Capello
186. As a Director of OvaScience, Capello was required to comply with its Code of Business Conduct, which includes that he comply with all laws, rules and regulations applicable to the Company wherever it does business, and further comply with its mandate of honest and ethical conduct and fair dealing as stated herein.
187. As a member of the Company's Audit Committee, Capello was responsible to monitor internal control over financial reporting, disclosure controls and procedures and code of business conduct and ethics, and oversee risk assessment and risk management policies. Capello failed to meet his responsibilities as evidenced by the corporate misconduct as alleged herein.
188. Based on the forgoing and on the other facts alleged herein, Capello cannot be considered independent or disinterested, and any demand on him would be futile.
189. Furthermore, Defendant Capello signed OvaScience's Offering Materials during the Relevant Period. Significantly, as Chairman of the Audit Committee, Defendant Capello is charged with reviewing the Company's accounting practices and systems of internal accounting controls as well as the objectivity of its financial reporting. Also, as Audit Chairman, Defendant Capello knew, or should have known that: (1) the very science behind AUGMENT was untested and in doubt; (2) the patients that had received OvaScience's AUGMENT procedure in 2014 did not achieve a pregnancy success rate that was significantly higher than the rate achieved without the Company's AUGMENT procedure; (3) the Company had not chosen to undertake its studies outside of the United States, but was compelled to do so to avoid being subject to more stringent and expensive federal regulations; and (4) the Company was far from profitable, not even approaching profitability. As a result of the foregoing, OvaScience's statements about its business, operations and prospects, were inaccurate and misleading and/or lacked a reasonable basis. In complete abdication of his fiduciary duties, Defendant Capello was complicit in the misconduct to make, and to fail to correct, the inaccurate and misleading statements of material fact, which he knew, or should have known, to have been not truthful at the time they were made in order to make the stock as high as possible. Additionally, Defendant Capello is a defendant in the securities fraud state class action. Moreover, Capello, along with the other members of the committee, is answerable to the Company and the shareholders to review to review OvaScience's audited consolidated financial statements and discuss with management the financial results for the fiscal years during which he sits on the committee. Thus, as Defendant Capello is not a disinterested or an independent director, and as he faces a substantial likelihood of liability, demand upon him is futile and, therefore, excused.
Defendant Kozin
190. As a Director of OvaScience, Kozin was required to comply with its Code of Business Conduct, which includes that he comply with all laws, rules and regulations applicable to the Company wherever it does business, and further comply with its mandate of honest and ethical conduct and fair dealing as stated herein.
191. Additionally, as a member of the Nominating and Corporate Governance Committee, Kozin was required to develop, recommend, and reassess corporate governance guidelines, and oversee an annual self-evaluation of the Board. Kozin failed to meet his responsibilities as evidenced by the corporate misconduct as alleged herein.
192. Based on the forgoing and on the other facts alleged herein, Kozin cannot be considered independent or disinterested, and any demand on him would be futile.
193. Furthermore, Defendant Kozin signed the Offering Materials during the Relevant Period. As the maker of the inaccurate and misleading statements of material fact as alleged herein, Defendant Kozin breached his fiduciary duties. Due to his experience working in several executive capacities at the Company and his service on the Board, Defendant Kozin knew, or should have known that: (1) the very science behind AUGMENT was untested and in doubt; (2) the patients that had received OvaScience's AUGMENT procedure in 2014 did not achieve a pregnancy success rate that was significantly higher than the rate achieved without the Company's AUGMENT procedure; (3) the Company had not chosen to undertake its studies outside of the United States, but was compelled to do so to avoid being subject to more stringent and expensive federal regulations; and (4) the Company was far from profitable, not even approaching profitability. As a result of the foregoing, OvaScience's statements about its business, operations and prospects, were inaccurate and misleading and/or lacked a reasonable basis. In complete abdication of his fiduciary duties, Defendant Kozin was complicit in the misconduct to make, and to fail to correct, the inaccurate and misleading statements of material fact, which she knew, or should have known, to have been not truthful at the time they were made in order to make the stock as high as possible. Additionally, Defendant Kozin is a defendant in the securities fraud state class action. Thus, Kozin faces a substantial likelihood of
liability, and demand upon him is futile and, therefore, excused.
Defendant Sexton
194. As a Director of OvaScience, Sexton was required to comply with its Code of Business Conduct, which includes that he comply with all laws, rules and regulations applicable to the Company wherever it does business, and further comply with its mandate of honest and ethical conduct and fair dealing as stated herein. Sexton failed to meet his responsibilities as evidenced by the corporate misconduct as alleged herein.
195. Based on the forgoing and on the other facts alleged herein, Sexton cannot be considered independent or disinterested, and any demand on him would be futile.
196. Furthermore, Defendant Sexton has served on the Board of OvaScience since April 2015. Defendant Sexton has been a member of the Company's Board since June 2015. Due to his service on the Board, Defendant Sexton knew, or should have known that: (1) the very science behind AUGMENT was untested and in doubt; (2) the patients that had received OvaScience's AUGMENT procedure in 2014 did not achieve a pregnancy success rate that was significantly higher than the rate achieved without the Company's AUGMENT procedure; (3) the Company had not chosen to undertake its studies outside of the United States, but was compelled to do so to avoid being subject to more stringent and expensive federal regulations; and (4) the Company was far from profitable, not even approaching profitability. As a result of the foregoing, OvaScience's statements about its business, operations and prospects, were inaccurate and misleading and/or lacked a reasonable basis. In complete abdication of his fiduciary duties, Defendant Sexton was complicit in the misconduct to make, and to fail to correct, the inaccurate and misleading statements of material fact, which he knew, or should have known, to have been not truthful at the time they were made in order to make the stock as high as possible. As the most plausible inference is that the misconduct alleged herein was widespread and systemic at the Company, Sexton knowingly engaged in, facilitated, concealed, and failed to disclose the truth, or recklessly turned a blind eye to it. Thus, Sexton faces a substantial likelihood of liability, and demand upon him is futile and, therefore, excused.
Defendant Howe
197. As a Director of OvaScience, Howe was required to comply with its Code of Business Conduct, which includes that he comply with all laws, rules and regulations applicable to the Company wherever it does business, and further comply with its mandate of honest and ethical conduct and fair dealing as stated herein.
198. As a member of the Company's Compensation Committee, Howe was responsible to oversee evaluation of the Company's senior executives. Howe failed to meet these responsibilities as evidenced by the executive turnover and corporate misconduct as alleged herein.
199. Based on the forgoing and on the other facts alleged herein, Howe cannot be considered independent or disinterested, and any demand on him would be futile.
200. Defendant Howe has served on the Company's Board of Directors since June 2015, and currently sits on the Audit and Compensation Committees. Significantly, as a member of the Audit Committee, Defendant Howe was charged with reviewing the Company's accounting practices and systems of internal accounting controls as well as the objectivity of its financial reporting. Also, as a member of the Audit Committee, Defendant Howe knew, or should have known that: (1) the very science behind AUGMENT was untested and in doubt; (2) the patients that had received OvaScience's AUGMENT procedure in 2014 did not achieve a pregnancy success rate that was significantly higher than the rate achieved without the Company's AUGMENT procedure; (3) the Company had not chosen to undertake its studies outside of the United States, but was compelled to do so to avoid being subject to more stringent and expensive federal regulations; and (4) the Company was far from profitable, not even approaching profitability. As a result of the foregoing, OvaScience's statements about its business, operations and prospects, were inaccurate and misleading and/or lacked a reasonable basis. In complete abdication of his fiduciary duties, Defendant Howe was complicit in the misconductt scheme to make, and to fail to correct, the inaccurate and misleading statements of material fact, which he knew, or should have known, to have been not truthful at the time they were made in order to make the stock as high as possible. Moreover, Howe, along with the other members of the committee, is answerable to the Company and the shareholders to review to review OvaScience's audited consolidated financial statements and discuss with management the financial results for the fiscal years during which he sits on the committee. As the most plausible inference is that the misconduct alleged herein was widespread and systemic at the Company, Howe knowingly engaged in, facilitated, concealed, and failed to disclose the truth, or recklessly turned a blind eye to it. Thus, as Defendant Howe is not a disinterested or an independent director, and as he faces a substantial likelihood of liability, demand upon him is futile and, therefore, excused.
FIRST CAUSE OF ACTION
Against Defendants for Breach of Fiduciary Duties
201. Plaintiffs incorporate by reference and re-allege each and every allegation contained above, as though fully set forth herein.
202. Defendants owe the Company fiduciary obligations. By reason of their fiduciary relationships, Defendants owed and owe the Company the highest obligation of good faith, fair dealing, loyalty, and due care.
203. Defendants violated and breached their fiduciary duties of care, loyalty, reasonable inquiry, and good faith.
204. Defendants engaged in a sustained and systematic failure to properly exercise their fiduciary duties. In breach of their fiduciary duties owed to the Company, Defendants made inaccurate and/or misleading statements and/or failed to disclose that: (a) the science behind AUGMENT had not been scientifically validated; (b) the Company was unable to achieve the purported success rates it claimed; (c) the reasons why the Company moved its studies outside of the United States; (d) that at all relevant times, the Company's profitability and prospects were false and misleading; and (e) resultantly, the Company lacked adequate internal controls over its publicly issued statements and financial reporting, rendering them personally liable to the Company for breaching their fiduciary duties.
205. Defendants had actual or constructive knowledge of the weaknesses of the Company's internal controls. Defendants had actual knowledge of the above misrepresentations and omissions of material facts set forth herein, or acted with reckless disregard for the truth, in that they failed to ascertain and to disclose such facts, even though such facts were available to them.
206. As a direct and proximate result of Defendants' failure to perform their fiduciary obligations, the Company has sustained significant damages. As a result of the misconduct alleged herein, Defendants are liable to the Company.
207. As a direct and proximate result of Defendants' breach of their fiduciary duties, the Company has suffered damage, not only monetarily, but also to its corporate image and goodwill. Such damage includes, among other things, costs associated with defending securities lawsuits, severe damage to the share price of the Company, resulting in an increased cost of capital, the waste of corporate assets, and reputational harm.
SECOND CAUSE OF ACTION
(Against the Director Defendants for Unjust Enrichment)
208. Plaintiffs incorporate by reference and re-allege each and every allegation above as though fully set forth herein.
209. By their wrongful acts and omissions, as alleged herein, the Non-Employee Director Defendants were unjustly enriched at the expense of, and to the detriment of, the Company.
210. Plaintiffs, as shareholders and representatives of the Company, seek restitution from Defendants, and each of them, and seek an order from this Court requiring the Defendants to disgorge all profits, benefits, and other compensation obtained by these Defendants, and each of them, from their wrongful conduct and fiduciary breaches.
211. Plaintiffs, on the Company's behalf, have no adequate remedy at law.
REQUEST FOR RELIEF
WHEREFORE, Plaintiffs demand judgment as follows:
A. Determining that this action is a proper derivative action maintainable under law, and that demand is excused;
B. Awarding, against all Defendants and in favor of the Company, the damages sustained by the Company as a result of Defendants' breaches of their fiduciary duties;
C. Directing the Company to take all necessary actions to reform and improve its corporate governance and internal procedures, to comply with the Company's existing governance obligations and all applicable laws and to protect the Company and its investors from a recurrence of the damaging events described herein;
D. Requiring the Company to issue a corrective disclosure to shareholders; disclosing that the Company relied upon an inappropriate option value calculation method in its 2015, 2016, and 2017 SEC public filings;
E. Awarding to Plaintiffs the costs and disbursements of the action, including reasonable attorneys' fees, accountants' and experts' fees, costs, and expenses; and
F. Granting such other and further relief as the Court deems just and proper.
JURY DEMAND
Plaintiffs demand a trial by jury.
DATED: April 24, 2018
By: /s/ Thomas J. McKenna
GAINEY McKENNA & EGLESTON
Thomas J. McKenna Gregory M. Egleston 440 Park Avenue South New York, NY 10016
Telephone: (212) 983-1300
Facsimile: (212) 983-0383
Email: firstname.lastname@example.org
Email: email@example.com
SMOOT LAW OFFICE, P.C.
Steven F. Smoot P.O. Box 120-245 Boston, MA 02112-0245
Telephone: (617) 345-9600
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Attorneys for Plaintiffs
CERTIFICATE OF SERVICE
I hereby certify that on this thirtieth day of April 2018 this document filed through the ECF system will be sent electronically to the registered participants as identified on the Notice of Electronic Filing (NEF) and paper copies will be sent to those indicated as non-registered participants.
/s/ Thomas J. McKenna
Thomas J. McKenna
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Glossary
Glossary
This book is in English, but uses many Javanese musical terms, cengkok names, and piece names. This seemed simpler and more accurate than trying to find translations for terms like "seleh," "irama," "cengkok," and so on. Although many readers will be familiar with most of these Javanese musical terms, I have provided a brief glossary.
This glossary specifically refers to beginning gender playing,. It is not my intention to convey the complete meanings, nuances, or subtleties of these terms. There are many standard works on Javanese music which have far more complete explanations of these concepts. The glossary below is simply meant to assist the player who might be completely unfamiliar with these terms.
ayu kuning: Name of a class of cengkok, for which a common balungan (in irama wilet, slendro manyura) might be 6 1 3 2 6 3 2 1.
balungan: Basic melody, or melodic framework for a piece, one of the melodic elements of each piece that is fixed. In this book, cengkok are given to various balungan. That is, the cengkok fit above the slower moving balungan parts, as a kind of elaboration of the balungan melody.
barang: The "highest" of the three pelog pathet, characterised by certain types of seleh, considered to correspond to slendro manyura. It uses pelog 7 rather than 1, in the scale 7 2 3 5 6. Abbreviated P7.
buka: Opening, or introduction of a piece. Usually it is played by the rebab, or bonang (in the case of gendhing bonang, which do not usually employ gender at all). With no rebab present, the gender might play the buka, and these are often given in the book. The buka is often derived from the last line of the final gong cycle. The buka usually begins in free time, with possible ornamentation and rubato, and enters into the strict time of Irama I (tanggung) accompanied by the kendhang, on the last two or three groupings.
cengkok: A melodic phrase which functions as melodic pattern, usually played by the elaborating instruments (gender, rebab, pesinden, gambang, gender panerus, suling, but also bonang in some cases).
cengkok mati: "Fixed cengkok." Martopangrawit described them as "...melodic phrases the pathet of which is predetermined and not based on melodic direction. This is primarily a matter of intuition, and is difficult to account for theoretically." [Becker, 1984]. Martopangrawit lists several cengkok mati in pathet sanga, nem and manyura, and these are also discussed by Sri Hastanto [1985, p. 87]. For example, some sanga cengkok mati given by Martopangrawit are: 5 6 5 3 2 1 2 1, i 6 5 6 5 3 1 2, and 3 5 3 2 . 1 6 5 (low 6 and 5). In manyura, two examples are: 3 3 . . 6 5 3 2 and 5 6 5 3 2 1 2 1.
dados (or dadi): Irama 2. A particular relationship between instruments defined by pulse density and tempo. Generally, in dados, the gender plays 4 notes for every balungan pulse. Most pieces will enter this irama at some point in the performance. Dados is the most comon irama for forms like Ladrang and Ketawang, and the merong of many Gendhing.
debyang debyung: Name for a class of cengkok, for which a common balungan (in slendro sanga irama wilet) might be 2 1 3 2 5 3 2 1.
dualolo kecil: Sometimes "dua lolo." Name for a class of cengkok, for which a common balungan (in slendro sanga irama wilet) might be 1 2 1 6 2 1 6 5. Dualolo besar is another class of cengkok.
gatra: Generally, a unit of four beats of a balungan.
gantung: The name for a class of cengkok, which literally "hang" around one note in a balungan. For example, the garapan for the balungan ( . . 1 . ) would generally use a gantung 1 cengkok.
garap, garapan: "Arrangement, arrangements, to arrange, to work out, interpret." In the context of this book, garap refers to the choice of cengkok for a given piece or part of a piece. This word has a larger set of meanings in the context of Javanese and Indonesian music.
gembyang: "Octave," more or less, or a point in a cengkok in which the same two note names are sounded (one high, one low).
gender barung: Full name for the gender in the central range of the three tube-resonated keyed instruments found in a gamelan. The highest is gender panerus, and the lowest is the slenthem, sometimes called the gender panembung.
gendhing: A gamelan composition, or a form (larger than Ladrang and Lancaran) with at least 16 beats in each kenongan. Old spelling is without the "h."
gongan: The phrase marked at the end by a gong.
irama: Very loosely, "tempo," or "time level," but more accurately, one of the (primarily) four "temporal densities" that a typical piece will be in: tanggung, dados, wilet, or rangkep (there are other possibilities, like seseg, which is faster than tanggung). In each irama the pulse of the balungan is not quite twice as slow as the previous, causing the elaborating instruments to speed up as they increase their density relationship to the balungan pulse. Gender cengkok will thus be denser and longer the higher the irama number. Cengkok in wilet for the same balungan will be twice as long (have twice as many notes) as the corresponding one in dados. For an excellent example of the way balungan and other elaborating parts relate to irama, see Diamond and Suraji [1989].
kacaryan: Name for a class of cengkok, for which a common balungan might be (in slendro sanga, irama wilet) 2 1 5 3 6 5 3 2.
kempyung: "Fifth," more or less, or a point in a cengkok in which the two note names are sounded which are separated by two tones in between. Examples are i and 3, 6 and 2, 5 and 1, and so on.
kenongan: A phrase marked at the end by the kenong.
ketawang: A particular form of a piece, with 2 kengonan per gongan. Can refer to either a small or large form. Puspawarna, for example, is called a Gendhing Ketawang and has eight beats to each kenongan, while a Ketawang Gendhing could have 16 or more beats per kenongan.
ladrang: A form with eight beats to each kenongan and four kenongan to a gongan.
lancaran: A form with four beats per kenongan and four kenongan to a gongan.
laras: Loosely, "tuning," usually referring to either slendro or pelog.
lima: The "lowest" pelog pathet, lima is considered to be a complex pathet with unique characteristics (often regarding the use of pelog 4), and does not really correspond to slendro nem. Pelog lima and pelog nem are played on the same pelog gender, often called the "bem" gender. Abbreviated as p5.
manyura: The "highest," of the three slendro pathet, characterised by certain types of seleh, or gong-tones (2, 6, 3).
merong: the first sectionof a gendhing.
minggah (inggah): The second section of a gendhing, or larger form. The word means "to climb."
The balungan for the minggah is usually an abstraction of the balungan for the merong.
mlaku: A balungan without rests (more or less the opposite of nibani). Literally, "to walk."
nem: The name for the "lowest" pathet in slendro (and the middle pelog pathet). Few slendro nem cengkok are specifically given in this book, but the beginning gender player can often garap a piece in nem by combining cengkok from sanga and manyura. However, it should be emphasized that there are many slendro nem cengkok in more advanced gender playing. Slendro nem is often abbreviated as S6.
ngelik: A section of a piece in which the balungan generally goes high.
nibani: A balungan characterized by rest tones between each balungan tone. Ladrang Srikaton is a good example of balungan nibani.
nyamat: Sometimes called "pelog manyura," nyamat is usually thought of as slendro manyura directly transposed to pelog, without substituting p7 for s1 as is done in the "transposition" from manyura to barang. Nyamats is consequently played on the "bem" gender.
ompak (or umpak): The first section of a Ladrang and other smaller forms.
pathet: Very loosely, "mode," and one of the key concepts in any discussion of Central Javanese music. Sanga, nem, manyura (slendro) and barang, nem, and lima (pelog) are the most common pathet. Pieces are generally identified by their laras (pelog or slendro) and their pathet.
putut gelut: Name for a class of cengkok, for which a common balungan might be (in slendro manyura, irama wilet) 2 3 5 3/6 6 5 3 2.
rangkep: The "slowest" and "most dense" of the four comon Irama, called Irama 4, in which the gender, accordingly, plays the fastest and the most notes per balungan beat.
sanga: The "middle" of the three slendro pathet, characterised by certain types of seleh, or gongtones (like 1, 5, but this is variable). Slendro sanga is often abbreviated as s9.
seseg: A kind of "Irama 0." In seseg, the gender either does not play, or plays "mbalung" (in unison with the balungan). In Irama 1 (tanggung), the gender usually plays 2 notes for every balungan note. In "Irama 0," (seseg), the gender plays one. In other words, the number of notes that the gender plays could be thought of as 2 i , where i is the number of the irama.
seleh: Goal or ending tone for a cengkok. Cengkok are often characterized by the seleh tone, and whether (on the gender) the seleh is kempyung or gembyang. The seleh tone, or tone of arrival, is the most important consideration in garap.
tanggung : Irama 1, the "fastest" and "least dense" of the four irama, in which the gender, accordingly, plays the fewest notes (generally, 2 per balungan tone). Often, the gender doesn't even play in tanggung (especially when the tempo is fast, like seseg). In tanggung the cengkok are frequently derivative of the more common dados cengkok. One common technique is to use half a dados cengkok .
wilet: Irama 3. The irama between dados and rangkep. Generally, the gender plays 8 notes for every balungan note. Also spelled "wiled."
Some Notes on Pathet
The following description is taken from Jody Diamond's "A First Look at Pathet," written for the Mills College Gamelan Ensemble Fall 1987. This is meant to give a only very general and simple approach to recognizing different pathet.
The sequences in which the pathet are listed below correspond to the order in which they are played during a wayang or evening klenengan, with the tonal area moving from low to high.
SLENDRO
It is generally observed that the first pathet of each tuning, slendro nem and pelog lima, are not parallel to each other, and each borrows many elements from the other pathet in the same tuning. The remaining pathet, however, have a closer relationship to each other, show many parallel structures, and allow for transfer of some music material from slendro to pelog.
For more information on pathet, see the references at the end of this book.
|
UNC Family Experience Survey
Date Created: 3/2/2017 9:13:56 AM
Date Range: 5/9/2017 12:00:00 AM - 5/26/2017 11:59:00 PM
Total Respondents: 1061
Description:
| Q3. Which best describes your student's prior institution(s)? (Check all that apply) | |
|---|---|
| Count Respondent % Response % | |
| 10 14.08% 13.70% My student transferred from a two-year institution outside of North Carolina | |
| 26 36.62% 35.62% My student transferred from a four-year institution in North Carolina | |
| 19 26.76% 26.03% My student transferred from a four-year institution outside of North Carolina | |
| 4 5.63% 5.48% My student have attended more than one other college/university prior to enrolling at UNC-CH | |
| 14 19.72% 19.18% Other (please specify) | |
| | Count Percent |
| | 1 7.14% 2 year in-state college |
| | 1 7.14% 2 year NC community college |
| | 1 7.14% 2 yr community college |
| | 1 7.14% 2-year institution in NC |
| | 1 7.14% A two year or community college inside nc |
| | 1 7.14% Early College |
| | 1 7.14% From 2yr community college in NC |
| | 1 7.14% NC Community College |
| | 1 7.14% transfer from a 2 year within NC |
| | 1 7.14% Transfered as a veteran |
| | 1 7.14% transferred from Wake Tech in Raleigh after receiving Associates degree in Science. (2 years) |
| | 1 7.14% Two Year community college |
| | 1 7.14% two year institution in NC |
| 71 Respondents | |
| Count Percent |
|---|
| 1 3.45% |
| 1 3.45% ? |
| 1 3.45% a |
| 1 3.45% Advocacy team for student/parent interventions |
| 1 3.45% all good! |
| 1 3.45% Alumni child hoopla |
| 1 3.45% anti-bullying programs for althetic department & Jocks |
| 1 3.45% Better faculty advisers |
| 1 3.45% Better intervention with underage students who hsve serious drinking problems. Many nights my daughter has helped home the same 2 guys who were so drunk they could not stand. Once she stayed with one if them to make sure he did not stop breathing. She would not tell anyone for fear he would be dropped from a varsity team. There must be some anonymous way of letting parents know their child is in real danger. |
| 1 3.45% Clear Contact information for dean of students and other important areas |
| 1 3.45% Current UNC students accepted to programs of study over transfer students |
| 1 3.45% Explanations in detail about how One Cards, Food Services work |
| 1 3.45% happy with programs |
| 1 3.45% help for struggling students and families. |
| 1 3.45% I'd like to see better hotel rates so we could come to a sporting event. |
| 1 3.45% library loans |
| 1 3.45% Meetings with UNC leadership |
| 1 3.45% More family football give away tickets |
| 1 3.45% More support for mental health issues |
| | 1 3.45% No specific requests at this time |
|---|---|
| | 1 3.45% none |
| | 1 3.45% NONE |
| | 1 3.45% None needed |
| | 1 3.45% Tail gate events |
| | 1 3.45% taped lectures |
| | 1 3.45% This is our students' education and experience, we do not feel the need to be involved more than family weekend and graduation celebrations. |
| | 1 3.45% Transfer student activities |
| | 1 3.45% Ways to provide positive and/or suggestions on how to make the student processes more efficient. For example, students applying to be an RA should be told yes or no prior to the housing deadline. It doesn't make sense to make them sign-up with a roommate only to change it a few months later, leaving the roommate to find other accommodations. |
| 333 Respondents | |
| Q6. How would you like to get more involved as a family member at UNC? | |
|---|---|
| Count Percent | |
| 103 100.00% | |
| | Count Percent |
| | 1 0.97% |
| | 1 0.97% - |
| | 1 0.97% ? |
| | 1 0.97% ???? |
| | 1 0.97% already involved |
| | 1 0.97% Any way possible considering we live 2 1/2 hours away |
| | 1 0.97% Anything. I wrote an email last year and volunteered my time and never heard back from anyone. I live twelve (12) miles away and I'm available and willing do to anything I can to help. |
| | 1 0.97% As an alumni, I'd like to see more of a big deal made when alumni kids show up at orientation. |
| | 1 0.97% Attend a summer send off for the next child and become more aware of program offerings and opportunities. |
| | 1 0.97% Attend more campus student performances |
| | 1 0.97% be invited to campus and community events |
| | 1 0.97% Being able to access my daughters account. |
| | 1 0.97% Being an out of state parent makes that difficult. |
| | 1 0.97% campus activities where Greek life kids and their parents have info. sessions about the effects of drugs and alcohol on college students |
| | 1 0.97% campus events |
| | 1 0.97% Continue the parents council but opportunity to serve without set contribution of you have multiple children enrolled at UNC. Continue to offer opportunities at parent's weekend. |
| | 1 0.97% Difficult since we are out of state but welcome any opportunities |
| | 1 0.97% Difficult to say now. Our son had an impossible schedule first semester and we wait to see if he will remain at CH. Advising could have been better and too many TAs some of whom may be good at research but are poor at teaching. |
| | 1 0.97% email me please @ email@example.com I am a bilingual (Spanish/English) and if you need support with interpreting please let me know. |
| | 1 0.97% Email updates of fun options, lectures, concerts, etc. on campus. |
| | 1 0.97% establish better network of internship opportunities for current students |
0.97%
For starters, I'd love to just know more about the various activities that were happening. We events.
seem to hear about "big" things, but I'd love to know more about smaller, student oriented
1
0.97%
Happy to help with advocacy efforts to the NC legislature and/or family fundraising efforts in my area.
1
0.97%
0.97%
It's difficult being out of state. Being kept informed of local UNC events and happenings helps.
Learning more about different opportunities and then plugging in
1
0.97%
maybe hosting a student during holidays who could not get home.
| would be the perfect time to have a representative who excels in networking and relationship building. Maybe less time on surveying and more time on people. |
|---|
| 1 0.97% This is my son's time to grow. Not sure he (or I) wants 'family time' at UNC. Family time is for back home. |
| 1 0.97% UNC is about 400 miles from our home so there's not much chance we'd get more involved as family members. We visited our son in late September for a football weekend - it may have been Parents' Weekend - and we'll be visiting again this fall for a football weekend. |
| 1 0.97% visit more often |
| 1 0.97% Volunteer at activities. |
| 1 0.97% Volunteer board/committee work |
| 1 0.97% Volunteering time |
| 1 0.97% We are an out of state family so maybe a get together with other parents from Atlanta |
| 1 0.97% We are at about the right level of involvement for us. |
| 1 0.97% We are involved in the Parent Association. |
| 1 0.97% We current cannot get more involved as a family. |
| 1 0.97% We enjoy affordable cultural activities on campus. Would like to have all that is offered in one place online. |
| 1 0.97% We live out of state, but would love to host other out of state families if there is a need. |
| 1 0.97% We struggle with finances. Make to much for finical aid but just getting by. Would love to have some free activities! |
| 1 0.97% We try to stay involved as much as possible |
| 1 0.97% We would like to have an out of state group for parents to get to know others and share ideas for out of state students |
| 1 0.97% We would like to know about new construction or building changes, opoprtunitues for families to get involved. |
| 1 0.97% With our second child beginning at Carolina in the fall (UNC21) we are always looking for ways to connect to the campus and learn more about what is happening there. Service opportunities would be a great way to meet other families. |
| Count Respondent % Response % | |
|---|---|
| 324 86.86% 47.51% Event details (Carolina Family Weekend, New Student Orientation/Family Orientation, Summer Send-Off, etc.) | |
| 71 19.03% 10.41% Hotel accommodation information | |
| 102 27.35% 14.96% Seeking help for student concern | |
| 75 20.11% 11.00% Involvement opportunities for families (for example, Parents Council) | |
| 91 24.40% 13.34% Office contact information | |
| 19 5.09% 2.79% Other (please specify) | |
| | Count Percent |
| | 1 5.26% academic calendar |
| | 1 5.26% academic help |
| | 1 5.26% advisor help |
| | 1 5.26% All events |
| | 1 5.26% Bill pay |
| | 1 5.26% Class assignments |
| | 1 5.26% Dates for dorm closings during breaks |
| | 1 5.26% Department contact info |
|---|---|
| | 1 5.26% Health center hours/contact |
| | 1 5.26% health insurance info |
| | 1 5.26% Internship Information |
| | 1 5.26% Move in and out dates and info |
| | 1 5.26% Need early notice of dates for family weekend. This is very helpful to those coming form out of state |
| | 1 5.26% parcel delivery, housing info |
| | 1 5.26% parking information and maps for graduation. |
| | 1 5.26% Parking questions |
| | 1 5.26% scholarship |
| | 1 5.26% Student health info and class counseling info |
| 373 Respondents | |
| Q27. What prevented you from attending? (Check all that apply) | |
|---|---|
| Count Respondent % Response % | |
| 17 20.00% 16.04% Could not get time off from work or I had other commitments | |
| 8 9.41% 7.55% Too far to travel | |
| 17 20.00% 16.04% Too expensive to travel and stay | |
| 13 15.29% 12.26% I did not see the value of attending with my student | |
| 13 15.29% 12.26% My student did not want me to attend | |
| 38 44.71% 35.85% Other (please specify) | |
| | Count Percent |
| | 1 2.63% Attended w/other 2 older siblings |
| | 1 2.63% Attends with older child - younger child accidentally didn't sign me up |
| | 1 2.63% Busy |
| | 1 2.63% Didn't want to have to pay to attend. |
| | 1 2.63% Don't recall |
| | 1 2.63% Expect my son to handle things independently |
| | 1 2.63% family vacation conflict |
| | 1 2.63% Had attended with a previous son who went to UNC. Did not see a reason to repeat. |
| | 1 2.63% Has not occurred. |
| | 1 2.63% Her dad went but found it overwhelming so he disengaged a bit |
| | 1 2.63% Her father attended |
| | 1 2.63% I am attending in June 2017 |
| | 1 2.63% I am scheduled for orientation with my child in June . |
| | 1 2.63% I attended for a previous child and did not think it was necessary |
| | 1 2.63% I attended UNC-CH |
| | 1 2.63% I had to work. Her father attended with her. |
| | 1 2.63% I live in Raleigh but I couldn't afford the cost for me as a parent to have to stay over |
| | 1 2.63% I prefer to visit on other weekends |
|---|---|
| | 1 2.63% I traveled from out of state and didn't want to pay more $$ to attend. I think it is outrageous that you charge parents $$ to attend orientation. We are already paying outrageously expensive out of state tuition. Orientation should be free |
| | 1 2.63% I was Former student |
| | 1 2.63% Made family plans for different weekend |
| | 1 2.63% medical problems |
| | 1 2.63% my child was a student athlete and we had been on campus many times |
| | 1 2.63% My daughter is on the lacrosse team and we had been there a few times before for functions. She was staying with one of the girls on her team so she felt very comfortable with her lacrosse advisor/resources and told us there was really no point to attend. |
| | 1 2.63% My husband attended and did not buy the materials you have asked about!! |
| | 1 2.63% My student is a freshman we will be attending this summer for the first time |
| | 1 2.63% My student is a high school senior |
| | 1 2.63% My wife and I both attended UNC, and we live just down the road, so we weren't sure we really needed to be there. |
| | 1 2.63% My wife attended |
| | 1 2.63% Ours is not until June |
| | 1 2.63% second child at UNC |
| | 1 2.63% Since it was expensive for us, only one parent would have attended. Thwn we wouldn't be with our student most of the time either. |
| | 1 2.63% Spouse attended |
| | 1 2.63% Student had Honors activity |
| | 1 2.63% We are attending in summer |
| | 1 2.63% We will not be going until July |
| | 1 2.63% Will attend in July |
| 85 Respondents | |
| 106 Responses | |
| Count Percent |
|---|
| 1 0.79% Already had a chil attend unc. We were familiar with campus and Carolina |
| 1 0.79% Always fell while we were on summer family vacation |
| 1 0.79% an emergency |
1
1
1
0.79%
0.79%
0.79%
0.79%
Attended Admitted Students Day. Is this the same thing?
attending fall 17, may attend summer send off
Been before with previous student
Busy
1
1
1
0.79%
0.79%
0.79%
0.79%
Neither of us attended no idea what this is
No interest
No invite
53
37
47
17
22.08%
15.42%
19.58%
7.08%
17.67%
12.33%
15.67%
5.67%
Could not get time off from work or I had other commitments
Too far to travel
Too expensive to travel and stay
I did not see the value of attending with my student
| 70 29.17% 23.33% I am on campus at other times of the year | |
|---|---|
| 25 10.42% 8.33% My student did not want me to attend | |
| 51 21.25% 17.00% Other (please specify) | |
| | Count Percent |
| | 1 1.96% My student wanted to come home instead. |
| | 1 1.96% Attend what? |
| | 2 3.92% Attended fraternity parents' weekend events |
| | 1 1.96% Attended Tri Delta Parents Weekend in Fall |
| | 1 1.96% Busy |
| | 1 1.96% Conflicts |
| | 1 1.96% Did not know what it was |
| | 1 1.96% Didn't know about it |
| | 1 1.96% Heard it was too crowded to enjoy. |
| | 1 1.96% I have an incoming freshman |
| | 1 1.96% I have medical issues |
| | 1 1.96% I live in town- no big deal |
| | 1 1.96% I think my perception is different since we live fairly close and are able to see our daughter whenever we want/need. Plus her dad works nights and weekends. |
| | 1 1.96% I was attending my daugthers sorority weekend then |
| | 1 1.96% I will be attending this summer for the first time |
| | 1 1.96% It was sold out when we made plans to attend. Poor planning on our part. |
| | 1 1.96% Live locally |
| | 1 1.96% Mother was dying |
| | 1 1.96% My daughter decided to come home instead |
| | 1 1.96% My first child that already graduated did not want me to come. The second child that will be a freshman is out of the country with GlobalGap |
| | 1 1.96% My student is a high school senior |
| | 1 1.96% MY student starts in fall 2017 |
| | 1 1.96% My student was busy/not on campus |
| | 1 1.96% My student was very sick |
| | 1 1.96% No rooms |
| | 1 1.96% not a student yet |
| | 1 1.96% not aware of a family send off in Columbus, GA |
| | 1 1.96% Not had the opportunity |
| | 1 1.96% Not yet |
| | 1 1.96% other parents said it was expensive and limited value |
| | 1 1.96% participate with marching band |
| | 1 1.96% seemed too crowded for us |
| | 1 1.96% student starting in fall 17 |
| | 1 1.96% Student wasn't in town |
| | 1 1.96% student will be a freshman |
| 2 3.92% too crowded |
|---|
| 1 1.96% Too crowded |
| 1 1.96% too much traffic |
| 1 1.96% was out of town on business |
| 1 1.96% we just visited that weekend |
| 1 1.96% we live in Chapel Hill |
| 1 1.96% We live overseas. Her grandparents attended in our place. |
| 1 1.96% would be completely crowded |
Q33. Are you a member of the Parents Council?
Count
Percent
26
483
82
4.40%
81.73%
13.87%
Yes
No
I did not know there was a Parents Council
591 Respondents
| Q34. What prevented you from joining the Parents Council? (Check all that apply) | |
|---|---|
| Count Respondent % Response % | |
| 43 8.92% 7.18% Could not get time off from work | |
| 68 14.11% 11.35% Too expensive to join and travel to meetings | |
| 116 24.07% 19.37% Too far to travel for events and meetings | |
| 160 33.20% 26.71% I do not have the time to commit to serving on the Parents Council | |
| 46 9.54% 7.68% I did not see the value of joining the Parents Council | |
| 89 18.46% 14.86% I prefer to be involved with UNC in different ways | |
| 77 15.98% 12.85% Other (please specify) | |
| | Count Percent |
| | 1 1.30% ? |
| | 1 1.30% Busy |
| | 1 1.30% Chancellor’s political views expressed through her comments are offensive to me. |
| | 1 1.30% competing priorities |
| | 1 1.30% Did not get around to it this year but I plan to join next year. |
| | 1 1.30% did not know about it |
| | 1 1.30% Did not know about it |
| | 1 1.30% Did not know I could |
| | 1 1.30% Did not make it in time to attend original meeting |
| | 1 1.30% did not see or hear of this group |
| | 1 1.30% didn't know |
| | 1 1.30% didn't know about it |
| | 2 2.60% Didn't know about it |
| | 1 1.30% Didn't know there was a parent' coucil |
| | 1 1.30% didn;t know there was one |
| | 1 1.30% do not know how to join, or feel welcome to join |
| | 1 1.30% don't know how to join, and don't feel welcome to join |
1
1
1
1.30%
1.30%
1.30%
1.30%
Family illness at the time. I can now be more involved.
Had other commitments in a different city health issues
I can't remember why.
Q35. What other programs or services would you like to see offered by our office to serve Carolina family members? (Check all that apply)
| Count Percent |
|---|
| 1 0.55% . |
| 1 0.55% 2nd child so we don't need to get involved in UNC activities. I'm an alum so I would get involved thru that association |
| 1 0.55% A big school is tough to navigate. My student is on the ball but it has been difficult to make sense of finding an Adviser, Summer Programs and registration is always a challenge to say the least! |
| 1 0.55% advocate for low tuition, full funding of UNC to legislators |
| 1 0.55% After student is admitted it would be nice to receive specific targeted emails about one or |
0.55%
two subjects of interest to parents/family so that we can get informed and involved prior to coming to the school.
all set
1
0.55%
Am hosting a send off for Dare County
0.55%
on the Visitor's Bureau, as well. I can easily get to Chapel Hill as we are only 30 minutes away.
I am happy to be supportive in any way I can but live 7 hours away
1
0.55%
I am happy with the amount of involvement currently. I really appreciate what UNC New
| 1 0.55% I am interested in learning about the parent council |
|---|
| 1 0.55% I am interested in serving in any way that would benefit the university. |
| 1 0.55% I am involved as I want to be consistent with the wishes of my student |
| 1 0.55% I am not able to get more involved at this time. |
| 1 0.55% I am not interested in having a PTA/PTO type of experience with my college student. College is not high school. I would just want to be involved with some community or service events that the school does in NC. I don't want to bake brownies or go to fundraisers. |
| 1 0.55% I am not sure of the opportunities that are available. I would like to help students that are looking for faith-based activities on campus. The buses do not run on Sunday morning, and it is just really hard to know how to get involved in a church there. It would be so helpful for the students to find a faith family at college. |
| 1 0.55% I could help with translations to Italian and French. If I know about different events, I would take the time to travel and attend |
| 1 0.55% I do not think a financial contribution should be required to serve on the Parent's Council. |
| 1 0.55% I don't care to be involved. Work a lot and have other priorities. Son is independent and does not need my help. |
| 1 0.55% I don't feel as if parents need to be involved at all. This is the students college experience not the parent. |
| 1 0.55% I feel that I am pretty involved since we have 2 children at UNC. |
| 1 0.55% I felt like the opportunities are there but based on the fact that we live so far away, its just not viable. I felt like the orientation weekend answered all of my questions and I really don't feel the need to be involved in any other sort of way. |
| 1 0.55% I had. It concerns or issues with the communication and disimination of information from UNC with my first child that graduated in 2016. My second child deferrred her freshman year last year to do Global Gap with UNC which has been a wonderful opportunity. But because of her being at Global Gap we are not getting the same amount of welcoming information as we did last year for what would have been her freshman year. In addition there are a lot of details that are not worked out for Global Gap students as it relates to UNC issues not Global Gap issues. One small example would be that my. Daughter received the CCI grant. I was the first Global Gap parent to call and ask if she could get her computer before leaving for Global Gap. No one knew the answer and after a week or so we were told no she had to be enrolled in classes. At some point several other parents called that also got the award and they changed the answer to yes and allowed the other students to go ahead and get their computer. I realize few people are going on Global Gap and also receive the CCI grant but I do think that INC needs to look closely at some of the road blocks for Global Gap students and have plans in place to accommodate . Thank you |
| 1 0.55% I need to visit the campus and my daughter more. The first year flew by! |
| 1 0.55% I plan to join the Parent Council. |
| 1 0.55% I plan to just let my child get involved. |
| 1 0.55% I think that my daughters sorority did a fantastic job incorporating parents into the Carolina community. More social and cultural events for families, like chi o did, will translate into financial loyalty. |
| 1 0.55% I think there needs to be a liaison for new Carolina Parents, we were so excited to have our first child attend UNC, but navigating the system was difficult and our first impressions of UNC were tarnished after several first experiences with the University. |
| 1 0.55% I would especially welcome anything to be helpful to my out of state student. |
| 1 0.55% I would have liked more as an out of state parent, like a separate workshop/meeting at orientation. |
| 1 0.55% I would like more information on special events on campus. |
| 1 0.55% I would like to be a part of campus activities |
| 1 0.55% I would like to be able to visit the campus more often and get just more involved with the school itself and helping others if possible. |
0.55%
I would like to be more aware of support serices for students. We had a medical incident this was hospitalized.Neither academics nor counselling were helpful.
year and it was very hard to find support/advocacy for my student at a difficult time while he
1
0.55%
I would like to feel involved as a black mother. I feel intimidated around you all
| 1 0.55% I would like to know of service opportunities that I can help with. |
|---|
| 1 0.55% I would like to see my alma mater do a better job with interaction and communication with Parents. We have another child who attended the USC in Columbia and found that their communication and activities were more frequent and deeper than ours at Chapel shill. As a UNC Alumnus as well as my wife we were disappointed inwhat we have been receiving from Chapel Hill |
| 1 0.55% I would love a talent show of some sort of all your teams there specifically for parents to come and be a part of it. My daughter is on a dance team and did one performance in the quad which I couldn't come and see. I would love to see your talent show off their skills to their own home city. |
| 1 0.55% I would love to be involved as a committee member or volunteer |
| 1 0.55% I would love to come to the parents council meetings. I wonder if there is a way to allow Parents who are giving over a certain level to UNC to be included? |
| 1 0.55% I would love to see a comprehensive list of volunteer opportunities for parents. |
| 1 0.55% I would love to volunteer but my schedule is so packed it is hard to find the time. |
| 1 0.55% I wouldn't. UNC is my children's school, not mine. Participating in UNC parent's organizations and events seems a bit "helicopter parenting" to me. My sons have been happy with their parents lack of participation. This also goes for another son at Duke. We were involved in grade school and high school. College is where we cut off the parental participation other than to make donations and attend sports or awards events that involve our kids. |
| 1 0.55% I wouldn't. My daughter is graduating. |
| 1 0.55% I'd just like to know if my kid was in trouble, academically or lifestyle-wise, before they bombed a semester and set themselves up for a negative, failing experience |
| 1 0.55% I'd like to be able to attend parent meetings remotely. Or, to be able to view a tape of important meetings which reside on a password protected area of the school's website |
| 1 0.55% I'd love to volunteer if possible - but we live out of state. I'd like to be involved in other events or activities for students and would, if given enough notice, fly down to participate |
| 1 0.55% I'm in Seattle so I cannot be as involved as I would like. However, I was going to attend the family weekend this year, but it was pushed out and my daughter is not ok with me coming that close to midterms. :( |
| 1 0.55% I'm not sure I am able timewise to be involved any further. I live out of state. |
| 1 0.55% I'm open |
| 1 0.55% I'm really concerned about the drinking on the campus especially at the fraternities. |
| 1 0.55% If we are able to relocate, we would love to get involved. Please let us know some opportunities as we have two younger children who love the campus activities as well |
| 1 0.55% In every way possible! I think it's really cool to guide the freshman class when they are having orientation!!! |
| 1 0.55% info on joining parents council. Smaller, more focussed events. |
| 1 0.55% It is very hard do to the distances involved |
| 1 0.55% It would be nice to have programs for out of state families. We have unique issues such as hotel needs and a lack of local friends and contacts. |
| 1 0.55% Living S far away as we do, I'm not sure I would be able to. |
| 1 0.55% Looking forward to continued involvement! I am considering Parents' Council--it's costly along with out-of-state tuition. I have been pleased with your office's programming. Thank you for all you do, Jane Gulley, mother of Blythe Gulley, UNC 2020 (Knoxville, TN) |
| 1 0.55% Love to be on a parent council and more involved. |
| 1 0.55% Maybe |
| 1 0.55% maybe parents council, smaller more focussed events (non-sports related) |
| 1 0.55% More accessibility for out of state |
1
1
1
0.55%
0.55%
0.55%
0.55%
More communication
More communication should be there telling about the performance of the student
My daughter just graduated, so I have cycled out.
My son graduates next week... so not sure how to answer that one!
1
1
0.55%
0.55%
0.55%
event to meet professors, etc.
Parents Council
Parents' Council perhaps, however, I live in New York
| | 15 8.38% 1988 |
|---|---|
| | 10 5.59% 1989 |
| | 19 10.61% 1990 |
| | 1 0.56% 1990 and 1993 |
| | 10 5.59% 1991 |
| | 3 1.68% 1992 |
| | 3 1.68% 1993 |
| | 1 0.56% 1993 - Husband |
| | 2 1.12% 1994 |
| | 4 2.23% 1995 |
| | 1 0.56% 1996 |
| | 1 0.56% 1997 |
| | 1 0.56% 1997 (Cont Ed Diploma in Executive Leadership) |
| | 1 0.56% 2011 |
| | 1 0.56% 71 |
| | 1 0.56% 84, 86 |
| | 1 0.56% 87'. / 89' and 92' |
| | 1 0.56% 88 |
| | 1 0.56% 92, 97 |
| | 1 0.56% Attended 1980 |
| | 1 0.56% Dad alum 2007 |
| | 1 0.56% Father UNC law 1981 |
| | 1 0.56% Husband i |
| | 1 0.56% I was accepted in 1977 but lived in Germany and was too afraid to attend so far from home |
| | 1 0.56% MA -- 1996 |
| | 1 0.56% Med School '87 |
| | 1 0.56% Med school 1995 |
| | 1 0.56% UNC Medical School-1981 |
| 729 80.29% No | |
| 908 Respondents | |
|
The Application of Genetic Programming for Drug Discovery in the Pharmaceutical Industry
EPSRC RAIS Secondment with GlaxoSmithKline
4 July 2002–30 September 2003.
W. B. Langdon and B. F. Buxton
Computer Science, University College, Gower Street, London, WC1E 6BT, UK email@example.com firstname.lastname@example.org http://www.cs.ucl.ac.uk/staff/W.Langdon
24 November 2003
1 Background and Context for the Secondment
This Individual Grant Review (IGR) reports on EPSRC Research Assistant Industrial Secondment (RAIS) grant GR/S03546/01, which enabled Dr. W. B. Langdon to collaborate closely with GlaxoSmithKline (GSK), mostly by working at their research laboratories in Greenford, Middlesex. This RAIS project's primary purpose has been to disseminate research results from the UCL Computer Science department's EPSRC funded Faraday INTErSECT project GR/M43975 into a UK Industrial setting, specifically one of the primary collaborating partners, GSK. Dr. Langdon was the Research Assistant employed by the Faraday project from May 2000 until its successful conclusion.
The INTErSECT Faraday project was very successful with an outcome rated as "internationally leading" in research quality, "tending to internationally leading" in research planning and practice, and "tending to outstanding" overall. In particular, we had [1], by means of the efforts of the research fellow, Dr. W. B. Langdon, in close collaboration with the enthusiastic and extensive support of the industrial sponsor, Dr. S. K. Barrett, not only been able to develop a method of classifier fusion by genetic programming, but to demonstrate its potential for application to large scale problems of industrial interest.
1.1 Work completed for GSK
The genetic programming code used on the Faraday project was "industrialised". This included porting to IBM PC, SUN C++ and DEC ALPHA and features to make it easier to use such as: packaging code, documentation including powerpoint slides and worked examples, speed up, as well as debugging. Major extensions were made to support DNA chip and SNP data. 8 releases where made. The code and documentation is available via ftp://cs.ucl.ac.uk/genetic/gp-code.
In addition to improved documentation, we held several in house (GSK) one-on-one training sessions covering both genetic programming in general and the specific code. Mostly these were held at Greenford. However there were also telephone conferences augmented with PC network
connections "net-meetings", particularly between Greenford and Philadelphia. A meeting was held in Philadelphia.
A number of powerpoint slide packs describing GP and specific experiments were produced and distributed within GSK via the Data Exploration Sciences (DES) group internal web pages. A number of presentations were given within GSK both at Greenford and also Harlow and Stevenage, e.g. to Statistical Sciences Europe and to the Computational And Structural Sciences (CASS) cheminformatics group, as well as meetings with GSK's Research Statistics Unit. The CASS group held a blind trial in which a number of practising cheminformatics groups within GSK where invited to predict biochemical activity using their favourite machine learning technique. We were one of two external groups who were also invited. The GP evolved model was the best of 12 submitted at predicting the holdout set, marginally improving over the existing production system. The organisers are in the process of completing a write-up of the complete workshop [2] while a description of the GP specifically can be found in the CEC-2003 conference [3].
As with any research project, we have also disseminated research results via seminars (cf. Section 5.1) conference presentations and journal papers. These, plus work initiated during the Faraday project, are listed on the IGR form.
1.2 Problems Analysed
* High Throughput Screening (HTS) P450 measurement
* P450 IC50 measurements (cf. CASS blind trial)
* Human Bioavailability and Rat Bioavailability
* DNA chip gene expression datasets (public domain and GSK internal).
* Single Nucleotide Polymorphism (SNP)
2 Project Plan Review
The original plan was for a 12 month secondment.
Additional funds from GSK, some from another fully industrially funded project [4] to which Dr Langdon has contributed expert knowledge and advice, and some contributed specifically for further work on the topics studied in this RAIS project, have enabled the secondment to run for an additional 3 months duration.
The objectives as listed on the accompanying IGR form for the transfer of the genetic programming expertise to the industrial partner, in particular, for classifier fusion were retained and all met, viz:
1. The identification and pursuit of on going and new applications. See Section 1.2 above. The first two items were activities under way during the INTErSECT Faraday project [GR/M43975], the last three are new activities initiated during this RAIS project.
2. To provide feedback on the system, and use this to guide further development and modification. See Section 1.1 above, in particular the "industrialisation", modification and enhancement of the genetic programming code, and participation in the GSK CASS blind trial and workshop. The workshop results are being written up for publication, led by the GSK staffwho organised the event.
3. In the long term, to indicate areas for further industrial development and for further collaborative research.
The DNA chip gene expression analysis is at an early stage, but the work carried out (see for example, Figure 1) indicates that there is scope for much further study in this difficult and important area as the microarray chips become ever more widely used, both in academe and in industry. The results of our work have not only been published as indicated in the accompanying IGR, but have also been presented to Biology groups working in the Bloomsbury area and in particular to collaborators in two of our Wellcome funded microarray projects [5, 6] respectively on the functional genomics of pluripotent stem cells and on integrating transcriptomics and structural data to reveal protein function. There is currently only one other significant group (in the USA) pursuing the application of genetic programming to the analysis of microarray chips [7]. Similarly, the results obtained in the bioavailability work and, especially, in the SNP work indicate scope for further work. For commercial reasons the SNP results have not been published.
GSK is an international company. While the secondment was mostly based in the United Kingdom, towards the end of the project Dr. Langdon also worked with GSK's research laboratories in Philadelphia. Visiting this site in USA once and otherwise liasing electronically from Greenford. Code written in the UK has been ported to ALPHA workstations and run in Philadelphia.
GSK have also provided on-the-job training for various aspects of this work, in particular with aspects of the work requiring Microsoft expertise that were unfamiliar to Dr. Langdon who is a very experienced user of unix systems.
The Company operate a strict firewall policy aimed at controlling access both to the Internet from inside GSK and into GSK from outside. This impeded access to data and email from UCL and GSK causing operational difficulties, a side effect of which was that W. B. Langdon had to decline the offer of being editor-in-chief for GECCO-2003. (GECCO is the leading international conference in the field of evolutionary computing.) The opportunity to host GECCO-2005 in London has also been missed.
3 Research Impact and Benefits to Society
GlaxoSmithKline is one of the largest pharmaceutical companies in the world (currently second largest), employing more than 100,000 people. It is a major UK industrial company. The drugs they make are used world wide. GSK's continued success depends upon its ability to discover new drug treatments. From this flows the obvious benefits to GSK's customers and the UK economy. Nonetheless, like any high tech research, drug discovery research remains a risky hit and miss business. The fraction of drug discovery projects which result in a marketable product remains very low. One of the major causes for the most expensive failures of drugs is rejection of trial chemicals due to toxicity, poor bioavailability, side-effects etc., which are only discovered late in the day. Computer based prediction of potential problems offer the hope of directing the drug discovery search away from expensive failure by giving some (albeit not 100%) guidance in the earlier stages. This would not only save money, but by focusing research effort in more productive areas, might increase the chance of finding successful drug treatments. We have shown that genetic programming (GP) can evolve such predictors for two specific areas of concern (P450 inhibition and bioavailability).
Data mining is being used in the pharmaceutical industry in many ways. For example, monitoring the in-use effectiveness of existing treatments, looking for patterns to explain or predict untoward events and looking for new opportunities to re-use existing drugs in new ways. GP is one of a range of techniques that can be used.
There is an opportunity in bioinformatics to use data mining techniques to exploit very high dimensional datasets now being produced in increasing numbers due to the success of DNA chip and spot gene expression measurements and Single Nucleotide Polymorphism (SNP)
measurements. Such high dimensionality offers a challenge to existing data mining techniques, particularly as there is often few examples, for each gene/base measured. Initial experiments (both on DNA and SNP datasets) suggest a way of using GP to perform feature selection in very high dimensional datasets and to yield predictive models.
In addition to using GP in pharmaceutical applications, fundamental research into theoretical underpinnings of GP and programming has continued. Results have cast light on existing ad hoc heuristics.
In addition, as indicated in the INTErSECT Faraday project report [1], we have, with the assistance of Dr Suran Goonatilake, one of the founders of Searchspace, been exploring the potential for setting up a company. Plans have been discussed with our GSK collaborators and discussions have taken place with several venture capitalists: MVM Limited, Atlas Venture, the Wellcome Development fund administered by Catalyst, and with Partnerships UK. The initial plans involved also Professor David Jones, head of our new Bioinformatics Unit, but feedback from the venture capitalists and other advice suggested that a medical target might be appropriate. Results of research carried out with the assistance and advice of leading biological and medical researchers within UCL and the Bloomsbury area to identify the best opportunities for such a company and selection of the optimal first target areas for commercial work support this conclusion. Chris Boshoff, Professor of cancer medicine at UCL, has thus joined the team in place of Professor Jones and a business plan is currently under consideration by two funds.
4 Explanation of Expenditure
The project was funded for 12 months by the EPSRC at a cost of £36.4k. Additionally GlaxoSmithKline (GSK) have provided two additional sources of funding as mentioned above.
There was a gap of a few months between the end of the Faraday project and the start of the RAIS project. During this period Dr. Langdon was fully funded by an on going but separate research contract between University College and GSK. Together, these amounted to 3 months additional full time funding.
Secondly GSK provided space, full access to their research facilities and GSK stafftime amounting to an indirect contribution in excess of £40, 500. Additionally GSK provided Dr. Langdon with a "salary top-up" and contribution to travel and conference expenses in excess of £7000.
Finally the UK charity EvoSolve (which supports research and higher study concerning the use of advanced software technologies) provided a publication support grant of £150 (for the EvoBIO publication).
5 Further Research or Dissemination Activities
The RAIS project's major activities, publications and presentations are available via the Internet from the projects home page http://www.cs.ucl.ac.uk/staff/W.Langdon/gsk.html.
5.1 External Project Presentations
In addition to various presentation etc. within GSK and presenting conference papers (see list of publications on IGR form) the following talks or presentations have been delivered or are planned.
* British Computer Society, central London branch, 12 Feb 2004.
* Seminar, Kent University, 2 Feb 2004.
* Invited talk, European Workshop on Data Mining and Text Mining for Bioinformatics, Dubrovnik, Croatia, 22 September, 2003.
* Seminar, Essex University, 20 August 2003.
* BioGEC'2003 workshop, Chicago, 12 July 2003.
* Transferring Computer Science Research to Mining DNA chip Protein Expression. Talk and poster presentation at the EPSRC MIPNETS network, Liverpool 25-27 June 2003.
* Seminar Colorado State University, 19 May 2003.
* Invited talk PRCVC Prague, April 2003.
* Seminar, University of Chile, Dec 2002.
* Invited talk Hybrid Information Systems, Santiago, Dec 2002.
* Invited talk IBERAMIA, Seville, Dec 2002.
* Seminar, CWI (Dutch National Centre for mathematics and computer science research), 24 Oct 2002.
* Knowledge Discovery meets Drug Discovery, Leuven, 23 Oct 2002.
* BNAIC, Leuven, 22 Oct 2002.
Many of the slides are available online via the project world wide web page Project WWW page http://www.cs.ucl.ac.uk/staff/W.Langdon/gsk.html
References
[1] B. F. Buxton, S. B. Holden, and P. C. Treleaven. Intelligent data analysis and fusion techniques in pharmaceuticals, bioprocessing and process control, October 2002.
[2] Sandeep Modi et. al. Journal of Medicinal Chemistry, 2004. In preparation.
[3] W. B. Langdon, S. J. Barrett, and B. F. Buxton. Predicting biochemical interactions – human P450 2D6 enzyme inhibition. In Proceedings of the 2003 Congress on Evolutionary Computation CEC2003, pages 1340–1347, Canberra, 8-12 December 2003. IEEE Press.
[4] D. T. Jones (PI) and B. F. Buxton, November 2001. Research funded by GSK (G2558, overall value £143,984).
[5] D. H. Beach et. al. Functional genomics of pluripotent stem cells and their progeny, February 2002. Wellcome grant (overall value £5,119,123).
[6] C. Orengo et. al. Integrating transcriptomics and structural data to reveal protein functions, August 2002. Wellcome grant (overall value ≈ £800, 000).
[7] Jason H. Moore, Joel S. Parker, Nancy J. Olsen, and Thomas M. Aune. Symbolic discriminant analysis of microarray data in automimmune disease. Genetic Epidemiology, 23:57–69, 2002.
[8] Scott L. Pomeroy, Pablo Tamayo, Michelle Gaasenbeek, Lisa M. Sturla, Michael Angelo, Margaret E. McLaughlin, John Y. H. Kim, Liliana C. Goumnerovak, Peter M. Blackk, Ching Lau, Jeffrey C. Allen, David Zagzag, James M. Olson, Tom Curran, Cynthia Wetmore, Jaclyn A. Biegel, Tomaso Poggio, Shayan Mukherjee, Ryan Rifkin, Andrea Califanokk, Gustavo Stolovitzkykk, David N. Louis, Jill P. Mesirov, Eric S. Lander, and Todd R. Golub. Prediction of central nervous system embryonal tumour outcome based on gene expression. Nature, 415:436–442, 24 January 2002.
|
Inviting Organization
evolution is now and open space
The following pages are reprinted from a collection of stories and resources that are shared freely as a browsable 'online book' at www.michaelherman.com .
Please email any comments or questions to Michael Herman at mailto:firstname.lastname@example.org .
Thank you, and enjoy!
© Copyright 1998 Uwe Weissflog. All Rights Reserved.
Please do not reprint or distribute without permission and full attribution, including web address ( www.michaelherman.com ) and complete copyright notice. Permission will be granted gladly if you'll just say what you'd like to copy and where you'd like to share it. mailto:email@example.com .
Strategic Conversation as the Means for Organizational Change
A Case Study by Uwe Weissflog
Uwe Weissflog and his work are a rare combination of personal authenticity, academic rigor, and business success. His story is the most open, objective and insightful report I've ever seen on the inter-weaving of a variety of process interventions, over the long haul, in one organization. What follows here is an edited excerpt of Uwe's original
Uwe and I met at the 1997 Open Space training workshop in Chicago. On the second evening of the workshop we stayed up until something like 3:00 am. It was strategic conversation about strategic conversation! ...as we began to wrap words around this notion of strategic conversation as the means for organizational change.
What follows is a story about asking big questions, engaging the whole organization, and beginning to explore this style I call "post-and-host" -- in a real, corporate and scientific organization. As a result of their work, Uwe and his organization, Structural Dynamics Research Corporation (SDRC), are recent recipients of the Soaring with the Phoenix Award, given by author Jim Belasco, for excellence in organization transformation and rebirth.
Uwe was trained as an engineer and evolved into SDRC's Manager of Strategic Planning and then into Director of Organization Development. He continues to sheperd the worldwide unfolding of this story at SDRC, currently as their "Vice President of SPACE." He welcomes your thoughts on this story and would be glad to bring you up to date on what they've been learning most recently at SDRC.
.
Contact him at mailto:firstname.lastname@example.org
"Every person is a particular kind of leader, no leader is a particular kind of person" [ancient Chinese proverb, adapted]
Abstract
This paper describes the struggle of SDRC a leading global supplier of Mechanical Design Automation (MDA) and Product Information Management (PIM) solutions, to authentically express itself in the markets it serves. The case study is based on the experience gained over a period of four years. Since 1995, various approaches have been used to create a vision of "who we are and where we are heading". This vision had to serve at least two purposes, to be of value to our customers and to enable the members of the organization to develop a clear sense of purpose and direction. The organization assimilated ideas it could digest and rejected those that were too radical. Gradually, the company developed a clearer image of its identity and direction, congruent with the dramatic changes that happened in its markets.
Processes and methodologies that proved to be most successful were based on common sense and unorthodox thinking. The pace of change in the company's markets required an approach that was different from traditional strategic planning. The idea of "the plan" was replaced with "Strategic Conversations"; i.e. the ongoing quest to find answers to several key questions:
* Why are we in the business we are in?
* Where do we want to be in the future?
* Where are we today?
* How do we operate today?
* How will we operate in the future?
Openness, large scale group participation, and a systemic view of the company and its environment proved to be valuable elements in this ongoing quest. Emerging parts of the collective identity include, a better understanding of our core competencies, the capability to see reality as a collection of diverse views, and the awareness of the power of alignment. These shifts in consciousness help us to accept who we are and what we are changing into.
Introduction
How it all started
Early 1995 was a gloomy time in the history of the company. Within weeks, our stock price fell to below $4, reflecting a loss of shareholder value of more then 80% in less than 12 months. Financial overstatements caused a crisis resulting in drastic consequences:
* A set of layoffs
* Dismissal of the CEO and part of the executive team.
* Suspension of the company 401K plan contributions
At the same time, the flagship product of SDRC, a complex offering of mechanical design, analysis and manufacturing software, experienced severe quality problems. For the first time in its 25-year history the company experienced a real threat to its existence.
This threat proved to be the beginning of a new era at SDRC. Since 1995, the company has started six strategic initiatives to find a path into its future. The author was intimately involved in all six, either in a leadership role or as a facilitator. Two of the six initiatives are described here.
Where we are today
The key learning of the past four years is the insight, that by simply staying in these conversations, the company is changing. These conversations enabled awareness of key organizational needs, such as balance of short and long-term demands, reconciliation of internal innovation aspirations with external market pressures, and fusion of stability and risk-taking, to emerge. This awareness enabled the company to gradually change. No single conversation has introduced these changes; they came about because of the repeated and ongoing inquiry into these issues. Staying in conversation seems to have made the difference.
Two Stories of Strategic Conversation at Work
SDRC's Strategic Management Process (SMP) was a corporate business strategy initiative based on a process developed internally. SMP included insight from a variety of sources among them strategic planning, business, leadership, science and philosophy. The Customer Council for Strategic Direction (CCSD) brought together key customer executives, industry leaders, academe, and the company's executive management team to jointly talk about the future.
STORY #1: Strategic Management Process (SMP)
In 1997 we decided to explore the world of strategic planning more thoroughly before any initiative was started. We considered various sources to better understand "strategy," among them:
* Roughly 60 books on strategy, covering a wide span from ancient strategic thought to recent understanding of strategy.
* We also looked at processes and methodologies used in strategy development, in particular processes with an underlying holistic approach.
* Theme searches on the world-wide-web with focus on consultants and their methodologies in the areas of strategy and organizational development.
* Large scale group interventions including Open Space Technology (Owen, 1992), Systems Thinking (Senge, 1994), the Future Search Conference Model (Weissbord, 1995) and Servant Leadership (Greenleaf, 1983).
Eventually, a set of key questions formed the underlying basis of SMP, relating to:
* WHY are we in the business?
* WHERE do we want to be in the future?
* WHERE are we today?
* WHAT are the opportunities?
* HOW do we react to gaps between actions and plans?
* HOW do we seize the opportunities?
The SMP process was designed for and used by the corporate strategy team, which was composed of the CEO, his executive team, and some key business and technology professionals. This small group, except for the Environment Scan, carried out all SMP process steps. The result of SMP was a set of documents that covered the territory described in the list above.
The SMP Environment Scan, the key event to gather information about the company's internal and external environment was conducted as a two-day Open Space event in which 85 people participated. This event was structured around the following inquiry:
* The key question: "What do we know about us and our environment today and where do we want to be in the future?"
* Twelve questions, developed by the executive team in a smaller Open Space prior to the Environment Scan
After sharing this framing in the opening ceremony, the event followed the principles and laws of Open Space. The initial twelve questions were expanded to eighteen and the group self-organized into smaller groups to answer the questions (listed here).
Questions with internal focus
* What are our weaknesses?
* What competencies will we need in the future?
* What are our strengths?
* What are/will be our sustainable competitive advantages?
* What is obvious? (No-brainers actions)
* How will we attract/retain the employees and talent we need?
* How do we decide what customer to listen to for direction and how do we listen and respond?
* How can we pro-actively leverage a combination of our product lines?
* How do we increase positive corporate visibility?
* Which management system/structure is conducive to our success? How do we use organization to achieve business success?
Questions with external focus (customers and markets)
* What will our customer software needs be in the future?
* What solutions will our customers need in the future?
* What challenges will our customers face in the future?
* What are the emerging trends that will impact our future?
* What are potential threats to us?
* What will the competition be in the future?
* Who are our future customers?
* What are the adjacent market spaces/products we might add?
During the Environmental Scan event, each group documented its results in a very simple form and presented them to the entire group at the end of each day. By the end of the event a 120-page document was created and made available to all participants within 24 hours. Within two days, the group had covered a wide area of concerns, covering both internal and external areas. The document is still a valuable resource today. Its usefulness would even be higher, had customers, industry analysts and others taken part in its creation.
Later, SMP created implementation plans and spelled out ownership. It did this, in part, because all formal process owners, i.e. Product Development, Sales, Marketing, Human Resources, etc. participated from the beginning. Several results of SMP, such as a better understanding of the structure of our markets and corporate focus on certain industry segments, were readily accepted.
Partial success also can be claimed for linking the financial goals developed during SMP with the actual Annual Financial Plan. One big success was probably the marketing and image campaign that resulted from a deeper understanding of how much the company was really known (and unknown?) in its environment.
Other factors played a role, too. Again, action happened because the results of SMP complemented what the formal organization was also discovering on its own. Both sides compounded the need for action, and therefore something happened.
STORY #2: Customer Council for Strategic Direction (CCSD)
In early 1998 the company took a real leap of confidence. For the first time we opened the conversation about the future of our markets and ourselves to the participation of customers, academia and close business partners. A formal business event combined with Open Space provided the framework. The latter was imbedded inside the formal meetings with the intent that both forms would not interfere with each other. Two days of the threeday event were totally dedicated to Open Space. Only the Open Space event will be described here.
As is the case in all Open Space events, there was no preset agenda, except for a trigger question. The question The Future Role of Information Technology in "Making and Moving" Digital Product Information; Local and Global Perspectives had been communicated in the invitation. After "opening the space", which included the explanation of the process, the agenda was created by the group in less than one hour. The group then self-organized in sub-groups, with all participants attending the sessions that they felt most passionate about. It is worth sharing that the group consisted of eighteen very senior industry leaders from around the world.
In the sub-group meetings, the observation work happened in multiple forms. Informal conversation, formal presentations of material that individual members had brought in anticipation of topics they wanted to talk about, and creative brainstorming were used at different times. The diversity of the groups enabled the creation of a rich web of information. This was further enhanced by the seniority of the CCSD members, ensuring that the groups addressed the key areas of today' business and technology challenges.
Each day we provided space to share results, insights and observations of the different subgroups. All sessions were recorded online using a laptop. This provided the opportunity to share the results with all attendees directly after the conference was over. We used a local overnight printing service to provide draft copies of the results.
The Learning Experience
Looking across all six of our strategic initiatives, the most puzzling experience in all initiatives was the fact that the implementation of the plans broke down during the action stage. Although something happened as the result of each of the major activities, the significant recommendations were never implemented. It is also impossible to state the success of the pieces actually implemented, because no consistent way of measuring was considered seriously by any of the plans. However, a few positive results can still be reported:
* Whenever the plan pointed to something that was already considered in the respective decision-maker's mind, it was used to reinforce momentum for this activity.
* At times, with no direct causal relationship to a specific strategic planning document, this knowledge would resurface, (sometimes named differently) and result in appropriate action.
* Whenever real insight and understanding was gained, independent of whether or not it translated into action, the new knowledge became part of the ongoing strategic conversation.
Another, positive effect, is the growing awareness throughout the organization, of the inconsistencies of plans and actions. The shared awareness of our repeated breakdown in the action phases has helped the company to be more aware of its weaknesses and the underlying causes. The expanding awareness is fuelled by an increasing corporate-wide desire to understand the environment and the company as clearly as possible. This search for the truth has surfaced several deeply rooted challenges and tensions that the organization continues to wrestle with, among them:
* Creating balance between the sales organization's tendency toward "being driven by customer demand" and the planning organization's attempts to "strategically directing one's own fate";
* The negative impact that collective memory loss and missing alignment have on market momentum.
* The understanding that organizational change can only happen based on individual change;
Being driven and directing one's own fate, balancing sales and planning
When the commitment of the sales organization to fulfill potential customers needs, even when the available product lacks some of the promised capabilities, consistently wins out over the commitment of the planning process/organization to independently determine longterm direction based on market understanding and creative innovation, it becomes a truly vicious cycle, preventing the organization from building the positive product momentum required for long-term success and survival.
At times, however, the momentum of the sales organization can save the organization from gaps in the long-term planning process. In early 1996, during the last meeting of the strategic planning process, all corporate support for the recommendations had faltered. No other strategic initiative was planned for 1996. But despite this unsatisfactory situation, the strong influence of an extremely large contract the sales side of the company had won in late 1995 propelled the company through 1996 and into the major leagues of our industry.
Fulfillment of this contract and operational excellence were of the utmost importance during that time. Fortunately, the expectations set by this contract were strongly aligned with the basic recommendations of the failed strategic planning process and strategy implementation became largely synonymous with implementing this contract. So where's the problem? Only that we did not fully appreciated this possibility and that, even today, we still struggle to accept our co-dependence on our markets and customers.
Individual and Organizational Change
It is a tragic illusion to assume that we can change others without changing ourselves. This misunderstanding seems to be related to a shift in the fundamentals of our thinking more than 300 years ago. The mechanistic view of the world, initiated by Newton and enforced by the industrial revolution of the 19th and 20th century, has created a mindset that separates planning from doing. This mental model, aided by specialization, contributes to an unspoken reality, where only certain people have to change, while others are exempt. But the emergence of knowledge work, distributed worldwide and linked in a network fashion, is challenging this model.
Any change in such a dynamic environment, where formal power and control are undermined by dynamic realities, will depend on voluntary, individual change first. One encouraging observation, across all six of our initiatives, is that this individual change actually does happen, when it is invited and given some space to unfold.
Momentum, Alignment, and Memory
Alignment is a prerequisite to build momentum and reduce friction. Alignment must be system-wide. Actions need to be aligned with plans and people need to be aligned with the organization's vision. One very positive experience of alignment was the annual kick-off event in 1996, where the possibility for momentum emerged out of the consistency of the presentations, reinforcing the theme that previous strategic planning efforts had brought to life. Unfortunately this event was a rare exception.
Happy Endings
All of this said, we should not forget that true learning and change also took place. Gradually, in each initiative the number of action steps actually implemented, increased. Shared insight and understanding started to appear throughout the company.
Our journey over the last four years can be described as evolutionary, moving from the hierarchical model of management making plans and employees executing them, to a more participatory model, where plans and actions are done by the people based on knowledge and not on formal status. This is consistent with organizational trends observed in highly successful companies in many knowledge-driven industries. In particular the following insights that shape the ongoing strategic conversations are encouraging:
* The diversity of environment and organization is best captured if the whole system participates in the observation stage.
* Insight gained while the whole system is present has the potential to become part of the organization's culture. This makes resistance to follow-on plans and actions less likely.
* Any constraints put on the observation stage results in bias. Automatically these biases work like filters further reducing the capability to see what really happens.
The experience of the past four years is changing the way we think about what is important to sustain our organizational existence. Changes, impacting our corporate identify, seem to emerge in several areas, among them:
* A shift from technology-centric to market-centric thinking.
* A broadening of our value system, from individual contribution to team (collective) contribution.
* An understanding of interdependence, within the organization and between the organization and its environment
In summary, we are in a state of change. We are embracing the needs of our markets, and allowing those needs to guide our innovative spirit. We are broadening what we value, adding team recognition to the existing focus on individuals. We are developing an understanding for interdependence, within the organization as well as between the organization and its environment. And finally, we are realizing that we can not walk away from our own insights. By keeping the conversations about our identity and our future alive, actual change is happening. This is not a bad place to be.
© Copyright 1998 by Uwe Weissflog. mailto:email@example.com
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Immunoglobulin Levels and CD4 / CD8 Counts in βββββ – Thalassemia Major
PP KADAM, MV MANGLANI, SM SHARMA, RA SHARMA AND MS SETIA
From Department of Pediatrics, Division of Pediatric Hematology-Oncology, Lokmanya Tilak Municipal Medical College and General Hospital, Sion, Mumbai, India.
Correspondence to: Dr Mamta Manglani, Professor & Head, Pediatrics, Chief, Division of HematologyOncology, Lokmanya Tilak Municipal Medical College & General Hospital, Sion, Mumbai 400 022, India. email@example.com Received: March 13, 2014; Initial review: June 19, 2014; Accepted: October 01, 2014.
Objective: This cross-sectional study determined the CD4, CD8 counts and serum immunoglobulins in transfusion dependent β - thalassemic patients, and correlated them with anti-HIV, anti-HCV and HBsAg status, number of transfusions, iron overload and splenectomy. Methods: Patients with acute or chronic diseases (except HIV, Hepatitis B and C), on immunosuppressive drugs or vaccinated within one month prior to study were excluded. CD4, CD8 counts and serum Immunoglobulins were documented. Results: Increasing transfusions led to higher IgA and IgM as well as a decline in CD4 and CD8 levels. Higher ferritin correlated with high IgM. CD4, CD8 and IgA were significantly higher in splenectomized subjects. HCV correlated significantly with lower IgA values. Conclusion: Higher transfusion requirement, iron overload, splenectomy and HCV infection correlated with alterations in different immunological parameters.
Keywords: Immunity, Iron, Transfusion.
Advances in transfusion regimens and iron chelation therapy have improved the quality of life as well as life-expectancy of transfusion-dependent thalassemics. Nevertheless, this has led to disclosure of several newer complications such as immunological alterations causing increased infections. Several studies have found infections to be the second commonest cause of death after heart failure in thalassemia [1-3]. This has been attributed to various immunological abnormalities. Factors that might lead to these abnormalities include iron-overload, splenectomy, Desferioxamine, exposure to allogenic antigens in blood, immunosuppressive viruses, and liver damage following hepatitis. The disease itself does not seem responsible as nontransfusion dependent thalassemics do not exhibit similar immunologic changes [4]. The current study was therefore designed to study the CD4 and CD8 counts, and immunoglobulin levels in multi-transfused patients with β–thalassemia.
METHODS
This was a cross-sectional, observational study conducted at a tertiary care hospital between July 2010 and June 2011. All patients with transfusion-dependent βthalassemia were included. Those with any acute/chronic illness or infection (excluding HIV, Hepatitis B and C) and who had received any vaccinations or immunosuppressive medications including steroids, hydroxyurea etc. during one month prior to enrolment were excluded.
History and examination including number of transfusions, chelation, signs of iron overload, and splenectomy-status was noted. Apart from routine investigations, anti-HIV antibody, HBsAg, anti-HCV antibody and serum ferritin were performed. Mean pretransfusion hemoglobin, and yearly packed red blood cell requirement were calculated. CD4, CD8 levels and Serum IgG, IgM, IgA levels were analyzed using standard methods at National Institute of Immunohaematology (NIIH), ICMR, Parel, Mumbai. Institutional Review Board approval was obtained.
The CD4, CD8 and immunoglobulin levels were compared with age-matched normal values [5,6]. Statistical analysis was done using Chi-square test, Fisher exact test, Student's t-test, correlation co-efficient and linear regression models.
RESULTS
Data from total of 100 patients (60 males) were analyzed. The mean (SD) age of the subjects was 10.9 (5) years. Nineteen, 56 and 25 patients had low, normal and high CD4 values, respectively. CD8 counts were normal in 69, low in 11, and high (abnormal) in 20 subjects. IgG levels were normal in 48 patients and high in 51 patients. Only 1 subject had low values. Ninety-three subjects had normal IgA levels while 4 and 3 subjects had low and high values, respectively. Ninety-five subjects had normal IgM levels. The remaining five had a high value. The mean (SD) number of transfusions received was 155.8 (81.44). There was a significant positive correlation between number of
transfusions and IgA (r = 0.2985) and IgM (r = 0.2637). Serum ferritin was available in 69 patients. The mean (SD) serum ferritin level was 4296.83 (2576.35) ng/mL. We noted increasing IgG (P>0.05) and IgM levels with increasing serum ferritin levels. The mean (SD) packed RBC requirement in the subjects was 171.9 (33.38) cc/kg/year. Results depicted a significant decline in CD4 (r = - 0.379) and CD8 (r = - 0.3659) counts with higher RBC requirement.
Two subjects each were anti-HIV and HBsAgpositive, whereas 34 patients were anti-HCV positive. A significant decrease in IgA levels was noted in those with anti-HCV antibodies (P = 0.048). Ten children were splenectomized. As shown in Table I, the CD4 (P< 0.0001), CD8 (P < 0.0001) and IgA (P = 0.01) levels were significantly higher in splenectomized subjects.
DISCUSSION
We found that higher number of transfusions increased the IgA and IgM significantly, whereas iron overload increased the IgM significantly. Low CD4 and high CD8 counts (abnormal) were observed in those requiring higher amount of packed red cells. CD4, CD8 and IgA were significantly higher in spenectomized patients. Low IgA levels were noted in those with anti-HCV antibodies.
The present study had some limitations. We evaluated only selected immunological parameters. Neutrophil functions, other lymphocyte subsets, IgD and IgE were not done. Moreover, serum ferritin was done only in 69 subjects.
Interestingly, low CD4 counts were observed only in 19 subjects, with high CD8 values in 20 subjects. This was contrary to published studies [7,8]. Twenty five of our subjects had unexpectedly high CD4 values. This has been described in a study by Nualart, et al. [9] to be due to functionally defective cells. Similarly, low CD8 count was another surprising finding. A description of L CD8 phenotype, wherein intrinsically these persons have a low CD8 count, has been described [10], and was likely the case here.
TABLE I CD4, CD8, IgG, IgA AND IgM VALUES IN SPLENECTOMIZED VS NON-SPLENECTOMIZED CHILDREN
All values in mean (SD); *P<0.005.
Evaluation of serum immunoglobulins revealed results differing from most previous studies, which have shown elevated levels of IgG, IgM and IgA [11]. Similar trend has been observed in other recent studies also [12]. This could be due to better chelation as well as leucodepleted red cell transfusions currently in use for thalassemic patients. With increasing number of transfusions, there was an increase in the levels of immunoglobulins,. It has been postulated that donor alloantigens lead to development of alloantibodies to the patients' RBCs, leading to conformational changes on the epitope of RBC antigens, thereby stimulating the formation of autoantibodies. Additionally, leucocyte antigens are an important source of immune stimulation [13-15]. Leuco-depletion, preferably pre-storage, is therefore imperative to reduce allo and autoimmunization in patients with thalassemia. Significantly higher CD4, CD8 and IgA levels in splenectomized subjects, as seen in this study have also been reported previously [8,16].
In conclusion, with appropriate transfusion and chelation therapy, the immunological alterations in transfusion-dependent children with thalassemia can be minimized, thereby preventing morbidity and mortality due to infections.
Acknowledgements: Dean, Dr Avinash Supe for permitting us to publish this work. Dr. Manisha Madkaikar and Snehal Mhatre, Senior Scientists, NIIH, Parel, Mumbai, for performing the various tests at NIIH, ICMR, Mumbai.
Contributors: PPK: conducted the study and drafted the manuscript; MVM: conceptualized and designed the study, guided through the study and finalized the manuscript with important intellectual inputs. She will act as guarantor for the study; SMS: helped in collecting and analysing data as well as drafting of manuscript; RAS: helped in designing the study and finalizing the manuscript; MSS: statistical analysis, interpretation of the data and revision of manuscript. The final manuscript was approved by all authors.
Funding: None; Competing interests: None stated.
REFERENCES
1. Borgna-Pignatti C, Rugolotto S, De Stefano P, Zhao H, Cappellini MD, Del Vecchio GC, et al. Survival and complications in patients with thalassemia major treated with transfusion and deferoxamine. Haematologica. 2004;89: 1187-93.
2. Ladis V, Chouliaras G Bedousi H, Kannavakis E, Kattamis C. Longitudinal study of survival and causes of death in patients with thalassemia major in Greece. Ann N Y Acad Sci. 2005;1054:445-50.
3. Chern JP, Su S, Lin KH, Chang SH, Lu MY, Jou ST, et al. Survival, mortality, and complications in patients with beta-thalassemia major in northern Taiwan. Pediatr Blood Cancer. 2007;48:550-4.
4. Pardalos G, Kanakoudi-Tsakalidis F, Malaka-Zafiriu M, Tsantali H, Athanasiou-Metaxa M, Kallinikos G, et al.
Iron-related disturbances of cell-mediated immunity in multitransfused children with thalassemia major. Clin Exp Immunol. 1987;68:138-45.
5. Shearer WT, Rosenblatt HM, Gelman RS, Oyomopito R, Plaeger S, Stiehm ER, et al. Lymphocyte subsets in healthy children from birth through 18 years of age: The Pediatric AIDS Clinical Trials Group P1009 study. J Allergy Clin Immunol. 2003; 112:973-80.
6. Aksu G, Genel F, Koturoðlu G, Kurugöl Z, Kütükçüler N. Serum immunoglobulin (IgG, IgM, IgA) and IgG subclass concentrations in healthy children: a study using nephelometric technique. Turk J Pediatr. 2005;47:19-24.
7. Grady R, Akbar A, Patricia J, Margaret W. Hilgartner, de Sousa M. Disproportionate lymphoid cell subsets in thalassaemia major: the relative contributions of transfusion and splenectomy. Br J Haematol. 1985;59:71324.
8. Dwyer J, Wood C, McNamara J, Williams J, Andiman W, Rink L, et al. Abnormalities in the immune system of children with beta-thalassaemia major. Clin. Exp Immunol. 1987;68:621-9.
9. Nualart P, Estevez ME, Ballart IJ, De Miani SA, Peñalver J, Sen L. Effect of alpha interferon on the altered T-B-cell immunoregulation in patients with thalassemia major. Am J Hematol. 1987;24:151-9.
10. Cunningham-Rundles S, Giardina PJ, Grady RW, Califano C, McKenzie P, De Sousa M. Effect of transfusional iron
overload on immune response. J Infect Dis. 2000;182: S115-21.
11. Kapadia A, Desousa M, Markenson A, Miller D, Good R, Gupta A. Lymphoid cell sets and serum immunoglobulins in patients with thalassemia intermedia: Relationship to serum iron and splenectomy. Br J Haematol. 1980;45:405.
12. Akbar AN, Giardina PJ, Hilgartner MW, Grady RW. Immunological abnormalities in thalassaemia major. I. A transfusion-related increase in circulating cytoplasmic immunoglobulin-positive cells. Clin Exp Immunol. 1985; 62:397-404.
13. Spanos T, Karageorga M, Ladis V, Peristeri J, Hatziliami A, Kattamis C. Red cell alloantibodies in patients with thalassemia. Vox Sang. 1990;58:50-5.
14. Singer ST, Wu V, Mignacca R, Kuypers FA, Morel P, Vichinsky EP. Alloimmunization and erythrocyte autoimmunization in transfusion-dependent thalassemia patients of predominantly asian descent. Blood. 2000;96:3369-73.
15. Chinprasertsuk S, Wanachiwanawin W, Pattanapanyasat K, Tatsumi N, Piankijagum A. Relation of haemolytic anaemia and erythrocyte bound IgG in alpha- and betathalassaemic syndromes. Eur J Haematol. 1997;58:86-91.
16. Pattanapanyasat K, Thepthai C, Lamchiagdhase P, Lerdwana S, Tachavanich K, Thanomsuk P, et al. Lymphocyte subsets and specific T-cell immune response in thalassemia. Cytometry. 2000;42:11-7.
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Conditional Asset Allocation under Non-Normality: How Costly Is the Mean-Variance
Criterion?
Eric Jondeau a and Michael Rockinger b, ∗
February 2005
Abstract
We evaluate how departure from normality may affect the conditional allocation of wealth. The expected utility function is approximated by a fourthorder Taylor expansion that allows for non-normal returns. Market returns are characterized by a joint model that captures the time dependency and the shape of the distribution. We show that under large departure from normality, the mean-variance criterion can lead to portfolio weights that differ significantly from those obtained using the optimal strategy accounting for non-normality. In addition, the opportunity cost for a risk-adverse investor to use the suboptimal mean-variance criterion can be very large.
Keywords: Volatility, Skewness, Kurtosis, GARCH model, Multivariate skewed Student-t distribution, Stock returns, Asset allocation, Emerging markets.
JEL classification: C22, C51, G12.
a Corresponding author. HEC Lausanne and FAME, Institute of Banking and Finance, Route de Chavannes 33, CH 1007 Lausanne-Vidy, Switzerland, e-mail: firstname.lastname@example.org, Tel: +41 (0)21 692 33 49.
b Same affiliation as E. Jondeau, e-mail: email@example.com, Tel: +41 (0)21 692 33 48.
∗Michael Rockinger is also CEPR. Both authors acknowledge help from the Swiss National Science Foundation through NCCR (Financial Valuation and Risk Management) as well as through the grant on "Multivariate modelling of asset prices using the information contained in transactions data". The usual disclaimer applies.
1 Introduction
To solve asset-allocation problems, the well-known mean-variance criterion proposed by Markowitz (1952) has provided very sensible results for a very wide range of situations. While some authors have argued that the expected utility function may be more appropriately approximated by a function of higher moments (Arditti, 1967, and Samuelson, 1970), early empirical evidence suggests that mean-variance criterion results in allocations that are very similar to the ones obtained using a direct optimization of the expected utility (Levy and Markowitz, 1979, Pulley, 1981, and Kroll, Levy, and Markowitz, 1984).
An explanation of the good performance of the mean-variance criterion reported in these papers may be that, although returns are non-normal, they are driven by an elliptical distribution, for which the mean-variance approximation of the expected utility remains exact for all utility functions (Chamberlain, 1983). In contrast, under large departure from normality, in particular when the distribution is severely asymmetric, Chunachinda et al. (1997), Athayde and Flôres (2004) and Jondeau and Rockinger (2004) show that the mean-variance criterion may fail to correctly approximate the expected utility. In such a case, a three- or four-moment optimization strategy provides a better approximation of the expected utility. 1
A limitation of this previous evidence is that it assumes constant investment opportunities while a huge literature has argued that asset returns have time varying moments. However, extension to a conditional asset-allocation, however, is much more difficult to implement. An avenue that has recently been followed by Ang and Bekaert (2002) and Guidolin and Timmermann (2003) use the Markov-switching approach. In such framework, the mean and variance of returns are allowed to vary over time as regimes change. Although the distribution of returns is conditionally normal, it provides a measure of the opportunity cost of assuming iid normal returns. Ang and Bekaert (2002) report several results of importance. First, the cost of ignoring Markov-switching is moderate, since it ranges between 0.1 and 1.3 cents per dollar per
1Jurczenko and Maillet (2001) investigate how the asset-allocation problem should be modified in cases where the conditional distribution of returns is characterized by higher moments.
year, depending on the model and the risk aversion considered. Second, the cost of using a myopic strategy is essentially zero, so that the multi-period investment seems to be irrelevant. It should be noted that while this approach is appropriate to investigate the consequences of time-varying first and second moments, it is less convenient for addressing the consequences of time-varying higher moments. The reason for this is that the relationship between parameters of the typical Markov-switching model and higher moments is very non-linear, so that the effects of the different parameters on the optimal asset allocation are in some cases difficult to disentangle (see Guidolin and Timmermann, 2003).
In this paper, we propose a solution to the asset-allocation problem when the joint conditional distribution of returns is non-normal and time varying. Modelling asset returns requires rather general distributions that are able to incorporate volatility clustering, asymmetry, and fat-tailedness features found in empirical data. Choosing a distribution whose characteristics are well known generally implies that either the distribution is too restrictive to fit the data, or that it cannot be easily extended to the multivariate context. The proposed framework is both sufficiently general to capture the main statistical features of market returns and remains tractable even when several assets are included. Volatility clustering is captured using a multivariate GARCH model with dynamic conditional correlation (DCC) (Engle and Sheppard, 2002). Higher moment properties are modelled using a multivariate Student-t (Sk-t) distribution (Sahu, Dey, and Branco, 2001). In addition, it provides a convenient setup for evaluating the opportunity cost of assuming joint normality of returns, while they actually strongly depart from normality. A clear advantage of this approach is that the properties of this distribution are rather well known, so that moments of returns can be computed analytically. Consequently, rather general asset-allocation problems can be dealt with, in real time, even with a large number of assets. The asset-allocation problem is solved using a high-order Taylor expansion of the utility function. The advantage of this approach is that, once the multivariate model has been estimated, portfolio weights can be computed in a very efficient way.
As an illustration of the proposed approach, we consider the conditional allocation of wealth between South-East Asian emerging markets. These markets are known to display very non-normal distributions that are inconsistent with the standard meanvariance criterion (Harvey, 1995). By using monthly observations covering the period from January 1975 to December 2003, we show that our model is able to capture the main characteristics of the market returns. In such a context, we find that the meanvariance criterion may result in an excessive risk taking and a significant opportunity cost, as compared to a strategy based on higher moments. For large levels of risk aversion, the opportunity cost may exceed 10 cents per dollar per year.
The outline of the paper is as follows. In section 2, we formulate our approach for modelling returns with a non-normal multivariate distribution. In section 3, we describe how the conditional asset-allocation problem can be solved in this context. We also demonstrate how portfolio moments can be computed in a very efficient way. In section 4, we present the data and discuss the result of the optimal asset allocation when investment opportunities are assumed to be constant. In section 5, we consider the case of time-varying investment opportunities and examine the consequences of using the mean-variance criterion under strong departure from normality. Section 6 concludes.
2 A multivariate model for returns
In this section, we describe a conditional set-up that incorporates most statistical features of stock market returns. First, it accounts for the well-known properties of volatility clustering (Engle, 1982) and time-varying correlations (Engle and Sheppard, 2002). Second, to capture both asymmetry and fat-tailedness often found in actual data, we adopt a multivariate skewed Student t (Sk-t) distribution. 2 This distribution has been developed, in a univariate context, by Hansen (1994) and studied by Jondeau and Rockinger (2003) and extended to the multivariate case by Sahu, Dey, and Branco (2001) and Bauwens and Laurent (2002). A nice feature of the distribution is that it is a straightforward extension of the normal and t distributions and that the associated parameters have a rather natural interpretation.
2The skewed Student t of Hansen (1994) differs from the density that is called a skewed Student t, in the statistics literature. Harvey and Siddique (1999) use the latter distribution.
Before describing the model, we adopt the following notations: Let Ri,t be the rate of return of asset i from time t − 1 to time t, in excess of the risk-free rate. Let µ i,t be the expected excess return of asset i conditional on information available at time t − 1. Then, εi,t = Ri,t − µ i,t is the unexpected return of asset i. We define Rt = (R1,t, · · · , Rn,t) 0 the vector of asset returns, and εt = (ε1,t, · · · , εn,t) 0 the vector of unexpected returns. σii,t is the conditional variance of Ri,t. σij,t denotes the conditional covariance between Ri,t and Rj,t. The conditional covariance matrix is denoted Σt = {σij,t}.
2.1 The multivariate DCC model
We begin with a formal description of the dynamics of the first two moments of the return distribution. This model is very closely related to the DCC model proposed by Engle and Sheppard (2002). It is designed to capture both volatility clustering and persistence in correlation. The conditional mean of returns is described as an AR(1) dynamic to capture the possible first-order serial correlation of returns:
where µ denotes an (n, 1) vector, whereas ϕ is a diagonal matrix. Each component of standardized residuals zt has zero mean and unit variance. zt is driven by a multivariate Sk-t distribution as described below. The conditional covariance matrix of returns is given by
where εt = Σ 1 / 2 zt denotes the vector of unexpected returns and ut = D − 1 t ε t denotes the vector of standardized unexpected returns. Equation (2) defines the covariance matrix Σt as a function of the univariate standard deviations contained in Dt and of the conditional correlation matrix Γt. Each conditional variance, σii,t, is given by a standard GARCH model (Bollerslev, 1986). 3 The constraint γ i + β i < 1 guarantees stationarity for the variance process. The correlation matrix, Γt, is time-varying, following the specification of Engle and Sheppard (2002). See equations (5) and (6), where diag(Qt) means the diagonal of Qt. ¯ Q is the unconditional covariance matrix of ut. We impose that 0 ≤ δ1, δ2 ≤ 1 and δ1 + δ2 ≤ 1. Once these restrictions on δ1 and δ2 are imposed, the conditional correlation matrix is guaranteed to be positive definite during the optimization.
2.2 The multivariate Sk-t distribution
Historically, the univariate Student t distribution was introduced as a way to model the distribution of the ratio of a normal variable and the root of a chi-square variable. Various extensions could be considered to extend the univariate t distribution to a multivariate one. One popular method is to assume that the χ 2 which appears in the definition of the t variable is the same for each component. It can be shown that this implies the same fat-tailedness for the different components, an undesirable feature for financial data. One may therefore pursue an alternative road by introducing
3We also investigated a model with an asymmetric effect of squared returns, as suggested by Glosten, Jagannathan, and Runkle (1993). For the data at hand, such an extension did not appear of relevance.
dependency of the various t variables via a covariance matrix. Obviously, the equality of the degree-of-freedom parameters can be tested in a second step.
We, therefore, now assume that zt is drawn from the multivariate Sk-t distribution defined as
where and
Focusing on a given component i, we notice that λi introduces an asymmetry to the standard univariate t distribution. Parameters ai and bi are required to center and scale the asymmetric distribution so as to obtain an error term with zero mean and unit variance. Each component has a well-defined distribution if νi > 2 and −1 < λi < 1. If λi = 0, the component reduces to the standard t distribution. If in addition νi < ∞, the component will have positive excess kurtosis.
Defining the rth moment of the non-standardized random variable z ∗ i,t drawn from the univariate Sk-t distribution as Mr = E £z ∗ r i,t¤, it has been shown by Jondeau and Rockinger (2003) that
Consequently, the moments of standardized random variables, zi,t = ¡z ∗ i,t − a i ¢ /bi,
are obtained, using the notation µ ( r ) i = E £z r i,t¤, as
Since zi,t has zero mean and unit variance, we directly deduce that the standardized skewness and kurtosis of zi,t are equal to S [zi,t] = µ (3) i and K [zi,t] = µ (4) i respectively. Therefore, skewness and kurtosis are directly related, in a non-linear way, to the asymmetry and degree-of-freedom parameters λi and νi.
2.3 The dynamic of higher moments
We investigate two alternative models for the dynamics of higher moments. In the first case, we allow for time-varying expected returns and covariances, while keeping higher moments constant. In the second case, also higher moments may vary over time. Such time variability in higher moments has also been analyzed more directly in Hansen (1994), Harvey and Siddique (1999), and Jondeau and Rockinger (2003). To model the parameters λi and νi we follow recent contributions. Considering the asymmetry parameter, Ang and Bekaert (2002) show that bearish and bullish markets tend to be persistent, suggesting that there may be some clustering in this parameter. Second, the lower the degree-of-freedom parameter, the higher the probability of extreme events in market returns. As argued by Das and Uppal (2004), such extreme events are not likely to be persistent. As a consequence, after a large shock, we expect a sharp decrease in kurtosis, so that the degree-of-freedom parameter will be negatively related to the size of shocks. Since νi,t may be close to infinity when the distribution is close to normality, for convenience we actually model the dynamics of 1/νi,t. After investigating several models for the degree-of-freedom and asymmetry parameters (following the approach proposed by Jondeau and Rockinger, 2003), we
finally adopt the following model:
where unrestricted parameters ˜ νi,t and ˜ λi,t are mapped into the authorized domain [2; ∞[ × [−1; 1] via a logistic map, and ωi = 1 − i/p is the weight on lag i. Two main features are worth emphasizing. First, the dynamic of the degree-of-freedom parameter νi,t depends on the absolute value of residuals, because it translates in the heaviness of the distribution's tails regardless of the sign of shocks over the recent period. Since the degree-of-freedom parameter is very large in the case of very small recent shocks, we set ˜ νi to a large value to reflects normality. In contrast, the dynamic of the asymmetry parameter naturally depends on signed residuals, because λi,t is likely to reflect the sign and size of shocks over the recent period. Second, we introduce some lags in the function of unexpected returns, so that equations (13) and (14) look like ARCH(p) models. To avoid the curse to dimensionality, we adopt the same strategy as in the DCC model of Engle and Sheppard (2002) and impose the same parameters b1 and b2 for all markets. We checked that estimating different parameters b1 and b2 would not alter the results significantly, but would increase parameter uncertainty.
We explored several values for the number of lags p (including different values for ˜ νi,t and ˜ λi,t) and retained, based on the usual information criteria, the value p = 3. This result suggests that for monthly data, the persistence in higher moments is in fact rather limited. This is confirmed by the inability of models with an autoregressive component to capture the dynamics of these moments.
2.4 Estimation
In model (1) to (7), the set of parameters pertaining to location and dispersion is denoted θ = (µ i , ϕ i , ωi, β i , γ i (i = 1, · · · , n), δ1, δ2, ρ jk (1 ≤ j < k ≤ n)). We also define ξ the set of parameters pertaining to the shape of the distribution. When innovations are drawn from a multivariate Sk-t distribution with constant shape parameters, we have ξ = (λ1, · · · , λn, ν1, · · · , νn). When the shape parameters are time varying, we have ξ = (λ1, · · · , λn, b1, b2).
The sample log-likelihood function of the multivariate DCC model with Sk-t distibution is then
where t (zt|ξ) is defined in equation (8). Maximizing expression (15) with respect to parameter vectors θ and ξ yields the maximum-likelihood (ML) estimates.
For large dimensional systems, the estimation can be significantly speed up by performing the estimation in two steps. In the first step, the quasi-ML estimation of the univariate conditional mean and variance equations is obtained assuming normality. The unconditional correlation matrix of standardized residuals is then used to estimate the matrix ¯ Q. In the second step, the parameters pertaining to the dynamics of correlation (δ1 and δ2) and to the shape of the distribution (ξ) are estimated simultaneously. In the empirical application, we considered full ML estimation as well as the two-step procedure, and we found that both provide very similar results. 4
3 The asset-allocation problem
We now turn to the conditional asset-allocation problem. When returns strongly depart from normality, the standard mean-variance criterion may be inappropriate to select the optimal portfolio. In such a case, as put forward by Harvey and Siddique (2000) and Dittmar (2002), incorporating the effect of higher moments on the expected utility of investors would improve the allocation of wealth. We use an approximation of expected utility up to the fourth moment to evaluate the optimal allocation of wealth. Below, we describe how the expected utility can be approximated
4The estimation is performed using the Constrained Maximum Likelihood procedure of GAUSS. The Gradient and the Hessian are computed numerically. The optimization is done using the BHHH
algorithm and the covariance matrix is corrected for serial correlation and heteroskedasticity.
by a four-moment asset-allocation problem. We also indicate how this problem can be solved efficiently in practice.
3.1 The general investor's problem
We consider an investor who allocates her portfolio to maximize the expected utility U (Wt+1) over the end-of-period wealth Wt+1. 5 The initial wealth is arbitrarily set equal to one. There are n risky assets with return vector Rt+1 = (R1,t+1, · · · , Rn,t+1) 0 and joint cumulative distribution function F (R1,t+1, · · · , Rn,t+1) for the period between t and t + 1. End-of-period wealth is given by Wt+1 = (1 + rp,t+1), where rp,t+1 = α 0 t R t +1 is the portfolio return and α t = ( α 1 ,t , · · · , α n,t ) 0 is the vector of fractions of wealth allocated to the various risky assets. We assume that the investor does not have access to a riskless asset, implying that the portfolio weights sum to one ( P n i=1 α i,t = 1 ). 6 In addition, portfolio weights are constrained to be positive, so that short-selling is not allowed. We also assume that the investor has forecasts for the expected mean vector µ t+1 , the covariance matrix Σt+1, the co-skewness matrix M3,t+1, and the co-kurtosis matrix M4,t+1.
Formally, the asset-allocation problem is
The optimal portfolio weights at time t are obtained by maximizing the scaled ex-
5We do not consider a multi-period investment problem. Brandt (1999) as well as Ang and Bekaert (2002) have shown that even if portfolio weights may be slightly affected by the investment horizon, the opportunity cost of a myopic strategy is negligible. This result suggests that hedging against unfavorable changes in the investment set does not result in any significant gain.
6The reason for this is that, when the investor is allowed to invest in a riskless asset, the weight affected to the riskless asset increases sharply with the degree of risk aversion. In contrast, for low degrees of risk aversion, the investor puts the emphasis on the expected return of the portfolio, implying that second and higher moments are not taken into account. In consequence, we focus on the risky part of the portfolio to evaluate the effect of the distribution assumption on the portfolio weights.
pected utility
For non-normal returns, the solution to problem (16), generally does not have a closedform solution, and numerical techniques must be used. 7 The problem for non-normal distributions (in particular for distributions with fat tails and asymmetry) is that the required number of quadrature points increases exponentially with the number of assets. Therefore, solving the optimization problem using numerical integration becomes intractable for more than two or three assets.
3.2 The four-moment investor's problem
We now investigate how higher moments and co-moments affect the optimal allocation. Early work on introducing the effect of higher moments are by Samuelson (1970) and Kraus and Litzenberger (1976). More recent work is by Ang and Bekaert (2002) or Guidolin and Timmermann (2003). Several difficulties appear in introducing higher moments in the portfolio-selection problem. While it may appear as a natural extension to the standard mean-variance criterion, a first issue is how higher moments actually affect the utility of investors. Theoretical research suggests that investors prefer high values of odd moments, and low values of even moments (see, for instance, Scott and Horvarth, 1980, or Pratt and Zeckhauser, 1987). Hence investors prefer positive skewness, because they prefer positive extreme values and dislike negative extreme value. In addition, they avoid kurtosis, because it is a measure of dispersion and, therefore, of uncertainty.
Since we are primarily interested in the effect of higher moments on the asset allocation, a convenient approach consists in approximating the utility function using a Taylor series expansion around the current value of the portfolio return. In this context, the utility function is re-written as
7Tauchen and Hussey (1991) suggest using quadrature rules to solve this problem. This approach has been applied to normal iid returns (see Campbell and Viceira, 1999) or to Markov-switching conditionally normal returns (Ang and Bekaert, 2002).
Focusing on terms up to the fourth one, we obtain the following approximation of the expected utility
up to some remainder in the Taylor expansion of U. Since Wt+1 − Wt = α 0 t R t +1 = rp,t+1, the expected utility is approximated by the following preference function:
where the non-central moments m i p,t+1 = E t h(rp,t+1) i i are functions of the expected return and the central moments
and where σ 2 p,t+1 , s 3 p,t+1 and κ 4 p,t+1 stand for central moments E t £rp,t+1 − µ p,t+1¤j for j = 2, 3 and 4 respectively. 8 At this stage, it is possible to consider various specifications of the utility function and to investigate the resulting preferences.
Example 1 (CARA) Consider an investor with constant absolute risk aversion (CARA) utility function:
8In finance literature, the terms s3 p,t+1 and κ 4 p,t+1 are sometimes referred to as skewness and kurtosis. These definitions differ from the statistical definitions as standardized central higher moments E h¡¡rp,t+1 − µ p,t+1¢ /σp,t+1¢j i for j = 3, 4.
where A0 measures the investor's constant absolute risk aversion. In this case, the expected utility is approximated by
Example 2 (CRRA) Consider now an investor with constant relative risk aversion (CRRA) utility function:
where A measures the investor's constant relative risk aversion. For such a utility function, the approximation becomes
For the two examples above, we obtain an unambiguous effect of skewness and kurtosis on the approximated expected utility function. 9 Expected utility decreases with higher negative skewness (i.e. left-skewed distributions) and higher kurtosis (i.e. fatter-tailed distributions). These effects are consistent with theoretical arguments developed by Scott and Horvath (1980).
3.3 Solving the four-moment problem
A reason for adopting a multivariate Sk-t distribution is that an analytic expression for portfolio conditional moments is easily obtained in a few steps. First, the first four moments of a univariate Sk-t distributed random variable zi,t+1 are given by the expressions reported in section 2.2. Second, since the vector of unexpected returns is defined as εt+1 = Rt+1 − µ t+1 = Σ 1 / 2 t+1 z t +1 , its first four moments can be computed using matrix calculus, instead of numerical integration. Indeed, we obviously have
9The derivatives of equations (17) and (18) with respect to κ4 p,t+1 are always positive. The derivatives with respect to s 3 p,t+1 depend on the sign of ¡1 − Aµ p,t+1¢ and ¡1 − (A + 2) µ p,t+1¢ respectively. They are therefore positive for any realistic value of the degree of risk aversion and expected returns.
Et [εt+1] = 0 and Vt [εt+1] = Σt+1. In addition, We denote Σ 1 / 2 t+1 = ( ω ij,t +1 ) i,j=1,··· ,n the Choleski decomposition of the covariance matrix of returns. Then, using tensor notations and denoting ⊗ the Kronecker product, we define the (n, n 2 ) co-skewness matrix as
and the (n, n 3 ) co-kurtosis matrix as
The (i, j, k) component of the third central moment is:
and the (i, j, k, l) component of the fourth central moment is:
where µ (3) and µ (4) are defined in equations (11) and (12) respectively.
These analytical expressions of higher moments are quite cumbersome to derive, yet their numerical computation is very fast. 10 As it clearly appears from the expressions above, time-variability of co-skewness and co-kurtosis between unexpected returns has two sources. On one hand, the covariance matrix between unexpected returns is time-varying, so that the ωij,t elements are time-varying. On the other hand, individual skewness and kurtosis of innovations are themselves time-varying.
The last step consists in the computation of the portfolio moments. For a given portfolio weight vector αt, the conditional expected return, variance, skewness, and
10Using these notations, the matrices of co-skewness and co-kurtosis may be conveniently represented as bi-dimensional matrices.
kurtosis of the portfolio are given by:
Derivatives of portfolio moments with respect to αt are therefore very easy to compute:
First-order conditions to the maximization of equation (18) are given by
where δ1, δ2, and δ3 are non-linear scalar functions of αt. The n equations (23) can be easily solved numerically, using a standard optimization package. The difficulty to solve this problem is of a lesser order as compared to problems involving numerical integration of the utility function. This approach also provides an alternative way of solving the asset allocation problem to the PGP approach developed by Lai (1991) and Chunhachinda et al. (1997). The main advantage of the approach adopted here is that weights attributed to the various portfolio moments in equation (23) are selected on the basis of the utility function, while they are arbitrarily chosen in the PGP approach. Solving equation (23) also provides an alternative to the rather timeconsuming approach based on maximizing the expected utility numerically. Here, a very accurate solution is obtained in just a few seconds, even in the case of a large number of assets.
It is also worth noting that we have described how to solve the asset-allocation problem when the first four moments are to be incorporated. As well, we may consider as special cases the situations where only mean and variance or mean, variance, and skewness are assumed to be important.
4 Unconditional asset allocation
In the following sections, we illustrate how departure from normality can affect the asset allocation. We begin with a version of the model in which all moments are assumed to be constant over time. This approach allows to focus only on the specific effects of higher moments on the unconditional asset allocation.
4.1 The model with constant moments
We illustrate the asset-allocation problem by considering as assets a set of emerging financial markets. An abundant literature has shown that market returns in emerging markets strongly depart from non-normality (Harvey, 1995, Bekaert and Harvey, 1997, Hwang and Satchell, 1999, or Jondeau and Rockinger, 2003). 11 We thus consider monthly returns for five dollar-denominated emerging-market indices (Hong Kong, Singapore, South Korea, Taiwan, Thailand), for which data is available for a long period of time. To be consistent with the actual asset-allocation practice, we use monthly returns. The data covers the period from January 1975 to December 2003, for a total of 343 monthly observations. 12
Let Ri,t, t = 1, · · · , T , denote the monthly (log) return of market i at date t. In order to investigate the incremental effects of relaxing various assumptions, we start with a model with constant means, covariance, co-skewness and co-kurtosis matrices and Sk-t distributed innovations. Table 1 reports parameter estimates (Panel A) and summary statistics for residuals (Panel B). We also report several Wald test statistics corresponding to various restrictions on parameter values. Parameter estimates reported in Table 1 indicate that the average monthly return is positive, ranging
11Other examples of highly non-normal asset returns are given by hedge funds or IT stocks.
12The October 1987 crash has severely affected Asian stock markets. Singapore and Thailand experienced a fall by more than 50%. We dealt with this very extreme event by averaging returns over the periods just before and just after the crash. This admittedly crude correction avoids altering the statistical properties of stock-market returns too heavily.
from 0.58% to 1.37% for the five stock-market returns. While the null hypothesis that expected returns are jointly equal to zero is rejected, we do not reject the null that expected returns are equal across countries. Standard deviations are ranging from 7.02% for Singapore to 10.77% for Thailand. We reject the null hypothesis that variances are equal across countries. We observe that the degree-of-freedom parameter is rather high for South Korea, but very low for Taiwan and Thailand. The degree of freedom for Thailand is even lower than 4 (ν5 = 2.98), so that kurtosis (and even skewness) is likely to be infinite. We strongly reject the null that degreeof-freedom parameters are infinite, so that joint normality does not hold. In contrast, we do not reject the null that degree-of-freedom parameters are equal across markets (ν1 = · · · = νn). Finally, the estimate of the asymmetry parameter indicates that the distribution of returns leans leftwards for Hong Kong and Singapore, and rightwards for other countries. The asymmetry parameter turns out to be significant for South Korea only. For this market, the asymmetry parameter is strongly positive. The test statistics for the null that asymmetry parameters are jointly equal to zero (λ1 = · · · = λn = 0) rejects the null at the 4.5% significance level only.
[Table 1 somewhere here]
To test the ability of the model to fit the data, we perform the goodness-offit (GoF) test procedure suggested by Diebold, Gunther, and Tay (1998). These authors argue that, if the marginal distributions are correctly specified, the margins of the distribution should be iid Uniform(0, 1). This test is performed in two steps. First, we evaluate whether the margins ui,t = ˜ F (zi,t) are serially correlated, where ˜ F (zi,t) denotes the marginal cumulative distribution function of zi,t. For this purpose, we examine the serial correlations of (ui,t − ¯ ui) k , for k = 1, · · · , 4, thus regressing (ui,t − ¯ ui) k on q lags of the variable. 13 The LM test statistic is defined as LM = (T − q) R 2 , where R 2 is the coefficient of determination of the regression. Under the null, LM is asymptotically distributed as a χ 2 (q). The table reveals that the LM test for no serial correlation of margins does not reject the null hypothesis of iid process
13Zero correlation is equivalent to independence, only under gaussianity. The correlogram is, therefore, only hinting at possible independence.
for the first and third moments for most countries. Yet, the null hypothesis is strongly rejected for the second and fourth moments in all instances. This result indicates that time dependency mainly comes from odd moments rather than from even moments. Interestingly, this result is rather well established in the empirical literature for the first and second moments. But it seems to also hold for higher moments, since the third moment does not appear to be severely autocorrelated, while the fourth moment is clearly time-varying.
Second, we test the null hypothesis that ui,t is distributed as an Uniform(0, 1). Hence, we cut the empirical and theoretical distributions into N bins and test whether the two distributions significantly differ on each bin. Table 1 reports the GoF test statistic with p-values computed with N − 1 degrees of freedom. 14 When we consider the case N = 20 bins, we do not reject the null hypothesis that the theoretical distribution provides a good fit of the empirical distribution for any return series, at the 5% level.
4.2 Optimal unconditional asset allocation
We now investigate the consequences of the choice of a forecasting model on the assetallocation performances. In particular, we evaluate the opportunity cost of assuming normality (and hence of using the mean-variance criterion) while returns are actually non-normal. For this purpose, we begin with a focus on the asset allocation based on constant conditional moments. This first step allows to describe in a simple framework the main mechanisms at work. Then, we turn to the asset allocation based on the models that incorporate time-varying conditional moments.
4.2.1 Measure of opportunity cost
As it may be expected, to evaluate the opportunity cost of assuming normality, we have to take into account the consequences of this assumption on the whole distribution of the portfolio return. In particular, it is likely to induce an excessive exposure
14As shown by Vlaar and Palm (1993), under the null, the correct distribution of the GoF test statistic is bounded between a χ 2 (N − 1) and a χ 2 (N − K − 1), where K is the number of estimated parameters.
to extreme events (since the asset allocation under normality does not incorporate any information on this part of the distribution). To measure the cost of assuming normality, we therefore concentrate on two particular measures: First, we acknowledge that the variance is not a relevant measure of risk under non-normality and we adopt the so-called distributional measure of risk proposed by Berényi (2001). When the return distribution is approximated by a fourth-order expansion, the measure is defined as
where the term in parentheses is named "variance equivalent", because it reduces to variance under normality, but incorporates the additional effects on risk of skewness and kurtosis under more general distributions. This measure, therefore, penalizes higher variance and kurtosis, and negative skewness. In the context of the CRRA utility function, it simplifies to
The second tool we use to measure the cost of assuming normality is the opportunity cost (or forecast premium). If we denote r ∗ p,t+1 the optimal portfolio return obtained under the true distribution, and ˆ rp,t+1 the optimal portfolio return obtained using the strategy based on normality, then the opportunity cost, denoted θt+1, is defined as the return that needs to be added to the portfolio return obtained under normality, so that the investor becomes indifferent to the true distribution. Formally, we have
The reported premium θt+1 may be obtained by solving equation (25) numerically. In the context of a fourth-order Taylor approximation with CRRA utility function, expression (25) can be further simplified as
This expression indicates that the opportunity cost is directly related to the moments of the portfolio return. The opportunity cost may be interpreted as the premium an investor is willing to pay to use the true data generating process, rather than an inadequate forecasting model. In the following, we evaluate the cost of using a strategy based on normality (the mean-variance criterion) when the true distribution is the Sk-t distribution. Since the investor likes odd moments and dislikes even moments, she will be willing to pay to use a strategy that decreases variance and kurtosis and increases expected return and skewness. In addition, the larger the degree of risk aversion, the higher the premium for using the correct model.
4.2.2 Optimal allocation
In the framework with constant moments, we focus on three alternative distributional assumptions: normal distribution, t distribution, and Sk-t distribution. In the first case, we only consider information on the first two moments; with the t distribution, we also incorporate information on the fatness of the distribution's tails; finally, with the Sk-t distribution, we introduce the additional effect of the asymmetry of the distribution. In this subsection, we assume that the Sk-t distribution provides a correct approximation of the true data generating process (DGP) of market returns.
Table 2 reports results for optimally selected portfolios for several values of the risk aversion parameter A. The parameter A ranges between 2 (very low risk aversion) and 20 (very large risk aversion), covering most values found in the literature. For the three alternative distributional assumptions, we report optimal portfolio weights, portfolio moments, the risk measure (24) and the opportunity cost (25) of using a given sub-optimal forecasting model. The cost of using the normal distribution and the t distribution is evaluated with respect to the Sk-t distribution.
[Table 2 somewhere here]
Several points are worth noting. First, the weights of the alternative markets in the optimal portfolio are broadly consistent with the intuition drawn from the estimated conditional moments reported in Table 1. When the investor has a very low risk aversion (A = 2), large weights are attributed to the two markets with the largest expected return (Hong Kong and Taiwan). In case of a large risk aversion (A = 20), the portfolio is much more balanced, including markets with low expected return but also with low variance (Singapore and South Korea). The moments of the portfolio return are as expected: when the degree of risk aversion increases, the optimal-portfolio expected return decreases, the variance decreases, the skewness increases and the kurtosis decreases.
Second, as expected, when the investor has some information on the fatness of the distribution's tails, a feature we model as a switch from the normal to the t distribution, significant changes in the portfolio weights occur. The investor is now reluctant to invest in markets that are characterized by a large kurtosis (Thailand and, to a lesser extent, Taiwan). 15 In contrast, markets with a low kurtosis experience a large increase in their weight (see, e.g., the weight of South Korea). Notice that the kurtosis of the portfolio return does not necessarily decrease when the investor uses a t distribution. Indeed, for low risk aversion, the investor further increases the weight of markets with large expected return, even if it implies a larger exposure to extreme events. Finally, when the asymmetry in the distribution is correctly captured (moving to the Sk-t distribution), the weight of markets with positive skewness increases and the skewness of the portfolio return increases in turn.
Typical changes in the portfolio weights are reported in Figure 1 for Hong Kong and South Korea. The figure displays how weights are affected by the level of risk aversion A and by the choice of the distribution of returns. First, Hong Kong is characterized by a large expected return and a rather large variance. Assuming normality, we notice that as the parameter of risk aversion increases, the weight associated with Hong Kong decreases. But Hong Kong also has a negative skewness, hence, if the investor focuses not only on mean and variance but on higher moments, for low levels of risk aversion, this asset will be avoided due to the negative skewness.
15For Thailand, the estimated degree-of-freedom parameter was found to be equal to 3.002 (for the t distribution) or 2.982 (for the Sk-t distribution), so that the fourth (and perhaps the third) moment of the distribution does not exist. For the asset allocation experiment, we assume ν = 4.01, which translates into a very large kurtosis. This is the reason why the weight pertaining to Thailand decreases dramatically when the forecasting model measures tail fatness.
Hence the weight allocated to this country will be systematically decreased. We notice the opposite changes for South Korea, that is characterized by a low expected return, a low variance and a large positive skewness. Assuming normality, we notice relatively little interest to invest in this country for small values of the parameter of risk aversion. As risk aversion increases, due to the relatively low volatility, the weight allocated to this country increases. Now, if the investor also considers higher moments, given the high skewness of this country's stock market, she will increase the weight to this country.
[Figure 1 somewhere here]
Considering risk measures, the table reveals that the use of the standard t distribution does not necessarily result in a reduction of the distributional risk measure. Indeed, the investor alters her portfolio according to the information on the fatness of the tails, but this change may turn out to be unfortunate because of a decrease in the skewness of the portfolio. This case occurs for low risk aversion: the weight of Hong Kong increases because of a (relatively) low kurtosis, while it is also characterized by the most negative skewness. Now, for larger risk aversions, the risk measure systematically decreases when the investor uses a more sophisticated forecasting model. The reason is that the investor uses the information on higher moments to reduce the exposure of the optimal portfolio to extreme risk (and not to increase the expected return).
Finally, the opportunity cost combines the effect of the forecasting model both on expected return and on distributional risk. It, therefore, measures the global effect of the forecasting model on the portfolio performances. The table indicates that the opportunity cost is systematically positive, so that the investor is always willing to pay a premium for using the correct forecasting model. For a very low risk aversion, the opportunity cost is as expected negligible. The reason is that the investor only focuses on the expected return and therefore selects the same allocation whatever the estimates of the higher moments. In contrast, for medium to large risk aversion, the cost is relatively large: for A = 20, we obtain θ1 = 0.1, so that the investor is willing to pay 1.2% per year to use the strategy based on the Sk-t distribution instead of the mean-variance criterion. When using the Sk-t model, the investor obtains a slightly lower expected return (10.74% instead of 10.14% per year), but also a lower variance, a larger skewness and a much lower kurtosis. Consequently, the tails of the portfolio return are much thinner and the investor is less likely to experience an extreme event. This translates in the reduction of the risk measure (from 4.43 to 4.28).
5 Conditional asset allocation
We now consider the asset-allocation problem when the parameters characterizing investment opportunities vary over time. We, thus, focus on the model with timevarying expected returns and covariance matrix. Higher moments are supposed to be either constant or time varying.
5.1 The model with time-varying moments
As described in Section 2, the conditional mean is assumed to follow an AR(1) model, while the conditional variances are given by a GARCH(1,1) model. Conditional correlations vary over time according to a DCC model. The dynamics of degree-of-freedom parameters and asymmetry parameters are given by equations (13) and (14) respectively. Estimates of the dynamics of expected returns and variances, corresponding to the first step of the estimation, are reported in Table 3. Concerning the conditional mean, the autoregressive parameter is found to be significant for Singapore and Thailand. Conditional volatilities display patterns often found in the empirical literature. In particular, volatility is found to be strongly persistent. Also the rather large estimated values of the parameter γ pertaining to lagged squared residuals are consistent with the monthly frequency of the data. The Ljung-Box test statistics with 4 lags (QW(4)) indicate that the residuals are not serially correlated and the Engle (1982) LM test statistics indicate that the heteroskedasticity originally in the data has been filtered out.
[Table 3 somewhere here]
Table 4 reports the estimation results of the multivariate part of the model with Sk-t distribution and time-varying asymmetry and degree-of-freedom parameters. Panel A is devoted to the parameter estimates while Panel B reports summary statistics on the ability of the model to fit the data. Firstly, the conditional correlation matrix is found to vary over time. Its dynamics is stationary, since θ1 + θ2 < 1 and the recent cross-product of residuals has a significant effect on conditional correlation. Inspection of the dynamics of correlation across market returns shows that, after a slight decrease at the beginning of the period, correlations are steadily raising since 1985. For several pairs of markets (for instance between Hong Kong and South Korea or between South Korea and Thailand), the correlation has doubled over the sample. 16
Table 4 also reveals that for the data sampled at monthly frequency, the asymmetry parameter is essentially constant over time for the stock markets under study. Indeed, the parameter b1 was systematically found to be positive, yet insignificantly different from zero. Consequently, we concentrate on the case with constant asymmetry parameters and do not report the estimates with a time-varying asymmetry parameter. It should be noted that this result does not prevent market-return skewness to vary over time, since it depends on the degree-of-freedom parameter and on the covariance matrix that are actually time-varying. These findings suggest, however, that the variability of the asymmetry of the distribution is not likely to be the main source of dynamics in higher moments.
Finally, the dynamics of the degree-of-freedom parameters is correctly captured by a simple weighted average of lagged residuals. Parameter b2 is negative and strongly significant, indicating that after an extreme event, the degree of freedom of the t distribution decreases. This result is consistent with the evidence put forward by Das and Uppal (2004) that extreme events are not likely to cluster.
As far as residual summary statistics are concerned, the test for iidness of the marginal cdfs indicates that the model is able to filter out all the dynamics found in the first four moments of the distribution. In addition, the GoF test statistic does not reject the hypothesis that the assumed Sk-t distribution fits the empirical distribution
16Detailed results are available from the authors.
pretty well.
Interestingly, we notice that the extent of the variability in higher moments is rather moderate. However, as it will be shown in the following subsection, it is sufficient to generate a large opportunity cost to use a mean-variance strategy when the investor is risk adverse.
[Table 4 somewhere here]
5.2 Optimal allocation
We now turn to the optimal allocation when returns have time-varying moments. We consider the following alternative distributional assumptions: normal distribution, Sk-t distribution with constant higher moments, and Sk-t distribution with timevarying higher moments (TV Sk-t). We assume here that the latter distribution provides a correct approximation of the true DGP of market returns, so that the opportunity cost of using a sub-optimal forecasting model is evaluated with respect to this model. 17
Table 5 reports results for optimally selected portfolios for different values of the risk aversion parameter A. For each month of the sample, we use the forecasting models described above to forecast the first four moments and co-moments of market returns. Then, we maximize the approximated expected utility function (18) for the three alternative distributional assumptions. We obtain, for each month, portfolio weights and moments of the portfolio return. In the table, we report summary statistics on these time series. We also report statistics on the risk measure (24) and the opportunity cost (25) of using a given sub-optimal forecasting model.
[Table 5 somewhere here]
17The parameter estimates of the first two models are not reported in the paper to save space, but are available upon request from the authors. Note that the dynamics of the conditional correlation matrix is essentially unaltered when we adopt a different distributional assumption.
Considering the average weights obtained for the three distributional models, one may argue that the differences are all in all rather small. It should be emphasized, however, that the actual differences are in fact attenuated by averaging. A measure of the distance between two series of weights can be defined as dist = 1 T PT t=1 Pn i=1 ¯¯ˆ αi,t − α∗ i,t¯¯ /2. Similarly, we measure turnover from one month to the other using the measure turn = 1 T PT t=1 Pn i=1 | ˆ α i,t − ˆ α i,t − 1 | / 2 . 18 For instance, for A = 10, the average distance between the normal and the TV Sk-t distribution is 0.2, i.e. the difference between the two strategies amounts to 20 percentage points on average for the whole portfolio. Besides, the turnover ratio is around 0.52 whatever the distribution, indicating that each month the investor re-allocates 52% of the portfolio. We notice that as the risk aversion increases, the turnover ratio decreases, because the investor increases diversification to reduce her exposure to risk and therefore selects a portfolio that is closer and closer to an equally weighted portfolio. Consequently, the composition of the portfolio is less affected by changes in investment opportunities for large risk aversion. We also notice that the higher the risk aversion, the larger the discrepancy between the mean-variance strategy and the strategy based on higher moments. The reason for this is that the investor is more reluctant to take large risks and therefore gives an increasing importance to higher moments. For instance, for A = 10, the investor accepts a slight decrease in expected return (from 1.255 to 1.215) to obtain a large decrease in kurtosis (from 13.52 to 8.47). Figure 2 illustrates this phenomenon. It displays the difference in weight associated to Hong Kong, respectively South Korea, depending on using the TV Sk-t strategy or the mean-variance model. We observe that for some periods (in particular, around 1988-1992 and 2000-2002), large differences are found to hold between the weights associated with the two strategies and for both markets. Such differences correspond to periods where rises in kurtosis were expected, so that the investor who used a TV Sk-t strategy reduced her exposure to the Hong Kong market.
[Figure 2 somewhere here]
Returning to Table 5, for all levels of risk aversion, we obtain that the TV Sk-t
18The division by 2 corrects for double counting.
distribution improves Berényi's performance measure of the asset allocation as compared to the normal distribution. This result occurs because the Sk-t distribution brings information on both skewness and kurtosis that are useful for maximizing the expected utility. Moreover, the TV Sk-t distribution systematically improves the performances over the distribution with constant higher moments. We emphasize that the opportunity cost of ignoring higher moments is much larger (for medium to large risk aversion) than in the case with constant moments (as reported in Table 2). An obvious reason is that the investor is able to reallocate her portfolio at each date, in order to benefit from the information on higher moments. For A = 10, the investor is willing to pay almost 1.96% per year to use the optimal forecasting model. This premium has to be compared with an expected return of about 15% per year. For higher risk aversion, the relative premium is even larger. As it appears clearly in expression (26), the opportunity cost of using a mean-variance criterion increases with the degree of risk aversion. Therefore, an investor with a large risk aversion is willing to pay a large premium to increase skewness or decrease kurtosis.
6 Conclusion
In this paper, we have investigated the consequences of the non-normality of returns on the optimal asset allocation when the investment opportunities are not constant over time. Most previous work has been devoted to the case of constant investment opportunities. Recently, Ang and Bekaert (2002) and Guidolin and Timmermann (2003) have investigated the case where returns are driven by a Markov-switching process with a conditionally normal distribution and constant within-regime moments. We extend these studies in two directions:
- First, we show how to deal with the case of fully time-varying return distributions. For this purpose, we propose a model that captures most statistical features of market returns, such as volatility clustering, correlation persistence and asymmetry and fat-tailedness of the distribution. The use of a two-step estimation procedure makes the estimation of such a model tractable, even in the case of several assets.
- Second, using an approximation of the expected utility function based on a fourth-order Taylor's expansion, we compute the optimal asset allocation for the (sub-optimal) mean-variance criterion and for the four-moment-based strategy. We show that, even for moderate levels of risk aversion, the opportunity cost of using the mean-variance criterion can be very large when returns strongly depart from normality. Our evaluations of the opportunity cost are in general larger than the evaluations reported by Ang and Bekaert (2002).
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Captions
Table 1: This table reports parameter estimates (Panel A), summary statistics, and specification tests (Panel B) for the models with constant moments. Returns are assumed to be drawn from a multivariate Sk-t distribution. Implied skewness and kurtosis are deduced from parameter estimates using equations (9) and (10). Conditional correlations are not reported, since they are estimated at their sample values. Following Diebold, Gunther, and Tay (1998), the table also reports the LM test statistics for the null hypothesis that the cdf of residuals is an iid process and the goodness-of-fit (GoF) test statistics for the null hypothesis that the cdf is Uniform(0, 1). Under the null, the statistic is distributed as a χ 2 (20). Wald tests of the type "xi = 0" correspond to all moments xi, for i = 1, · · · , 5 being equal to zero. The Wald tests are distributed as a χ 2 (5). Tests of the type "xi = xj" correspond to the equality of all parameters xi, for i = 1, · · · , 5. The associated Wald tests are distributed as a χ 2 (4).
Table 2: This table reports statistics for optimal allocations obtained using forecasting models with constant moments, for several values of the risk-aversion parameter A ranging from 2 to 20. We report the optimal weights, the first four moments of the portfolio return (the mean, the volatility and the standardized skewness and kurtosis), the risk measure defined in equation (24) and the opportunity cost θ defined by E [U (1 + ˆ rp + θ)] = E £U ¡1 + r ∗ p¢¤, where r ∗ p denotes the optimal portfolio return obtained with the Sk-t distribution, and ˆ rp the optimal portfolio return obtained assuming the normal (or the t) distribution.
Table 3: This table reports (QML) parameter estimates (Panel A) and residual summary statistics (Panel B) for the univariate GARCH models. Parameters correspond to equations (1) and (4) in the text. QW (4) is the Box-Ljung statistic for serial correlation, corrected for heteroskedasticity, computed with 4 lags. Under the null of no serial correlation, it is distributed as a χ 2 (4). LM (1) is the Engle (1982) statistics for heteroskedasticity. Under the null of no serial correlation of squared returns, it is distributed as a N (0, 1). The superscript a (b) corresponds to estimates significant at the 5% (10%) level.
Table 4: This table reports parameter estimates (Panel A) and summary statistics (Panel B) for the models with time-varying moments. Returns are assumed to be drawn from a multivariate Sk-t distribution with time-varying higher moments. The unconditional covariance matrix ¯ Q is not reported, as it is estimated at its sample value. Parameters correspond to equations (6), (13) and (14). Following Diebold, Gunther, and Tay (1998), the table also reports the LM test statistics for the null hypothesis that the cdf of residuals is an iid process and the goodness-of-fit (GoF) test statistics for the null hypothesis that the cdf is Uniform(0, 1). Under the null, this statistic is distributed as a χ 2 (20).
Table 5: This table reports statistics for optimal portfolios obtained using forecasting models with time-varying moments, for several values of the risk-aversion parameter A ranging from 2 to 20. We report the mean over the sample of the optimal weights, the first four moments of the portfolio return (the mean, the volatility and the standardized skewness and kurtosis), the risk measure defined in equation (24) and the opportunity cost θt+1, defined by Et [U (1 + ˆ rp,t+1 + θt+1)] = Et £U ¡1 + r ∗ p,t+1¢¤, where r ∗ p,t+1 denotes the optimal portfolio return obtained with the Sk- t distribution, and ˆ rp,t+1 the optimal portfolio return obtained assuming normal (or t) distribution. The distance between two series of weights is measured by norm = 1 T PT t=1 Pn i=1 ¯¯ˆ αi,t − α∗ i,t¯¯ /2, while the turnover ratio from one month to the other is measured by turn = 1 T PT t=1 Pn i=1 | ˆ α i,t − ˆ α i,t − 1 | / 2 .
Figure 1: This figure displays the optimal weights for two markets (Hong Kong and South Korea) when moments are assumed to be constant over time, for several levels of risk aversion A. We consider that returns are drawn from a normal distribution and from a Sk-t distribution in turn.
Figure 2: This figure displays the time series of the differences (α ∗ i,t − ˆ α i,t ) between the allocation weights obtained with the TV Sk-t distribution and the weights obtained with the normal distribution, for two markets (Hong Kong and South Korea).
|
No. 04-737
IN THE SUPREME COURT OF THE STATE OF MONTANA
2006 MT 257
DEBRA STAVENJORD,
Petitioner and Appellant,
v.
MONTANA STATE FUND,
Respondent and Cross-Appellant.
APPEAL FROM: The Montana Workers' Compensation Court,
WWC 2000-0207,
Honorable Mike McCarter, Presiding Judge
COUNSEL OF RECORD:
For Appellant:
Thomas J. Murphy, Murphy Law Firm, Great Falls, Montana
For Respondent:
Bradley J. Luck, Thomas J. Harrington, Garlington, Lohn & Robinson, PLLP, Missoula, Montana
David Hawkins, Montana State Fund, Helena, Montana
Heard on Oral Argument: October 26, 2005
Decided: October 6, 2006
Filed:
__________________________________________
Clerk
Justice Patricia O. Cotter delivered the Opinion of the Court.
¶1 Both parties appeal from an Order of the Workers' Compensation Court (WCC) related to common fund attorney fees and retroactive application of our ruling in Stavenjord v. Montana State Fund, 2003 MT 67, 314 Mont. 466, 67 P.3d 229 (Stavenjord I). In Stavenjord I, we affirmed the WCC's determination that: (1) application of § 3972-405(2), MCA (1997), to Debra Stavenjord's claim against Montana State Fund (State Fund) violated her constitutional equal protection rights, and (2) Stavenjord should receive benefits related to her occupational disease equal to benefits she would have received had she been injured. On remand in the WCC, State Fund paid Stavenjord's additional benefits. Stavenjord then sought retroactive application of Stavenjord I, and the recovery of common fund attorney fees for Stavenjord-type benefits secured by nonparticipating claimants. The WCC ordered partial retroactive application of Stavenjord I, and common fund attorney fees for claims arising within the period of retroactivity. Stavenjord appeals. State Fund cross-appeals. We reverse and remand.
ISSUES
¶2 The restated issues on appeal and cross-appeal are:
1. Whether Stavenjord I applies retroactively to open claims arising on or after June 30, 1987.
2. Whether the WCC erroneously applied the date of maximum medical improvement as the entitlement date for retroactivity purposes.
3. Whether the WCC erroneously concluded that Stavenjord I created a common fund entitling Stavenjord's counsel to collect common fund fees from non-participating claimants who benefit from the decision.
4. Whether the WCC erroneously concluded that Stavenjord's counsel timely asserted a claim for common fund attorney fees.
FACTUAL AND PROCEDURAL BACKGROUND
¶3 We first addressed Stavenjord's case in Stavenjord I, and refer the reader to that case for the factual background leading to this appeal. Additionally, the parties stipulated to facts on which the WCC relied during Stavenjord I remand proceedings, and which we reference below as necessary.
¶4 In Stavenjord I we held that certain provisions of the Occupational Disease Act (ODA) violate the equal protection clause of the Montana Constitution because workers who suffer from an occupational disease received lesser permanent partial disability (PPD) benefits than workers who are injured on the job receive under the Workers' Compensation Act (WCA). ¶ 48. We concluded that § 39-72-405(2), MCA (1997), was unconstitutional as applied to Stavenjord. Stavenjord I, ¶ 48.
¶5 As a result of post-remand proceedings, the WCC determined that partial retroactive application of Stavenjord I was appropriate, but only for claims arising on or after June 3, 1999. Further, the WCC found that a common fund had been created by Stavenjord I, and therefore Stavenjord's counsel was entitled to common fund attorney fees from non-participating PPD claimants benefiting from counsel's work on
Stavenjord's behalf. On August 27, 2004, the WCC issued the Order from which the parties appeal.
STANDARD OF REVIEW
¶6 We review the WCC's conclusions of law to determine whether they are correct. Schmill v. Liberty Northwest Ins. Corp., 2005 MT 144, ¶ 11, 327 Mont. 293, ¶ 11, 114 P.3d 204, ¶ 11 (Schmill II).
DISCUSSION
ISSUE ONE
¶7 1. Whether Stavenjord I applies retroactively to open claims arising on or after June 30, 1987.
¶8 Stavenjord contends the WCC erred when it restricted retroactive application of our ruling in Stavenjord I to open claims arising on or after June 3, 1999, and that the decision should apply to cases arising on or after June 30, 1987. State Fund responds that Stavenjord I applies prospectively only. Alternatively, State Fund argues the WCC correctly limited the scope of Stavenjord I's retroactive application to cases arising on or after June 3, 1999. In addition, regarding retroactive application of Stavenjord I, State Fund urges this Court to limit application of the ruling to "cases pending on direct review." We therefore must decide whether Stavenjord I applies retroactively to workers' claims for PPD benefits related to occupational diseases, and if so, to what extent.
¶9 There exists a strong presumption in favor of retroactive application of new rules of law. Dempsey v. Allstate Ins. Co., 2004 MT 391, ¶ 15, 325 Mont. 207, ¶ 15, 104 P.3d
483, ¶ 15. In Dempsey, we reaffirmed our general rule that "we give retroactive effect to judicial decisions," while allowing for "an exception to that rule when faced with a truly compelling case for applying a new rule of law prospectively only." Dempsey, ¶ 29 (citation omitted). Recently, we concluded that we would recognize an exception to retroactive application of this Court's rulings only when all three factors first articulated by the U.S. Supreme Court in Chevron are met. Schmill II, ¶ 13, referencing Chevron Oil Co. v. Huson, 404 U.S. 97, 92 S.Ct. 349 (1971). In Dempsey, we said that Chevron's guidelines for evaluating the efficacy of prospective application of this Court's jurisprudence remain "viable as an exception to the rule of retroactivity." Dempsey, ¶ 30. (See Dempsey, ¶¶ 21-31 for a temporal overview of Chevron's application in federal and Montana state courts.)
¶10 To overcome the strong presumption favoring retroactivity, the Chevron exception requires:
First, that the decision to be applied [prospectively] must establish a new principle of law, either by overruling clear past precedent on which litigants may have relied or by deciding an issue of first impression whose resolution was not clearly foreshadowed. Second, it has been stressed that "we must . . . weigh the merits and demerits in each case by looking to the prior history of the rule in question, its purpose and effect, and whether retrospective operation will further or retard its operation." Finally, we have weighed the inequity imposed by retroactive application, for "where a decision of this Court could produce substantial inequitable results if applied retroactively, there is ample basis in our cases for avoiding the 'injustice or hardship' by a holding of [prospective application]."
Schmill II, ¶ 13, citing Dempsey, ¶ 21, quoting Chevron, 404 U.S. at 106-07, 92 S.Ct. at 355. Only twice has application of Chevron and its progeny resulted in a purely prospective application of this Court's rulings on questions of state law. See Ereth v.
Cascade County, 2003 MT 328, 318 Mont. 355, 81 P.3d 463, and Seubert v. Seubert, 2000 MT 241, 301 Mont. 382, 13 P.3d 365, both of which predated the exhaustive analysis of the question of retroactivity published in Dempsey, and addressed again in Schmill II. Moreover, prospective application in both cases rested on cursory analyses of the Chevron factors. In any event, our decisions in Dempsey and Schmill II have now resolved any uncertainty there might have been regarding proper application of the Chevron factors in a retroactivity analysis.
¶11 Here, the WCC applied the Chevron factors and ultimately ordered partial retroactive application of Stavenjord I to open claims arising on or after June 3, 1999, but declined to order application of Stavenjord I to claims arising between June 30, 1987, and June 3, 1999. At the time the WCC wrote its Order, it did not have the benefit of Dempsey or Schmill II; accordingly, it relied instead upon patently misleading dicta from Poppleton for the proposition that "The general rule is that a rule of law will not be applied retroactively if any of the [Chevron] factors . . . are present." Poppleton v. Rollins, Inc., 226 Mont. 267, 271, 735 P.2d 286, 289 (1987) (emphasis and bracketed material in WCC August 27, 2004 Order). 1 However, as we clarified in Dempsey and Schmill II, it is now well-settled that a party arguing for purely prospective application of this Court's jurisprudence must show that all three factors of the Chevron test are met.
Dempsey, ¶ 31; Schmill II, ¶13.
1 This misstatement of the Chevron test from Poppleton was dicta, because we in fact determined the Poppleton ruling applied retroactively.
¶12 We turn now to the question of whether the Chevron exception applies here. First, we must determine whether Stavenjord I established a new principle of law, either by overruling clear past precedent on which litigants may have relied, or by deciding an issue of first impression whose resolution was not clearly foreshadowed. Schmill II, ¶ 13; Dempsey, ¶ 21.
¶13 Before Stavenjord I, this Court had not considered the constitutionality of disparate PPD benefits awarded under the ODA as opposed to the WCA; thus, Stavenjord I decided an issue of first impression. However, our ruling in Stavenjord I was clearly foreshadowed by our decision in Henry v. State Compensation Ins. Fund, 1999 MT 126, 294 Mont. 449, 982 P.2d 456. In Henry, we held:
In sum, we can see no rational basis for treating workers who are injured over one work shift differently from workers who are injured over two work shifts. . . . We conclude that providing rehabilitation benefits to workers covered by the WCA, but not to workers covered by the ODA, is not rationally related to the legitimate governmental interest of returning workers to work as soon as possible after they have suffered a work-related injury. We hold that the ODA violates the equal protection clause of the Montana Constitution to the extent that it fails to provide vocational rehabilitation benefits. ¶¶ 44-45.
While the benefit at issue in Henry—rehabilitation benefits—differed from the PPD benefits of concern in Stavenjord I, in all other respects related to our analysis of equal protection for similarly situated workers, Henry and Stavenjord I parallel one another. In both cases, State Fund argued the two classes of workers seeking benefits—specifically (1) injured workers and (2) workers suffering from occupational disease—were not similarly situated under the law. Henry, ¶ 28, and Stavenjord I, ¶ 12. In Henry, we said:
The State Fund misses the point. Regardless of the number of days or the mechanism by which a worker incurs an affliction, the fact remains that both classes of individuals have suffered work-related injuries, are unable to perform their former jobs, and need rehabilitation benefits to return to work. Both workers have as their sole source of redress the WCA or the ODA. . . . We conclude that the classes are similarly situated for equal protection purposes. ¶ 28.
The outcome of State Fund's subsequent argument that Stavenjord, a worker who suffered an occupational disease seeking redress under the ODA, was not similarly situated to injured workers seeking redress under the WCA, was plainly presaged.
¶14 Therefore, we conclude that the issue of first impression decided in Stavenjord I was, in the vernacular of Dempsey and Schmill II, "clearly foreshadowed." Consequently, the first of the three factors required to invoke Chevron's exception to presumed retroactivity is not met. On this determination alone we could conclude that retroactive application of Stavenjord I is proper. Nonetheless, we note that analysis under Chevron's second requirement also favors retroactive application. As articulated by the WCC, "Applying the decision retroactively promotes the rule of law announced in the decision by assuring that all persons denied their constitutional rights are treated equally." Chevron requires us to "weigh the merits and demerits in each case by looking to the prior history of the rule in question, its purpose and effect, and whether retrospective operation will further or retard its operation." Schmill II, ¶ 13 (citations omitted). The purpose and effect of our ruling in Stavenjord I is clearly to provide equal protection under the law to partially disabled workers, regardless of whether they suffer an injury or from an occupational disease. Restricting Stavenjord I's application to claims arising after our decision in that case furthers neither the purpose nor the effect of our ruling. We see no justification for creating an "arbitrary distinction between litigants based merely on the timing of their claims." Dempsey, ¶ 28. Therefore, we conclude that Chevron's second factor is not met. Accordingly, our decision in Stavenjord I will be applied retroactively subject to the limitations set forth below.
¶15 Next, we analyze whether the WCC's decision to order "partial" retroactive application of Stavenjord I was correct. We conclude it was not. There is no legal authority for "partial" retroactive application of Stavenjord I. The Chevron exception does not allow for "partial" retroactivity. Either Chevron's factors are met—in which case prospective application is justified—or they are not. It bears repeating that this Court reserves the Chevron exception for "truly compelling" cases where retroactive application of a new rule would obfuscate justice. Here, State Fund has not cleared Chevron's hurdle, and therefore Stavenjord I applies to any and all open claims arising on or after June 30, 1987, the date on which the offending statute, § 39-72-405(2), MCA (1997), took effect. For these purposes, "open claims" will encompass those which are still actionable, in negotiation but not yet settled, now in litigation, or pending on direct appeal.
¶16 Conversely, Stavenjord I does not apply to occupational disease-related PPD claims that became final by way of settlement or judgment prior to the issuance of this opinion. "New legal principles, even when applied retroactively, do not apply to cases already closed." Dempsey, ¶ 28, quoting Reynoldsville Casket Co. v. Hyde, 514 U.S. 749, 758, 115 S.Ct. 1745, 1751 (1995). In Dempsey, we weighed the interests of fairness against the need for finality in retroactive application of new rules, noting that prospective application "creates an arbitrary distinction between litigants based merely on the timing of their claims" and concluding that "the line should be drawn between claims that are final and those that are not . . . ." ¶ 28. Therefore, we conclude that the WCC erred in ordering only partial retroactive application of Stavenjord I to cases arising on or after June 3, 1999. Rather, Stavenjord I shall apply retroactively to those claims arising on or after June 30, 1987, which remain "open" as herein defined. Occupational diseaserelated claims for PPD benefits previously finalized and closed by either court order, or settlement and release, may not be reopened for consideration under Stavenjord I or this Opinion.
ISSUE TWO
¶17 2. Whether the WCC erroneously applied the date of maximum medical improvement as the entitlement date for retroactivity purposes.
¶18 In light of our disposition of Issue One, we need not address this issue.
ISSUE THREE
¶19 3. Whether the WCC erroneously concluded that Stavenjord I created a common fund entitling Stavenjord's counsel to collect common fund fees from non-participating claimants benefiting from the decision.
¶20 On cross-appeal, State Fund argues the WCC erred in concluding that Stavenjord I created a common fund. State Fund urges this Court to place judicial constraints on the common fund doctrine in the interests of policies underlying the WCA. Further, State Fund argues the common fund doctrine does not apply to every case in which a claimant receives a favorable ruling from this Court which may impact other claims. Stavenjord responds that application by the WCC of the common fund doctrine was correct, as the doctrine provides the best available method for delivering unpaid PPD benefits to nonparticipating Stavenjord beneficiaries. Stavenjord further contends that she "easily" met the elements necessary for creating a common fund, and therefore her counsel is entitled to recover attorney fees from non-participating beneficiaries of the common fund in accordance with the common fund doctrine.
¶21 Generally, Montana follows the American Rule which obligates each party to civil actions to pay her own attorney fees unless statute, contract, or equity allows otherwise. Mountain West Farm Bureau v. Hall, 2001 MT 314, ¶ 13, 308 Mont. 29, ¶ 13, 38 P.3d 825, ¶ 13. This Court recognizes the common fund doctrine as an equitable exception to the American Rule. See Means v. Montana Power Co., 191 Mont. 395, 403, 625 P.2d 32, 37 (1981) (expressly adopting common fund doctrine in Montana). The common fund doctrine is "rooted in the equitable concepts of quasi-contract, restitution and recapture of unjust enrichment," and aimed at properly compensating active litigants and their counsel whose efforts result in correcting an injustice and creating a fund in which other nonparticipating beneficiaries maintain an interest. Means, 191 Mont. at 403, 625 P.2d at 37. ¶22 Since the common fund doctrine's creation and earliest applications in Trustees v. Greenough, 105 U.S. 527 (1882), and Central Railroad & Banking Co. v. Pettus, 113 U.S. 116, 5 S.Ct. 387 (1885), the United State Supreme Court has recognized consistently that a litigant or a lawyer who recovers a common fund for the benefit of other persons is entitled to recovery of fees from the whole, therein preventing inequity by spreading fees proportionately among those benefited by the litigation. Boeing Co. v. VanGemert, 444 U.S. 472, 478, 100 S.Ct. 745, 749 (1980). The Supreme Court has instructed that the common fund is applied appropriately where: (1) the classes of persons benefited by the lawsuits are small in number and easily identifiable; (2) benefits can be traced with some accuracy; and (3) the court has confidence the costs of litigation can indeed be shifted with some exactitude to those benefiting. Boeing Co., 444 U.S. at 479, 100 S.Ct. at 749, citing Alyeska Pipeline Serv. Co. v. Wilderness Society, 421 U.S. 240, 265, n. 39, 95 S.Ct. 1612, 1625, n. 39 (1975). Those characteristics which justify common fund fees are not present where litigants simply vindicate a general social grievance. Alyeska Pipeline Serv. Co., 421 U.S. at 263-65, and n. 39, 95 S.Ct. at 1624-26, and n. 39.
¶23 The motivating principle underlying this Court's adoption of the common fund doctrine was to prevent unjust enrichment of non-participating claimants at the expense of active litigants and their counsel. Murer v. State Comp. Mut. Ins. Fund, 283 Mont. 210, 222, 942 P.2d 69, 76 (1997) (Murer III) (discussing rationale for adopting the common fund doctrine in Means, 191 Mont. 395, 625 P.2d 32). "The doctrine is employed to spread the cost of litigation among all beneficiaries so that the active beneficiary is not forced to bear the burden alone and the 'stranger' . . . beneficiaries do not receive their benefits at no cost to themselves." Murer III, 283 Mont. at 222, 942 P.2d at 76, quoting Means, 191 Mont. at 403, 625 P.2d at 37.
¶24 This Court has reduced to three elements the common fund doctrine's equitable underpinnings:
There are three elements necessary to establish a common fund. First, a party, styled the active beneficiary, must create, reserve, preserve, or increase an identifiable monetary fund or benefit in which all active and non-participating beneficiaries have an interest. Second, the active beneficiary must incur legal fees in establishing the common fund. Third, the common fund must benefit ascertainable, non-participating beneficiaries.
Ruhd v. Liberty Northwest Ins. Corp., 2004 MT 236, ¶ 16, 322 Mont. 478, ¶ 16, 97 P.3d 561, ¶ 16, citing Mountain West Farm Bureau., ¶¶ 15-18. We recently analyzed these elements and applied the common fund doctrine in several workers' compensation cases. See Murer III, 283 Mont. 210, 942 P.2d 69, Rausch v. State Compensation Ins. Fund, 2002 MT 203, 311 Mont. 210, 54 P.3d 25, Flynn v. State Compensation Ins. Fund, 2002 MT 279, 312 Mont. 410, 60 P.3d 397, and Ruhd, 2004 MT 236, 322 Mont. 478, 97 P.3d 561.
¶25 The elements for establishing a common fund are appropriately straightforward. Application of the doctrine is, however, not warranted in every case that establishes a new rule of law from which other claimants may derive a benefit. In Murer III, the earliest of our recent common fund worker' compensation cases, we emphasized that claimants there accomplished "significantly more than just the establishment of a favorable legal precedent. Additionally, claimants established a vested right on behalf of the absent claimants to directly receive immediate monetary payments of past due benefits underpayments; and based on the establishment of those vested rights, the State Fund became legally obligated to make the increased benefits payments." Murer III, 283 Mont. at 223, 942 P.2d at 76-77 (emphasis added). Similarly, in Rausch, the result of the claimant's efforts was the immediate payment of an undisputed impairment award, the payment of which would have otherwise been delayed until the respective claimants reached retirement age. Thus, the dispute in Rausch centered not upon eligibility or amount of the benefit, but rather on the timing of the payment. ¶ 10.
¶26 In Murer III, we concluded that the common fund doctrine properly applied due in part to the certainty with which State Fund identified absent claimants and mathematically calculated the increased benefits to which absent claimants were entitled. (See Murer v. State Compensation Mut. Ins., 267 Mont. 516, 885 P.2d 428 (1994) (Murer II) for the mandate underlying our discussion in Murer III regarding implementation of the common fund). As a result of our Murer II decision, State Fund: (1) identified absent claimants; (2) notified those claimants of their rights pursuant to Murer II; (3) calculated with mathematical certainty the increased benefits due each absent claimant; and (4) made payments to those claimants. Murer III, 283 Mont. at 223, 942 P.2d at 77 (emphasis added). State Fund was, "able to determine, with certainty, the number of absent claimants involved and the amount of money to which each individual claimant was entitled." Murer III, 283 Mont. at 223, 942 P.2d at 77 (emphasis added). As we noted in Rausch, at ¶ 48, quoting Murer III: "Those absent claimants will receive the benefit 'even though they were not required to intervene, file suit, risk expense, or hire an attorney.'" Thus, absent application of the common fund doctrine, both the Murer and Rausch beneficiaries would have reaped the benefits of protracted legal action at no expense to themselves, a classic example of the unjust enrichment specifically targeted by the common fund doctrine exception to the American Rule.
¶27 Here, by contrast, benefits due to non-participating Stavenjord beneficiaries will not be readily identifiable on superficial review of case files, nor can benefits due be calculated with certainty by way of a mathematical formula. The result of this case will not be that all eligible claimants will automatically be due a sum certain for unpaid PPD benefits. Rather, the parties here stipulated that it may be necessary for claimants' claim files to be updated or augmented in order to determine what PPD benefits each claimant is due under Stavenjord I. Thus, the "identifiable monetary fund or benefit" which the first of the three elements of the common fund doctrine requires is absent here. See ¶ 24, and Ruhd, ¶ 16. Moreover, because each claimant's situation will be unique, there will be no simple universal formula that can be applied to all non-participating claimants to determine to what additional money they are entitled. It also bears noting that many of these claimants are represented by counsel, and will require further assistance from their attorneys. A common fund reduction in fees to benefit Stavenjord's counsel would create a disincentive for non-participating claimants' counsel, and could thereby threaten a claimant's prospects for an aggressively negotiated benefit recovery.
¶28 We have previously said the common fund doctrine is applied properly where the potential economic returns from individual claims are insufficient to warrant litigation, and as a result wrongful acts go uncorrected. Application of the common fund doctrine is "especially appropriate" where "individual damage from an institutional wrong may not be sufficient from an economic viewpoint to justify the legal expense necessary to challenge that wrong." Murer III, 283 Mont. at 222-23, 942 P.2d at 76. Stavenjord's claim resulted in a $17,027.00 difference between the $10,000.00 in benefits to which she was entitled under the ODA, and the $27,027.00 in PPD benefits to which we concluded she was entitled. Stavenjord I, ¶¶ 9-10. While we acknowledge that Stavenjord and her counsel likely incurred significant expense in pursuing her case through the appeal process, the fact is that eligible claimants do have the financial incentive to pursue Stavenjord benefits, provided they and their counsel expend the time and effort required to reap the benefit of our decision. Because more work remains to be done before most claimants may successfully obtain their respective Stavenjord benefits, the concern with unjust enrichment to non-participating beneficiaries that underlies the common fund doctrine's intended purpose is largely absent here. We therefore conclude that the WCC erred in determining that Stavenjord I created a common fund. Thus, Stavenjord's counsel is not entitled to recover fees from cases brought by other claimants in pursuit of Stavenjord-type PPD benefits.
ISSUE FOUR
¶29 4. Whether the WCC erroneously concluded that Stavenjord's counsel timely asserted a claim for common fund attorney fees.
¶30 We have already determined that Stavenjord I did not create a common fund. As a result, we need not resolve this issue.
CONCLUSION
¶31 For the foregoing reasons, we conclude the District Court erred regarding both partial retroactive application of Stavenjord I and creation of a common fund. We remand this case to the WCC for further proceedings to include the determination of an appropriate procedure by which potential Stavenjord beneficiaries will be identified and notified of their interests related to increased Stavenjord-type PPD benefits.
/S/ PATRICIA COTTER
We Concur:
/S/ KARLA M. GRAY /S/ JAMES C. NELSON /S/ W. WILLIAM LEAPHART /S/ JOHN WARNER /S/ JIM RICE /S/ BRIAN MORRIS
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Consolidated Financial Statements December 31, 2004 and 2003 With Independent Auditors' Report Thereon
AARP
Consolidated Financial Statements December 31, 2004 and 2003
Table of Contents
KPMG LLP 2001 M Street, NW Washington, DC 20036
Independent Auditors' Report
The Board of Directors of AARP:
We have audited the accompanying consolidated statements of financial position of AARP as of December 31, 2004 and 2003, and the related consolidated statements of activities and cash flows for the years then ended. These consolidated financial statements are the responsibility of AARP management. Our responsibility is to express an opinion on these consolidated 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 audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes 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 AARP's internal control over financial reporting. Accordingly, we express no such opinion. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our 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 AARP at December 31, 2004 and 2003, and the changes in its net assets and its cash flows for the years then ended in conformity with accounting principles generally accepted in the United States of America.
March 24, 2005
KPMG LLP, a U.S. limited liability partnership, is the U.S.
member firm of KPMG International, a Swiss cooperative.
AARP
Consolidated Statements of Financial Position December 31, 2004 and 2003 (in thousands)
AARP
Consolidated Statement of Activities Year Ended December 31, 2004 (in thousands)
2004
AARP
Consolidated Statement of Activities Year Ended December 31, 2003 (in thousands)
2003
AARP
Consolidated Statements of Cash Flows Years Ended December 31, 2004 and 2003 (in thousands)
1. Description of Organizations and Activities
(a) AARP, Inc.
AARP, Inc. was organized in 1958 as a District of Columbia not-for-profit corporation for the purpose of promoting the interests of older persons. AARP, Inc. is qualified as a tax-exempt social welfare organization under Section 501(c)(4) of the Internal Revenue Code (IRC). The mission of AARP, Inc. is to meet the needs and promote the interests of persons 50 and older through education, advocacy and service programs designed to enhance the quality of life for all while promoting independence, dignity, and purpose of older persons. The programs and activities of AARP, Inc. and its affiliates include education, advocacy, research, social welfare activities, and charitable programs serving the needs of older persons.
AARP, Inc.'s programs, activities and operations are managed and supported primarily from its National Headquarters in Washington, D.C. AARP, Inc. and its affiliates also have local offices in 53 states and U.S. territories, a membership processing center located in Lakewood, California, and an advertising sales office in New York City.
(b) AARP Services, Inc.
AARP Services, Inc. (AARP Services) is a wholly owned taxable subsidiary of AARP, Inc., and was incorporated in Delaware in 1998. AARP, Inc. contracts with AARP Services to provide consulting and other services relating to the design, development, marketing and management of products and services available to AARP, Inc. members as part of their membership benefits, or offered as AARP-approved supplemental products and services which may be purchased by members from third parties for an additional cost. AARP Services receives fees from AARP, Inc. for specific services including new product development, marketing services, quality control services, and AARP Webplace design and maintenance. In addition, AARP Services receives a portion of the contractual payments generated from these membership benefit programs as a service provider relationship management fee.
(c) AARP Foundation
The AARP Foundation (the Foundation) was organized in 1961 as a District of Columbia not-for-profit corporation. The goals of the Foundation are to lead positive social change, enhance the quality of life for all and deliver value to those 50 and older through information, education and service. The AARP Foundation, an AARP affiliated charity, is a qualified nonprofit organization under Section 501(c)(3) of the Internal Revenue Code and is therefore exempt from federal income taxes on its charitable operations. In addition, the Foundation is a public charity as defined in Section 509 (a)(1) of the Internal Revenue Code. The AARP Foundation receives funding principally from the federal government, AARP,
AARP
Notes to Consolidated Financial Statements December 31, 2004 and 2003
foundations, corporations and individuals. The Foundation's Board of Directors is composed of seven members appointed by AARP Inc.'s Board of Directors.
The Foundation manages and reports the activities of another AARP, Inc. affiliate, AARP Institute (the Institute). The Institute qualifies as a tax-exempt organization under Section 501 (c) (3) of the IRC.
(d) Legal Counsel for the Elderly
Legal Counsel for the Elderly (LCE) was incorporated in the District of Columbia in 1980 for the purpose of providing free legal assistance and education to the elderly, primarily in the District of Columbia. LCE publishes manuals, conducts seminars on issues affecting the elderly, and operates legal services and long-term care ombudsman programs. LCE qualifies as a tax-exempt charitable organization under Section 501(c)(3) of the IRC. Funding for LCE is obtained primarily through contributions from AARP and grants. LCE's board of directors is comprised of seven members appointed by AARP, Inc.'s Chief Executive Officer.
(e) AARP Insurance Plan
The AARP Insurance Plan (the Plan) is a grantor trust established by an Agreement and Declaration of Trust for the purpose of making certain types of insurance available to AARP, Inc. members. Insurance premiums are collected directly from participants and are forwarded to third-party insurance carriers after agreed upon deductions from the Plan for expenses, royalties, and service fees. The Plan is administered by a board of trustees appointed by the Board of Directors of AARP, Inc.
(f) Other Affiliates
The AARP headquarters building located in Washington, D.C. and the related parking garage facilities are owned and operated by the following affiliates: AARP Properties LLC (Properties LLC), a wholly owned subsidiary of AARP, Inc.; AARP Financial Services Corp. (FSC), a wholly owned taxable subsidiary of AARP, Inc.; and AARP FSC LLC (FSC LLC), a wholly owned subsidiary of FSC.
2. Summary of Significant Accounting Policies
(a) Basis of Presentation
These consolidated financial statements are prepared on the accrual basis of accounting and include the accounts of AARP Inc., AARP Services, Inc, AARP Foundation, AARP Institute, Legal Counsel for the Elderly, AARP Insurance Plan, AARP Properties LLC, AARP Financial Services Corp., and AARP FSC LLC (collectively, AARP).
All significant intercompany transactions have been eliminated in consolidation. The consolidated financial statements do not include the operations and accounts of over 2,500 local chapters of AARP that are organized and operated as separate entities. AARP neither controls nor derives beneficial economic interest from these organizations, as defined by accounting principles generally accepted in the United States.
AARP summarizes the costs of providing and managing its various programs and supporting activities on a functional basis in the accompanying consolidated statements of activities. Accordingly, certain operating costs are allocated among the program services and supporting activities that benefit from them based on specific identification or reasonable allocation methodologies.
(b) Use of Estimates
The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect reported amounts and disclosures in the financial statements. Although actual results could differ from these estimates, management does not believe that such differences will be material.
(c) Cash Equivalents
Investments with original maturities of three months or less are reported as cash equivalents. As of December 31, 2004 and 2003, $209,700,000 and $167,038,000, respectively, is restricted for the payment of member insurance premiums.
(d) Accounts Receivable
AARP reserves for estimated uncollectible accounts based on the aging of outstanding accounts receivable and management's estimate of their net realizable values.
(e) Investments
Investments in debt securities, institutional mutual funds, certain equity securities and derivative financial instruments are measured and reported at fair value. Classification of current and non-current investments in the accompanying consolidated statements of financial position is determined by management based on maturities of the investments and intentions for use of the funds. Changes in fair value are reported as investment income in the accompanying consolidated statements of activities.
(f) Property and Equipment
Property and equipment are stated at cost. Computer software is composed of external and certain qualifying internal costs related to software development. Management periodically evaluates whether events or circumstances have occurred indicating that the carrying amount of long-lived assets may not be recovered. If the sum of the undiscounted expected future cash flows is less than the carrying amount of an asset, AARP recognizes an impairment loss based on the amount by which the carrying amount of the asset exceeds the fair value of the asset. Depreciation and amortization are calculated using the straight-line method over the lesser of the estimated useful lives of the assets or the lease term. The lives used range from three to 30 years. Maintenance and repair costs are expensed as incurred.
(g) Membership Dues
Membership dues are deferred upon receipt and recognized as revenue ratably over the membership term of one, two or three years.
(h) Royalties and Service Provider Relationship Management Fees
Royalties and service provider relationship management fees are received from AARPapproved third-party providers of member benefit programs, in return for the rights to use AARP, Inc.'s intellectual property (including its brand name, logo, and member list) in marketing such programs. These royalties and fees are recognized as revenue when earned.
(i) Publications Advertising
AARP sells advertising space in its major publications, which are provided to members without additional charge as part of their membership benefits. Advertising revenue is recognized as earned, in the month of the issue date.
(j) Federal and Other Grant Revenues
Federal and other grant revenues are recognized to the extent that qualifying expenditures under program agreements with federal agencies or other program providers are incurred. Amounts recorded as federal and other program grant receivables are for grant expenses incurred in advance of the receipt of funds. Funds received in advance of incurred grant expenses are reported as other current liabilities.
(k) Program Income
Certain AARP affiliates receive service fees from providers of and participants in member programs, for consulting, marketing and specific program services. These fees are recognized as earned.
(l) Contributions and Fundraising Expense
Contributions are recognized as revenue when received or pledged by the donor. Contributions received with restrictions for time or for use on a specific program are reported as temporarily restricted. Contributions whereby the principal amount may not be expended, but income earned from related investments is available for donor-specified or general operating purposes, are classified as permanently restricted.
When the time or program use restrictions are met, the temporarily restricted net assets are reclassified to unrestricted net assets and are reported as net assets released from restrictions in the accompanying statements of activities. For those restricted contributions where the contribution is received and the restriction is met during the same year, the contributions are reported as unrestricted.
Contributions revenue includes cash contributions received in support of both charitable and advocacy program activities, as well as in-kind contributed professional services. Contributed services were $15,673,000 and $12,046,000 for the years ended December 31, 2004 and 2003, respectively.
Fundraising expenses, which are reported as part of management and general expenses, were $14,225,000 and $13,785,000 for the years ended December 31, 2004 and 2003, respectively.
(m) Volunteer Services
AARP and its members benefit from the efforts of many volunteers. These in-kind contributions by volunteers are not recorded as revenue in the consolidated financial statements, because they do not meet the requirements for recognition under accounting principles generally accepted in the United States of America. Travel and subsistence costs incurred by these volunteers in carrying out their duties are reimbursed by AARP and are therefore included as an expense in the accompanying consolidated statements of activities.
(n) Income Taxes
AARP accounts for income taxes in accordance with Statement of Financial Accounting Standards (SFAS) No. 109, Accounting for Income Taxes. AARP Inc.'s taxable subsidiaries, AARP Services and FSC, are subject to income taxes. AARP Inc. is also subject to income taxes in years when unrelated business income, primarily publication advertising, is in excess of deductible expenses.
(o) Financial Instruments
At December 31, 2004 and 2003, the carrying value of financial instruments such as cash equivalents, accounts receivable, and accounts payable approximated their fair value, based on the short-term maturities or floating interest rates of these instruments. The fair values of investments and notes payable are discussed in notes 4 and 7, respectively.
(p) Measure of Operating Results
AARP reports as operating all activities except for any required provision for federal and state income taxes and investment income earned on debt sinking funds.
(q) Advertising Expenses
AARP expenses advertising costs as incurred. These costs include brand awareness, member acquisition and retention, member program marketing, and advocacy advertising. For the years ended December 31, 2004 and 2003, advertising expense was $91,946,000 and $73,512,000 respectively.
(r) Reclassifications
Certain reclassifications have been made to 2003 reported amounts to conform to the 2004 presentation.
3. Member Insurance Program
AARP makes certain types of insurance available to its members through a grantor trust called the AARP Insurance Plan (the Plan). Agreements between AARP, Inc., AARP Services, the Plan, United HealthCare Corporation (United) and the Metropolitan Life Insurance Company (MetLife) make Medicare supplement health insurance coverage and long-term care insurance coverage available to AARP members under the Plan. A separate agreement with The Hartford Fire Insurance Company (Hartford) provides for member services, payment processing, and accounting services to the Plan.
The Plan collects insurance premiums from participating members and is required to remit such payments to United and MetLife within a contractually specified period of time. The portion of premiums collected from insured members that are subsequently remitted to carriers are separately invested in short-term securities and recorded with an offsetting liability "Insurance Premiums Payable". For the years ended December 31, 2004 and 2003, AARP earned net investment income on these short term funds of $22,932,000 and $24,432,000, respectively, which is included in investment income in the accompanying consolidated statements of activities.
AARP retains a portion of the total premiums collected to pay the operating expenses of the Plan, as royalties for the use of its intellectual property, and as fees for service provider relationship management. These sources of compensation to AARP are reported as royalties and service provider relationship management fees in the consolidated statements of activities. For the years ended December 31, 2004 and 2003, AARP earned total royalties and service provider relationship management fees of $197,345,000 and $167,549,000, respectively, from the Plan.
For the years ended December 31, 2004 and 2003, the Plan processed $5.0 billion and $4.5 billion, respectively, of premium payments from member participants.
As of December 31, 2004 and 2003, insurance premiums payable is comprised of the following:
AARP Notes to Consolidated Financial Statements December 31, 2004 and 2003
4. Investments
Reported investment values are based on or derived from quoted prices as reported to AARP by its investment custodial bank or PIMCO. The institutional mutual funds are comprised of fixed income securities and are managed by PIMCO. AARP's investments by type of security and by management intention are as follows at December 31, 2004 and 2003:
AARP Notes to Consolidated Financial Statements December 31, 2004 and 2003
The synthetic Book Value Wrapper Contract (BV Wrapper) with AIG Financial Products Corporation and AEGON Institutional Markets was entered into to provide a higher degree of predictability for overall investment returns and to reduce the short-term impact of significant fluctuations in the financial markets.
The BV Wrapper has two components – a portfolio of investment securities and a third-party book value "put" feature. The agreement establishes, on a quarterly basis, a specific guaranteed return based on the nature of the underlying portfolio, historical gains and losses of the portfolio, and certain other factors. AARP retains legal title to the underlying investment portfolio and controls investment related risks by setting investment guidelines.
As of December 31, 2004 and 2003, the market value of the investment portfolio underlying the BV Wrapper was $262,251,000 and $243,208,000, respectively, and the value of the BV Wrapper as a whole was $249,145,000 and $239,135,000, respectively. The market value of the investment portfolio as determined by AARP's investment managers, and the market value of the BV Wrapper as determined by AIG and AEGON, have been netted to determine the reported value of the total position. The associated net loss amounted to ($9,033,000) and ($20,406,000) for the years ended December 31, 2004 and 2003 respectively, and is included as a component of investment income in the accompanying statements of activities.
Investment income, excluding the return on the Board-approved sinking fund (see note 7), for the year ended December 31 was comprised of:
AARP Notes to Consolidated Financial Statements December 31, 2004 and 2003
5. Accounts Receivable
Accounts receivable as of December 31 are as follows:
6. Property and Equipment
7. Notes Payable
On May 1, 2001, AARP issued unsecured fixed rate debentures and unsecured variable rate notes in the amounts of $125,000,000 and $75,000,000 respectively, for permanent financing of the AARP Headquarters Building. On December 1, 2004 AARP made debt repayments of $25,000,000 on the unsecured variable notes.
The fixed rate debentures carry an interest rate of 7.5% and mature on May 1, 2031. Interest is payable semi-annually on May 1 and November 1 of each year. The variable rate notes also mature on May 1, 2031, and carry an interest rate which is revalued each week to establish the accurate market rate for their respective note rating. Interest on the variable rate notes is payable monthly in arrears. As of December 31, 2004 and 2003, the variable rate notes had an interest rate of 2.32% and 1.17%, respectively.
Based on the borrowing rates currently available to AARP for fixed rate bonds with similar terms and average maturities, the fair value of the $125,000,000 fixed rate debentures is approximately $155,342,000 and $149,833,000 as of December 31, 2004 and 2003, respectively.
In 2001, three interest rate swap agreements (Swaps), each covering $25,000,000 of the variable rate notes, were executed to manage the variability of the interest expense associated with the floating rate debt. Under the Swap agreements, AARP pays fixed annual rates of 5.40%, 5.42%, and 3.61%, and receives an amount based on the notional amount of each Swap at an interest rate equal to the current U.S. Dollar London Interbank Offered Rate (LIBOR). The terms of the swaps provide for net receipt or payment on the first of each month. The Swaps are reported at their fair value on the accompanying consolidated statements of financial position, and changes in the fair value are recorded as a component of interest expense in the accompanying statements of activities. The net interest accrual, which is the difference between the monthly fixed payment on the Swap and the variable receipt from the Swap counter-party, is recorded as interest expense together with the interest expense on the fixed rate debt in the accompanying statements of activities. The Swap agreement with the fixed rate of 3.61% matured on December 1, 2003. As of December 31, 2004 and 2003, the Swaps are valued at a loss of $1,373,000 and $2,378,000, respectively.
In 2001, the AARP board of directors authorized the creation and funding of a Sinking Fund for the purpose of repayment of outstanding notes and bonds payable. The designated minimum funding is $3,600,000 per year, to be transferred on or about January 1 of each year. The balance in the Sinking Fund as of December 31, 2004 and 2003 was $34,490,000 and $27,801,000, respectively, and the Sinking Fund assets are included in investments in the accompanying consolidated statements of financial position. The net investment income for the Sinking Fund investments for the years ended December 31, 2004 and 2003 was $3,224,000 and $3,065,000, respectively.
On September 25, 2003, AARP obtained an unsecured $50,000,000 loan from a commercial bank, maturing September 30, 2006. The loan bears a variable rate of interest at 30 day LIBOR plus 18 basis points and is payable in monthly payments of accrued interest only, beginning November 1, 2004. During 2004, AARP made total repayments on the loan of $16.7 million.
On October 21, 2004, the Foundation issued 30 year District of Columbia Variable Rate Revenue Bonds Series 2004 in the amount of $25,000,000, due October 1, 2034, to finance the purchase of two condominium units located within the AARP Headquarters building at 601 E Street NW, Washington, DC. The bonds bear interest at a variable rate determined by the Remarketing Agent, based upon market conditions of reselling the bonds in a secondary market sale. Accrued interest is payable monthly. The Foundation may elect at anytime to convert to a fixed interest rate.
The Foundation has obtained a letter of credit to secure repayment of the bond financing of its office space. The letter of credit constitutes an irrevocable obligation to pay the bond trustee up to an amount equal to the sum of the principal amount of the Series 2004 Bonds outstanding, plus an amount equal to interest for 35 days on the principal amount of each Bond outstanding.
Total interest expense incurred for the years ended December 31, 2004 and 2003 was $11,400,000 and $10,977,000, respectively.
8. Income Taxes
The significant components of the provision for income taxes are as follows for the years ended December 31, 2004 and 2003, respectively:
The significant components of income tax expense as of December 31, 2004 and 2003 are as follows:
The significant components of the deferred tax asset at December 31, 2004 and 2003 were as follows:
9. Federal and Other Grants
AARP administers grants received from federal agencies and private organizations. The two largest grant programs are described below:
* Senior Community Service Employment Program (SCSEP) provides subsidized assignments and job training for persons 55 and older whose income is at or below 125% of the federal poverty level. The SCSEP project is primarily funded by the U.S. Department of Labor. The current commitment expires in June 2005.
* Tax Counseling for the Elderly (Tax-Aide) provides volunteer assistance for federal income tax preparation to low and moderate income persons, with special attention to those 60 and older throughout the country. In the 2004 and 2003 tax seasons, approximately 1,890,000 and 1,900,000 older persons were assisted. The Tax-Aide project is primarily funded by the Internal Revenue Service. The current commitment expires in September 2005.
Included in grant revenues from sponsoring agencies are reimbursements for enrollees, facility costs, office expenses, and other allowable costs.
AARP Notes to Consolidated Financial Statements December 31, 2004 and 2003
The continuation of all grant programs for fiscal year 2005 and beyond is subject to commitment of funds by sponsoring agencies.
10. Defined Benefit Pension Plan
Eligible employees of AARP and its affiliates participate in a noncontributory defined benefit pension plan called the AARP Employees' Pension Plan (the Plan). The Plan covers all employees meeting eligibility service requirements. Plan assets, investment income and administrative expenses generally are allocated to the participating affiliates in proportion to the related projected benefit obligation. AARP's funding policy is to contribute an amount equal to or greater than the minimum funding requirements of the Employee Retirement Income Security Act of 1974, as actuarially determined, calculated on a level percentage of payroll costs basis, but not greater than the maximum tax deductible limit. Plan assets are invested in equity and fixed income securities managed by outside fund managers.
In 2004, employer contributions to the Plan were $5,000,000. In 2003, employer contributions to the Plan were $67,078,000. AARP is not required to make a contribution to the Plan in 2005. However, supplemental contributions may be made that are not estimable at this time.
The net periodic pension expense for the years ended December 31, 2004 and 2003, was $10,431,000 and $6,388,000, respectively.
The plan's measurement date is September 30. The following sets forth the funded status of the Plan and prepaid pension asset shown in the accompanying consolidated statements of financial position at December 31:
The assumptions used to determine the benefit obligation in the actuarial valuations at the September 30, 2004 and 2003 measurement dates are as follows:
The assumptions used to determine net periodic benefit cost in the actuarial valuations at the September 30, 2004 and 2003 measurement dates are as follows:
As of December 31, 2004 and 2003, the weighted-average asset allocation for the Plan is as follows:
The targeted allocation of the investment assets in the Plan is for equities to comprise 65% of the investment portfolio and debt securities to comprise the remaining 35%. These targets are not intended to serve as a rigid constraint on the investment allocation. The following chart sets out the minimum and maximum positions for the various asset classes in the Plan:
The following benefit payments, which reflect expected future service, are expected to be paid:
Years 2010-2014
59,804,000
AARP Notes to Consolidated Financial Statements December 31, 2004 and 2003
11. Postretirement Health Benefits
All employees of AARP and its affiliates may become eligible for continuing health care benefits after retirement if they meet minimum age and service requirements and are covered by an AARP employee health insurance plan at the date of retirement. Healthcare benefits are provided through the AARP Employees' Welfare Plan (the Welfare Plan).
The net postretirement health benefits expense for the Welfare Plan for the years ended December 31, 2004 and 2003 was $4,040,000 and $3,092,000, respectively.
The actuarial benefit obligation and the accrued liability for post-retirement health benefits at December 31 were as follows:
As of December 31, 2004 and 2003, the weighted-average discount rate used in the actuarial valuation is as follows:
For measurement purposes, the health care cost trend rate is 9.0 percent for 2004 (the rate is assumed to decrease gradually to 5.5 percent through 2008 and remain level thereafter).
Actual postretirement health care costs paid by the Welfare Plan were approximately $2,143,000 and $2,033,000 in 2004 and 2003, respectively. Retiree health benefits are paid as covered expenses are incurred. Based upon the actuarial analysis set out above, AARP has committed investments of $69,518,000 and $67,428,000 at December 31, 2004 and 2003, respectively, for postretirement health benefit liabilities. This obligation is based upon AARP's current policy, and such amounts have not been contributed to the Welfare Plan, and therefore the related investment income has remained available for the general operations of AARP.
AARP
Notes to Consolidated Financial Statements December 31, 2004 and 2003
On December 8, 2003, the President signed into law the Medicare Prescription Drug, Improvement and Modernization Act of 2003 (the Act). The Act introduces a prescription drug benefit under Medicare (Medicare Part D) as well as a federal subsidy to sponsors of retiree health care benefit plans that provide a benefit that is at least actuarially equivalent to
Medicare Part D. FASB Statement 106, Employers' Accounting for Postretirement Benefits Other Than Pensions (FAS 106), requires presently enacted changes in relevant laws to be considered in current period measurements of postretirement benefit costs and the APBO.
AARP adopted FASB 106-2, Accounting and Disclosure Requirement Related to the Medicare Prescription Drug, Improvement and Modernization Act of 2003, which supersedes FASB 106-1, retroactive to the beginning of 2004. Management believes that the prescription drug benefit under the Welfare Plan is actuarially equivalent to Medicare Part D. In addition, management believes that the subsidy will reduce AARP's obligation related to the underlying postretirement prescription drug coverage on which the subsidy is based. The expected subsidy reduced the accumulated postretirement benefit obligation at January 1, 2004 by $9.3 million. In addition, the aggregate effect on service costs, interest cost and amortization of gains and losses results in a $1.8 million reduction in the annual net postretirement health benefits expense in 2004.
12. Employee Health Care Benefits
AARP operates under a "pay as you go" model for employee health benefits, with obligations being funded out of general corporate assets. For the years ended December 31, 2004 and 2003, expenses for the AARP Welfare Plan for current health care benefits were $12,926,000 and $10,694,000, respectively. For the years ended December 31, 2004 and 2003, AARP had a liability related to these benefits of $4,159,000 and $4,060,000, respectively, which is included in accounts payable and accrued liabilities on the statement of financial position.
13. Defined Contribution Plan
Effective January 1, 1998, AARP and certain affiliates participate in a single-employer defined contribution plan through the AARP Employees' 401(k) Plan (the 401(k) Plan). There are no age or service requirements to participate in the 401(k) Plan.
AARP provides an employer contribution to the 401(k) Plan, which matches 100% of employee contributions up to 3% of employee compensation, and 50% of employee contributions for the next 2% of employee compensation, up to the maximum limit allowed by law. For the years ended December 31, 2004 and 2003, AARP employer contributions to this plan totaled approximately $4,342,000 and $3,984,000, respectively.
14. Board Designated Unrestricted Net Assets
Board designated net assets at December 31, 2004 and 2003 are available to fund the following:
15. Commitments and Contingencies
(a) Lease commitments
AARP leases offices, information centers, and warehouse facilities in 90 locations in the U.S. and its territories under operating leases with various lease terms. Total rent expense incurred under operating leases was $14,111,000 and $15,236,000 in 2004 and 2003, respectively.
Future minimum lease payments, exclusive of additional operating costs, at December 31, 2004 are:
(b) Contingencies
In the normal course of business, AARP is involved in various claims and lawsuits. Management believes that at December 31, 2004 any liability that results from resolving these claims for damages will not materially impact AARP's financial position or changes in its net assets.
16. Subsequent Event
On January 3, 2005, AARP purchased condominium office units at a total cost of $32,638,000. In connection with the transaction, AARP obtained an unsecured loan of $15,000,000 with a commercial bank. As of December 31, 2004, AARP made a deposit payment toward the condominium purchase in the amount of $3,500,000 which is included in prepaid expenses and other current assets on the Statement of Financial Position. Two single member LLCs were created in 2004 to hold the real property assets.
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Publish, Post – or Snowball?
Odds and ends including:
* Election publishing/posting for Primary Election in August
* Meeting types and required publishing/posting
* When to expect money into township and appropriate account numbers
* Investments – how to record interest received
Circle the correct type of notice required (not best practice – legal requirement) for each of the following for YOUR township (remember Metro vs. non-Metro sometimes have different answers):
Special Meeting
Post Notice
Publish Notice
Both
Cool Snowball
Annual Meeting
Post Notice
Publish Notice
Both
Cool Snowball
Public Hearing
Post Notice
Publish Notice
Both
Cool Snowball
Appointing Supervisor to fill a vacancy at a regular Town Board meeting
Post Notice
Publish Notice
Both
Cool Snowball
Ordinance after Town Board approval
Post Notice
Publish Notice
Both
Cool Snowball
Starting Records Retention after completion of appropriate paperwork through the Historical Society
Post Notice
Publish Notice
Both
Cool Snowball
Public Hearing notice for vacating a road
Post Notice
Publish Notice
Both
Cool Snowball
Emergency Meeting Post Notice
Publish Notice
Both
Cool Snowball
Regular Town Board meeting held at regular time and place after proper yearly notification has occurred.
Post Notice
Publish Notice
Both
Cool Snowball
Recessed Meeting Post Notice
Publish Notice
Both
Cool Snowball
Closed Meeting
Post Notice
Publish Notice
Both
Cool Snowball
How do I know if I have to worry about special elections or if one is happening in my area?
http://www.sos.state.mn.us/election-administration-campaigns/elections-calendar/special-elections/ plus you should receive written notice.
Metro Area: Anoka, Carver, Chisago, Dakota, Hennepin, Isanti, Ramsey, Scott, Sherburne, Washington, and Wright Counties
Calendar on Secretary of State Website has all dates you need. Go into Election Calendars and find either Townships with March or Towns with November elections and use that. These are mailed to each township, but if you can't find yours, go to SOS website and download or print another one. They are larger this year than in the past, but still have a lot of useful dates included. http://www.sos.state.mn.us/election-administration-campaigns/electionadministration/election-calendars/
Towns with November elections do not have their dates included below. These are the Primary Dates only.
A few of the main dates are below. Please review the election calendar for your specific township dates:
* May 4, 2018 is the deadline for Counties notification of federal, state, judicial & county offices to be voted at the State General election. Notification includes times & places for filing for federal, state & county offices. Must promptly POST a copy of the notice at your filing location(s). You do have 10 days to complete this task.
* June 15 – November 3, 2018 – time frame for election judge training courses. The MAT election training course is for clerks as Head Election Officials, not election judge training. The MAT short course is held in June of even number years.
* If you receive a copy of the Primary Ballot – best practice is to post it in your posting location(s).
* June 30-August 14, 2018 – lock out of changing number or names of street addresses. (45 days prior to any election)
* *July 13, 2018 – Last day for non-metro town with less than 500 inhabitants according to last census to post or publish notice of changed voting hours for the State Primary election. This goes to your county auditor and is posted/published.
* July 20, 2018 – last day to appoint election judges for State Primary
* July 30, 2018 – MUST POST notice stating the federal/state/county offices for which candidates must be nominated or elected, the location of each polling place and hours for voting. May be published.
* July 31, 2018 – last day to publish 1 st of 2 notices of primary/special elections being held on State Primary election date. Optional for non-metro towns.
* August 3, 2018 - Last day to post notice of State Primary municipal & school district primary and/or special elections – at least 10 days before election. Optional for metro towns; mandatory non-metro towns that dispensed with published notices.
* August 7, 2018 – last day for metro towns to publish 2 nd of 2 State Primary Notice of Election (optional for nonmetro towns).
* August 10, 2018 – last day for Clerk to secure State Primary Election materials from County Auditor
* Normally the County Auditor will arrange for Accuracy Testing in association with Primary and General Elections.
* August 13, 2018 – last day for election judges to secure State Primary Election supplies from clerk (no later than 9 pm) – if clerk is working at the primary as an election judge, they can bring the materials.
* August 14, 2018 – State Primary Day – Always a chance that a state primary might not be held in some precincts due to not enough candidates for major party office.
o Minimum voting hours 7 am – 8 pm exception for some non-metro towns that are allowed to start no later than 10 pm (<500 via census and outside metro)
o No meetings between 6 and 8 pm
o If voting hours are not 7am-8pm, clerk to post or publish notice of changed hours and notify county auditor of the change 30 days before the election (see * above)
When to expect Township Funds to arrive
| Source | Timing |
|---|---|
| Levy (Property Taxes) Comes from County Auditor with breakdown by levy categories | June (60%) November or December January final |
| MN Management and Budget – Gas Tax/Road Allotment | February |
| MN Management & Budget – Town Aid | August and December |
| MN Management & Budget Ag Market Value Credits | October and December |
| Other aids that Townships may or may not receive that belong in the 33400 area | |
| County Grants/Aids – example recycling | |
Best practice for Receipts:
1. Maintain a pre-numbered, 3 copy receipt book.
3. Distribute copies as follows
2. All money received should have a receipt created (include things like interest, taxes, aids, permits, etc.)
a. One to clerk
c. 3 rd copy to stay in the receipt book for the treasurer's records
b. 2 nd copy to be attached to bank statement or deposit slip
INVESTMENTS
There are various types of investments and various ways to handle each. Common methods of recording:
1) Record savings/investments by allocations by fund in the CTAS cash balance
3) Mix of the two – keeping savings account money by fund in the CTAS Cash balance and CD's in the investment module.
2) Record savings/investments using the investment module
Any of the three methods above are allowed. As long as the clerk and treasurer can maintain the balances, it works.
If you use the investment module and interest arrives, there are two transactions to make
1) Record the interest in the investment module under the deposit section
3) Remember – CTAS will generate the associated IAD – the only location to edit in this transaction is the description or notes section. Leave the account numbers alone (49350 is the right account number).
2) Record the interest on a receipt for the Township and under the correct fund and 36210 Interest earning in the Accounting/Receipt module
4) When recording investments this way, the receipts module shows the cash flow (required for cash basis accounting) and the IAD makes the deduction to keep things in balance. Clear both transactions when balancing your bank statement.
If you use the method where balances are maintained in the CTAS Cash balances by fund
1) When money arrives, create receipt – be sure to record appropriate fund and account number
3) Possible Issues
2) This transaction is cleared like any other receipt.
a. You must be sure supervisors understand if all cash is liquid or not
b. CD's included in this method can lead to confusion
TRANSFERRING MONEY BETWEEN FUNDS
1) Motion must be made by the Town Board. 100% of Town Board Supervisors must be present to vote and vote in favor of moving the funds (provided it is legal to do so).
a. Disbursement from General Fund
2) Two transactions are required (example transfer from General fund to Road and Bridge fund)
i. Fund 100 – General Fund
iii. Object Code 720 – Interfund Transfers
ii. Account 49360 – Transfer to Governmental Fund
b. Receipt to the Road and Bridge Fund
ii. Account 39203 – Transfer from Governmental Fund
i. Fund 201 – Road and Bridge Fund
Both transactions are required using the account numbers listed.
Meetings: Regular, Special, Emergency, Recessed & Closed
| Type | Reasons | Notice | Agenda |
|---|---|---|---|
| Regular Meeting | To conduct the business of the township | Towns are required to keep a schedule of all regular meetings on file in its primary office. Minn. Stat. § 13D.04 sub 1. It is also recommended that notice be posted on the designated facilities for posting notice. Note: if the regular meeting place changes, the meeting must be noticed as a Special Meeting. | No agenda is required to be posted ahead of time, but there should be one at the meeting that people can view. |
| Special Meeting | To conduct business outside the regular meeting. | Yes, it must include date, time, place on principal bulletin board of public body or if none, on its meeting door. Notice must be posted at least three days (not counting first and last day, so really five days) before the meeting. Notice must also be delivered to anyone who has requested a notice of special meetings. It may publish notice at least 3 days before the meeting in the official newspaper. Minn. Stat. § 13D.04 subd 2. | Yes, it must be posted. Special meetings can only cover items listed as the purpose of the meeting. |
| Emergency Meeting | Immediate consideration to protect the public body: Safety concerns like a road or bridge washout and something must be done to maintain safe travel. Minn. Stat. § 13D-04 sub 3 (e) | No. This is an exception to the Open Meetings Law. The only requirement is a good faith effort must be made to notify news media if they have filed a written request for notice. | No. However, the Town Board may conduct an emergency inspection, if it does not have staff. Minn. Stat. § 366.01 |
| Recessed or Continued Meeting | To continue discussion not completed at a meeting or hearing | The time and place for reconvening the meeting is established during the earlier meeting and recorded in the minutes. No further published or mailed notice is required. Minn. Stat. § 13D.04 sub 4(a). However, there is no language on posted or personal service notice. | From previous meeting |
| Closed Meeting | Limited purposes: 1) Atty client privilege to discuss litigation; 2) Review employee performance, however employee must be given option of having meeting open; 3) Purchase and sale of property. Minn. Stat. §§ 13D.05 & 13.44 | Treat like a Special Meeting. Often the closed meeting will be after an open meeting. Both should be noticed separately. At the open meeting, the board should move, on the record, to close the meeting. A public statement can be made at the open meeting as the reasons for closure. Minn. Stat. § 13D.01 sub 3. | Same as special meeting. It is important to list the reasons for a closed meeting. |
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What is a Reformed Church?
Malcolm H. Watts
T HE term 'Reformed' has received considerable prominence in recent years. It has become quite common to speak and hear of Reformed doctrine, Reformed practice, Reformed worship etc., but it is to be feared that many Christians are still unsure about the precise meaning of the term. What exactly does it mean? And what kind of church is designated by it? To answer such questions, we need to study the usage of the term in history, especially in the 16th and 17th centuries.
Historical Basis
Originally, of course, the term was used at the time of Reformation and with more or less the same latitude as the term Protestant. Reformed Churches were churches which protested against prevailing error and corruption and which ultimately renounced communion with the apostate Church of Rome. Martin Luther had issued the clearest of calls, writing in 1518, 'The Church needs a reformation. This reformation...is the concern of all Christendom, or better still, of God alone'. By the time of Luther's death, many churches in Germany and elsewhere had returned to the Gospel and to the pristine purity of early Christianity. These were the churches of the Reformation or - as Luther preferred to call them the Evangelical Churches. The word Reformed was first used as another name for Protestants in 1561, at a conference at Poissy, near Paris, in France.
Later, however, the designation Reformed was employed to distinguish the Calvinists from the Lutherans. The Calvinists were the followers of John Calvin, who carefully stated and systematized the theology of the Reformation. Calvin, believing Scripture to be the only reliable source of the knowledge of God, taught from that Scripture the absolute omnipotence of God and especially did he exalt the grace of God in the work of man's salvation. Holding God to be sovereign, Calvin insisted that God's Word alone should order the affairs of his Church: hence, he established a true and proper form of church government and the correct way in which God should be worshipped in public assemblies. Those who embraced Calvin's teachings were called 'the Church Reformed according to the Word of God', a rather cumbersome title which subsequently was shortened to 'the Reformed Church'. As far we can tell this designation was first used in the more restricted sense in Article VI of the Treaty of Westphalia, a treaty framed and ratified in 1648 to secure for Lutheran and Calvinistic churches equal rights with Roman Catholic churches within the limits and boundaries of the Roman Empire.
As Calvinistic Protestantism developed, the term underwent one further refinement. It came to be applied to English Puritanism. This movement inherited Calvin's theological legacy but expanded his teaching on law, grace, and the covenants; and, believing the visible Church to be still corrupted with the remains of Popery, it sought a further reformation according to the Word of God. In their attempts at thorough reform, the Puritans pointed out that unbiblical forms, ceremonies, and vestments had already been abolished by the Reformed Churches on the Continent. They believed the English Church was hardly deserving of the epithet Reformed. It was, they said, only 'halfreformed'. Puritanism therefore became responsible for that remarkable document, 'The Solemn League and Covenant', to which the Westminster Assembly subscribed in 1643. This aimed at a 'reformation of religion in the kingdoms of England and Ireland, in doctrine, worship, discipline, and government,
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according to the Word of God, and the example of the best reformed churches'.
In the light of the above, we can only deplore the way some have attacked this title and publicly disassociated themselves from the Reformed tradition. To be Reformed, in the historic sense, is to be Protestant, Calvinistic, and Puritan. This is something none of us should repudiate: on the contrary, it is something we should boldly and unitedly confess!
Biblical Basis
Thus far we have dealt with the subject historically. It is now time to consider it rather more biblically and, in doing so, to mark the leading distinctives of a Reformed church.
First of all, a Reformed church believes that the Bible in its entirety is God's written Word, without error or fault of any kind, and that it is therefore the sole authoritative expression of the Divine will for all aspects of church life. This was certainly the view of the great Reformers. We find Luther, for example, referring to the Scriptures as 'pure truth' which 'cannot err'. Calvin, too, affirmed the divine nature and total veracity of these Scriptures, describing them as 'infallible oracles' which inspiration has rendered 'free from every stain and defect'.
For Calvin and the Puritans, however, God's Word was also the 'sceptre' by which he ruled his Church or special Kingdom. As William Tyndale wrote: 'In the kingdom of Christ, and in his church or congregation, and in his councils, the ruler is the scripture...' His exhortation was as follows: 'Without God's Word do nothing. And to his Word add nothing; neither pull anything there from... Serve God as he hath appointed thee...'
This is a thoroughly biblical principle. In every age, God has given detailed instructions for church worship, government, and practice, while at the same time declaring his abhorrence of all human devices and innovations. 'What thing soever I command
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you, observe to do it: thou shalt not add thereto, nor diminish from it' (Deut 12:32). If the Lord's people deviate to any degree from Scripture's precise rule, they come under that very solemn and fearful indictment, 'Their fear towards me is taught by the precepts of men' (Is 29:13,14). Quoting these words, the Lord Jesus declared that worship performed on such a basis was 'in vain' or 'to no purpose' (Matt 15:9). Similarly, we find the apostle warning against 'commandments of men, that turn from the truth' (Titus 1:14) and also of the inevitable result of such departure in 'will worship' (Col 2:23).
Secondly, a Reformed church magnifies and exalts the Word of God, especially in its worship where preaching will always have the central place. The Church of Rome degraded the Holy Scriptures by alloying the purity of the Canon with her apocryphal additions, by supplementing the inspired records with an enormous mass of spurious traditions, by admitting only that interpretation which is according to 'the unanimous consent of the Fathers' and 'the Holy Mother Church', and, particularly by diminishing the role of preaching as their 'priests' busied themselves with miraculous stories about Mary, the saints and the images, and magnified the importance of the 'Mass', with its elaborate and multiplied ceremonies and rituals.
It was thus that preaching deteriorated and, in fact, almost disappeared. The Reformers vigorously protested against this and contended with all their might for the recovery of the God's Holy Word. Great was their devotion to God's truth! 'Better', Luther used to say, 'better heaven and earth should be blended together in confusion, than that one dust of God's truth should perish', while Calvin spoke of the Scriptures as the 'eternal and inviolable truth of God', and repeatedly asserted that 'we owe to the Scripture the same reverence which we owe to God, because it has proceeded from him alone, and has nothing of man mixed with it'.
On account of this new emphasis, preaching was
brought into renewed prominence. Luther admitted in one of his letters to Bucer, 'Often I preached four times on one day.' Similarly, Calvin, in Geneva, preached twice on the Lord's Days and three times in the week, but in 1542 he was urged to preach more often, which he did for a time until his health suffered under the increased strain. Knox preached just as often and so powerfully that Melville (a young student at the time) tells how he could no longer hold his pen to take notes. This Reformer went so far as to say that he would more gladly spend 'fifteen hours' preaching God's Word than 'half an hour in any other matter'. All the Reformers felt like that. It was fundamental to their whole outlook. The exposition and application of the Word was of paramount importance to them, and they did not conceal that fact. A congregation which tires of preaching and loses its love for the truth moves at once from a biblical Reformed position. We can only deplore the fact that there has been such a falling away in this land from Reformation standards, both of preaching and of hearing. It has brought, and will bring, judgment upon the Church.
Our Lord and his Apostles taught the importance of preaching (Lk 24:27; 2 Tim 4:2). The central function of the Ministry (Rom 10:15; Eph 4:11), it becomes the central act in the public worship of the Church (Acts 15:35; 20:7). 'Thou hast magnified thy word above all thy name' (Ps 138:2).
Thirdly, a Reformed church recognizes the sovereign and awesome majesty of God, whose determinate decree, before the world and time, is the ultimate reason for all things being as they are. In Calvin's theology this truth assumed a prominent place. Calvin wrote in his 'Institutes': 'We hold that God is the dispenser and ruler of all things, that from the remotest eternity, according to his own wisdom, he decreed what he was to do, and now by his own power executes what he decreed. Hence we maintain that by his providence, not heaven and earth and inanimate creatures only, but also
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the counsels and wills of men are so governed as to move exactly in the course which he has destined'.
In an address to commemorate the 400th anniversary of John Calvin's birth, Dr Benjamin Warfield remarked that 'It is the vision of God and his Majesty...which lies at the foundation of the entirety of Calvinistic thinking'. He went on to say, 'The Calvinist is the man who has seen God, and who, having seen God in his glory, is filled on the one hand, with a sense of his own unworthiness to stand in God's sight, as a creature, and much more as a sinner, and, on the other hand, with adoring wonder that nevertheless this God is a God who receives sinners'.
Scripture everywhere represents God as the absolute monarch who reigns over everything that is, was or ever shall be. As David once said, 'The Lord hath prepared his throne in the heavens; and his kingdom ruleth over all' (Ps 103:19; cf. 93:1; Dan 4:34, 35; Rev 19:6). By the eternal counsel of his will, he has appointed the course of nature and directed the course of history (Ps 33:11; 148:5, 6; Jer 5:22; 10; 23; Acts 4:27, 28; Eph 1:11). His ultimate objective has always been to manifest the divine excellence, thereby promoting his worship and glory. 'For of him, and through him, and to him, are all things: to whom be glory for ever' (Rom 11:36; cf. Ps 145:10; Rev 4:11).
Worship which is truly Reformed will therefore be characterised by holy reverence, deep humility, and profound adoration. 'God is greatly to be feared in the assembly of his saints, and to be had in reverence of all them that are about him' (Ps 89:7; cf. 5:7; 76:11, 12).
Fourthly, a Reformed church, adhering to a theological system which teaches that salvation is wholly God's work, avows the firmest belief in those truths which are commonly called "the Doctrines of Grace"'. In the late 16th and early 17th centuries, Reformed churches were troubled by
the errors of Arminianism. James Arminius (15601609), who had studied at Geneva under Theodore Beza (Calvin's colleague and successor), became a preacher at Amsterdam and eventually a professor at the University of Leyden. Through his sermons and lectures, he made it increasingly clear that he had adopted new views which were at variance with Scripture and the Reformed Faith. Disputes arose during his life-time, but it was after his death, in 1610, that his followers drew up a petition called a 'Remonstrance' which set forth their teachings in five articles. These were finally presented to the National Synod of Dort (which included delegates from other countries, even from England). The Synod condemned the doctrines of Arminius and set forth the true Reformed theology in five other articles, which ever since have been called 'The Five Points of Calvinism'. In brief, these are as follows:
(1) Total Depravity. This doctrine asserts that, as a result of the Fall, men are alienated from God, subject to the corrupting power of sin, and in a totally helpless and hopeless condition (Ps 14:2,3;Mk 7:21,22; Jn 6:64-66; Rom 9:16).
(2) Unconditional Election. By this is meant that God, from all eternity, has sovereignly elected some sinners to be saved through Jesus Christ; and this election was not in foresight of belief or holiness in sinners, but solely on account of his free and distinguishing grace (Ps 65:4; Matt 22:13; Acts 13:48; Rom 9:10- 13; Eph 1:4,5; 2 Thess 2:13).
(3) Limited Atonement. Sometimes referred to as Particular Redemption, this point simply affirms that Christ died for God's elect, and for them only (Lk 1:68; Jn 10:11; Acts 20:28; Rom 8:33, 34;Rev 5:9).
(4) Irresistible Grace. Here, we are confronted with the fact that when God calls elect sinners to faith through the Gospel, the Holy Spirit effects such a change in them that, contrary to all expectations, they are brought to the reception of the truth and participation in Christ's salvation (Ezek 36:26,27;
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Matt 11:25-27; Jn 6:44,45; Acts 18:27; Rom 8:30; 2 Tim 1:9).
(5) Perseverance of the Saints. According to this final tenet, God so preserves true believers by his grace and power that they can never totally or finally fall away, but they persevere to the end and obtain everlasting life and glory (Jn 10:28,29; Rom 8:38,39; 1 Cor 1:6-8; Phil 1:6; 1 Pet 1:5).
Reformed Ministers will regularly preach on these themes. They will also expose and refute the errors of insurgent Arminianism. As a result, their people will be grounded in the Faith of the Reformation.
Fifthly, a Reformed church understands that a covenant is at the heart of God's relationship with man, and therefore it lays emphasis upon the way Scripture unfolds and develops God's Covenant of Grace. Federal or Covenant theology was, in the words of Professor John Murray, 'a distinguishing feature of the Reformed tradition'. The earliest of the Reformers rediscovered this biblical teaching and began to explore its spiritual riches. As early as 1561, Zacharius Ursinus, a professor at Heidelberg, referred to a covenant made with Adam before the Fall, while, in 1576, Caspar Olevianus, a colleague of Ursinus's, taught that there was another covenant, fulfilled in Christ. This covenant effectually secured the everlasting salvation of God's elect people. Thereafter, covenantal teaching spread throughout the Reformed world.
God did indeed enter into a covenant with Adam and, through him, with all whom he represented, that is with all mankind. In that covenant, life was promised upon condition of pure obedience (hence its name: 'the covenant of works'); but Adam broke that covenant incurring for himself and all men the penalty of physical, spiritual and eternal death (Gen 2:16, 17 cf. Hos 6:7 margin; Rom 5:12).
However, in anticipation of Adam's sin, God was pleased to establish an eternal covenant with his Son, the Head and Representative of the elect (Gal
3:17; Eph 3:11; 2 Tim 1:9; Heb 12:24). In this covenant ('the covenant of grace'), the Father promised to give elect sinners everlasting life, providing his Son voluntarily engaged to become man, subject himself to the Law, and fulfil the necessary condition, which consisted in holiness of nature, obedience of life, and suffering of death (Gal 4:4; Phil 2:8; Heb 7:26. Titus 1:2; 1 Jn 5:11). This was agreed upon by the Father and the Son, with the Holy Spirit concurring (Zech 6:13; Heb 13:20). What a wonderful arrangement it was! All covenant blessings are now at Christ's disposal. Then faith is imparted and Christ is received, these blessings are immediately enjoyed. 'He that believeth on the Son hath everlasting life' (Jn 3:36).
The administration of this covenant produces the Church, which is God's Covenant Society. Its members are the objects of his loving care and they are distinguished from others by high privileges: not least among them, the possession of sacred ordinances and the gracious indwelling of the Holy Spirit. As the People of the Covenant, the Church (and this applies to each particular church) must show itself separated from false doctrine and practice and united in the blessed fellowship of faithful men and women. This should be true of any church which calls itself Reformed. It should heed the apostle's exhortation: 'Walk worthy of God, who hath called you unto his kingdom and glory' (1 Thess 2:12; cf. 2 Cor 6:16-18; 1 Pet 2:9).
Sixthly, a Reformed church is committed to the work of bringing the gospel of salvation to the unconverted, not only in its own vicinity but also in other areas of the country and in other parts of the world. Historically, reformation and evangelism have gone hand in hand. In the year 1556, fourteen missionaries were sent by the Church of Geneva to spread the Christian Faith in the newly discovered regions of South America. In 1559, Protestants in Sweden took the Gospel to the people of Lapland; and in 1562, French Protestants evangelized Florida and, afterwards, Carolina. Among the first Puritan
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missionaries were the Pilgrim Fathers. Arriving at New Plymouth, Massachusetts, in 1620, they organized a mission as early as 1621 'to promote the conversion of the Indians'. Contrary to what some have suggested, the spirit of the Reformers and Puritans was intensely evangelistic.
It is the duty of the Church to evangelize. Christ has commanded his Church through the eleven disciples to tell people everywhere the way of God's salvation. 'Go ye therefore, and teach (or, make disciples of) all nations' (Matt 28:18-20; cf Mk 16:15, 16; Lk 24:46-49; Jn 20:21-22; Acts 1:8-10). This matter is no side issue. It should be our main work - to tell out the glories of God as they are displayed in the grand scheme of our redemption. Why? Because only so will the divine purpose be accomplished and 'the earth...be filled with the knowledge of the glory of the Lord, as the waters cover the sea' (Hab 2:14; cf. Is 11:9). As Martin Bucer once observed, 'The Church is the City of God where God will rule by his Word and Spirit more than anywhere else in the world, and from whence he will spread his saving knowledge in all the earth'.
Will this come to pass if ministers confine their preaching to the faithful gathered in various chapelbuildings? No, it certainly will not! That is why Christ told his disciples to pray that God would 'send forth labourers' (Matt 9:38; cf. Jn 15:16 - 'ye should go and bring forth fruit'). 'The word of the Lord' must therefore have 'free course', speeding its way throughout the whole world, if it is to be 'glorified' in the revelation of glorious truths and in the production of glorious effects (2 Thess 3:1).
Judged by this standard, some churches are totally unworthy of the name 'Reformed'.
Seventhly, a Reformed church stresses the need for an inward, spiritual experience of God's saving grace, which creates such gratitude that the Law is readily followed as the holy rule of all conduct. Luther tells us in his own words of his conversion
to Christ. In search of forgiveness and peace, he began to study the Scriptures and more especially the Epistle to the Romans. There, the Gospel was revealed to him and he discovered salvation in Christ. 'Straightway', he says, 'I felt as if I were born anew. It was as if I had found the door of Paradise thrown wide open'. Calvin had a similar story to tell. His account of the way God dealt with him is sadly quite brief, but he says: 'What happened first was that by an unexpected conversion he tamed to teachableness a mind too stubborn for its years for I was so strongly devoted to the superstitions of the Papacy that nothing less could draw me from such depths of mire. And so this mere taste of true godliness that I received set me on fire...'
The spiritual autobiographies of the 17th century show how important 'experience' was to the Puritans. Space only allows me to give one example here but, believe me, it is typical of many others. Thomas Goodwin was at Cambridge when he heard a sermon which changed his heart and life. As with the others, what happened is best told by the convert himself. 'God was pleased', he wrote, 'on the sudden, and as it were in an instant, to alter the whole course of his former dispensation towards me, and said of and to my soul, "Yea live, yea live I say"...so he created and put new life and spirit into my soul, and so great an alteration was strange to me'.
The Puritans believed that this kind of personal experience would produce a life of obedience. Richard Sibbes comments, 'The sense of the love of Christ in pardoning of sins will constrain one to a holy violence in the performing of all duties'.
This, of course, is sound biblical teaching. God's undeserved love to sinners, revealed in the gospel of salvation, is something to be known not merely intellectually, but experimentally. The apostle distinguishes between the two when he recalls how some 'heard' and then 'knew the grace of God in truth' (Col 1:6; cf. Eph 1:13). Felt grace, however, does
6
not destroy a believer's obligation to keep the Law: rather, it strengthens that obligation, by supplying new motives, abilities, and encouragements. The believer has received 'mercy' and he has the assistance of 'the holy Spirit': furthermore, he has the promise of a very gracious spiritual 'reward' (Ps 19:11; Ezek 11:16; 1 Pet 2:10). It is, in fact, his whole new relationship with Christ which binds him 'being not without law to God, but under the law to Christ (i.e. as one of the Lord's people, desirous of pleasing him)' (1 Cor 9:21. See also: Matt 5:17-19; Rom 3:31; 7:22; James 2:8, 10-11).
Reformation religion is essentially experimental. The Reformed should have an all consuming desire to know God. They should also desire to be like him in holiness and, since this is so clearly expressed in the moral law, they should love that law and always follow it as the rule of life.
Eighthly, a Reformed church longs to see the Visible Church restored to its scriptural pattern in government, worship and practice, and therefore it prays, strives, and works for the greater purity of itself and the whole Church of Christ. This all the Reformers did. John Knox did not hesitate to do all within his power to promote the work of reformation, 'that the reverent face of the primitive and apostolic Church should be reduced again to the eyes and knowledge of men'. All those who claim to be successors to the Reformers ought to be manifesting the same concern for the church in these days, so that pure worship, sound preaching and the faithful exercise of discipline being restored to her, the church may stand once again in her original beauty and strength.
God, who anciently was pleased to make known his 'pattern' for the Tabernacle and the Temple (Exod 25:40; 1 Chron 28:11,12), has in these new covenant days revealed his 'pattern' for the Church of our Lord Jesus Christ (Matt 28:20; Acts 1:2,3; 1 Cor 4:17; 11:1,2). The enemy, over many years, may have marred and spoiled this outward form, but a
Reformed church is resolved 'to build the old waste places' and '(to) raise up the foundations of may generations', fervently praying as it does so, 'Do good in thy good pleasure unto Zion: build thou the walls of Jerusalem' (Ps 51:18; Is 58:12).
In the opinion of some, increasing numbers of people attending services are all-important. We are not of that opinion. There is something more important than church growth: it is to build up such a church on earth as may be described as 'the house of the Lord's glory'. In 1851 J. H. Thornwell wrote to his wife, sharing with her the burden of his heart: 'I am anxious to have an eye single to God's glory. If it were my purpose to please the people, I could soon gather a large congregation; but I want to build up a spiritual church, and that cannot be done without the special agency of the Holy Ghost. I could soon draw around me those who have itching ears; but I wish to attract people, not to myself, but to the cross of my divine Redeemer.' 'Such a work requires patience, watchfulness, and prayer.'
The Church of Christ is to-day beset by many strong assailants, and insidious forces are undermining her strength. Corruptions have already dreadfully marred her. Reformation is the crying need of the time. The call to every true believer must be to return wholeheartedly to the true Reformed religion. That done, though superstition be leagued with unbelief against her, the church shall stand unmoved, to the praise of 'the God of our fathers' and 'our God'.
Ninthly, a Reformed church encourages the spirit of true devotion which finds expression in lives wholly consecrated to God and his service. Calvin's emblem was a hand holding out a heart to God, and his motto - 'My heart, as having been offered up, I present in sacrifice unto the Lord'. Writing of the Christian life, Calvin remarks: 'Now the great thing is this: we are consecrated and dedicated to God in order that we may thereafter think, speak, meditate,
7
and do, nothing except to his glory...We are God's: let us therefore live for him and die for him...' This is the Reformed philosophy. Those who embrace it are willing to be mastered by God.
What does the New Testament say? 'Whether we live, we live unto the Lord; and whether we die, we die unto the Lord: whether we live therefore, or die, we are the Lord's' (Rom 14:8). And again, 'Ye are not your own...Ye are bought with a price: therefore glorify God in your body, and in your spirit, which are God's' (1 Cor 6:19, 20). If our church really is Biblical and Reformed, its members will be fully committed and most zealous for the cause of God and Truth. Let us look to our hearts. How much do we love the Lord? What kind of service do we offer him? Could it be that some of us are 'Reformed' in name only?
Tenthly, and lastly, a Reformed church, recognizing the reason for its existence, has a supreme and profound regard to the glory of God. Calvin's most prominent thought was God in his transcendent majesty. The entire world has been created as a place for the display of his glory; but in his Church, where that glory is perceived and admired, there is the highest manifestation of his glory as chosen, redeemed and called sinners own their complete dependence on his free mercy and grace, and serve him in such a way as to bring to him all due honour and praise (1 Cor 6:19, 20). This is man's 'chief end': it is 'to glorify God and to enjoy him for ever.'
A Reformed church, therefore, seeks not to be popular with men but to be faithful to God. In its worship and witness, it will maintain the highest standards and employs its noblest powers, resolutely refusing to accommodate itself to an increasingly wicked world. May the Church, in these latter days, appear as 'the throne of his glory' (Jer 14:21); and 'unto him be glory in the church by Christ Jesus throughout all ages, world without end (Eph 3:21)!
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WEEKLY UPDATE DECEMBER 24 –28, 2018
PUBLIC MEETINGS
MONDAY, DECEMBER 24 TUESDAY, DECEMBER 25 WEDNESDAY, DECEMBER 26
ALL HORRY COUNTY GOVERNMENT OFFICES, EXCEPT PUBLIC SAFETY OPERATIONS, WILL BE CLOSED IN OBSERVANCE OF CHRISTMAS.
THURSDAY, DECEMBER 27
3 p.m.-Horry County Planning Commission Workshop, Horry County Government & Justice Center, Multipurpose Rooms, 1301 Second Avenue, Conway.
AGENDAS
Horry County PLANNING COMMISSION WORKSHOP
AGENDA
December 27, 2018 – 3:00 p.m.
I. Call to Order – 3:00 p.m.
II. New Development Street Names - No Public Hearing Required
III. New Business – Request for extension of Vested Rights: Multiple PINs (Parks @ Long Bay Phases 4 & 5)
IV. Design Modification – PIN 450-00-00-0006 – Oak Estates @ Island Green Phase 3 – To allow a 50' right-of-way to serve as ingress/egress for more than 50 lots
V. Rezoning Requests
Horry (pronounced O-REE) County is situated in the northeastern corner of South Carolina and is a diverse land of rivers, beaches, forests, and swamps. Founded in 1801, Horry County is sometimes referred to as "The Independent Republic of Horry", a nickname that referred to the politically independent citizens. The County consists of 1,143 square miles, over 300,000 residents and over 2,200 dedicated employees to service their needs. Horry County hosts eight cities/towns that welcome millions of visitors annually who enjoy abundant amenities that include beautiful beaches, shopping, golf and a wide array of entertainment and dining.
1. Ord 91-18 - 2018-08-003 – Kim Stevens, agent for Ann Juel - Request to rezone 0.80 acre from Residential (MSF10) to Convenience and Auto-Related Services (RE3) and is located at 4415 & 4443 (4423) Waterfront Ave in Little River. (Council Member – H. Worley)
2. PREVIOUSLY DEFERRED TWICE 2018-10-002 – Ralph A. Pandure, Jr – Request to rezone .387 acres from Residential (MSF10) to Neighborhood Retail Services (RE1) and is located at 4311 Mineola Ave in Little River. (Council Member – H. Worley)
3. PREVIOUSLY DEFERRED 2018-11-004 – Van Davenport, agent for Moses Johnson – Request to rezone 41.99 acres form Forest Agriculture (FA) & Residential (MSF10) to Multi-Residential Two (MRD2) and is located on Hwy 905 and Castlers Heights Rd in Longs. (Council Member – P. Prince)
4. PREVIOUSLY DEFERRED 2018-11-008 – G3 Engineering LLC, agent for LSW Holdings, LLC Request to rezone 97.33 acres from Commercial Forest Agriculture (CFA) & Residential (SF6) to Multi-Residential Two (MRD2) and is located on Enterprise Rd and Carlisle Rd in Socastee. (Council Member – C. Crawford)
5. PREVIOUSLY DEFERRED 2018-11-011 – Ricky Martin – Request to rezone 9.59 acres from Commercial Forest Agriculture (CFA) to General Manufacturing & Industrial (MA2) and is located at 4523 Mill Pond Rd in Myrtle Beach (Council Member – C. Crawford)
6. 2018-12-001 - G3 Engineering, LLC, agent for Phillips Timberlands SC, LLC – Request to rezone 295.44 acres from Commercial Agriculture (AG2) to Multi-Residential One (MRD1) and is located off of Hemingway Road in Loris. (Council Member – D. Hardee)
7. 2018-12-002 - Thomas M. McNeilly – Request to rezone 2.07 +/- (Portion) acres from Limited Forest Agriculture (LFA) to Limited Manufacturing and Industrial (MA1) and is located at the corner of Hwy 554 and Cleveland Drive in Loris. (Council Member – D. Hardee)
8. 2018-12-003 - Thomas & Hutton, agent for Founders IWGC, LLC – Request to rezone 153.9 acres from Residential (SF6) to Community Retail Services (RE2) and Multi-Residential Two (MRD2) and is located at Indian Wells Golf Course in Garden City. (Council Member – T. Servant)
9. 2018-12-004 - Rowe Professional Services Co., agent for Ryan Herian and Andrea Griffin – Request to rezone 2.6 acres from Residential (SF20) to Multi-Residential Two (MRD2) and is located on Butler Rd in Myrtle Beach. (Council Member – C. Crawford)
10. 2018-12-005 – DDC Engineers, Inc., agent for Myrtle Beach Mall, LLC, MBMBP, LLC, and SCF RC Funding III, LLC – Request to rezone 65.47 acres from Highway Commercial (HC) to Planned Development District (PDD) and is located adjacent to US 17 across from the Meher Spiritual Center in Myrtle Beach. (Council Member – B. Howard)
11. 2018-12-006 – Solan Associates, P.C., agent for Burcale Development, LLC – Request to amend the existing Planned Unit District (PUD) and is located at the intersection of Burcale Rd and McCormick Rd in Myrtle Beach. (Council Member – J. Vaught)
12. 2018-12-007 – Patrick Boulter, agent for Seven Eleven of Little River, SC – Request to rezone 1.39 acres from Residential (SF6) to High Bulk Retail (RE4) and is located at 490 Hwy 17 N. in Little River. (Council Member – P. Prince)
VI. Text Amendments
An ordinance to amend Appendix B, Zoning Ordinance Article VII, Section 747, Convenience and AutoRelated Services District (RE3) of the Horry County Code of Ordinances to allow Parking Lots
VII. Adjourn
NEWS RELEASES
HORRY COUNTY OFFICES TO CLOSE FOR CHRISTMAS
Conway, South Carolina – All Horry County offices, other than public safety operations, will be closed on Monday, December 24, 2018, Tuesday, December 25, 2018, and Wednesday, December 26, 2018, in observance of Christmas. Regular courts may be in operation in the Horry County Government & Justice Center and all jurors, witnesses, etc. will be required to be present.
In addition to the above dates:
The Horry County Museum and the L.W. Paul Living History Farm will be closed Saturday, December 22, 2018.
All branches of the Horry County Memorial Library will close at 5 p.m. Monday, December 17, 2018, through Friday, December 21, 2018, and Thursday, December 27, 2018, through Monday, December 31, 2018.
Mount Vernon Community Meeting
Conway, South Carolina – Horry County Planning and Zoning will be hosting a public meeting in the Mount Vernon Community on Thursday, December 27 at 6:00 pm at the Mount Vernon Community Center, located at 3200 Hwy 366, Loris, SC 29569. The Community Center is at the corner of Hwy 366 and Red Bluff Rd. The meeting is in regards to rezoning cases:
2018-12-001 - G3 Engineering, LLC, agent for Phillips Timberlands SC, LLC – Request to rezone 295.44 acres from Commercial Agriculture (AG2) to Multi-Residential One (MRD1) and is located off of Hemingway Road in Loris.
2018-12-002 - Thomas M. McNeilly – Request to rezone 2.07 +/- (Portion) acres from Limited Forest Agriculture (LFA) to Limited Manufacturing and Industrial (MA1) and is located at the corner of Hwy 554 and Cleveland Drive in Loris.
The public is invited to attend to find out more about these rezoning requests. Horry County Planning Commission will also be hosting a public hearing on these two rezoning requests on Thursday,
Horry (pronounced O-REE) County is situated in the northeastern corner of South Carolina and is a diverse land of rivers, beaches, forests, and swamps. Founded in 1801, Horry County is sometimes referred to as "The Independent Republic of Horry", a nickname that referred to the politically independent citizens. The County consists of 1,143 square miles, over 300,000 residents and over 2,200 dedicated employees to service their needs. Horry County hosts eight cities/towns that welcome millions of visitors annually who enjoy abundant amenities that include beautiful beaches, shopping, golf and a wide array of entertainment and dining.
January 3 at 5:30 pm at the Horry County Government and Justice Center at 1301 2 nd Avenue in Conway.
To find out more out these rezoning requests and other rezoning requests for this month's upcoming Planning Commission Workshop and Meeting, visit: https://www.horrycounty.org/Video/PlanningZoning. Residents can also reach out to Horry County Planning & Zoning at 843-915-5340 for more information.
ROAD CONSTRUCTION UPDATE
Carolina Bays Parkway (SC31) Extension Project
Traffic impacts weather permitting:
The shoulders of SC Hwy 544 at Dick Pond Road will be closed Wednesday, December 26, 2018, through Friday, December 28, 2018, from 9 a.m. to 4 p.m. for wheelchair ramp work.
To get updates on all SCDOT projects in Horry County, visit SCDOT's website at http://www.scdot.org choose Quick Links. From the drop-down menu select SC Road Conditions. Just click on Horry County on the map for the current listing.
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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.
December 6th, 2009
Parish Staff
Advent
Second
Sunday
Ministers All the Members of the Parish Parish Emergencies (414) 771-2500 — listen for instructions
Mass Schedule
Office Hours
Saturday: 5:00PM Sunday: 8:00AM & 10:00AM Tuesday: 8:00AM
Liturgy of the Word with Communion: Thursday, Friday: 8:00AM
See inside for Holy Day Schedules
Reconciliation: 4:15PM — 4:45PM 1st Saturday of the Month
Anointing of the Sick: 2nd Full Weekend of the Month Following Each Mass
All Other Sacraments: Please call the Parish Office Preparation can take six months or more
AM
8:30 — 4:00
PM
Monday, Tuesday, Thursday:
PM
closed 12:00 — 12:30
PM
Wednesday:
PM
12:00
PM
— 7:30
PM
closed 4:00 — 4:30
PM
AM PM
to 12:00
Friday: 8:30
Welcome to Saint Therese Catholic Church, Milwaukee, Wisconsin
From the Desk of the Parish Director
forever and ever. (Jdt 15:9-10)
You are the glory of Jerusalem, the surpassing joy of Israel; you are the splendid boast of our people…May you be blest by the Lord Almighty
Holy Mary, Mother of God, You have given the world its true light. Jesus, your Son – the Son of God. You abandoned yourself completely to God's call and thus became a wellspring of the goodness which flows forth from Him. Show us Jesus. Lead us to Him. Teach us to know and love Him, so that we too can become capable of true love and be fountains of living water in the midst of a thirsting world.
The mother of our Lord deserves our adoration for saying "yes" to God in the face of great uncertainty. Pray that you too can say "yes" when God calls you to face life's challenges.
Thanks to all who attended the November 16th liturgical minister's meeting. We are already seeing some improvements as a result of that meeting— more ministers are filling in the ―open‖ spaces in the schedule; the preparation time required for check-in is being followed more closely; and generally, there is greater care given to our liturgical celebrations. We are still in need of Altar Servers, Eucharistic Ministers, Lectors, and Ushers. Please note that there will be training sessions offered after the holidays.
Speaking of training for liturgical ministries, it is important that we understand the necessity of not only knowing the ―functionary aspects‖ of ministry, but also why we do these. Beginning with the new year in January, every current liturgical minister will be asked to update their training so that the theology and spirituality of the ministry is understood. At the November 16th meeting, we emphasized the need for ongoing formation and updating for all our liturgical ministers.
Advent blessings to you,
Dr. Alexandra Guliano
New Communion Procedure for 8:00AM Mass
Communion Procession procedure for 8:00AM mass. Communion is distributed in the middle section only, except when there is a choir ministering at the mass. Persons in the pews are to be ushered to the middle section. When the choir ministers, Communion will be brought to them in the southwest corner of the church. Anyone unable to walk in the Communion Procession is asked to indicate this to the Ushers who will assure that Communion is brought to the pews. Thanks for your cooperation, patience, and understanding as we implement this new process.
For the past several weeks, we have been experimenting with a new
Updated Liturgical Ministry Rosters Available in Sacristy
Updated rosters for Eucharistic Ministers, Lectors, Altar Servers, and Greeters are available in the ministry mailboxes in the sacristy. Each liturgical minister is asked to kindly take the time and pick these up.
Altar Server Coordinator
Jim Balliet has responded to the call for a Coordinator for Altar Servers for our Parish. If you are interested in becoming an Altar Server, please contact Jim at email@example.com or (414) 257-0339.
Please remember the following in your prayers: Lenore Black, Gene Brah, Anna Daevel, Tom Fera, Georgina Guevara, Pauline Gutmann, Mary Ann Hesselbein, Ben Hoener, Andy Islo, Garnet Jankowski, Ken Knollenberg, Marcella Kozuh, Tom Kreuter, Ann Lackovic, Frank & Raquel Lemanski, Sarah Luck, Charlotte Meeks, Chris Melloch, Laverne Mucci, Michelle Muschelewicz, Gerry Roberts, Sylvia Schaffer, Gladys Shafer, Carlene Siever, Susan Sinks, Marion Stabo, Mary Stoke, Robert John Swiderski, Harold Vanden Heuvel, Merle Weber, Bob Wilcox, Brian Wissing Born to Eternal Life: †Ted Schmidt, †Jim Shafer
Our Sympathy to the family of Jim Shafer on his recent death. Jim was the brother of Bonnie Drabowicz and Lana Anderson of our parish.
Solemnity of the Immaculate Conception December 8th Holyday of Obligation
We will celebrate two masses on Tuesday, December 8th in celebration of the Solemnity of the Immaculate Conception— 8:00AM and 7:00PM. Both masses will be celebrated in the Church.
Christmas and Holyday Mass Schedule Christmas Eve, December 24th
3:45PM: Intergenerational Family Mass beginning with a special presentation entitled ―Christmas Around the World‖
10:00PM: Night Mass beginning with a Choir Concert Christmas Day, December 25th
8:00AM Mass
10:00AM Mass
New Year's Day, January 1st, 2010
9:00AM World Day of Prayer for Peace/Solemnity of Mary Holyday Mass
Liturgical Ministry Sign Up for Christmas and Holyday Liturgies
Due to the lack of space on the bulletin board, the Sign Up Sheets for Liturgical Ministers for Christmas and the Holyday are posted on the Adult Alb Closet Door. Please sign up there. Thank you for your ministry!
Thank You
Ginny Kopischke donated the cost of nine pyxes (for communion to the sick and homebound) in memory of Jack Kopischke.
Sunday, December 6th
December 6th, 2009 Second Sunday of Advent
Next Weekend is Sharing Weekend
7:30AM Canticle Choir (CH)
AM
8:45 Sunday School (
ALL ROOMS
)
9:10AM St. Therese Choir (CH)
After Masses Entertainment Books for Sale (CH)
10:00AM Children's Liturgy of the Word (CH)
The December Recipient of our Sharing Weekend collection will be Delphi House. Delphi house is celebrating their 20th Anniversary. Our mission statement has stayed the same: Delphi House seeks to create a nurturing environment for abused children who have been placed in foster care and to break the cycle of violence. They give children— regardless of race, religion, gender or national origin—the opportunity to learn alternatives to violence, to gain trust and self-esteem and to realize their full potential as human beings.
11:00AM Confirmation Prep (GN)
Monday, December 7th
7:00PM Parish Council (MC)
6:00PM St. Vincent dePaul (STR)
Tuesday, December 8th
8:00AM Mass
Parish Office Closed
3:30PM Canticle Choir (MC)
7:00PM Mass
Wednesday, December 9th
7:30PM St. Therese Choir (CHP)
6:45PM Wednesdays with the Word (STR)
7:30PM Praise Band (CH)
Thursday, December 10th
No Meetings Scheduled
Friday, December 11th
No Meetings Scheduled
Saturday, December 12th—Sharing Weekend
Delphi House currently provides a home for larger sibling groups to live together under one roof with a kinship care provider. At this time, Delphi House provides 2 kinship caregivers and 10 children with a large comfortable home and support services. These include an after school tutoring program, counseling and therapy, role modeling, trips within the community, as well as offering the kinship care providers guidance and support required to succeed in that role. Delphi House has also acquired another large house that is in need of major repairs. With the help of grants and Eaton Corporation, they are doing extensive remodeling to meet the code necessary to provide another foster care family and sibling group with the shelter and services that they have extended to the present family. The plan is to have this home available for operation on Delphi House's anniversary, April 13th, 2010.
Please be generous during this Christmas Season. Thank you for your past wonderful response to our recipients.
Altered Bulletin Deadlines
Due to publication deadlines for the holidays, please refer to the chart below to determine when articles are due. Please remember that these deadlines are firm. Thank you for planning ahead.
)
7:30AM Forming the Catechetical Spirit (MC) After Mass Christmas/Advent Library Display (LIB
Sunday, December 13th—Sharing Weekend
After Masses Christmas/Advent Library Display (LIB)
AM
8:45 Sunday School (
ALL
)
10:00AM Children's Liturgy of the Word (CH)
9:10AM St. Therese Choir (CH)
5:30PM Teen Session (MC)
CH=Church, CHP=Chapel, GLP=God's Littlest Place, GN=Good News Gathering Place, HH=Heck Hall, KIT=Heck Hall Kitchen, LIB=Library, MC=Miriam's Corner, RR=Raphael Room, STR=St. Therese Room
Decorate for Christmas
You're Invited to the Christmas/Advent Library Display
Committee in the Parish Office at extension 18.
On December 20th, following 10:00AM mass, everyone is welcome to help decorate the church for Christmas. There will be food, music, and a good time for all. If you have questions, please leave a voicemail for the Art & Environment
Question of the Week: Do your prayers include prisoners, enemies, and those who have wronged you?
Next weekend, stop by the Parish Library after mass and browse through our wonderful selection of books and DVDs for this season of Advent and Christmas. There's something for everyone…snuggle up with a good inspirational book or gather the family to enjoy a heartwarming movie. If you check out an item you'll be eligible for our free raffle…one for adults and one for children. Enjoy a hot cup of coffee and some homemade treats! Don't miss this special event!
55+ Social Club
Our Annual Christmas Luncheon is at Alioto's on December 16th at 11:30AM. The next regular meeting is on Thursday, January 14th, 2010.
Wednesdays with the Word
Wednesdays with the Word take place from 6:45PM—7:30PM in the St. Therese Room on December 2nd,9th, 16th, and 23rd, not the 30th. All are welcome to join in breaking open the Word of God for the upcoming Sunday.
Thank You, but No Thanks
Thanks to your generosity, only new Christmas and all occasion cards can be used. Please no used cards. Thanks again. Sr Ann Christine, SSND
December 6th, 2009 Second Sunday of Advent
Thank you for your generosity to the Faith In Our Future Campaign! Our parishioners have pledged $221,653 to the campaign, bringing us to 65% of our goal of $340,000. So far, parish families have actually donated over $52,000 to the trust. 40% of donations stay with the trust to support Catholic education and faith formation, and 60% are sent to St. Therese. We have used this $31,247 to replace the bell tower door, pay for building, electrical, and heating repairs, and upgrade lighting in church. We have also tithed $3,125 to the St. Vincent de Paul Society to help the needy.
If you would like to make or change a pledge, pledge cards on the tables at the entrances of church. If you have any questions, please contact the campaign chairs:
Michael Falk (414) 254-5619 firstname.lastname@example.org
Ann Maher (414) 453-4437 email@example.com
Dr. Jesse Stringer (262) 442-3710 firstname.lastname@example.org
or email all three chairs at email@example.com
6th Transfer from the Faith In Our Future Trust Fund
On November 25th, our parish received its sixth transfer from the Faith In Our Future Trust Fund—$4,613.60. We will tithe $461.36 to our parish St. Vincent de Paul Society, and with this transfer we will be able to reimburse the parish reserves for the remainder of the start-up expenses for the Capital Campaign. More information to follow in next week's bulletin.
Pictures from the Wall of Remembrance
November, the month of All Souls, ended last Monday. Pictures from the Wall of Remembrance can be picked up in the sacristy on the table next to the sound cabinet marked accordingly. Thank you for sharing these pictures with our parish community. It was our privilege to pray for your loved ones.
CROP Walk
Twenty-five members of St. Therese community walked in the CROP Walk and raised $960 to help alleviate hunger in the Milwaukee area. Barb Gritzmacher and Donna Maccani, who co-chaired the event, thank the people who walked, those who sponsored the walkers, and all of the people who so generously brought food. It was a great outreach to those in need.
Thank You
Dr. Martha Tempesta Dave McGinnis
The MICAH Board of Trustee extends our heartfelt thanks from our membership for your generous offering of $900.00 on the Sharing Sunday for November. It is a living tribute that befits your St Therese Parish Mission Statement.
Executive Director
Parishioner
Tote Bags from Baños, Equador Ready for Pick Up
If you purchased a tote bag from the missionary who was with us in September, Sr Mary McGlone, CSJ of FUVIRESE, these are available for pick up in the sacristy. Thanks to all who purchased the bags and for taking the time to pick them up.
Prayer Day - December 7th
Prayer Day is a real Christmas get ready bargain. No long lines. No midnight hours. Daytime hours 8:30AM—6:30PM. No discounts with full benefits - free! Come one, come all.
Faith in Our Future Update
December Sanctuary Candle
son of Ann Ferguson, grandson of Ann Lemanski
Monday
Is 35:1-10/Lk 5:17-26
Tuesday Mass
Gn 3:9-15, 20/Eph 1:3-6, 11-12/Lk 1:26-38
8:00AM †Bernard McShane
7:00
PM
A Special Intention
Wednesday
Is 40:25-31/Mt 11:28-30
Thursday Liturgy of the Word with Communion
8:00
AM
Is 41:13-20/Mt 11:11-15
Friday Liturgy of the Word with Communion
8:00
AM
Is 48:17-19/Mt 11:16-19
Saturday Mass
Zec 2:14-17/Lk 1:26-38
5:00PM †Barbara Pelkey and †Alan Pelkey
Sunday Masses
Zep 3:14-18a/Phil 4:4-7/Lk 3:10-18
8:00AM
†Abby Bunzel
10:00AM
St. Therese Parish Community and †Tony Sincere
In Memory of †Peter Ferguson,
CHURCH SUPPORT
November 21st/22nd:
Thanksgiving Day:
November 28th/29th:
$5103.50 $123.00 $4819.81
Volunteer Tutors Needed
Milwaukee Achiever Literacy Services, an adult literacy program founded in 1983 by the president of Alverno College, Cardinal Stritch University, and Mt Mary College, needs volunteer tutors to work one-onone with adult learners for a minimum commitment of two hours per week for six months. There is a special need for late afternoon and evening hours. Free training is provided. Tax-deductible donations are also appreciated. For further information, please contact:
Pierce Center: 1512 W Pierce St, (414) 643-0176 x105 or firstname.lastname@example.org
Silver Spring Center: 5566 N 69th St, (414) 463- 7389 or email@example.com
December 6th, 2009 Second Sunday of Advent
Ministry Sign Up
Altar Servers: Jim Balliet (414) 257-0339 Greeters: Audrey Wright (414) 771-2140
EMs: Lisa Stringer (262) 442-3856
Scheduler: Mari Pavleje (414) 545-2733
Lectors: Lisa Hollander (414) 443-9656
Sign-up sheets for servers, lectors, Eucharistic ministers, and greeters for January through April are now available in the sacristy. Please indicate your mass preference and special requests in the spaces provided. The sheets will be available through December 6th. Schedules will be ready the following weekend. If you are interested in joining one of the ministries, please add your name and phone number to the bottom of the appropriate sheet, and you will be contacted. Questions? Contact:
These Important Ministries Need Your Help
Thanks to Abby and Elly Smith for coordinating our Art and Environment Committee. Committee members are needed. To volunteer for this ministry, please call the Parish Office and leave a voicemail at extension 18 for the Art & Environment Committee.
Art & Environment Committee Needed
Church Helpers
Church helpers clean up the pews after all the weekend masses, assuring that the books, envelopes, and pencils are neatly arranged. Currently we have only two weekends per month covered. We would like to create a schedule with a 5-6 week rotation. A Coordinator is also needed for this ministry. The Coordinator has two responsibilities—making out the schedule and training the ministers. Church helpers would minister approximately once per month. The ministry can be done during the week or on the weekend (before the 5:00PM mass or after the 10:00AM mass). This is an easy thing a family can do for the parish. If you are interested in joining this ministry, please submit your name and contact information to any member of the Parish Council (see contact information at right).
Please Help Us Keep Our Prayer List Current
the name of the person to be prayed for, with pronunciation if needed
It is our privilege for pray for others at our parish liturgies. The General Intercessions are offered at our celebrations of the Eucharist to extend our prayer beyond our parish and assembly. Please help us keep our prayer list current. While we receive many requests for prayer, we are uncertain how long to keep names on our list. If you would like a name to remain on our prayer list, you may submit the name at www.sainttheresemilwaukee.org/prayerlist or contact Courtney Falk in writing, by phone, or by email and submit the following:
your name and contact information (phone or email)
an agreement to communicate to Courtney Falk in writing, by phone, or email when the person's name should be removed from the list.
Thank you for understanding.
Flower & Candle Memorial Donations
In this season of giving, you can remember a loved one or a special intention by donating toward the cost of flowers and candles for our church environment. Please complete the form below, include your donation of any amount, and return both in the collection basket at any mass. Thank you for your generosity!
Candle and Flower Donations—PLEASE PRINT CLEARLY
Donor Name ___________________________________________
Phone ( )________________ Amount Enclosed $________
Select one:
In Memory In Honor In Thanksgiving
Intention _______________________________________________
Publish in bulletin?
Yes No Print intention, not donor
1st Monday of Month at 7:00 PM
Chairperson
Kathy Hubrich (414) 259-1961
Vice-Chairperson
Rich Sanger
(414) 425-2028
Secretary
Heather Goeden (414) 313-6397
Trustees
Jim Balliet
(414) 257-0339
Mari Pavleje (414) 545-2733
Darian Borst (414) 461-8030
Fran Clark
(414) 476-7427
David Drozdowicz(262) 938-6756
Barb Gritzmacher (414) 774-1396
Pat Hall
(414) 604-9396
Chuck Jagemann (414) 453-5280
Janet Krebs Jesse Stringer
(414) 774-9113 (262) 442-3710
Greater Tosa Interfaith (414) 453-5750
Saint Vincent de Paul (414) 462-7837
Parish Council
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 remembrance in prayer or a pastoral visit, please contact Dr. Guliano in the Parish Office.
Prayer Network/Home Visits
Members of the Prayer Network pray daily for those that have asked for prayers. The intentions are kept confidential. To request prayers or a home visit, please contact Barb in the Parish Office.
Please remember Saint Therese Parish in your will !
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Appreciate the Elephants!
September 2014
Computer Network Solutions and Management Services
AxiNews
Tech Briefing :
RTO and RPO for Continuity
Metrics are used in nearly every business process, including disaster preparedness and any business continuity plan (BCP) you might have at the ready. Businesses that are looking to ensure that their company will make it through any disaster successfully need to have an effective BCP with metrics like RTO and RPO in place.
hours, meaning your business can survive with systems down for this amount of time, then you will need to ensure a high level of preparation and a higher budget to ensure that systems can be recovered quickly. On the other hand, if the RTO is two weeks, then you can probably budget less and invest in less advanced solutions.
While both RTO and RPO are important elements of continuity plans, and they both sound fairly similar, they are actually quite different. In this article we define RTO and RPO and take a look at what the difference is between the two concepts.
RTO Defined
RPO Defined
RPO, or Recovery Point Objective, is focused on data and your company's loss tolerance in relation to your data. RPO is determined by looking at the time between data backups and the amount of data that could be lost in between backups.
RTO, or Recovery Time Objective, is the target time you set for the recovery of your IT and business activities after a disaster has struck. The goal here is to calculate how quickly you need to recover, which can then dictate the type or preparations you need to implement and the overall budget you should assign to business continuity. If, for example, you find that your RTO is five
As part of business continuity planning, you need to figure out how long you can afford to operate without that data before the business suffers. A good example of setting an RPO is to imagine that you are writing an important, yet lengthy, report. Think to yourself that eventually your computer will crash and the content written after your last
(Continued on page 2)
Excel Headers and Footers 101
Microsoft Excel has become an increasingly versatile work application catering to most businesses, big and small. While most users are familiar with all the functions the app has to offer, many are still unaware that you can add a header or footer to your spreadsheets. With that in mind, it's time for a comprehensive view of what headers and footers are and how they work in Excel.
What are headers and footers?
As with Word, Headers and footers are lines of text that print at the top (header) and bottom (footer) of each page in an Excel spreadsheet. They often contain descriptive text such as titles, dates, or page numbers displayed in page layout views and on printed pages.
Headers and footers are useful in providing
(Continued on page 2)
Inside AxiNews
p1: RTO & RPO for Continuity p1: Excel Headers and Footers p3: Finding Apps on Your iPad
p4: Inquiring Minds
Fun Facts about Elephants
1. There are two types of elephants– African and Asian elephants.
2. Elephants have an evolved 6th toe.
3. Elephants don't actually like peanuts and zoos don't feed them to their captive elephants.
4. African elephants are the largest land mammals on the planet.
5. The elephant's closest relative is the rock hyrax, a small furry mammal that lives in sub-Saharan Africa and the coast of the Arabian peninsula.
6. Elephants can get sunburned so they throw sand on themselves for protection.
7. Female elephants are pregnant for around 22 months.
8. An elephant's skin is an inch thick.
RTO and RPO for Continuity (cont.)
(Continued from page 1)
What's the main difference between RTO and RPO?
save will be lost. How much time can you tolerate having to try to recover, or rewrite that missing content?
That time becomes your RPO, and should become the indicator of how often you back your data up, or in this case, save your work. If you find that your business can survive three to four days in between backups, then the RPO would be three days (the shortest time between backups).
Excel Headers and Footers (cont.)
(Continued from page 1)
quick information about your document or data in a predictable format and also help set out different parts of a document. Simply put, they make calculations, graphs, and pivot tables much easier to read and follow.
To start a new line in a header or footer text box, press ENTER; to include a single ampersand (&) in the text of a header or footer, use two ampersands. When you are done, click anywhere in the spreadsheet to close Header or Footer.
How to Add and Remove Headers and Footers
Select the spreadsheet for which you want to add headers or footers. On the Insert tab in the Text group, click Header & Footer; this displays the spreadsheet in page layout view.
Return to Normal page view by clicking on the View tab and Normal button.
To remove the header or footer from a spreadsheet, select the View tab and click on Page Layout. Delete the information you want to remove.
The next time you need to repeat text on a page to make information more organized and easier to digest, you can simply do so with Excel's header and footer feature. Looking to learn more about Microsoft Office and its features? Contact us today and see how we can help.
Published with permission from TechAdvisory.org.
To add a header or footer, click on the left, right or center of the Header or Footer text box at the top or bottom of the spreadsheet page. You can now add a preset header or footer to your document, or create a custom header and footer.
Books that Feature Elephants
For Children: Books by Mo Willems; Modoc: the True Story of the Greatest Elephant that Ever Lived by Ralph Helfer; Babar books by Laurent de Brunhoff; The Magician's Elephant by Kate DiCamillo For Adults: The Elephant Whisperer by Lawrence Anthony; An Elephant in the Garden by Michael Morpurgo, Water for Elephants by Sara Gruen and many, many more!!!
The major difference between these two metrics is their purpose. The RTO is usually large scale, and looks at your whole business and systems involved. RPO focuses just on data and your company's overall resilience to the loss of it.
If you are looking to improve or even set your RTO and RPO, contact us today!
Finding Apps on your iPad
The app is arguably the most important part of the iPad. After all, it is the apps that give the device its unparalleled usability and features. A common issue many users come across is that they often have a large number of apps and it can be tough to figure out what apps you have installed, or even to find all of your apps. If you have had this problem before, here are three tips that can help.
1. Finding installed apps via Settings
While there is no set section of the iPad's Settings that allows you to view installed apps, you can actually view installed apps by looking at the Usage section. This section tells users how much storage space installed apps are using, therefore giving you a list of installed apps.
You can access the Usage section of Settings by:
1. Opening the Settings panel on your iPad.
2. Tapping on General.
3. Selecting Usage.
This will list the apps you have installed, organized by how much hard drive space they are using. What's great about this method is that you can not only see the apps you have installed but also see if there are apps you aren't using, or apps that are taking up valuable space. You can also select apps to learn more about how much memory they are using and even uninstall an app should you not need it anymore.
2. Finding installed apps via Spotlight
If you have iOS 7 on your iPad you can view all installed apps via the Spotlight feature. Spotlight allows you to search your iPad for files, folders, apps, and more, and can be accessed by swiping down from the top of the screen when looking at the Home screen.
You can see what apps you have installed using Spotlight by:
1. Opening Spotlight by sliding down from the top of your iPad's screen.
2. Tapping on the blank spot beside the magnifying glass.
3. Typing "." (period/full stop) without the quotations.
September 2014
You should see a list of your installed apps come up, though there is no apparent way they are organized. If you tap on an app name, it will open.
3. Finding installed apps via iTunes
The other way you can find out the apps you have installed is via iTunes. You can do this by:
1. Plugging your iPad into your computer via the cord that came with the device.
2. Opening iTunes, if it doesn't open automatically when you connect it.
3. Clicking on the device's name under Devices.
4. Selecting Apps.
You will be able to search for apps, or you should see a full list of installed apps. The great thing about this feature is that if you search for apps, you should see where they are on your device's screen. From there you can move the apps around, or even delete them.
If you are looking to learn more about using the iPad, please contact us today to see how we can help.
Published with permission from TechAdvisory.org. Source.
Above: Note Taker HD (left) and ArtRage (right) are two apps that made the Top 100 Apps for iPads 2014 list by PC Magazine.
September 2014
31352 Via Colinas #104 Westlake Village, CA 91362 (818) 865-9865
www.AXICOM.net
Inquiring Minds...
Elephant Appreciation Day
Elephant Appreciation Day is September 22! Draw some elephant pictures or watch some elephants draw in honor of these gentle giants. Go to the zoo or visit You Tube and watch elephants at play. Elephants in captivity have been known to form special bonds with other animals such as Bubbles, a 32 year old African elephant, whose best friend is Bella, a 3 year old Labrador, both of whom live together at the Myrtle Beach Safari in South Carolina. Elephants are very social, gregarious and gentle animals by nature.
Elephant Communities in Jeopardy
Many elephants suffer due to their environment or how
Make all of my computer problems go away without the cost of a full-time I.T. staff
Ask us about our fixed price service agreements and kick off the new year with computer support at a flat monthly fee you can budget for just like rent!
Our printed newsletters are always available online! Check it out at www.AXICOM.net.
they are treated. Because of the many wars that have ravaged and destroyed not just human communities but elephant communities in Africa, many younger African elephants have shown typical symptoms of post-traumatic stress disorder (PTSD), violence and other asymptomatic behavior. There have been some efforts by conservationists, park rangers and even the elephants themselves to rebuild their communities. In Kenya, the David Sheldrick Wildlife Trust is a sanctuary for orphaned and traumatized wild elephants where human caregivers serve as surrogate mothers. To date, the Sheldrick Trust has rehabilitated more than 60 elephants and reintroduced them to wild herds.
In the United States, the Elephant Sanctuary in Tennessee has made its mission to help emotionally and psychologically disturbed former zoo and circus elephants where they are treated and rehabilitated with the "passive control" system, a therapy also used with human PTSD cases. For abused elephants in Asia, there are sanctuaries in India and parts of Asia such as Thailand. Many sanctuaries have elephant cams which are fun to watch online.
Most efforts by elephant sanctuaries have been successful but there is still much to be done for those elephants in danger from circuses, wars, street living and more.
To find out more, visit the following websites:
The Elephant Sanctuary (Tennessee): www.elephants.com
The David Sheldrick Wildlife Trust (Kenya):
www.sheldrickwildlifetrust.org
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USTA SOUTH CAROLINA AIKEN AREA TENNIS LEAGUE (AATL) LOCAL REGULATIONS
Adult 18 & Over, 40 & Over, 55 & Over, 65 & Over And 70 & Over Divisions League Year 2018- DRAFT
AATL Web Site - www.aikentennis.com
SOUTH CAROLINA DIRECTOR OF LEAGUES (DL)- ADULT LEAGUE COORDINATOR The following person has been appointed to implement and administer the South Carolina State USTA League Tennis Program including the South Carolina State USTA Adult 18 & Over, 40 & Over League:
Mary Goins P.O. Box 386 Easley, SC 29641 864-855-0881 firstname.lastname@example.org
ASSISTANT STATE LEAGUE COORDINATOR (SLC)
The following person has been appointed the following to implement and administer the South Carolina State USTA 55 & Over, 65 & Over and 70 & Over League Tennis Program:
Susan Turner 48 Upper Pond Road Columbia, SC 29223 803-201-1016 email@example.com
LOCAL LEAGUE COORDINATOR (LLC)
The following person has been appointed to implement and administer the Aiken Area Tennis League, and to interpret the Aiken Area Tennis League Regulations:
Kristin Risher
3100 Calli Crossing Dr
Graniteville SC, 29829
803-295-3271
firstname.lastname@example.org
0.00 INTRODUCTIONS
0.01 USTA South Carolina has approved the Local League Coordinator to organize, coordinate and supervise all USTA League Tennis activities at the local level and report to the Director of Leagues and the Assistant League Coordinator for 55 & Over, 65 & Over and 70 & Over age divisions.
0.02 All players, teams and Local Leagues must abide by USTA League Tennis, USTA Southern Tennis, USTA South Carolina, and AATL Regulations.
0.03 USTA League Regulations, Southern League Regulations, and South Carolina State Regulations take precedence over AATL Regulations in the event of dispute.
0.07 Paragraph numbering is in accordance with the format of USTA League Tennis Regulations. Topics addressed in specific paragraphs of these USTA South Carolina-AATL Regulations relate to the same topics in the same paragraphs of the aforesaid regulations.
0.08 New regulations or changes in regulations are underlined and in red.
0.05 New regulations or changes in regulations from the previous league year are underlined and in red in the body of these regulations.
1.0 GENERAL
If a Section, District/Area or Local League does not have a regulation in place to address an issue and there is a National Regulation on that issue, the Section, District/Area or Local League must follow the National Regulation.
1.02 GOVERNANCE The USTA LEAGUE REGULATIONS shall apply to the USTA League Program (USTA League). The FRIEND AT COURT - The USTA Handbook of Tennis Rules and Regulations, including Wheelchair Rules of Tennis, shall apply to all matches played in the USTA League (unless modified by these USTA LEAGUE REGULATIONS). In all matches played without officials, the USTA official publication, "THE CODE", shall be observed. The USTA Point Penalty System shall be used at all championship levels.
1.02C Written Interpretation.
The AATL Local League Coordinator shall interpret the USTA-SC-AATL Regulations.
1.04A USTA League Program: The AATL League is a team competition for men, women and mixed genders at specified National Tennis Rating Program (NTRP) levels of play. The purpose of the AATL League Program is to provide organized recreational play, emphasizing local competition, with advancement for winning teams from local competition to District/Area, Sectional and National Championships to determine annually USTA League National Championship teams in each approved level of competition..
1.04C OFFICIAL INFORMATION SYSTEM
1.04C (1) Official League Registration. TennisLink is the official information system for registering teams and players in AATL League.
a. INITIAL ROSTER DEADLINE: Team Rosters shall have a minimum number of eligible players as listed below in TennisLink no later than February 4, 2018 for all teams, except 65+ which is August 12, 2018, to participate in the AATL 2018
b. AATL TEAM registration will end February 4, 2018 except for 65+ and over which is August 12, 2018. Teams may continue to add players after this date per these league regulations.
c. AATL teams that play at State Championships shall have a minimum number of eligible players by two weeks prior to last local match played except for 65+ and 70+ which is one week prior to last match. The add-on deadline for levels playing Local League at Championships will be determined by the State League Coordinators.
d. The required State Adult Championship team entry fees, USTA-SC deposit checks, and information must be received by the AATL LLC by April 12, 2018 for 70 & over level
3.0,3.5 and 4.0,April 12, 2018for 55 & over levels 3.0,3.5,4.0 and 9.0
& over levels 3.0,3.5,4.0 and 4.5+,
, April 2, 2018 for 40
May 04, 2018 for 18 & over for levels 2.5, 3.0, 3.5,
4.0,4.5 and 5.0+, and October 20, 2018 for 65 & over levels 3.0, 3.5, 4.0 and 9.0.
e. Once placed on a roster through TennisLink, there will be no refunds after the initial roster deadline. It is possible to transfer from one team to another, before the first match is played, without additional fees by contacting the Local League Coordinator to process the movement to another team.
1.04C (2) Score Reporting in TennisLink. The initial entry of match scores in TennisLink must take place within 48 hours of the completion of the match. After match scores have been entered in TennisLink, they must be confirmed by the opposing team within 48 hours of the initial entry or the initial score will automatically be considered valid. Failure to comply may subject teams to a grievance and/or double default.
1.04 D LOCAL LEAGUES
1.04 D (1) Geographic Areas. AATL consist of the Aike, Edgefield, Barnwell Counties and surrounding towns and cities.There are no Local League regulations specifying geographic areas for league play.
1.04D (3) AATL Local League Season:
Initial team registration deadlines for local play:
AATL play will conclude on:
State League Coordinators may amend these dates if needed, including playoffs.
The AATL league season will run from February 4, 2018 to April 5, 2018 for 55 & over and 70 & over, February 4, 2018 to March 25, 2018 for 40 & over, February 4, 2018 to April 20, 2018 for 18 & over, and August 11, 2018 to October 13, 2018 for 65 & over.
1.04D (5) a Team. The AATL roster limit is 15 players. For AATL Adult leagues with more than two teams at a level of play, teams must maintain rosters with at least 60 percent of players at the NTRP level of play. This rule does not apply to 65 & Over, and 70 & Over. Reduced the required percentage of team members in a two team leagues from 60% to 40% for 18 & Over, 40 & Over and 55 & Over. Team can be made up of players at a lower NTRP levels and within 1.0 NTRP level max.
1.04D (6) Number of Teams. When a Local League does not have the required number of Teams, (two teams) for Adult 18 & Over, Adult 40 & Over, Adult 55 & Over, Adult 65 & Over and Adult 70 & Over, to constitute a level, the affected Local League Coordinators, shall either:
(1) Offer to move that team to another age division offered in that area in that particular level, if applicable.
(2) Move individual players to another team in that area, if applicable, or move them to an "Extra Players" flight to hold for future play in other leagues, i.e. Mixed, Combo, etc.
(3) The Director of Leagues or State League Coordinator may move a singleton team to another area's league tree only if it is agreed upon by both local league coordinators and accomplished before that recipient area's deadline.
(4) Complete teams that are moved to play in a local league area other than their home local league must secure home courts in that local league they choose to participate unless both local league coordinators agree on something different.
(5) If one singleton team is moved into an already existing league of at least 2 teams, then that singleton team must secure home courts in that host local league where they have been moved and if that singleton team wins that league, they will represent that host league at the State Championship.
- The singleton team must follow all rules and regulations of the host league.
- The host league is responsible for all awards, state championship fees (if applicable) and state championship registration.
(6) If Local League coordinators agree to combine singleton teams in order to form a league for those teams to qualify, the winning team from that singleton league will be allowed to represent the Local League where they initially registered.
- Rules and regulation issues that occur during the singleton team league play will be handled by the State League coordinator in consultation with the Local League coordinators that are involved.
- The area that is represented by the winning team will be responsible for all awards, state championship fees (if applicable) and state championship registration for that team.
(7) Refund all or a portion of the registration fee in accordance with the Local League policy.
1.04D (1) Number of Teams. AATL Adult teams are required to maintain rosters with a minimum of 60% of players at the designated NTRP level of play unless in a two -team league and then 1.04D (5) a applies.
1.04 (D) AATL Team Composition Team compositions have no residency requirement.
1.04E (3) Age. Each player shall have reached the required minimum age prior to or during the calendar year in which such player participates in his or her first local league.
1.04G (2) A player may play on only one team in an NTRP level within an Age Group in the same local league during the same season. In local leagues where NTRP levels are divided into flights, a player may not play in more than one flight.
1.04G (6): Players who qualify for South Carolina Adult Championships in 2018 may advance on more than one team within an Age Group only if they are different NTRP levels (i.e. player can play on an Adult 18 & over 3.5 and 4.0 team) but with no schedule accommodations
1.05 OFFICIAL BALL. Any USTA Type 2 approved ball may be used in USTA League matches. In AATL matches, the home team is responsible for providing new balls, but new balls may be introduced to a match at any time, if all players competing in the individual match agree.
2.00 USTA LEAGUE REGULATIONS.
2.01 LOCAL COMPETITION
2.01A NTRP Levels of Play.
2.01A (4) The following levels will be offered in the AATL for 2018
18 & Over: 2.5, 3.0, 3.5, 4.0, 4.5, and 5.0+
40 & Over: 3.0, 3.5, 4.0, and 4.5+
55 & Over 3.0, 3.5, 4.0 and 9.0
65 & Over 3.0, 3.5 4.0 and 9.0
70 & Over 3.0, 3.5, and 4.0
2.01C Competition Format.
2.01C (2) Team Match. The number of individual singles and doubles matches for the various Adult levels will be as follows:
Adult 18 & Over 2.5 and 5.0+: 1 singles and 2 doubles.
Adult 18 & Over: 3.0, 3.5, 4.0 and 4.5: 2 singles and 3 doubles.
Adult 40 & Over 3.0, 3.5, 4.0 and 4.5+: 2 singles and 3 doubles
Adult 55 & Over: 3.0, 3.5, 4.0 and 9.0: 3 doubles
Adult 65 & Over: 3.0, 3.5, 4.0, and 9.0: 3 doubles
Adult 70 & Over: 3.0, 3.5 and 4.0: 3 doubles
Any modification to this format will require approval of the AATL coordinator, the SC state league coordinator, and majority of team captains at this age and NTRP rating. This approval will be reflected in the above table as an exception.
2.01C (3) Match Scoring. A Coman Match Tiebreak (first to 10 by a margin of 2) in lieu of a third set will be played for Local League play. There is a 2 minute rest period prior to beginning a Match Tiebreak, and continuous play is required throughout the Tiebreak.
2.01C (5) Team Lineups. Team captains for each team shall exchange their team line-up card simultaneously prior to the beginning of the team match. An individual match is started when
the first ball is put into play. After the start of an individual match, if injury to, or illness of a player occurs, the opponents will be awarded a retirement (per the principles of 2.03M and 2.03N in these regulations) for that individual match only. If disqualification of a player occurs, the opponents will be awarded a default. The default principles in 2018 USTA League Regulations, shall be applicable, with the modifications that:
a. In the event of illness, injury, disqualification, or no-show of a player prior to the start of an individual match (once the lineup has been exchanged), a team may substitute a player in the affected position within the 15-minute default time, using a player not already listed in the lineup. If substitution can't be made, the affected position will be defaulted.
b. In the event a team match must be re-scheduled with staggered starting times, and opponents are not present to play, defaults will be awarded in the affected positions.
c. For Weather Affected Matches, See Mandatory procedure "Matches Affected By Inclement Weather".
d. Two players will play together in the higher position when both of their partners do not show in order to avoid two defaults.
e. Full Team Defaults :
ii Player on a team that is removed from the schedule due to a defaulting their scheduled lines are not entitled to refund of any portion of their league registration fees.
f. Players must be present and on court to receive a default except in the case of a known default where the captain giving the default has notified the receiving captain via phone and in writing (email with copy to LLC) in advance of the match that a line(s) will be defaulted. The captain giving known defaults shall specify which line(s) will be defaulted (e.g., #2 Singles and #3 doubles) in the written correspondence.
g. If an event affects a majority of a team's players from playing at the scheduled match day/time, see the AATL Policy "MATCH CONFLICTS WITH OTHER EVENTS".
h. The maximum number of individual lines that a team may default, prior to team disqualification, is equal to the number of team matches.
i. Staggered Matches: A minimum of 3 courts must be provided by the home team facility for all AATL matches. If less than 5 courts are available for a 5 position team match, the visiting team shall select the order of play for all individual matches. If more than one surface is used for play, the visiting team captain shall choose which lines are played on which surface for those courts available for use at match time. Lines awaiting open courts shall occupy courts as they become available without consideration of surface type.
2.01E: Procedures in the Event of a Tie for Local Play (If a Local League has a playoff, it will defer to championship procedures in the event of a tie. Please refer to national regulation 2.03E (1) Individual Matches. Winner of the most individual matches in the
entire competition.
2.01E (2): Sets. Loser of the fewest number of sets.
2.01E (3): Games. Loser of the fewest number of games.
2.01E (4): Head-to-head. Winner of head-to-head match.
2.01F(1) If a team defaults an entire match for any reason during round robin play, all matches for the defaulting team already played or to be played shall be null and void when determining standings but will be used for ratings and advancement purposes. If all teams with a mathematical chance to advance have played the defaulting team in good faith, those matches shall stand as played when determining standings. Teams that default an entire match are expected to play the remainder of their schedule. A grievance may be filed against the defaulting team.
2.02 Progression.
2.02A (1) Local League Competition. Each team that wins a specific level of local league competition in the Adult 18 & Over, Adult 40 & Over, Adult 55 & Over, Adult 65 & Over, Adult 70 and over competition shall be entitled to advance to the next level of competition if otherwise eligible.
2.02A (2) Local League Champions. At the conclusion of local league competition for Adult 18 & Over, Adult 40 & Over, Adult 55 & Over, Adult 65 & Over and 70 & Over the Local League Coordinator shall certify to the USTA SC League Coordinator the results of the local league competition and the name(s) of the team captain(s). Local league competition must be concluded prior to the deadline set by the State Association.
2.02A (3) Local Leagues cannot extend their Deadline Date past their Local League Season, unless approved by the USTA SC State Adult League Coordinator.
2.02B Championships:
2.02B(a) All NTRP levels in the Adult 18 & Over, 40 & Over, 55 & Over, 65 & Over and 70 & Over divisions must play a local league in order to advance to District Championships except as noted in 2.02B(c). A player must play in at least 2 Local League matches in order to qualify to play at USTA SC Adult 18 & Over, Adult 40 & Over and Adult 55 & Over State Championship (a default received counts towards advancement). A player must play in at least 1 Local League match in order to qualify to play at the USTA SC Adult 65 & Over and 70 & Over State Championship (a default received counts towards advancement).
2.02B (b) The winner of each specific NTRP level in each age division in local league competition shall be entitled to advance to the State Championship. If the winning team is unable to attend, an alternate team, preferably the 2 nd place team can be asked to advance. Should the second-place team not be available to attend then, a 3 rd place team from the Local League affected, could be invited to advance to State Championships. If the 3 rd place team from the affected Local League is unable to attend, then the wildcard procedure will be utilized to complete the draw.
2.02B(c) The State League Coordinator will determine the number of teams in the 18 & Over Men's 2.5 and Men's and Women's 5.0+ levels, the 40 & Over Men's and Women's 4.5+ level, the 55 & Over Men's and Women's 9.0 level, the 65 & Over Men's and Women's 9.0 level and the 70 & Over Men's and Women's 4.0 level to qualify to advance to the State Championships to play their local league once the team rosters for these levels have been submitted. Legal team rosters for these levels must be submitted by the initial league deadline date for the area in which the team is registering
May 5-7 Adult 40 & Over, Florence - Levels 3.0 3.5, 4.0, 4.5+ May 18-21 Adult 18 & Over, Aiken – Levels 2.5,3.0,3.5, 4.0, 4.5, 5.0+ November 3-5 Adult 65& Over Hilton Head – Levels 3.0, 3.5, 4.0, 9.0
A player must play in at least 2 Local League matches to qualify to play at USTA SC Adult 18 & Over, Adult 40 & Over and Adult 55 & Over State Championship (a default received counts towards advancement).
A player must play in at least 1 Local League match to qualify to play at the USTA SC Adult 65 & Over and 70 & Over State Championship (a default received counts towards advancement).
2.02C Championships:
a. The first place team in each level will go on line at USTA of SC and sign up for the state championship.
b. If the first place team declines the invite to the state championship the second place team will be invited and will sign up on line as required.
c. The captain of the teams going to the state championship will submit to the LLC a check for $250 made out to the USTA of SC per 2.03L(b).
d. All items in (a-c) shall be provided by each team going to the state championship by April 12, 2018 for 70 & Over and 55 & Over, April 21,, 2018 for 40 & Over, May 04, 2018 for 18 & Over, and October 20, 2018 for 65 & Over.
Upon notification by the LLC, that the first place team did not meet the deadline or declined the invite to state championships, the second place team shall provide items (a-c) within 48 hours to represent the AATL at championships. If second place team declines the third place team will shall provide items (a-c) within 48 hours to represent the AATL in the championships.
e. Captains shall confirm registration of their team and checks by the LLC on or before the dates listed in (d). Information may be delivered to the LLC: Kristin Risher 3100 Calli Crossing Drive, Graniteville SC 29829
f. Championship advancing captains are responsible for the deposit check to USTA-SC. Captains are responsible for representing team at Championship Captain's meetings, and teams are expected to play all lines scheduled at championships.
2.03E (1) Championship Draw: The Championship Draw is a random draw done by the championship referee once local league competition is completed and rosters for State Championship entry are received. If possible, teams from the same local league will be put in separate flights. The number of flights at a given level will depend on the number of teams eligible. The championship referee will determine, before league competition is completed, if wildcards are needed to balance out the flights. The wild cards will be chosen by a weighted random draw. (i.e. one entry per local league team in that local league division). A flight typically will have four teams. Local Leagues receiving a wildcard for the championships will be eligible for a wildcard at the same level/flights the following year. Flights must have a minimum of four (4) teams to be eligible for a wildcard.
2.03E(1)(a) Semifinal Wildcard for draws with 3 flights at the Championship: When a draw has three flights, a wildcard will be drawn at random (from the numbers 1, 2, 3) by the referee on the final day of round-robin play to determine which flight's second place team will play in the semifinals. The wildcard team will play a team from another flight.
2.03F(a) – If a team has a known default, (not enough players to field a complete team) the opposing team will have the opportunity to adjust their scorecard either in doubles by moving the third-place position to the second-place position or in singles by moving the second-place position to the first-place position. The default will not be given until both scorecards have been received by the Site Director and after consulting with the captain receiving the default, scorecards will be adjusted by the Site Director.
2.03F(b) Once championship play has begun, any team defaulting a court for any reason at the State Championships will incur a $100 fine per scheduled court payable immediately (cash or check) for each court defaulted. That team will not be allowed to play their match until that fine is paid. If a team refuses to pay the fine, a grievance will be filed against all players on the state roster, which could result in the suspension of play from any USTA League play until the fine is paid. It is your team's responsibility to have players on every court at each match at a state championship.
2.03H Procedures in the Event of a Tie. At Championships: In the event of a tie, whether in round robin or single elimination competition, the tie shall be broken by the first of the following procedures that does so:
2.03H(1): Individual Matches. Winner of the most individual matches.
2.01E(2): Head-to-head. Winner of head-to-head match.
2.01E(3): Sets. Loser of the fewest number of sets.
2.01E(4): Games. Loser of the fewest number of games.
2.03L(a) Scoring of Team Defaults, if a team defaults an entire team match for any reason during round robin play, then all matches of that team played, or to be played, shall be null and void when determining standings. If all teams in contention for the championships have already played the defaulting team in good faith, those matches stand as played. The defaulting team is ineligible to continue to play the remainder of their matches. The defaulting team will be responsible for the $100 per line default penalty for all matches not played.
2.03L(b) A $250.00 Deposit from each team advancing to the championships is required and any team withdrawing from a championship after the deadline for online registration will be subject to a fine of $250.00 per team, payable to USTA SC. The deposit is to be sent to the Local League Coordinator. Once championship play has begun, the Local League Coordinator will destroy the check. A grievance may be filed against the withdrawing team in addition to the $250 fine. Penalties against these team members may include that all members on the submitted roster be banned from participating in any USTA leagues for a period of up to 364 days.
2.03L(c) If a team defaults an entire match during a championship, a grievance may be filed against all members on the team roster that is submitted for the championship. Sanctions against the team members may include that all members on the submitted roster be banned from participating in any USTA leagues for a period of up to 364 days.
2.03L(d) Teams that withdraw from the championship after the online registration deadline date and before the draws are published will lose their $250 deposit but may request a refund for registration fees. Teams that withdraw from the championship after the draws have been published will lose their $250 deposit and their registration fees.
2.04 NTRP Dynamic Disqualification and Review Procedures
2.04B(2)b(a) Local play occurring at the State Championships: Players will be permitted to play in the entire event but, if a Self-Rate (S) or Medical Appeal promotion occurs when the ratings are run at the conclusion of the tournament, those matches shall be handled in the following manner: the player shall cease play immediately from the NTRP Level being promoted from and graduate to the next NTRP level. All prior matches shall stand in good faith.
2.04B (3) Following an NTRP Dynamic Disqualification, the player may not play at the disqualified NTRP level of play or any lower NTRP level of play in either singles or doubles for the remainder of the championship year and for the succeeding championship year. In any Division using combined levels, the combined NTRP rating of the disqualified player and partner may not surpass the level of competition. A player who has been moved up as a result of an NTRP Dynamic Disqualification in the Adult Division must immediately adjust his/her NTRP level of play.
2.04E(1)(a) If a self-rated (S) or Medical Appeal player is promoted or disqualified from a particular level of play, the player shall cease play immediately from the NTRP level being promoted or disqualified from and graduate to the next higher NTRP level.
2.05D Medical Appeals. If an intervening, permanently disabling injury or illness indicates that a player's current NTRP computer rating level may be too high, the player may request a medical appeal of such rating level in accordance with USTA League NTRP Medical Appeal Procedures – Questions and Answers.
USTA SC-Medical appeals are to be Signed by the player and a written statement from the player must be sent by email to Mary Goins at email@example.com or mailed to Mary Goins at PO BOX 386, Easley, SC 29641
2.05E(2) Ratings for players 65 & Over who are moved up will be published; automatic appeal will be granted upon request (through TennisLink auto- appeal function).
- If players are granted the appeal, they will be considered an "A" player which means they are subject to dynamic disqualification.
3.00 GRIEVANCE PROCEDURES
3.01 ADMINISTRATION.
3.01A Grievances Committees.
3.01A (1) Local Grievance Committee.
The AATL Grievance Committee for all league types is:
James Mosteller, Chairman Kristin Reamer, Member Courtney Whitlow, Member
3.01B (1) Local Grievance Appeals Committee.
The AATL Grievance Appeals Committee for all league types is:
Mo Garcia, Chairman
Ben Holmes, Member
Kenny Brown, Member
AATL Policy for Free Registration of Captains:
The AATL will register captains at no cost on or before the initial roster deadline per the following:
1. Captain is required to attend any Captain's meeting offered for specific league season.
2. Team must have the required number of eligible players registered.
3. Captain must not have previously lost free registration privilege due to rules violations or grievance.
4. Excluding those violations listed in #5 below, two violations of any other AATL Regulations shall result in loss of free registration privilege for a period of one calendar year. The AATL LLC will notify the captain in writing (email) of the offense and penalty.
If a captain allows someone to compete in a match who is not on the team roster, firstname.lastname@example.org a captain's team drops out of State Championships after the information/fee deadline, or if captain's team grants a Full-Team-Default, the Free Registration privilege shall be lost for a period of one calendar year. The AATL LLC will notify the captain in writing (email) of the offense and sanction.
AATL Policy for Granting League fee Refunds
Refund of the league registration fee (less Tennislink $3 processing fee) will be granted if a player requests to be removed from a team prior the initial roster deadline date for any reason. Requests for refunds will not be granted after the initial roster deadline except in the case where a direct to state team player is removed from the roster prior to the state deadline. It is a player's responsibility to submit refund requests to the AATL LLC. Full refunds (include $3 USTA National Processing fee) will only be given for the case where teams advancing directly to state championships have play cancelled by USTA-SC.
Other Situations:
If there is a situation that is not covered by these rules and regulations, refer to USTA Sectional and State League Regulations. The advice and recommendations of the South Carolina State League Coordinator shall be secured by the LLC when deemed necessary. Questions regarding rules interpretations, refunds, Tennislink corrections shall be addressed by the AATL LLC: Kristin Risher (email@example.com) 803-295-3271
MATCHES AFFECTED BY INCLEMENT WEATHER (Rules and Procedure)
General Weather Related Rules (Apply to all Inclement Weather Cases)
W1. Matches may only be postponed if courts are unplayable, as verified by both team captains, due to moisture, freezing, or the match time temperature is below 32 degrees. Matches may not be postponed due to excessive wind or heat.
W2. Matches may not be postponed more than one hour before match time, unless email notification of facility closure is received.
W3: Only players on the team roster for the originally scheduled match date/time are eligible for make-up matches.
W4. If some courts are playable at match time, other individual matches, not started due to unplayable courts, may not be postponed to a later date unless courts are still unplayable 30 minutes after the original match time. Postponed individual matches are subject to rules 2A-2D below.
W5: Team Captains shall schedule all individual and team make-up matches. Since substitution applies to all matches not started, exchange of scorecards and relying on players to arrange times to complete a make-up match is NOT permitted.
W6: Failure to follow the prescribed inclement weather make-up procedures listed for cases 1-3 will result in defaults.
Case 1: If courts are unplayable due to moisture, or temperature is below 32 degrees at match time, and both captains agree to postpone the match.
1A. Postponed matches shall be scheduled for play to occur within 14 days from the original match date per USTA-SC regulations. 1B. Within 24 hours from match postponement, the home team captain shall provide the Visiting team captain a minimum of 2 dates to choose from for the make-up match(es) for each affected position, with proposed match times, (maximum of one Saturday or Sunday date for postponed weekday match, weekday times before 6pm may be given, but do not count toward the 2 date per position minimum as these times do not accommodate working players. The AATL LLC shall be notified, via email, of the postponement and proposed make-up dates/times at the same time as the visiting team captain. Acceptable examples for a 5 position match, rained out on a Sunday, include (2 options for each singles position, and 2 options for each doubles position,
*Monday, All positions at 6:30pm
*Sunday, Singles (1 position at 2pm or 7pm), Doubles (2 positions at 7pm)
*Wednesday #2, Singles (2 positions at 7pm), Doubles (2 positions at 6pm)
Note: 3 different days are given, that include times after 6pm during the week, and any time on one weekend day. 5 total singles position times, and 7 doubles position times are provided. This is slightly more than the minimum, and captains are encouraged to provide as many options as they can. When individual matches are played on different days, they are recorded on the scorecard based on the order played. The first match played is #1, second #2, etc..
1C. After receiving the proposed make-up dates/times, the visiting team captain may decide how many of each position are played on the given dates/times and notify the Home Team Captain and League Coordinator, via email, within 24 hours (NOTE: Based on the timing in rules 1B and 1C, the schedule for make-up matches should be established with 48 hours after original match postponement.) If agreement between captains can't be reached, any disputed individual matches will be made up at a time decided upon by the LLC.
1D. After make-up scheduling, if a team must default an individual match on any of the make-up dates, the defaults shall be recorded at the lowest positions when scores are entered in TennisLink regardless of the defaulted match position.
1E. If a make-up match must be postponed due to inclement weather, it must be made up within one week or prior to the end of the original 14 day make-up window, whichever is later on the calendar, and rules 1A-1D, or 2A-2E as applicable, apply to all successive make-ups with the one week limitation applied.
Case 2: A court becomes unplayable after match start time, but before the start of the first point in the individual matches. 2A. Case 1 rules 1A-1E apply.
2B. Defaults received during scorecard exchange count if any individual match has started, but are null and void if no individual match has started.
2C. For make-up matches, substitution of players on original scorecard may include any player eligible per rule W3.
2D. In the case of defaults received at originally scheduled match time, the players listed on the scorecard at original exchange receive the default, and are not eligible for substitution at other positions for this team match.
Case 3: Courts become unplayable due to moisture after the first point has been played in an individual match.
For this case, the match must be resumed from the exact point where it was stopped (i.e., same players, score, court position, court surface but not exact court, and service rotation) rescheduled for completion within 14 days of the original match date using rules 1A-1E Above. .
MATCH CONFLICTS WITH OTHER EVENTS
Except in the event of weather, matches shall not be played after the originally scheduled match date, under penalty of default. Matches may be played in advance of the originally scheduled match for 2 reasons: (1) If the match date interferes with a USTA League Championship. (2) Special event deemed acceptable by the Local League Coordinator (i.e., tournament, tennis facility event, funeral, facility closure, etc., with number of players unaffected <number required to play a team match without full team default). For a conflict to be granted, the captain requesting a conflict must notify the LLC In writing no less than 14 days prior to the event causing the conflict, with a description of the event, and the names of the affected players. If the request for a conflict is granted, both captains will be notified, and only the players named will be permitted to compete in the conflict matches. The conflict matches shall be played prior to the regularly scheduled match.
If a conflict is granted, a minimum of three dates, with proposed match times should be given to the visiting captain to play the match early using the procedure given in rules MATCHES AFFECTED BY INCLEMENT WEATHER rules 1B-1C. If no agreement can be reached on a date to play, the Local League Coordinator has the final say using dates proposed by both captains. If it rains the day of the conflict match, and no other day can be agreed upon to play, then the original date of the match stands.
DUTIES OF TEAM CAPTAIN
The following includes duties for AATL Captains which are enforceable as part of the AATL regulations.
Team Registration:
1. Complete Captain Registration Form on Aikentennis.com.
2. Familiarize all team members with regulations.
3. Secure at least three players by initial roster deadline.
4. Ensure all players meet the eligibility requirements as listed in these regulations.
5. Secure a facility for team to play out of, ensure membership requirements are met by all players, fees are paid to facility, and obtain a minimum of 3 court reservations for each scheduled match time.
6. Team captain is responsible for notification and communication to each team member, all information needed from or distributed by the LLC.
Match Play:
1. Each team must guarantee availability of 3 courts for AATL matches. Any approved USTA surface is permissible. It is the home team's responsibility to have courts available and playable at match time. Separated courts may be used. Captains must designate the exact location of any separated courts prior to the match in writing (email) to visiting captain and LLC.
2. Home captain should contact visiting captain prior to match to confirm match location and match time. Also, it is the responsibility of the home team captain to contact the visiting team captain if courts are not playable. The captains may then discuss postponement, movement to another location, or rescheduling. If weather and availability of courts at visitor's site permits play, match should be played at visitor's courts.
3. Home team captain shall reschedule weather affected matches immediately and report rescheduled time to LLC within the 24-48 hour deadline.
4. Home captain shall convey to visiting team, at time of match and before exchanging lineups, if he/she is using multiple surfaces and which positions are on particular surfaces.
5. Scorecards are to be printed by captains from TennisLink for use during line-up exchange
6. Captains shall exchange line-ups simultaneously at match time. After scorecards have been exchanged, if a team receives a default, the receiving team may not change their line-up.
7. Persons serving as match captains are to agree on scores and players' names (as they appear in TennisLink) on scorecard before leaving match and sign each other's scorecards. The signed scorecard will be official agreement of the final match scores, and be used as records if later disagreement occurs.
8. Report scores through TennisLink immediately after each match. Any player on either team may enter the scores. Scorecards should be compared to be sure the names and scores are correct.
9. Errors in entering scores in Tennislink must be corrected by the LLC. Prior to requesting LLC correction, captains should agree that the correction is required. The LLC should be notified by one of the captains, via email with CC: of the other captain, the exact details of the required correction including match number, individual match line number, and the player/score correction required.
Sportsmanship: "Sportsmanship is the expectation that a player, coach or spectator abide by the rules of tennis and that they act at all times with fairness, courtesy and respect for others."
USTA publication "The Code", a handbook of ethics and fair play should be understood and followed by every player. Captains and team members are urged to become familiar with "The Code". The following additional guidance or clarification is provided:
1. Captain shall ensure team practices good sportsmanship.
2. CELL PHONES and all other electronic devices must be turned OFF. If a cell phone rings during a point, the opponent wins the point based on a hindrance. Emergency response personnel may utilize electronic devices, worn on their person, and set to vibrate mode for notification. Emergency response personnel shall notify their opponents of their status if a return call must be made during a match.
3. Every player is expected to call shots on their side of the net, and loud enough for his/her opponent to hear. Any out ball must be called promptly; otherwise, it is presumed good and in play. Late calls (made by player after their return clears net or goes out) shall be avoided, and are not to be honored by opponents.
4. Balls that are not clearly out should be ruled as good for the opponent. In the case of doubles, when a partnership is in disagreement of an in/out call (disagreement means both are certain but with opposite conclusions, and not that one is certain and the other uncertain), it should be awarded to the opponent.
5. Players shall call the score before each game and point to avoid confusion.
6. Players shall advise their home fans to show sportsmanship and applaud for good shots made – not points won from errors. Also, respect players on neighboring courts. Spectators may not aid players in making a line call, or in determining the correct score. Spectators should not communicate with players in regard to match specifics, or participate in the match in any way. Spectators should refrain from expressing opinions related to the match even if asked by players. Spectators shall not sit or stand at the end of the court immediately behind the servers or receivers if it is distracting to the players. Players may suspend a match to obtain captain's assistance to deal with an incident of spectator interference.
7. While spectators may clap for points well played, it should be remembered that the wellplayed point should be applauded regardless of who won the point. It is considered to be poor tennis etiquette to clap for unforced errors. It is the responsibility of each team to control the noise and behavior of its spectators. Loud, boisterous or unsportsmanlike behavior is unacceptable. If a problem exists with a spectator, the player(s) or her opponent(s) should ask the spectator to refrain from the particular behavior. If the behavior persists, team captains should be summoned to handle the situation.
8. Coaches or club pros must refrain from intrusion in discussions or negotiations between players or captains unless specifically asked by BOTH captains. Even then, it is the responsibility of the two captains, not the pro, to decide on the resolution of the incident.
9. DO NOT RETURN obviously out serves. This is considered rude, may be gamesmanship, and may unnecessarily delay the server to the point where granting a let is in order.
10. No spectators, children, pets or other team members shall be permitted within the confines of the playing area.
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UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF NEW YORK
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McGINN, SMITH & CO., INC., : McGINN, SMITH ADVISORS, LLC : McGINN, SMITH CAPITAL HOLDINGS CORP., : FIRST ADVISORY INCOME NOTES, LLC, : FIRST EXCELSIOR INCOME NOTES, LLC, : FIRST INDEPENDENT INCOME NOTES, LLC, : THIRD ALBANY INCOME NOTES, LLC, : TIMOTHY M. McGINN, AND : DAVID L. SMITH, GEOFFREY R. SMITH, : Individually and as Trustee of the David L. and : Lynn A. Smith Irrevocable Trust U/A 8/04/04, : LAUREN T. SMITH, and NANCY McGINN, :
Defendants,
LYNN A. SMITH and NANCY McGINN,
Relief Defendants. and
GEOFFREY R. SMITH, Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04,
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NOTICE OF MOTION OF WILLIAM J. BROWN, AS RECEIVER, FOR AN ORDER DISALLOWING DUPLICATIVE PAPER CLAIMS
PLEASE TAKE NOTICE that upon the Motion of William J. Brown, as Receiver, for an Order disallowing certain filed paper claims as duplicative ("Motion"), Phillips Lytle LLP will move before the Hon. Christian F. Hummel, United States Magistrate Judge, United States District Court for the Northern District of New York, James T. Foley - U.S. Courthouse, 445 Broadway, Albany, New York 12207-2924, on November 16, 2017 at 9:30 a.m., seeking an Order to be entered approving the Motion.
Case No. 1:10-CV-457 (GLS/CFH)
Case 1:10-cv-00457-GLS-CFH Document 937 Filed 09/21/17 Page 2 of 2
PLEASE TAKE FURTHER NOTICE that objections, if any, to the relief requested in the Motion must be made in writing, and should be filed with the Court and served upon the undersigned at the address listed below in accordance with the Federal Rules of Civil Procedure and the Local Rules for the United States District Court for the Northern District of New York.
PLEASE TAKE FURTHER NOTICE that if no responses are timely filed and served with respect to the Motion or any claim listed on Exhibit A to the Motion, the Court may enter an Order granting the Motion and disallowing any claim listed on Exhibit A without further notice or opportunity to be heard offered to any party.
Dated: September 20, 2017
PHILLIPS LYTLE LLP
By /s/ William J. Brown
William J. Brown (Bar Roll #601330)
Nickolas Karavolas (Bar Roll #518522)
Attorneys for Receiver
Omni Plaza
30 South Pearl Street
Albany, New York 12207
Telephone No. (518) 472-1224
and
One Canalside
125 Main Street
Buffalo, New York 14203
Telephone No.: (716) 847-8400
2
Doc #05-486775.2
UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF NEW YORK
SECURITIES AND EXCHANGE COMMISSION :
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McGINN, SMITH & CO., INC., McGINN, SMITH ADVISORS, LLC : McGINN, SMITH CAPITAL HOLDINGS CORP., : FIRST ADVISORY INCOME NOTES, LLC, FIRST EXCELSIOR INCOME NOTES, LLC, FIRST INDEPENDENT INCOME NOTES, LLC, : THIRD ALBANY INCOME NOTES, LLC, TIMOTHY M. McGINN, AND DAVID L. SMITH, GEOFFREY R. SMITH, Individually and as Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04, LAUREN T. SMITH, and NANCY McGINN,
:
Defendants,
:
LYNN A. SMITH and NANCY McGINN,
Relief Defendants. and
GEOFFREY R. SMITH, Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04,
:
:
:
:
:
:
:
:
:
:
Intervenor.
:
:
---------------------------------------------------------------x
MOTION OF WILLIAM J. BROWN, AS RECEIVER, FOR AN ORDER DISALLOWING DUPLICATIVE PAPER CLAIMS
William J. Brown, as Receiver ("Receiver"), by his counsel, Phillips Lytle LLP, moves (the "Motion") for an order disallowing the filed paper claims identified on the attached Exhibit A as duplicative of claims listed on the Claims Website (as defined below), and respectfully represents as follows:
SUMMARY OF MOTION
This Motion seeks to disallow duplicative paper claims filed by investors for the same amounts as given to those same investors by the Receiver in the 2012 claims process in
Case No. 1:10-CV-457 (GLS/CFH)
order to pay investors on only one claim for each allowed investment. If the duplicative paper claims are not disallowed, then those investors who filed such claims would have two rather than one claim for each such investment. The Receiver considers this Motion as purely procedural and not substantive. Investors with allowed claims who agreed with the claim amounts posted by the Receiver in 2012 on the confidential Claims Website did not have to file a paper claim. The investors with the Claim Numbers listed on Exhibit A filed duplicative paper claims nevertheless. Exhibit A has been redacted to contain only claim numbers which have previously been provided to each investor. The Court previously directed that investor names remain confidential. As described below in paragraph 21, each investor whose claim is listed on Exhibit A will receive an explanatory letter with this Motion. Brown Dec'l. ¶2. 1
PROCEDURAL BACKGROUND
1. On April 20, 2010, the Securities and Exchange Commission ("SEC") filed a Complaint initiating the above-captioned action (Docket No. 1). Also, on April 20, 2010, this Court granted a Temporary Restraining Order (Docket No. 5), which, among other things, froze certain assets of the above-captioned Defendants and Relief Defendants, and appointed the Receiver as temporary receiver with respect to numerous entities controlled or owned by Defendants Timothy M. McGinn and David L. Smith including those listed on Exhibit A to the Preliminary Injunction Order entered in this action (Docket No. 96) (collectively, the "MS Entities"). At the time of the Receiver's appointment, total bank account balances (not including some remote business operations whose bank accounts were not immediately visible to the Receiver's staff) were $485,491.63. Brown Dec'l. ¶3.
1 "Brown Dec'l. ¶ __" refers to the Declaration of William J. Brown dated June [__], 2017 filed in support of the Motion.
2. On July 26, 2010, following a hearing, the Court entered an order granting the SEC's Motion for a Preliminary Injunction and appointing the Receiver as receiver, pending a final disposition of the action ("Preliminary Injunction Order") (Docket No. 96).
3. On August 3, 2010, the SEC filed an Amended Complaint (Docket No. 100). On June 8, 2011, the SEC filed a Second Amended Complaint (the "Complaint") (Docket No. 334). Judgments in favor of the SEC were entered in 2016.
4. The Preliminary Injunction Order authorizes the Receiver to, among other things, "use, lease, sell, and convert into money all assets of the MS Entities, either in public or private sales or other transactions on terms the Receiver reasonably believes based on his own experience and input from his advisors to be most beneficial to the MS Entities and those entitled to the proceeds…" Preliminary Injunction Order, ¶ VII(m).
CLAIMS PROCEDURE
5. On March 9, 2012, the Receiver filed a Motion ("Claims Procedure Motion") (Docket No. 466) for entry of an Order approving, among other things, the Receiver's proposed procedure for the administration of claims against the MS Entities.
6. On March 27, 2012, the Court entered an Order granting the Claims Procedure Motion (Docket No. 475), which was subsequently amended by an Order dated April 17, 2012 ("Claims Procedure Order") (Docket No. 481). Each investor and known creditor of the MS Entities was mailed on May 1, 2012 an Access Notice describing the claims process and enclosing (i) Notice of the Claims Bar Date and Claims Procedure and (ii) a Claim Form. Brown Dec'l. ¶8. A confidential password providing access to the Claims Website at www.mcginnsmithreceiver.com ("Claims Website") was also provided. Id. If an investor or creditor agreed with the description and amount of their claim(s) as listed on the Claims Website and the claim(s) were not listed as disputed, contingent or unliquidated, the investor or creditor did not need to take any further action. Id. All other investors and creditors needed to timely file a paper claim before the bar date of June 19, 2012, as further described in detail on the Receiver's Website. Id.
7. The Claims Procedure Order established June 19, 2012 ("Bar Date") as deadline for creditors and investors to file claims against the MS Entities. Brown Dec'l. ¶9.
8. In accordance with the Claims Procedure Order, nearly six hundred
creditors and investors timely filed paper claims prior to the Bar Date. Brown Dec'l. ¶10. In addition, more than 3,127 claims of investors and creditors were included on the schedules posted by the Receiver on the Claims Website in accordance with the Claims Procedure Order. Id. In addition to the claims listed on Exhibit A, many other duplicative paper claims have already been withdrawn by written investor consent through communications with the Receiver. Id.
9. The Received conducted an initial review of the paper claims timely filed by creditors and investors in accordance with the Claims Procedure Order and determined it was necessary to establish a reserve as to investor claims totaling approximately $23,617190 since those claims have been listed by the Receiver as disputed, contingent or unliquidated. 2 Brown Dec'l. ¶11.
PLAN OF DISTRIBUTION PROCESS
10. On December 30, 2015, the Receiver filed a Motion (Docket No. 847) ("Plan Distribution Motion") to seek approval of (i) a plan of distribution of assets of the MS Entities to investors ("Plan of Distribution"); and (ii) interim distributions to investors with allowed claims scheduled or timely filed in accordance with the Claim Procedure Order.
2 There are approximately $124,123,595 in total investor claims. Brown Dec'l. ¶11, n. 1.
11. On October 31, 2016, the Court entered a Memorandum-Decision and Order (Docket No. 904) ("Plan Distribution Order") granting the Plan Distribution Motion, approving the Plan of Distribution, and allowing the Receiver to make interim distributions as set forth in the Plan Distribution Motion.
12. Among other things, the Plan of Distribution provides for a reserve for disputed claims to allow the Receiver to make initial distributions, but to also provide for funds to be reserved until any objections to disputed claims can be heard and decided by final order of the Court.
13. The Receiver has examined the filed paper claims and the claims on the Claims Website and has determined that the filed investor paper claims identified on Exhibit A (collectively, the "Duplicative Claims") are duplicative of the corresponding claims on the Claims Website. Brown Dec'l. ¶15.
RELIEF REQUESTED
14. By this Motion, the Receiver requests that the Court enter an order disallowing the Duplicative Claims. The surviving investor claims will remain on the Claims Website, subject to any other objections by the Receiver. This relief is necessary to allow the Receiver to ensure equal treatment among the investors and to avoid any investors receiving a double recovery during the Plan of Distribution process. In addition, disallowance of the Duplicative Claims will provide a more accurate assessment of the claims of investors, which will ultimately result in the efficient distribution of the assets of the MS Entities.
BASIS FOR RELIEF
15. The Duplicative Claims represent paper claims filed by investors that are duplicative of claims listed on the Claims Website. As set forth on Exhibit A, the Duplicative
Claims are in the exact amount of the claims listed on the Claims Website. There are other filed paper claims which contain different claim amounts which will be subject to a subsequent motion.
16. Elimination of paper claims which are duplicative of others furthers the main objective of equality in the distribution of receivership assets. There is no legal or equitable basis for payment of the same claim more than once, and elimination of redundant claims will enable the Receiver to maintain a list of claims that more accurately reflects the proper existing claims.
17. Further, disallowance of the duplicative paper claims enables the Receiver to properly administer the assets of the receivership and ensure that the distribution process is not improperly delayed. As distributions are currently underway, it would be inequitable and inappropriate for investors to receive distributions on account of the Duplicative Claims because such recoveries would dilute the pool of receivership funds available to pay investors with valid, non-duplicative claims.
18. Therefore, to avoid the possibility of an investor receiving duplicative or multiple recoveries on its claim to the detriment of other investors, the Receiver requests that the Court disallow the Duplicative Claims listed on Exhibit A.
19. The Receiver reserves all rights to object on any other basis to the claims of investors or claimants including those on Exhibit A.
MEMORANDUM OF LAW
20. Since the basis for the relief requested is contemplated by the Plan of Distribution and is further set forth in this Motion, the Receiver requests that any requirement for a separate memorandum of law be waived.
NOTICE
21. The Receiver will give notice of the Motion to the Securities and Exchange Commission, all parties who have filed a Notice of Appearance in this action by ECF, and all creditors and parties in interest via the Receiver's website (www.mcginnsmithreceiver.com), as well as posting at the top of the Receiver's website an explanation of the Motion. Additionally, notice by first class mail will be given to all investors whose claims are listed on Exhibit A along with a letter in the form attached as Exhibit A to the Brown Dec'l. notifying each investor of (i) the Motion; (ii) the relief sought by the Receiver in the Motion; (iii) the deadline for filing any responses to the Motion; and (iv) that failure to file a response to the Motion may result in disallowance of the investor's duplicative paper claim(s), and the inability of the investor to receive a distribution on account of such paper claim, without any further notice or opportunity to be heard offered. Brown Dec'l. ¶16.
22. The Receiver requests that the Court enter an order granting the relief requested in this Motion without a hearing with respect to those Duplicative Claims for which an objection is not timely interposed. Disallowance of a claim without a hearing where there is no factual dispute is an appropriate and preferred procedure in federal receivership cases. See S.E.C. v. Elliott, 953 F.2d 1560, 1566 (11th Cir. 1992) (holding that summary proceedings are favored in federal receivership cases because a summary proceeding "reduces the time necessary to settle disputes, decreases litigation costs, and prevents further dissipation of receivership assets"); United States v. Fairway Capital Corp., 433 F. Supp. 2d 226, 241 (D. R.I. 2006) ("Receivership courts can employ summary procedures in allowing, disallowing and subordinating claims of creditors").
Doc #05-486778.2
CONCLUSION
23. The Receiver believes that the Motion will permit equitable and efficient distribution of the assets of the receivership.
WHEREFORE, based upon the foregoing, the Receiver respectfully requests entry of an Order disallowing the duplicate paper claims listed on Exhibit A, and for such other and further relief as is appropriate.
Dated: September 20, 2017
PHILLIPS LYTLE LLP
By /s/ William J. Brown
William J. Brown (Bar Roll #601330) Nickolas Karavolas (Bar Roll #518522)
Attorneys for Receiver
Omni Plaza 30 South Pearl Street Albany, New York 12207 Telephone No. (518) 472-1224
and
One Canalside 125 Main Street Buffalo, New York 14203
Telephone No.: (716) 847-8400
Exhibit A
| 4101 | FEIN SECURED SENIOR SUBORDINATED NOTES DUE 01/30/2009 | $25,000.00 | $25,000.00 |
|---|---|---|---|
| 4102 | FEIN SECURED SENIOR SUBORDINATED NOTES DUE 01/30/2009 | $50,000.00 | $50,000.00 |
| 4103 | FIIN SECURED SENIOR NOTES | $31,826.50 | $31,826.50 |
| 4104 | TAIN SECURED SENIOR SUBORDINATED NOTES 7.75% DUE 12/15/2009 | $50,000.00 | $50,000.00 |
| 4105 | FIIN SECURED SENIOR SUBORDINATED NOTES DUE 12/15/2008 | $50,000.00 | $50,000.00 |
| 4147 | FEIN 10.25% SECURED JUNIOR NOTES DUE 01/30/2009 | $25,000.00 | $25,000.00 |
| 4148 | FEIN 10.25% SECURED JUNIOR NOTES DUE 01/30/2009 | $100,000.00 | $100,000.00 |
| 4355 | TAIN SECURED JUNIOR NOTES DUE 12/15/2009 | $50,000.00 | $50,000.00 |
| 4451 | TAIN SECURED JUNIOR NOTES DUE 12/15/2009 | $50,000.00 | $50,000.00 |
| 4737 | FIRSTLINE TRUST 07 B SENIOR CONTRACT CERTIFICATES 9.50% DUE 10/01/11 | $57,937.45 | $57,937.45 |
| 4744 | FEIN 10.25% SECURED JUNIOR NOTES DUE 01/30/2009 | $25,000.00 | $25,000.00 |
| 4745 | TAIN SECURED JUNIOR NOTES DUE 12/15/2009 | $10,000.00 | $10,000.00 |
| 4778 | TAIN SECURED JUNIOR NOTES DUE 12/15/2009 | $47,000.00 | $47,000.00 |
| 4814 | TAIN SECURED JUNIOR NOTES DUE 12/15/2009 | $10,000.00 | $10,000.00 |
| 4815 | TDM VERIFIER TRUST 08 CONTRACT CERTIFICATE 36 | $10,000.00 | $10,000.00 |
| 4834 | FEIN 10.25% SECURED JUNIOR NOTES DUE 01/30/2009 | $525,000.00 | $525,000.00 |
| 4835 | FEIN SECURED SENIOR SUBORDINATED NOTES DUE 01/30/2009 | $250,000.00 | $250,000.00 |
| 4863 | TAIN SECURED SENIOR SUBORDINATED NOTES 7.75% DUE 12/15/2009 | $165,000.00 | $165,000.00 |
| 4876 | TDM VERIFIER TRUST 08 CONTRACT CERTIFICATE TDMVER 18 | $100,000.00 | $100,000.00 |
| 4879 | TAIN SECURED JUNIOR NOTES DUE 12/15/2009 | $25,000.00 | $25,000.00 |
|---|---|---|---|
| 4880 | TDM CABLE TRUST 06 10% CONTRACT CERTIFICATES DUE 11/15/10 | $20,000.00 | $20,000.00 |
| 4881 | TDM CABLE TRUST 06 9.25% 48 MONTHS CONTRACT CERTIFICATES 11/15/10 | $10,000.00 | $10,000.00 |
| 4889 | TAIN SECURED JUNIOR NOTES DUE 12/15/2009 | $25,000.00 | $25,000.00 |
| 4890 | TDM CABLE TRUST 06 10% CONTRACT CERTIFICATES DUE 11/15/10 | $20,000.00 | $20,000.00 |
| 4891 | TDM CABLE TRUST 06 9.25% 48 MONTHS CONTRACT CERTIFICATES 11/15/10 | $10,000.00 | $10,000.00 |
| 4909 | FIRSTLINE TRUST 07 9.25% SENIOR CONTRACT CERTIFICATES DUE 09/01/10 | $22,120.90 | $22,120.90 |
| 4910 | TDMM CABLE SR TRUST 09 9% | $19,483.15 | $19,483.15 |
| 4970 | FIIN SECURED SENIOR SUBORDINATED NOTES DUE 12/15/2008 | $5,000.00 | $5,000.00 |
| 4971 | FIIN SECURED SENIOR SUBORDINATED NOTES DUE 12/15/2008 | $20,000.00 | $20,000.00 |
| 4972 | TAIN SECURED SENIOR SUBORDINATED NOTES 7.75% DUE 12/15/2009 | $10,000.00 | $10,000.00 |
| 5179 | FAIN 10.25% SECURED JUNIOR NOTES DUE 11/15/2010 | $50,000.00 | $50,000.00 |
| 5180 | FEIN 10.25% SECURED JUNIOR NOTES DUE 01/30/2009 | $20,000.00 | $20,000.00 |
| 5181 | TAIN SECURED JUNIOR NOTES DUE 12/15/2009 | $40,000.00 | $40,000.00 |
| 5182 | TAIN SECURED JUNIOR NOTES DUE 12/15/2009 | $50,000.00 | $50,000.00 |
| 5254 | TDM VERIFIER TRUST 08 CONTRACT CERTIFICATE 36 | $10,000.00 | $10,000.00 |
| 5355 | McGinn, Smith Firstline Funding, LLC | $25,000.00 | $25,000.00 |
| 5383 | FAIN 10.25% SECURED JUNIOR NOTES DUE 11/15/2010 | $40,000.00 | $40,000.00 |
| 5384 | FEIN 10.25% SECURED JUNIOR NOTES DUE 01/30/2009 | $25,000.00 | $25,000.00 |
| 5385 | FEIN 10.25% SECURED JUNIOR NOTES DUE 01/30/2009 | $25,000.00 | $25,000.00 |
| 5386 | TAIN SECURED JUNIOR NOTES DUE 12/15/2009 | $50,000.00 | $50,000.00 |
| 5444 | TDM Cable Funding LLC | $50,000.00 | $50,000.00 |
| 5471 | McGinn, Smith Transaction Funding Corp. | $250,000.00 | $250,000.00 |
| 5473 | TDM VERIFIER TRUST 08 CONTRACT CERTIFICATE 36 | $25,000.00 | $25,000.00 |
|---|---|---|---|
| 5499 | TAIN SECURED JUNIOR NOTES DUE 12/15/2009 | $50,000.00 | $50,000.00 |
| 5531 | TDM CABLE TRUST 06 9.25% 48 MONTHS CONTRACT CERTIFICATES 11/15/10 | $45,000.00 | $45,000.00 |
| 5546 | TDM VERIFIER TRUST 08 CONTRACT CERTIFICATE 36 | $50,000.00 | $50,000.00 |
| 5547 | FAIN SECURED SENIOR SUBORDINATED NOTES | $100,000.00 | $100,000.00 |
| 5548 | FIIN SECURED SENIOR SUBORDINATED NOTES DUE 12/15/2008 | $55,000.00 | $55,000.00 |
| 5549 | TAIN SECURED SENIOR NOTES | $9,093.29 | $9,093.29 |
| 5550 | TAIN SECURED SENIOR NOTES | $4,546.64 | $4,546.64 |
| 5551 | TAIN SECURED SENIOR NOTES | $113,666.07 | $113,666.07 |
| 5554 | FIIN SECURED SENIOR NOTES | $9,093.29 | $9,093.29 |
| 5555 | FIIN SECURED SENIOR NOTES | $150,039.22 | $150,039.22 |
| 5556 | FAIN SECURED SENIOR NOTES | $25,758.70 | $25,758.70 |
| 5557 | FAIN SECURED SENIOR NOTES | $27,598.61 | $27,598.61 |
| 5558 | FAIN SECURED SENIOR SUBORDINATED NOTES | $125,000.00 | $125,000.00 |
| 5559 | TAIN SECURED SENIOR NOTES | $45,466.43 | $45,466.43 |
| 5560 | TAIN SECURED SENIOR NOTES | $54,559.72 | $54,559.72 |
| 5561 | TDM VERIFIER TRUST 08 CONTRACT CERTIFICATE 36 | $100,000.00 | $100,000.00 |
| 5563 | FIRSTLINE TRUST 07 9.25% SENIOR CONTRACT CERTIFICATES DUE 09/01/10 | $55,302.25 | $55,302.25 |
| 5694 | TDMM Cable Funding LLC | $100,000.00 | $100,000.00 |
| 5702 | TDMM BENCHMARK TRUST 09 12% | $25,000.00 | $25,000.00 |
| 5781 | FIIN SECURED SENIOR SUBORDINATED NOTES DUE 12/15/2008 | $75,000.00 | $75,000.00 |
| 5782 | FIIN SECURED SENIOR SUBORDINATED NOTES DUE 12/15/2008 | $125,000.00 | $125,000.00 |
| 5783 | McGinn, Smith Capital Holdings Corp. | $50,000.00 | $50,000.00 |
| 5784 | McGinn, Smith Transaction Funding Corp. | $25,000.00 | $25,000.00 |
| 5785 | McGinn, Smith Transaction Funding Corp. | $75,000.00 | $75,000.00 |
| 5832 | FIRSTLINE TRUST 07 B SENIOR CONTRACT CERTIFICATES 9.50% DUE 10/01/11 | $82,767.79 | $82,767.79 |
| 5833 | TDM VERIFIER TRUST 08 CONTRACT CERTIFICATE 36 | $115,000.00 | $115,000.00 |
| 5834 | TDM VERIFIER TRUST 08 CONTRACT CERTIFICATE 36 | $130,000.00 | $130,000.00 |
| 5835 | McGinn, Smith Firstline Funding, LLC | $14,000.00 | $14,000.00 |
|---|---|---|---|
| 5945 | FEIN 10.25% SECURED JUNIOR NOTES DUE 01/30/2009 | $700,000.00 | $700,000.00 |
| 6083 | TAIN SECURED SENIOR SUBORDINATED NOTES 7.75% DUE 12/15/2009 | $200,000.00 | $200,000.00 |
| 6122 | TDM CABLE TRUST 06 9.25% 48 MONTHS CONTRACT CERTIFICATES 11/15/10 | $15,000.00 | $15,000.00 |
| 6125 | Cruise Charter Ventures, LLC | $100,000.00 | $100,000.00 |
| 6126 | FIIN 10.25% SECURED JUNIOR NOTES DUE 12/15/2008 | $200,000.00 | $200,000.00 |
| 6131 | McGinn, Smith Firstline Funding, LLC | $300,000.00 | $300,000.00 |
| 6132 | FEIN 10.25% SECURED JUNIOR NOTES DUE 01/30/2009 | $75,000.00 | $75,000.00 |
| 6134 | TDM CABLE TRUST 06 9.25% 48 MONTHS CONTRACT CERTIFICATES 11/15/10 | $20,000.00 | $20,000.00 |
| 6312 | TDMM BENCHMARK TRUST 09 12% | $150,000.00 | $150,000.00 |
| 6325 | TAIN SECURED JUNIOR NOTES DUE 12/15/2009 | $25,000.00 | $25,000.00 |
| 6331 | FIIN 10.25% SECURED JUNIOR NOTES DUE 12/15/2008 | $30,000.00 | $30,000.00 |
| 6336 | TDM CABLE TRUST 06 10% CONTRACT CERTIFICATES DUE 11/15/10 | $20,000.00 | $20,000.00 |
| 6337 | TDM CABLE TRUST 06 9.25% 48 MONTHS CONTRACT CERTIFICATES 11/15/10 | $14,000.00 | $14,000.00 |
| 6346 | TDM CABLE TRUST 06 10% CONTRACT CERTIFICATES DUE 11/15/10 | $20,000.00 | $20,000.00 |
| 6347 | TDM CABLE TRUST 06 9.25% 48 MONTHS CONTRACT CERTIFICATES 11/15/10 | $20,000.00 | $20,000.00 |
| 6401 | FIIN 10.25% SECURED JUNIOR NOTES DUE 12/15/2008 | $25,000.00 | $25,000.00 |
| 6467 | FEIN SECURED SENIOR SUBORDINATED NOTES DUE 01/30/2009 | $10,000.00 | $10,000.00 |
| 6468 | FEIN SECURED SENIOR SUBORDINATED NOTES DUE 01/30/2009 | $50,000.00 | $50,000.00 |
| 6473 | McGinn, Smith Transaction Funding Corp. | $25,000.00 | $25,000.00 |
| 6474 | TDM CABLE TRUST 06 9.25% 48 MONTHS CONTRACT CERTIFICATES 11/15/10 | $25,000.00 | $25,000.00 |
| 6475 | TDM LUXURY CRUISE TRUST 07 CONTRACT CERTIFICATES 10% DUE 9/1/11 | $23,125.00 | $23,125.00 |
| Claim Number | Description of Investment or Nature of Claim | Amount of Claim on Receiver's Website | Paper Claim Amount |
|---|---|---|---|
| 6477 | McGinn, Smith Firstline Funding, LLC | $10,000.00 | $10,000.00 |
| 6480 | FEIN SECURED SENIOR SUBORDINATED NOTES DUE 01/30/2009 | $10,000.00 | $10,000.00 |
| 6481 | FEIN SECURED SENIOR SUBORDINATED NOTES DUE 01/30/2009 | $50,000.00 | $50,000.00 |
| 6484 | FAIN SECURED SENIOR SUBORDINATED NOTES | $15,000.00 | $15,000.00 |
| 6485 | FAIN SECURED SENIOR SUBORDINATED NOTES | $70,000.00 | $70,000.00 |
| 6486 | FEIN SECURED SENIOR SUBORDINATED NOTES DUE 01/30/2009 | $10,000.00 | $10,000.00 |
| 6490 | TAIN SECURED SENIOR SUBORDINATED NOTES 7.75% DUE 12/15/2009 | $20,000.00 | $20,000.00 |
| 6494 | FIRSTLINE TRUST 07 B JUNIOR CONTRACT CERTIFICATES 11% DUE 10/01/12 | $19,839.23 | $19,839.23 |
| 6495 | FORTRESS TRUST 08 | $19,911.10 | $19,911.10 |
| 6496 | McGinn, Smith Transaction Funding Corp. | $25,000.00 | $25,000.00 |
| 6499 | McGinn, Smith Firstline Funding, LLC | $300,000.00 | $300,000.00 |
| 6500 | McGinn, Smith Funding, LLC | $20,000.00 | $20,000.00 |
| 6501 | TDMM BENCHMARK TRUST 09 10% | $85,000.00 | $85,000.00 |
| 6502 | TDMM BENCHMARK TRUST 09 11% | $145,000.00 | $145,000.00 |
| 6503 | TDMM BENCHMARK TRUST 09 9% | $70,000.00 | $70,000.00 |
| 6504 | TDMM Cable Funding LLC | $30,200.01 | $30,200.01 |
| 6599 | FAIN 10.25% SECURED JUNIOR NOTES DUE 11/15/2010 | $30,000.00 | $30,000.00 |
| 6600 | FEIN 10.25% SECURED JUNIOR NOTES DUE 01/30/2009 | $45,000.00 | $45,000.00 |
| 6601 | FIIN 10.25% SECURED JUNIOR NOTES DUE 12/15/2008 | $106,000.00 | $106,000.00 |
| 6602 | TAIN SECURED JUNIOR NOTES DUE 12/15/2009 | $56,000.00 | $56,000.00 |
| 6800 | FAIN SECURED SENIOR SUBORDINATED NOTES | $20,000.00 | $20,000.00 |
| 6813 | FAIN 10.25% SECURED JUNIOR NOTES DUE 11/15/2010 | $25,000.00 | $25,000.00 |
UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF NEW YORK
SECURITIES AND EXCHANGE COMMISSION, :
---------------------------------------------------------------x
Plaintiff,
:
:
vs.
:
:
:
McGINN, SMITH & CO., INC., : McGINN, SMITH ADVISORS, LLC, : McGINN, SMITH CAPITAL HOLDINGS CORP., : FIRST ADVISORY INCOME NOTES, LLC, : FIRST EXCELSIOR INCOME NOTES, LLC, : FIRST INDEPENDENT INCOME NOTES, LLC, : THIRD ALBANY INCOME NOTES, LLC, : TIMOTHY M. McGINN, AND : DAVID L. SMITH, GEOFFREY R. SMITH, : Individually and as Trustee of the David L. and : Lynn A. Smith Irrevocable Trust U/A 8/04/04, : LAUREN T. SMITH, and NANCY McGINN, :
Defendants,
LYNN A. SMITH and NANCY McGINN,
- and -
Relief Defendants,
GEOFFREY R. SMITH, Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04,
:
:
:
:
:
:
:
:
:
:
:
:
Intervenor.
:
:
---------------------------------------------------------------x
DECLARATION OF WILLIAM J. BROWN, AS RECEIVER, IN SUPPORT OF MOTION FOR AN ORDER DISALLOWING DUPLICATIVE PAPER CLAIMS
William J. Brown, as Receiver, declares, pursuant to 28 U.S.C. § 1746, as follows:
1. I am the Receiver of McGinn, Smith & Co. Inc., et al. ("MS & Co.") appointed by the Court in this action pursuant to the Preliminary Injunction Order dated July 26, 2010 (Docket No. 96).
Case No. 1:10-CV-457 (GLS/CFH)
2. I make this Declaration in support of the Receiver's Motion ("Motion") for an Order disallowing the filed claims identified on Exhibit A to the Motion as duplicative of claims listed on the Claims Website (as defined below). Exhibit A has been redacted to contain only claim numbers which have previously been provided to each investor. The Court previously directed that investor names remain confidential. As described below in paragraph 16, each investor whose claim is listed on Exhibit A will receive an explanatory letter with this Motion.
PROCEDURAL BACKGROUND
3. On April 20, 2010, the Securities and Exchange Commission ("SEC") filed a Complaint initiating the above-captioned action (Docket No. 1). Also, on April 20, 2010, this Court granted a Temporary Restraining Order (Docket No. 5), which, among other things, froze certain assets of the above-captioned Defendants and Relief Defendants, and appointed the Receiver as temporary receiver with respect to numerous entities controlled or owned by Defendants Timothy M. McGinn and David L. Smith including those listed on Exhibit A to the Preliminary Injunction Order entered in this action (Docket No. 96) (collectively, the "MS Entities"). At the time of the Receiver's appointment, total bank account balances (not including some remote business operations whose bank accounts were not immediately visible to the Receiver's staff) were $485,491.63. (Docket No. 49 at 6).
4. On July 26, 2010, following a hearing, the Court entered an order granting the SEC's Motion for a Preliminary Injunction and appointing the Receiver as receiver, pending a final disposition of the action ("Preliminary Injunction Order") (Docket No. 96).
5. On August 3, 2010, the SEC filed an Amended Complaint (Docket No. 100). On June 8, 2011, the SEC filed a Second Amended Complaint (the "Complaint") (Docket No. 334).
6. The Preliminary Injunction Order authorizes the Receiver to, among other things, "use, lease, sell, and convert into money all assets of the MS Entities, either in public or private sales or other transactions on terms the Receiver reasonably believes based on his own experience and input from his advisors to be most beneficial to the MS Entities and those entitled to the proceeds…" Preliminary Injunction Order, ¶ VII(m).
CLAIMS PROCEDURE
7. On March 9, 2012, in my capacity as Receiver, I filed a Motion ("Claims Procedure Motion") (Docket No. 466) for entry of an Order approving, among other things, the Receiver's proposed procedure for the administration of claims against the MS Entities.
8. On March 27, 2012, the Court entered an Order granting the Claims Procedure Motion (Docket No. 475), which was subsequently amended by an Order dated April 17, 2012 ("Claims Procedure Order") (Docket No. 481). Each investor and known creditor of the MS Entities was mailed on May 1, 2012 an Access Notice describing the claims process and enclosing (i) Notice of the Claims Bar Date and Claims Procedure and (ii) a Claim Form. A confidential password providing access to the Claims Website at www.mcginnsmithreceiver.com ("Claims Website") was also provided. If an investor or creditor agreed with the description and amount of their claim(s) as listed on the Claims Website and the claim(s) were not listed as disputed, contingent or unliquidated, the investor or creditor did not need to take any further action. All other investors and creditors needed to timely file a paper claim before the bar date of June 19, 2012, as further described in detail on the Receiver's Website.
9. The Claims Procedure Order established June 19, 2012 ("Bar Date") as deadline for creditors and investors to file claims against the MS Entities.
10. In accordance with the Claims Procedure Order, nearly six hundred creditors and investors timely filed paper claims prior to the Bar Date. In addition, more than 3,127 claims of investors and creditors were included on the schedules posted by the Receiver in accordance with the Claims Procedure Order. In addition to the claims listed on Exhibit A, many other duplicative paper claims have already been withdrawn by written investor consent through communications with the Receiver.
11. I conducted an initial review of the paper claims timely filed by creditors and investors in accordance with the Claims Procedure Order and determined that it was necessary to establish a reserve as to investor claims totaling approximately $23,617,190 since those claims have been listed by the Receiver as disputed, contingent or unliquidated. 1
PLAN OF DISTRIBUTION PROCESS
12. On December 30, 2015, I filed a Motion (Docket No. 847) ("Plan Distribution Motion") to seek approval of (i) a plan of distribution of assets of the MS Entities to investors ("Plan of Distribution"); and (ii) interim distributions to investors with allowed claims scheduled or timely filed in accordance with the Claim Procedure Order.
13. On October 31, 2016, the Court entered a Memorandum-Decision and Order (Docket No. 904) ("Plan Distribution Order") granting the Plan Distribution Motion, approving the Plan of Distribution, and allowing the Receiver to make interim distributions as set forth in the Plan Distribution Motion.
14. Among other things, the Plan of Distribution provides for a reserve for disputed claims to allow the Receiver to make initial distributions, but to also provide for funds
1 There are approximately $124,123,595 in total investor claims.
Case 1:10-cv-00457-GLS-CFH Document 937-2 Filed 09/21/17 Page 5 of 6
to be reserved until any objections to disputed claims can be heard and decided by final order of the Court.
15. I have examined the filed paper claims and the claims on the Claims
Website and have determined that the filed investor paper claims identified on Exhibit A to the
Motion are duplicative of the corresponding claims on the Claims Website.
16.
In connection with service of the Motion and all accompanying papers, including this Declaration, I will mail to all investors identified on Exhibit A to the Motion a
letter notifying each investor of (i) the Motion; (ii) the relief sought by the Receiver in the
Motion; (iii) the deadline for filing any responses to the Motion; and (iv) that failure to file a response to the Motion may result in disallowance of the investor’s duplicative paper claim(s),
and the inability of the investor to receive a distribution on account of such paper claim, without any further notice or opportunity to be heard offered. A copy of the form letter to be sent to
investors upon the filing of this Motion is attached to this Declaration.
Dated: September 20, 2017
/s/ William J. Brown
William J. Brown
Doc #05-486908.2
- 5 -
Case 1:10-cv-00457-GLS-CFH Document 937-2 Filed 09/21/17 Page 6 of 6
UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF NEW YORK
---------------------------------------------------------------x:
SECURITIES AND EXCHANGE COMMISSION : Plaintiff,
:
vs.
:
:
:
McGINN, SMITH & CO., INC., : McGINN, SMITH ADVISORS, LLC : McGINN, SMITH CAPITAL HOLDINGS CORP., : FIRST ADVISORY INCOME NOTES, LLC, : FIRST EXCELSIOR INCOME NOTES, LLC, : FIRST INDEPENDENT INCOME NOTES, LLC, : THIRD ALBANY INCOME NOTES, LLC, : TIMOTHY M. McGINN, AND : DAVID L. SMITH, GEOFFREY R. SMITH, : Individually and as Trustee of the David L. and : Lynn A. Smith Irrevocable Trust U/A 8/04/04, : LAUREN T. SMITH, and NANCY McGINN, :
Defendants,
LYNN A. SMITH and NANCY McGINN,
Relief Defendants. and
GEOFFREY R. SMITH, Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04,
:
:
:
:
:
:
:
:
:
:
:
Intervenor.
:
:
---------------------------------------------------------------x
ORDER APPROVING MOTION OF WILLIAM J. BROWN, AS RECEIVER, FOR AN ORDER DISALLOWING DUPLICATIVE PAPER CLAIMS
Upon the Motion of William J. Brown, as Receiver, for an Order disallowing duplicative filed paper claims; and notice of the Motion having been given to the Securities and Exchange Commission, each investor listed on Exhibit A to the Motion by first class mail, and all parties who have filed a Notice of Appearance in this action by ECF, and all creditors of the McGinn, Smith entities and other parties in interest via the Receiver's website, which notice is deemed good and sufficient notice; and the Court having deemed that sufficient cause exists; it is therefore
Case No. 1:10-CV-457 (GLS/CFH)
ORDERED, that the Motion is approved, and it is further
ORDERED, that each of the duplicative paper claims listed on Exhibit A to the
Motion is disallowed, and the rights of the Receiver to object on any other basis to the claims of investors or claimants is expressly preserved.
Dated: November ____, 2017
_____________________________________
HON. CHRISTIAN F. HUMMEL
Doc #01-3069418.1
UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF NEW YORK
SECURITIES AND EXCHANGE COMMISSION :
---------------------------------------------------------------x
Plaintiff,
:
:
vs.
:
:
:
McGINN, SMITH & CO., INC., : McGINN, SMITH ADVISORS, LLC : McGINN, SMITH CAPITAL HOLDINGS CORP., : FIRST ADVISORY INCOME NOTES, LLC, : FIRST EXCELSIOR INCOME NOTES, LLC, : FIRST INDEPENDENT INCOME NOTES, LLC, : THIRD ALBANY INCOME NOTES, LLC, : TIMOTHY M. McGINN, AND : DAVID L. SMITH, GEOFFREY R. SMITH, : Individually and as Trustee of the David L. and : Lynn A. Smith Irrevocable Trust U/A 8/04/04, : LAUREN T. SMITH, and NANCY McGINN, :
Defendants,
LYNN A. SMITH and NANCY McGINN,
Relief Defendants. and
GEOFFREY R. SMITH, Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04,
:
:
:
:
:
:
:
:
:
:
:
Intervenor.
:
:
---------------------------------------------------------------x
CERTIFICATE OF SERVICE
I, Karen M. Ludlow, being at all times over 18 years of age, hereby certify that on September 21, 2017, a true and correct copy of the Notice of Motion and Motion of William J. Brown, as Receiver, for an Order Disallowing Duplicative Paper Claims ("Motion") was caused to be served by e-mail upon all parties who receive electronic notice in this case pursuant to the Court's ECF filing system, and by First Class Mail to the parties indicated below:
- William J. Brown firstname.lastname@example.org,email@example.com
- Certain McGinn Smith firstname.lastname@example.org
- Elizabeth C. Coombe email@example.com, firstname.lastname@example.org, email@example.com,firstname.lastname@example.org
- William J. Dreyer email@example.com, firstname.lastname@example.org, email@example.com,firstname.lastname@example.org
- Scott J. Ely email@example.com,firstname.lastname@example.org
- James D. Featherstonhaugh email@example.com,firstname.lastname@example.org,email@example.com,firstname.lastname@example.org
- James H. Glavin , email@example.com
- Bonnie R. Golub firstname.lastname@example.org
- Erin K. Higgins email@example.com
Case No. 1:10-CV-457 (GLS/CFH))
- Benjamin W. Hill firstname.lastname@example.org, email@example.com, firstname.lastname@example.org
-
E. Stewart Jones , r email@example.com, firstname.lastname@example.org,
email@example.com,firstname.lastname@example.org
- Edward T. Kang email@example.com, firstname.lastname@example.org, email@example.com, firstname.lastname@example.org,email@example.com
- Jack Kaufman firstname.lastname@example.org
- Michael A. Kornstein email@example.com
- James P. Lagios firstname.lastname@example.org
- Kevin Laurilliard email@example.com,firstname.lastname@example.org
- James D. Linnan email@example.com,firstname.lastname@example.org
- Haimavathi V. Marlier email@example.com
- Jonathan S. McCardle firstname.lastname@example.org
- Kevin P. McGrath email@example.com
- Lara S. Mehraban firstname.lastname@example.org,email@example.com
- Michael J. Murphy firstname.lastname@example.org, email@example.com, firstname.lastname@example.org
- Joshua M. Newville email@example.com
- Craig H. Norman firstname.lastname@example.org,email@example.com
- Andrew Park firstname.lastname@example.org,email@example.com
- Thomas E. Peisch firstname.lastname@example.org,email@example.com
- Terri L. Reicher firstname.lastname@example.org
- Richard L. Reiter email@example.com,firstname.lastname@example.org
- Sheldon L. Solow email@example.com, firstname.lastname@example.org
- David P. Stoelting email@example.com, firstname.lastname@example.org, email@example.com, firstname.lastname@example.org,email@example.com
- Charles C. Swanekamp firstname.lastname@example.org,email@example.com
- Walter Weir firstname.lastname@example.org,email@example.com
- Bryan M. Westhoff firstname.lastname@example.org
- Benjamin Zelermyer email@example.com,firstname.lastname@example.org
And, I hereby certify that on September 21, 2017, I mailed, via first class mail using the United States Postal Service, a copy of the Motion to the individuals listed below:
Nancy McGinn 426-8th Avenue Troy, NY 12182
Thomas J Urbelis Urbelis & Fieldsteel, LLP 155 Federal Street Boston, MA 02110-1727
Michael L. Koenig, Esq. Greenberg Traurig, LLP 54 State Street, 6th Floor Albany, NY 12207
Martin H. Kaplan, Esq. Gusrae, Kaplan, Bruno & Nusbaum PLLC 120 Wall Street New York, NY 10005
The Shoma Group 3470 NW 82nd Ave., Suite 988 Doral, FL 33122
Iseman, Cunningham, Riester & Hyde, LLP 9 Thurlow Terrace Albany, NY 12203
Case 1:10-cv-00457-GLS-CFH Document 937-4 Filed 09/21/17 Page 3 of 3
Charles C. Swanekamp, Esq. Bond, Schoeneck & King PLLC Avant Building - Suite 900 200 Delaware Avenue Buffalo, NY 14202-2107
RBS Citizen, N.A. Cooper Erving & Savage LLP 39 North Pearl Street 4th Floor Albany, NY 12207
Dated: September 21, 2017
/s/ Karen M. Ludlow
Karen M. Ludlow
Doc #01-3069497.1
|
NOTICE OF PRIVACY PRACTICES
THIS NOTICE DESCRIBES HOW MEDICAL INFORMATION ABOUT YOU MAY BE USED AND DISCLOSED AND HOW YOU CAN GET ACCESS TO THIS INFORMATION. PLEASE REVIEW IT CAREFULLY.
1. Introduction
Dirigo Counseling Clinic, LLC ("Dirigo"), is required by law to maintain the privacy of your protected health information, to provide you with notice of its legal duties and privacy practices with respect to your protected health information, and to notify affected individuals following a breach of unsecured protected health information. Dirigo is required to comply by the terms of the Notice currently in effect. Dirigo reserves the right to change the terms of this Notice and to make any new Notice provisions effective for all protected health information that Dirigo maintains and that Dirigo created or received prior to issuing a revised Notice. Dirigo will provide clients with a revised Notice by posting it on Dirigo's website and in Dirigo's reception areas as well as providing free paper copies at each Dirigo location.
2. When Dirigo May Use and Disclose Your Information without Your Authorization
Depending on the type of protected health information involved, Dirigo may use and disclose your protected health information without your authorization for certain purposes.
A. Mental Health Information
Treatment: Dirigo may use mental health information for treatment purposes, such as to develop a diagnosis and treatment plan for the client, or disclose mental health information to other Dirigo providers to coordinate a client's care and treatment.
Payment: Dirigo may use and disclose mental health information for payment purposes. For example, Dirigo may disclose mental health information to a private or governmental payer (such as MaineCare) to determine the client's eligibility for coverage, to substantiate the client's charges, or to obtain reimbursement for mental health services provided to the client. In circumstances where the costs of a mental health client's care, treatment, education or support will be paid by a third party, the client may choose to pay such costs privately or out of pocket to avoid having the mental health information disclosed to a third-party payer for payment-related purposes.
Health Care Operations: Dirigo may use and disclose mental health information for Dirigo's health care operations. For example, Dirigo may use this information to review the quality of the care provided to Dirigo clients.
Next of Kin: Dirigo may disclose information relating to the physical condition or mental status of a client in response to an inquiry from a client's spouse or next of kin involved in the client's care or in obtaining payment for the client's care, so long as the client has been provided an opportunity to object to such disclosure and has not objected.
Family and Caretakers: In certain situations, a licensed mental health professional at Dirigo providing care to an adult mental health client may disclose to a family member, to another relative, to a close personal friend or caretaker of the client, or to anyone identified by the client, mental health information that is directly relevant to the person's involvement with the client's care.
Authorized Representatives: Dirigo may disclose mental health information to a person authorized by law to make decisions on behalf of the client, such as a health care power of attorney agent, court-appointed guardian, or health care surrogate.
Disclosures to Interpreters: Dirigo may disclose information concerning a mental health client as necessary to obtain the services of an interpreter in cases where the client does not speak English or is deaf.
Business Associates: Dirigo may disclose mental health information to a contractor of Dirigo (called a "business associate") when such information is necessary for the contractor to perform contracted services to Dirigo and the contractor has entered into a written agreement with Dirigo to protect the privacy and security of clients' information.
Reports of Suspected Abuse, Neglect, or Exploitation: Dirigo is required by law to report to state authorities incidents of suspected abuse, neglect, or exploitation of a child or dependent or incapacitated adult, and may disclose mental health information about a client as necessary to comply with such reporting laws and to cooperate in a protective investigation or other protective activity.
Research: Dirigo may use and disclose information and records about a mental health client for statistical compilations and research if the research plan and research-related use or disclosure are reviewed and approved by the chief administrative officer of Dirigo's mental health program, and other legal requirements are met.
Education and Training Purposes: Dirigo may use or disclose non-identifying information about a mental health client, including recorded or transcribed diagnostic and therapeutic interviews, as part of a course of instruction or training program within an educational or training program established between Dirigo and a public hospital.
Responding to Serious and Imminent Threats: Dirigo and its licensed mental health professionals are authorized and required by law to disclose mental health information that the professional believes is necessary to avert a serious and imminent threat to health or safety when the disclosure is made to any person, including civil authorities and a target of the threat, who is reasonably able to prevent or minimize the threat.
Law Enforcement: Dirigo and its licensed mental health professionals are authorized and required by law to disclose certain mental health information about a client to a law enforcement officer for certain law enforcement purposes (e.g., when required by law, for identification and location purposes, in response to a request for information about a suspected victim of a crime, to alert law enforcement about the death of a client suspected of resulting from criminal conduct, to report evidence of criminal conduct that occurred on Dirigo's premises, or to report a crime in an emergency), if certain legal requirements are met.
Knowledge of Firearms: Dirigo and its licensed mental health professionals are authorized and required by law to notify law enforcement when the professional has reason to believe that a person committed to a Maine state mental health institute (Riverview Psychiatric Center or the Dorothea Dix Psychiatric Center) has access to firearms.
Disclosures to Maine DHHS: Dirigo may disclose information about a mental health client if necessary to carry out the statutory functions of the Maine Department of Health and Human Services, including disclosures in connection with involuntary hospitalization procedures and proceedings, or in connection with investigatory and rights protection functions of Maine's designated advocacy agency (the Maine Disability Rights Center).
Court Orders: Dirigo may disclose a client's mental health information pursuant to a valid court order that meets certain legal requirements.
Disclosures to the Maine Mental Health Homicide, Suicide and Aggravated Assault Review Board: Dirigo is authorized and required by law to disclose in response to a written request by the Maine Mental Health Homicide, Suicide and Aggravated Assault Review Board, any mental health information or records concerning a client that are necessary and relevant to a case subject to the Board's review.
Fundraising: Dirigo may use mental health information to contact a client to raise funds for Dirigo, though the client has the right to opt out of receiving such communications.
Required or Authorized by Law: Dirigo may use and disclose mental health information when otherwise required or authorized by law.
Care Management and Coordination: Dirigo may use and disclose mental health information for purposes of care management or coordination of care, if legal requirements are met.
B. Substance Abuse Program Information
Treatment: Dirigo may use substance abuse program information for treatment purposes, such as to develop a diagnosis and treatment plan for the client, or disclose a client's substance abuse program information to other Dirigo providers to coordinate a client's care and treatment.
Health Care Operations: Dirigo may use or disclose substance abuse program information for Dirigo's health care operations, if legal requirements are met. For example, Dirigo may use this information to review the quality of the care provided to Dirigo clients.
Administration: Dirigo may disclose information about a substance abuse program client to other Dirigo personnel and to an entity that has direct administrative control over a Dirigo substance abuse program, so long as the persons receiving the information have a need for the information in connection with their duties that arise out of the provision of diagnosis, treatment or referral for treatment of alcohol or drug abuse.
Business Associates: Dirigo may disclose substance abuse program information to a contractor of Dirigo (called a "business associate" or "qualified service organization") when such information is necessary for the contractor to perform contracted services to Dirigo and the contractor has entered into a written agreement with Dirigo to protect the privacy and security of clients' health information.
Reporting Crime: Dirigo may disclose substance abuse program information about a client to law enforcement officers when such information is directly related to the client's commission of, or threat to commit, a crime on Dirigo's premises or against Dirigo personnel.
Reporting Child Abuse and Neglect: Dirigo is required by law to report to state child protection authorities incidents of suspected child abuse and neglect, and may disclose substance abuse program information about a client as necessary to comply with such mandatory child abuse and neglect reporting laws.
Deceased Clients: Dirigo may disclose information about a deceased substance abuse program client when such information relates to the cause of death of the client and the disclosure is made under laws requiring the collection of death or other vital statistics or permitting inquiry into the cause of a client's death. Dirigo may disclose information concerning a deceased substance abuse program client when authorized in writing by (i) an executor, administrator or other personal representative of the decedent or decedent's estate appointed under applicable law, or (ii) if no such appointment has been made, the deceased client's spouse or, if none, by any responsible member of the deceased client's family.
Enrollment: Dirigo may disclose information about a substance abuse program client to a central registry or to a detoxification or maintenance treatment program for the purpose of preventing a client from enrolling in multiple programs if certain requirements are met.
Research: Dirigo may disclose information about a substance abuse program client for the purpose of conducting scientific research if certain legal requirements are met.
Medical and Other Emergencies: Dirigo may disclose information about a substance abuse program client to medical personnel to the extent necessary to meet a bona fide medical emergency in which the client's prior informed written consent cannot be obtained. Dirigo may also disclose substance abuse program information to medical personnel of the federal Food and Drug Administration (FDA) who assert a reason to believe that the health of any individual may be threatened by an error in the manufacturing, labeling, or sale of a product under FDA jurisdiction, and that the information will be used for the exclusive purpose of notifying clients or their physicians of potential dangers.
Audit and Evaluation Activities: Dirigo may disclose information about a substance abuse program client for certain audit and evaluation activities and quality improvement activities.
Court Orders: Dirigo may disclose substance abuse program information pursuant to a valid court order that meets certain legal requirements.
Authorized Representatives: In the case of a substance abuse program client who has been adjudicated as lacking the capacity, for any reason other than insufficient age, to manage his or her own affairs, Dirigo may disclose information about the client pursuant to a written authorization given by the client's legal guardian or other person authorized under state law (such as a health care power of attorney agent or health care surrogate) to act on the client's behalf.
Disclosures for Payment Purposes Authorized by Dirigo's Substance Abuse Program Director on Behalf of a Client Lacking Decisional Capacity: For any period for which Dirigo's substance abuse program director determines that an adult substance abuse client suffers from a medical condition that prevents knowing or effective action on the client's own behalf, Dirigo's program director may exercise the right of the client to authorize a disclosure for the sole purpose of obtaining payment for services provided to the client from a third party payer.
Fundraising: Dirigo may contact a client to raise funds for Dirigo, though the client has the right to opt out of receiving such communications.
Required or Authorized by Law: Dirigo may use and disclose substance abuse program information when otherwise required or authorized by law.
3. When Dirigo Needs Your Authorization to Use and Disclose Information
Other uses and disclosures of a client's health information not described in this Notice will be made only with a client's written authorization. You have the right to revoke an authorization to the extent that it has not already been relied upon. The revocation is accomplished by letting your treatment provider or any of the administrative staff know that you wish for the revocation. Written revocation is preferable but oral communication will be respected and the revocation will be documented in your case file.
For example, types of uses and disclosures that require a client's authorization include:
Disclosures to Providers outside Dirigo for Treatment Purposes: Dirigo will not disclose a client's mental health or substance abuse program information to a health care provider or facility outside of Dirigo, even if such provider or facility is involved in a client's care and the disclosure is for a treatment purpose, without the client's written authorization, unless such disclosure without the client's authorization is authorized or required by law.
Payment: Dirigo will not disclose substance abuse program information for payment purposes without prior written authorization, except as provided by law.
Uses and Disclosures of Psychotherapy Notes: To the extent that Dirigo maintains any psychotherapy notes for a client that are separate from a client's other Dirigo clinical records, Dirigo will not use or disclose such notes without a client's written authorization, unless such use or disclosure is authorized or required by law.
Uses and Disclosures for Marketing Purposes: Dirigo will not use or disclose a client's health information for a marketing purposes without a client's written authorization, unless such use or disclosure is authorized or required by law. Additionally, if the marketing involves any payment or remuneration to Dirigo by a third party, the client's written authorization will disclose that payment or remuneration is involved.
Sale of Health Information: Dirigo will not sell or disclose a client's health information in exchange for payment or other compensation, without the client's written authorization, unless an exception applies under applicable law (e.g., charging a client for requested copies of records). If a client authorizes a sale of the client's health information, the authorization form will disclose that the disclosure of the client's health information will result in payment or remuneration to Dirigo.
Acknowledging Presence of Clients in Dirigo Substance Abuse Programs: Dirigo will not acknowledge the presence of an identified substance abuse program client in a Dirigo facility or program without the client's written authorization, except as allowed or required by law.
Disclosures to Persons in the Criminal Justice System: Dirigo may disclose information about a substance abuse client to those persons within the criminal justice system which have made participation in a substance abuse program a condition of the disposition of any criminal proceedings against the client or of the client's parole or other release from custody if there is an authorization and certain other requirements are met.
Disclosures to Temporary Student Members of a Client's Treatment Team: Dirigo will not disclose client-identifying case record material concerning a mental health client to students who are temporary members of a Dirigo treatment team without the client's written authorization, unless the student is involved in a professional program that has a formal relationship with Dirigo.
Right to Revoke Authorization: Except as described elsewhere in this Notice, a client may revoke an authorization permitting Dirigo to use or disclose a client's health information at any time, except to the extent that Dirigo has taken action in reliance on it.
4. HealthInfoNet
Dirigo participates in HealthInfoNet, the statewide health information exchange ("HIE") designated by the State of Maine. The HIE is a secure computer system for health care providers to obtain and share health information to support treatment and continuity of care. For example, if you are admitted to a hospital that participates in the HIE, Dirigo may be able to see information about your hospital admission. All information contained in the HIE is kept private and used in accordance with state and federal laws and regulations.
Dirigo does not share information it has about Dirigo clients with HealthInfoNet. Rather, Dirigo only obtains information from HealthInfoNet coming from other health care providers. Dirigo will obtain this information only for the treatment of clients and other lawful purposes.
You do not have to participate in the HIE to receive care. For more information about HealthInfoNet and your choices regarding participating, visit www.hinfonet.org or call 1-866-592-4352.
5. Special Rules for Minors
A. Substance Abuse Treatment
Under Maine law, a minor with decisional capacity is authorized to consent on his or own behalf to substance abuse treatment without a parent's consent. Consequently, Dirigo may not disclose information about a minor substance abuse program client to the minor's parent or guardian—including for the purpose of obtaining financial reimbursement for services provided to the minor client—without written authorization from the minor client, except that:
* Dirigo may refuse to provide treatment to a minor substance abuse program client unless or until the minor client authorizes the disclosure necessary for Dirigo to obtain reimbursement for services to be provided to the minor client; and
* Dirigo may disclose to a minor substance abuse program client's parent, guardian, or other persons authorized under Maine law to act in the minor client's behalf facts relevant to reduce a threat to the life or physical well-being of the minor client or any other individual, if Dirigo's substance abuse program director judges that (i) the minor client lacks the capacity to make a rational decision on whether to authorize the disclosure because of extreme youth or a mental or physical condition, and (ii) the minor client's situation poses a substantial threat to the life or physical well-being of the minor client or any other individual which may be reduced by the disclosure.
B. Mental Health Treatment
Under Maine law, minors with decisional capacity are authorized to consent on their own behalf for certain mental health treatment for emotional and psychological problems. If you are a minor authorized by law to consent to mental health services on your own behalf, and you in fact consent to such services on your own behalf, Dirigo is required to protect the privacy of your health information with respect to health care services you have consented to on your own behalf, in the same way that Dirigo protects the privacy of an adult's mental health information, unless a special exception applies under the law. For example, Dirigo is authorized by law to notify your parent or guardian if, in the judgment of your Dirigo provider, failure to inform your parent or guardian would seriously jeopardize your health or would seriously limit the ability of your Dirigo provider to treat you. Additionally, if you are covered under a parent's health insurance plan and want Dirigo to bill your parent's insurance for services provided to you, your parent(s) will receive from their insurance company an Explanation of Benefits regarding the services provided to you by Dirigo. As a result, the fact that you received services from Dirigo will not be confidential from your parent(s). However, if you do not want your parents to know that you are receiving services from Dirigo, you must notify Dirigo of that fact at the time services are provided to you so that arrangements can be made for payment of such services privately or out-of-pocket.
6. Uses and Disclosures of HIV Information
HIV information and records have extra protection under Maine law. Dirigo will not disclose a client's HIV status, HIV test results, or any client records containing HIV information without the client's written authorization, unless such disclosure is authorized under Maine's HIV confidentiality laws without the client's written authorization. Examples of permissible disclosures of HIV information that do not require a client's authorization, include:
* Disclosures to the Maine Department of Health and Human Services' Bureau of Health when necessary to carry out its statutory duties, including the duty to protect the public health and to notify individuals in at risk for the transmission of communicable diseases;
* Disclosures pursuant to a court order;
* Disclosures in proceedings held under Maine's communicable disease laws;
* Disclosures in proceedings held pursuant to Maine's Adult Protective Services Act;
* Disclosures in proceedings pursuant to Maine's child protection laws;
* Disclosures in proceedings held pursuant to Maine's mental health laws; and
* Disclosures to utilization review committees or peer review organizations for utilization review, audits, and program evaluation purposes.
7. Your Rights Concerning Your Health Information and How to Exercise Them
Right to Request Restrictions on Uses and Disclosures: You have the right to request restrictions on certain uses and disclosures of your health information. However, Dirigo is not required to agree to a requested restriction unless the request is to restrict disclosures to a health plan for purposes of carrying out payment or health care operations, the information is not otherwise required to be disclosed by law, and the information pertains solely to a health care item or service for which the client, or other person on behalf of the client, has paid Dirigo in full. If Dirigo agrees to a requested restriction, Dirigo will not use or disclose your information in violation of your restriction, unless the use or disclosure is needed to provide emergency treatment.
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Personalised Learning for Casual Games: The 'Language Trap' Online Language Learning Game
Neil Peirce and Vincent Wade Trinity College Dublin, Ireland firstname.lastname@example.org
email@example.com
Abstract:
The features of video games that contribute to effective learning are drawing increasing attention in the world of technology enhanced learning. To date, game based learning has focussed on the learning benefits provided by the inherent motivation, rich visualizations, and low risk of failure, provided by contemporary educational games. Although these advantages create highly engaging and immersive learning environments, there remain additional techniques that can further aid the learning process. The integration of personalisation into educational games presents unique challenges, the most important being the preservation of the gaming experience. In consideration that a well designed educational game can seamlessly blend learning and gaming content, any adaptation of the learning content will ultimately affect the gaming experience. In effect all educational adaptations must be achieved in a manner that is non-invasive to the game play. In this paper we introduce the „Language Trap‟ German language learning game that provides learners with an online casual gaming environment that also benefits from a personalised learning experience. We demonstrate how a game playable online in a browser, using simple controls, and with low production costs, can effectively deliver this personalised learning experience. Through using the ALIGN (Adaptive Learning In Games through Non-invasion) system the game delivers adaptive dialogue difficulty, performance feedback, motivational support, and meta-cognitive hints, all within a highly interactive adventure role-playing game. The results of an authentic evaluation of the Language Trap game are presented, additionally we demonstrate how the ALIGN system can effectively adapt the learning experience within the game in manner that is non-invasive to the game play. A discussion on the benefits of adaptive educational games is presented, with particular reference to the benefits provided by the ALIGN system.
Keywords: Adaptive learning, personalisation, casual game, user modelling
1. Introduction
The intensely engaging and immersive experiences provided by video games have long been pursued by instructional designers as a means to motivate students. Through a combination of ludic activities, interesting narratives, and rich visual worlds, video games present an environment that is inherently motivating and an experience that is rewarding to pursue. The effective integration of instructional design and video games has been an active research topic since the 1980s, however efforts were stifled by early attempts that created uninteresting games and ineffective learning outcomes. Such games often termed "Shavian reversals" (Papert 1998) and branded as „edutainment‟ were often the result of „applying‟ gaming to existing educational content and resulted in experiences that lacked any synergies between the gameplay and the learning content (Kirriemuir & McFarlane n.d.; Papert 1998). Despite such a hindered start, educational games gained recognition and acceptance through the emergence of serious games. The work of James Paul Gee, Clark Aldrich, and Marc Prensky amongst others has helped to identify the affordances of educational games and the approaches to maximise their benefit. The most significant considerations are the tight integration of learning and gaming content, the suitability of the game genre to the content, and the preservation of a flow experience (Csikszentmihalyi 1990).
As play itself is one of the most fundamental forms of learning (Huizinga 1949), it is not surprising that games present an inherent learning experience. However, the learning within entertainment video games often surrounds understanding the mechanics of the game, and its rules. These forms of learning, comprehension, practice, experimentation, and discovery are all keenly focussed on learning about the game itself. In order for educational games to be effective they must seamlessly integrate learning content to present a game that blurs the boundary between where the game stops and the learning content begins.
As well as the requirement for tight integration, the need to match learning content with an appropriate game genre has been identified by several authors(Amory et al. 1999; Prensky 2001; Frazer et al.
2008). Although well integrated content within an appropriate game genre is a progression beyond earlier edutainment games, the significance of maintaining a flow experience cannot be overlooked. Whereas games can present many of the constituents of a flow experience such as clear goals, immediate feedback, task feasibility, and self-governance, the most important factor, that of balanced skills and challenges, is determined not only by the difficulty of the game but also by the player‟s abilities.
In considering the flow experience, the significance of the learner in educational game design becomes apparent. Whereas games can be designed to accommodate for static learner attributes such as genre preferences, game platform, gender, and gaming context, they seldom cater well for dynamic attributes. Typically dynamic learner attributes such as knowledge, skills, motivation, and meta-cognitive skills, are catered for by assuming static levels for these attributes, i.e. a single difficulty level. Whereas entertainment games utilise Dynamic Difficulty Adjustment (DDA) and NonPlaying Character (NPC) behaviour (Charles 2003; Van Eck 2007) it would seem that personalised learning within educational games is a natural progression. In consideration of the success of personalised learning within the fields of Adaptive Hypermedia (AH) (Brusilovsky 2001) and Intelligent Tutoring Systems (ITSs) (Wenger 1987), personalised educational games present the opportunity to cater for dynamic learner attributes in a personalised manner and within an inherently motivating learning environment.
In this paper we address the issue of integrating personalised learning into educational games. The key benefits of this allow for reduced development costs, the separation of game and adaptation logic, and the possibility for increased instances of adaptive games. Whereas the practicality of separating game logic and adaptation logic was demonstrated in (Peirce et al. 2008) the need to assess the generality of the approach and the educational benefits of the personalisation remain. In this paper we introduce the „Language Trap‟ game as a second case study using the ALIGN system. Through a comparative evaluation of the game with both basic and advanced personalisation, the benefits of the ALIGN system as an approach to personalised educational games in demonstrated.
1.1 The Changing Game Market
In the past five years there has been a major change underway in the commercial video game market. This has been characterised by the shift of the mainstream games market away from so called hardcore games towards casual games. As a market, hardcore games are typified by their steep learning curve, cutting edge graphics, high production costs, and long gameplay durations. They are readily identifiable by their high quality and associated high technical requirements and are most commonly associated with first person shooter game series‟ such as Unreal Tournament, Far Cry, BioShock, and Call of Duty. In contrast, casual games have simple controls, more varied game genres, lower production costs, and are playable on a multitude of devices and regularly online. Some of the more popular casual games available include Wii Sports, World of Goo, FarmVille, and Mafia Wars.
The emergence of the casual games market has broadened the demographic appeal of video games away from traditional male dominated demographics (Dickey 2006), towards a more equal gender balance and a greater age range. In consideration of this broader appeal, it would seem a natural choice to progress educational games into this domain whereby a greater captive audience can be engaged. As well as having reduced development costs, simple controls, and varied genres, the educational benefits of casual or mini-games has been supported by such authors as (Frazer et al. 2007; Prensky 2008).
2. Adaptive Educational Games
The integration of personalisation into educational games presents challenges beyond those faced in ITS or AH systems. The most significant challenge being that the objectives of instructional design and engaging gameplay can conflict. This evidently requires compromises in either gameplay or learning personalisation. Although prioritising the learning personalisation is desirable in an educational game, it can in fact result in a worse learning experience. This may seem counterintuitive, however, when you consider that adaptations to a game can create inconsistent game characters, excessive feedback, a confusing game world, and distraction from the gameplay, one risks creating a game that is no longer fun to play, and so fails a key requirement of any educational game.
To allow for personalisation within a game it must be achieved in a manner that is considerate of, and non-invasive to the gameplay. As it has been identified by a number of authors that a educational game must be a game first and learning tool second (Van Eck 2007; Prensky 2001), similarly an adaptive game must be a game first and a personalised learning experience second.
Despite the potential benefits of adaptive educational games, the instances of adaptive educational games are scarce. One possible cause for this scarcity is the complexity of integrating personalised learning into a gaming environment. Whereas games such as the DARPA funded Tactical Language & Cultural Training System (TLCTS) have shown that through the use of multi-model adaptation, effective educational outcomes can be achieved (Johnson et al. 2007), the considerable development cost involved can limit similar approaches. One alternative approach to addressing this problem can be found in the <e-adventure> framework (Moreno-Ger et al. 2007) that simplifies the development of adaptive educational games and allows for their integration into Learning Management Systems (LMS).
The use of a storyline is often used within educational games and is known to be a motivating factor (Salen & Zimmerman 2003). In consideration of this, the potential benefits of adapting the storyline for immersive and educational benefit have been considered in both the Façade game (Mateas & Stern 2005) and in Virtual Team Collaborator (VTC) (Spring & Ito 2007). Although this approach presents the potential to improve immersion it further adds to the complexity of integrating adaptive educational content within an educational game. Despite the commonality of narrative based games, a storyline is not a prerequisite of an educational game. In the case of the puzzle based Prime Climb game (Conati 2002) a pedagogical agent is effectively employed to provide adaptive feedback and support.
One of the many hurdles in creating adaptive educational games is the development cost involved in authoring both the educational game and the adaptation system within the game. An approach to alleviate this is to retro fit existing educational games with personalisation features. Such an approach was successfully taken with the Ecotoons and Ecotoons 2 games (Carro et al. 2002).
Although the research area of adaptive educational games is still emerging there are already significant strides being taken in the variety, complexity, and reusability of adaptation provided. With EU projects such as ELEKTRA (see section 2.2) and 80Days (80Days-Project n.d.) there is evidently a growing interest in adaptive educational games. In consideration of the growing popularity of casual games, there is considerable interest in how education and personalisation can be applied to reach the broadest spectrum of game based learners.
2.1 The ALIGN System
The design of personalised education within an educational game requires consideration of how any adaptation will affect the game. As it is vital to prioritise the gaming experience over the adaptation, considerable effort must be taken in ensuring that all adaptations are non-invasive to the gameplay. Whereas typically an adaptive educational game will tightly couple personalisation and game design, this approach limits the reuse and flexibility of the adaptation. The ALIGN (Adaptive Learning In Games through Non-invasion) system (Peirce et al. 2008) addresses this problem by decoupling the educational game from the learning personalisation, enable the reuse and independent authoring of both components.
Through a four stage process of 1) Inference, 2) Context accumulation, 3) Adaptation constraint, and 4) Adaptation selection, the ALIGN system ensures only pertinent, appropriate, and non-invasive adaptations occur within the game. Through a flexible rule-based inference approach the ALIGN system can abstract away game specifics allowing it to operate over varying learning content and game styles. In its first case study the ALIGN system effectively adapted the learning experience for the ELEKTRA game as detailed in the following section. For a further discussion on the ALIGN system and its architecture see (Peirce et al. 2008).
2.2 ELEKTRA
The ELEKTRA project (ELEKTRA Project n.d.) aimed to revolutionise technology-enhanced learning through merging expertise in cognitive science, pedagogical theory, computer science and neuroscience with the innovations of computer gaming, design and development. As a demonstrator of the methodology created as part the ELEKTRA project, the ELEKTRA game is an engaging 3D educational adventure game targeting the physics of optics as studied by 13-15 year old students under the French state curriculum. The rich visual style of the game; including the complex 3D graphics, animated characters, and speech actors firmly establish it as more hard-core game.
Through the use of experiment based gameplay and a pedagogical agent in the form of Galileo Galilei, students were engaged in a motivating storyline. Throughout the ELEKTRA game the ALIGN system continuously modelled the learner to provide motivational, guiding support and meta-cognitive feedback. Employing such user modelling techniques as Competence based Knowledge Space
Theory (CbKST) (Conlan et al. 2009) the ALIGN system effectively personalised the learning experience to suit each individual learner.
3. The Language Trap Game
In order to demonstrate the generality of the ALIGN architecture across multiple games genres and varying learning content the Language Trap game was developed as a second case study targeting a different game genre and different learning content. The game was developed as an online casual educational game for Irish secondary school students of German who are preparing for their Leaving Certificate exams (taken in the final year of secondary school). The game focuses on the prescribed role-play scenarios that form part of the oral examinations. Using an interactive dialogue system featuring synthesised speech the students play through the role-playing adventure game and encounter conversations, vocabulary and grammar that are relevant to their examinations.
3.1 Learning Content
The learning content within the Language Trap game covers two of the prescribed role-plays that students will encounter in their final exams. These role-plays involve an examiner and a student engaging in a verbal conversation around particular scenarios. This aspect of the curriculum was selected as it is an area that is difficult to learn from a text book or classroom lesson (due to its interactive nature), and is difficult to rehearse on a one-to-one basis due to time constraints and class sizes. Additionally the learning content covered lends itself to game based learning as its role-play nature allows it to be integrated into a storyline.
As the prescribed role-plays are only given as guidelines an experienced secondary school teacher aided in elaborating and creating the variety of dialogues used in the game.
The core-mechanic of the Language Trap game is the conversations that take place between the learner and various NPCs in the game. Each conversation involves the learner choosing from a list of possible dialogues that range in difficulty and appropriateness. The more difficult dialogues are identifiable implicitly by their more complex grammar and vocabulary and explicitly by their associated star rating (see figure 4), the higher the star rating the greater difficulty. The appropriateness of the dialogues presented depends on the ongoing conversation. Appropriate dialogues are those which naturally continue the conversation or give a reasonable answer to an asked question.
As a reward mechanism within the game the learner collects the stars for each appropriate dialogue they choose. These stars can subsequently be exchanged for translations of difficult Although the learner looses a star when requesting a translation, the practice is encouraged as they will lose a greater number of stars for choosing inappropriate sentences. This game mechanism aims to encourage prudence among learners to translate words as opposed to taking risks with inappropriate sentences they don‟t fully understand. Within the game any word that is underlined can be translated by clicking on it (see figure 4).
3.2 Game design
The choice of the isometric game style used for the „Language Trap‟ game allowed for the development of the game without the large overheads typically associated with 3D games. Further to this it enabled a simplified control system whereby the player needs only to use a mouse to navigate and interact with the game world, a feature common among casual games.
The game storyline was developed around influences from 1) the learning content, 2) best practices in educational games, 3) the game style, and 4) the feedback received from students during a participatory design session (Schuler & Namioka 1993). The respective requirements derived for the storyline were:
The natural integration of the role-play scenarios in a meaningful manner
The use of pedagogical agents and feedback mechanisms that are natural within the game world.
Motivating factors to encourage exploration and interaction with game characters.
A mature storyline incorporating mystery, exploration, and tension.
As a result of these requirements the final storyline places the learner in the role of a newly qualified secret agent on their first undercover mission. The learner is accompanied by a companion agent (aka „Agent White Jacket‟) who will help and guide the learner. A mysterious character sets the learner the task of identifying and gaining the trust of a double agent, whilst being careful not to blow their secret cover. The first scene takes place in a hotel where several German speaking guests, including the double agent, are staying.
3.3 Personalisation
The personalisation of the learning experience within the Language Trap game is provided by the ALIGN system (Peirce et al. 2008). Within the Language Trap game the ALIGN system provides four forms of personalisation, in particular the system provides adaptive dialogue difficulty, performance feedback, motivational support, and meta-cognitive hints.
3.3.1 Adaptive Dialogue Difficulty
Within the Language Trap game the difficulty of the game is adjusted by varying the difficulty of the multiple choice dialogues presented. For each conversation within the game a variety of dialogues were developed of varying difficulty. At run time the ALIGN system chooses three of the possible dialogues (up to eight can be available) to present to the learner. The chosen difficulty is based on the learner‟s previous performance including the appropriateness of the dialogues, the difficulty of dialogues chosen, and the context of the chosen dialogue i.e. were easier or harder options available. Importantly all of the dialogues chosen progress the story at the same pace and to the same ultimate ending.
The above choices (figure 5) were presented in response to the question: "Wird Irisch noch gesprochen?" ("Is Irish still spoken?"). Translations for the left hand side: "Yes! And the street signs are in Irish"; "Yes"; "No". Translations for the right hand side: "Yes! And one can see Irish street signs"; "Yes! And the street signs are in Irish"; "Yes! Everyone speaks Irish".
3.3.2 Adaptive Performance Feedback
An important aspect of any learning experience is the provision for timely and relevant feedback. In the Language Trap game personalised feedback is delivered through the companion NPC. In this way the companion NPC acts both as a character in the game‟s story, and also as a pedagogical agent. Following conversations in German the companion character provides feedback to the learner on their performance to date. This feedback is based around the history of the learner‟s performance and is also relevant to the most recent conversation completed. Importantly this feedback is appropriate as part of the game storyline i.e. your companion is guiding you, but is also an important pedagogical mechanism to inform the learner of their progress and how they can improve.
Figure 6. An example of two personalised performance feedbacks from the companion character (left, centre), and an example of positive performance feedback delivered through visual emotions (right).
3.3.3 Adaptive Motivational Support
In the game, adaptive motivational support is delivered when particular performance patterns are observed such as when the learner experiences a sequence of several inappropriate dialogues. This feedback is delivered in the same manner as for performance feedback through conversations with the companion character.
3.3.4 Adaptive Meta-cognitive Feedback
One of the many benefits of using video games as a learning medium is that all actions and events within the game world can be observed. The analysis of this information and the subsequent user modelling can be used in adapting the learning experience in many educationally beneficial ways. Whereas adaptive performance feedback can help a learner understand their own abilities, adaptive meta-cognitive feedback can help a learner understand how they approach challenges and what they can do to better their approach. In the context of the Language Trap game the user model maintained by the ALIGN system contains a record of every dialogue chosen and the context in which it was chosen. Through analysing these records over time it is possible to identify trends in the approaches a learner takes to answering dialogues. The following figure illustrates a number of hints delivered as thoughts from the learner‟s character that aim to encourage meta-cognitive reflection.
3.4 Technical details
The Language Trap game is implemented as a client-server architecture using a thin game client written in Adobe Flash and Flex, and a Java Servlet based game logic engine. In order to make the game light-weight and quick to load, all of the game logic is performed on the server side using a JBoss Drools rule engine running in a Java Servlet. The speech synthesis used in the game is generated by the open source MARY Text-to-speech system (Schröder & Trouvain 2003) using several MBROLA voices (Dutoit et al. 1996).
4. Evaluation of the Game
The evaluation of the Language Trap game took place between October 2009 and May 2010, and took the form of user trials based in five schools in and around Dublin city. In total 83 students played through the game and answered both pre and post questionnaires. Both questionnaires included a German proficiency test, marked out of 20 points, based around the content covered by the game. The participating students had an average age of 16.3 years (sd: 0.83 years), and a gender breakdown of 38 males (46%), 42 females (52%), and 2 participants (2%) who provided no answer. During each user trial the students were randomly allocated to a basic adaptation or an advanced adaptation group. The basic adaptation group played through a game with naïve and simple adaptation. The advanced adaptation group played through a game that featured a more sophisticated inference and assessment method for providing the adaptations. Both versions of the game featured the same story line and learning content. The students were not informed of the different adaptive groups until after the trials concluded. Unless otherwise indicated the following results relate to a students‟ opinions of statements on a seven step Likert scale ranging from 1 being not true at all, to 7 being entirely true.
4.1 Results
Overall there was a very positive response to the Language Trap game. The students found the game to be useful for learning German (mean: 5.5, sd:1.13) and was recommendable to a friend learning German (mean: 5.46, sd: 1.55). Additionally the students found the synthesised speech to be useful for learning German (5.42, sd: 1.58), and they didn‟t recognise how time went by whilst playing (5.14, sd:1.95). The design of the game as a casual game was reflected in how the students perceived the game to be easy to control (5.95, sd:1.4) and to have intuitive controls (5.05, sd:1.59).
In terms of the educational impact of the game it was found that the mean score from the pre-test 7.22 (sd. 3.99) increased to 8.87 (sd. 4.84) in the post-test. Using a paired t-test this effect was shown to be significant with t(82)=-4.326, p < 0.0001. Although the advanced adaptation group showed greater average improvement (1.91) over the basic group (1.35), this result was not statistically significant. It was shown that females performed better on the post test 10.26 (sd. 5.64) than the males 7.37 (sd. 3.34) and this result was significant t(70)=-2.84, p = 0.006. This was of interest considering that females played significantly less computer games than the males t(74)=4.158, p < 0.0001, with the females on average playing less than once a week and males playing at least once a week.
The results relating to the effectiveness of the adaptation showed that learners in the advanced adaptation group felt the dialogues presented were of a more suitable difficulty 5.29 (sd. 1.69) compared with the basic adaptation group 4.49 (sd. 1.66). This result was shown to be statistically significant t(81) = 2.17, p = 0.03. The advanced adaptation also was observed to have a positive impact on students not recognizing the time go by but this effect proved not to be significant.
In terms of the invasiveness of the adaptations provided there was no significant difference observed between the adaptation groups in terms of intelligent companion interaction, advanced: 4.79 (sd. 1.51), basic: 4.73 (sd. 1.47); the appropriateness of the companion‟s advice, advanced: 4.26 (sd.1.84), basic: 4.29 (sd. 1.72); and the consistency of the characters in general, advanced: 5.29 (sd.
1.44), basic: 5.24 (sd. 1.39). This is a positive outcome as it shows that improved adaptation does not negatively impact the gaming experience.
The impact of the advanced adaptation on the students confidence with the learning content was assessed using confidence scales on both the pre and post test. The advanced adaptation group showed improved confidence on five of the seven question groups. However, as these questions were only included for the last 33 students the results proved not to be statistically significant.
5. Conclusions/Discussion
In this paper we have presented the Language Trap video game as a casual online language learning game. The game was shown to be both enjoyable for the students to play through as well as having a significant educational benefit. As a second case study for the ALIGN system we have demonstrated how the flexible ALIGN architecture can effectively provide adaptation across a variety of game genres and learning content. Further to this, we have shown how the ALIGN system can allow for incremental improvements in the adaptation provided whilst mitigating any negative impact on the gaming experience. Importantly these improvements were achieved without the need to modify the game and without negatively impacting the gaming experience.
The ALIGN system and the Language Trap game present a unique experimental platform on which adaptation strategies can be evaluated. It his hoped this approach will progress research in adaptive educational games whilst minimizing the need for costly game development.
In consideration of the changing video game market towards casual games, the Language Trap game clearly demonstrates that the casual nature of the game does not impact it‟s affordances for presenting a personalised learning experience. In fact, the light weight nature of the game and its independence from the adaptation logic make it a viable approach for future research into adaptive educational games.
5.1 Acknowledgement
This research is supported by the Science Foundation Ireland (Grant 07/CE/I1142) as part of the Centre for Next Generation Localisation (www.cngl.ie) at Trinity College Dublin.
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Introduction
All available tennis history books tackle tennis history unevenly in two main respects. They usually give very little information on the pre-1919 years and do not give enough weight to professional tennis before 1968. I decided to overcome these limitations in my book by devoting one page for each year starting from 1877. Each page contains a short summary of the major events in that particular year, with scores of classic matches given in detail; and year-end rankings in tabulated form that show the performance of the top players at the major events.
As the greatest novelty of this work I have provided year-end rankings for the whole course of tennis history. These include each year the Top 8 players (with their nationality and age indicated) and (separated by a dividing line) additional winners of the listed major events. Although from 1973 and 1975 there are official computer rankings by the ATP and WTA, respectively, their main purpose is to have an order of admittance to tournaments and facilitate seeding. Opinions differ as to the credibility of such computer lists for other purposes. The calculation methods often changed during their history, and they did not take into account important tournaments (like the year-ending championships till 1990) and team competitions (like Davis Cup till 2009). Prior to the use of the computer, rankings were a matter of judgement made by tennis journalists. I feel that even after the introduction of computer lists, the opinion of leading journalists represent a better guide to the future historian of how the players stood in relation to each other.
The first unofficial world rankings (1913 for men, 1921 for ladies) were compiled by Arthur Wallis Myers from London's Daily Telegraph. I used as many sources as possible, including contemporary magazine classifications and official national rankings. Usually these rankings did not take into account the last three months of the year (even when the Davis Cup challenge round was played in December). Sometimes I inserted players who were not ranked because they played too few tournaments due to injury or pregnancy. In world war years I left out spots for players who could have been ranked but were not able to play enough matches because of the war. In several years it was not possible to select the best player who had clear dominance over the others, in such cases two or three players are tied for the first place. In combining the amateur and professional players before 1968 I took into account the rankings of Ray Bowers and Robert Geist as well. Until 1972 professionals (from 1968 only the ones under contract with an organization) are indicated by the subscript p.
Even after 2000, when tennis journalists have given up compiling rankings, I have modified the official computer rankings, giving more weight to performances in major events and team competitions, taking into account ATP, WTA and ITF awards as well.
Frequent abbreviations in the table headings: Wimbledon (W), Irish Championships (I), US Championships (U), Australian Championships (A), Masters (Ma), season-ending championships (Ch), WCT final (Wct), World Hard Court Championships (Hc). Professional events before the Open era get a p subscript. In Davis Cup (DC), Fed Cup (FC), and Wightman Cup before 1963 (WC) the match record of singles matches won and lost by the player in his country's most important match is indicated. Colours indicate the court surface on which the event is played: green for grass, red for (outdoor or indoor) clay, blue for outdoor hard surfaces, black for indoor surfaces other than clay.
Abbreviations inside the tables: W: winner (challenge round: WC: winner as challenger, WD: winner as defender, LC: loser as challenger, LD: loser as defender), F: finalist, S: semi-finalist, Q: quarter-finalist. R means a round-robin stage, L the loser in a professional tour, while G stands for a match in a group. Walkovers are indicated in the tables by parentheses, retirements by the subscript r .
When a Top8 player first wins an important national title, his or her name is typed in bold, and a short description of the style of the player is included. Doubles champions are mentioned when top players win the doubles or a doubles team wins at least three titles in the same important tournament.
1888
The British Lawn Tennis Association is founded in January and Wille Renshaw becomes the first president. Ernest Lewis defends his British Covered Court title. Hamilton reaches the challenge round of the Irish Championships by defeating first Lewis saving two match points, then Lawford, but Ernest Renshaw defends his title in five sets. Blanche Bingley Hillyard wins the ladies' title.
In Cheltenham Louisa Martin overcomes Bingley Hillyard. Hamilton captures the Northern England Championships in Liverpool, where Dod turns back Bingley Hillyard. The tournament, which alternates between Liverpool and Manchester, is allocated to hold the All England mixed doubles championship and Ernest Renshaw and Bingley Hillyard are the first winners.
At Wimbledon Willie Renshaw loses to Hamilton in the quarters on a wet court, ending his 14-match winning streak from 1881. Ernest Renshaw avenges this loss in the semis, then overcomes Lewis in an excellent match, and finally defending champion Lawford. The Renshaw brothers win their fourth doubles title. Lottie Dod defends her title against Blanche Bingley Hillyard.
Hamilton, the best Irish amateur beats George Kerr, the leading Irish professional 6-2 3-6 7-5 in an exhibition during the East of Ireland Championships in Howth. Dod and Langrishe win their third All England doubles title in Buxton, while in the singles Bingley Hillyard overcomes Langrishe. Dod once again has an undefeated season. Dick Sears had a neck muscle operation and announces his retirement just before the US Championships, where he was never beaten. Henry Slocum, a safe baseliner, becomes the new champion.
1928
Karel Kozeluh wins the French Pro Championships in Beaulieu. The Australian Tennis Federation invites a French team and the journey around the world by ship takes seven months. Jean Borotra collects the Australian title in Sydney, while Daphne Akhurst wins her third crown.
Lacoste wins the British Hard Court Championships in Bournemouth. The French Championships is played in the Roland Garros Stadium, newly built to defend the Davis Cup. Henri Cochet wins his second title against defending champion Lacoste, while Helen Wills beats Bennett.
Great Britain defeats the USA 4-3 in Wightman Cup at Wimbledon, although Wills wins both of her matches. Bill Tilden wins the London Championships in Queen's Club. At Wimbledon Lacoste defeats Tilden in the semis, and collects his second title against defending champion Cochet. de Alvarez overcomes Akhurst in the semis, but Wills defends her title 6-2 6-3 in a brilliant match.
Bill Tilden is suspended by the USLTA because of his writing newspaper articles about the Wimbledon Championships. So angry are the French over the loss of the star member of the cast for the Davis Cup challenge round - the first ever held on French soil - that the American ambassador intercedes for the sake of good relations between the countries, and Tilden is restored to the team. France retains the Davis Cup against the USA 4-1 at Roland Garros. In the opening match Tilden defeats Lacoste 1-6 6-4 6-4 2-6 6-3 in one of his greatest matches ever, but Cochet equalizes against Hennessey. Borotra and Cochet win the doubles against Hunter and Tilden, and Cochet clinches victory against a tired Tilden. Akhurst wins the German Championships in Hamburg. Wills defends her fifth US title and also wins the doubles with Hotchkiss Wightman. Tilden, barred by the USLTA, is absent from the US Championship just as defending champion Lacoste. Cochet wins the title against Hunter 4-6 6-4 3-6 7-5 6-3.
From August Vinnie Richards and the best European pro, Karel Kozeluh play a series of matches intended to determine the world's professional champion. Kozeluh wins the first match in Prague on clay. Then they sail for America to embark on an extended tour. The second US Pro Championships opens on the famous grass courts in Forest Hills and Richards beats Kozeluh on a wet court that hampers the baseline game of the Czech. When their series ends in December in New York, Kozeluh is ahead of Richards 15 matches to 5. Cochet wins the Pacific Southwest Championships in Los Angeles.
Pancho Gonzales wins the pro tour opener in Brisbane in a thrilling five-set contest against Lew Hoad 57 8-6 6-2 4-6 9-7. But Hoad wins the next match and builds up an early lead. One of their best matches is played in Melbourne where Hoad triumphs 4-6 9-7 11-9 18-16. Hoad also wins the Melbourne pro roundrobin finishing undefeated ahead of Sedgman and Gonzales. Ashley Cooper defends his Australian amateur title in Sydney beating Anderson. At the Australian Pro Championships in Sydney Frank Sedgman overcomes Gonzales and Trabert. Gonzales defeats Hoad in their Madison Square Garden opener. The Caribbean circuit becomes more and more popular among the amateurs. Beverly Baker Fleitz wins the Caribe Hilton International in San Juan over Gibson. Gonzales defends his US Pro title in Cleveland outlasting a leg-sore Hoad 3-6 4-6 14-12 6-1 6-4. Gonzales and Segura win their third doubles title. When the pro tour ends in June Gonzales is ahead of Hoad 51 matches to 36, despite trailing by 9 matches in the earlier stages, but then Hoad became troubled more and more with his back problems.
Merv Rose wins the French title. Zsuzsa Kormoczy (Körmöczy) beats defending champion Shirley Bloomer. She is a baseliner with a deep, heavily sliced backhand, using clever little drop shots.
Great Britain defeats the USA 4-3 in Wightman Cup at Wimbledon for the first time since 1930. The professional round-robin Tournament of Champions in Forest Hills is limited to best-of-three matches this year and Gonzales finishes ahead of Rosewall. At Wimbledon Cooper overcomes Fraser and Althea Gibson defends her title against Mortimer.
Pancho Segura wins the Masters round-robin in Los Angeles without conceding a match. Trabert reaches the final of the Slazenger Pro in Scarborough over Hoad, but loses to Ken Rosewall 6-0 6-2 6-8 2-6 7-5. Ashley Cooper, a volleyer, wins the US title beating defending champion Anderson 6-2 3-6 4-6 10-8 86, although Anderson serves for the match at 4-5 in the fifth. Althea Gibson defends her title over Hard, then announces she is retiring for one year to pursue a singing career.
In the semis of the French Pro Championships at Roland Garros Rosewall beats Sedgman and Hoad overcomes Gonzales, then Rosewall wins the tournament over Hoad, while Hoad and Trabert win the doubles. Baker Fleitz collects the Pacific Southwest title in Los Angeles over Hard. In the semis of the London Indoor Pro at Wembley Sedgman defeats Gonzales while Trabert overcomes Rosewall 7-5 1-6 6-1 1-6 7-5. Sedgman wins the final against an exhausted Trabert, while Gonzales and Rosewall win the doubles. The USA surprisingly takes away the Davis Cup beating Australia 3-2 in Brisbane. The US team is lead by the Peruvian Alex Olmedo who is a student in the USA and is permissible since Peru does not have a DC team. In the opener he beats Anderson, wins the doubles with Richardson and defeats Cooper to decide the tie. Cooper and Anderson turn pro, following the example of Rose.
The WCT tour is merged into the Grand Prix circuit. Connors wins the US Pro Indoors in Philadelphia and the US Indoors in Memphis. The Virginia Slims circuit is played from January to March without Evert who is on vacation. Martina Navratilova defeats Goolagong Cawley at the Championships indoors in Oakland. Evert returns and wins the Family Circle Cup in Hilton Head. Vitas Gerulaitis beats Dibbs at the WCT Final in Dallas.
Borg wins the Italian Open. Roland Garros celebrates its golden anniversary honouring 32 past champions. Bjorn Borg crushes defending champion Vilas for his third title. The leading women are still absent playing World Team Tennis.
In Eastbourne on grass Navratilova overcomes Chris Evert 6-4 4-6 9-7 saving a match point. Borg wins his third Wimbledon title in a row outclassing Connors. Bob Hewitt and Frew McMillan from South Africa collect their third doubles title. Martina Navratilova defeats Goolagong Cawley in the semis and Evert 2-6 6-4 7-5 after trailing 2-4 in the third. She is a tornado-like volleyer with powerful left-handed serves.
Connors collects the US Clay title in Indianapolis. The US Open is played in a new National Tennis Center in Flushing Meadow Park, Queens, New York on acrylic asphalt (DecoTurf) surface, amid the cacophony of planes roaring overhead and spectators moving about during play. Connors annihilates Borg to win his third title. Lutz and Smith collect their third doubles crown. 16-year-old Pam Shriver surprisingly overcomes Navratilova in the semis but Evert defends her fourth title in a row. Moffitt King and Navratilova win the doubles.
Borg wins the Seiko Super Tennis indoor tournament in Tokyo. Chris Evert beats Navratilova at the Colgate Series Championship in Palm Springs, while Moffitt King and Navratilova win the doubles. In Federation Cup the USA with Evert defeats Australia 2-1 in Melbourne on grass. The USA with rising star John McEnroe wins the Davis Cup beating Great Britain in Rancho Mirage on hard courts. Guillermo Vilas collects the Australian title from a weak field. The women's field is very weak, poor prize money means that even the best Australian women are playing elsewhere. The Colgate Grand Prix Masters in January in New York loses much of its luster because Borg and Vilas decline their participation and Connors has to retire during the group stage. John McEnroe beats Ashe 6-7(5) 6-3 7-5 after saving 2 match points at 4-5 in the third set. Peter Fleming and McEnroe win the doubles. Evert and Borg are the first ITF World Champions, chosen by two separate panels of former players.
The Rebound Ace surface at the Australian Open is replaced by a cushioned acrylic one (Plexicushion, very similar to DecoTurf used at the US Open). Novak Djokovic, an all-rounder with steady power and placement, overcomes defending champion Federer and Tsonga. Maria Sharapova defeats Ivanovic. Sharapova continues to play in great form as she wins in Doha. Djokovic and Ivanovic triumph at the Pacific Life Open in Indian Wells. Davydenko overcomes Nadal to win the Sony Ericsson Open in Miami, where Serena Williams defeats Jankovic. She also wins the Family Circle Cup in Charleston.
Nadal defeats Federer in Monte Carlo. Djokovic wins the Italian Open, while Safina collects the German title. Nadal once again defeats Federer at the German Open in Hamburg, while Jankovic wins the Italian title. Justine Henin announces her immediate retirement from tennis, although she is still ranked No.1 at that time. Nadal outclasses Federer to defend his fourth French title in a row. Ana Ivanovic, with light-footed mobility and effortless-seeming power, overcomes Jankovic and Safina.
Rafael Nadal breaks Federer's 40 match winning streak at Wimbledon after 4 hours and 48 minutes in the longest final in the tournament's history. Both of them display intelligent power tennis, spectacular defenses and breathtaking use of the court's angles. In the tie-break of the fourth set Federer survives two match points before losing the match 6-4 6-4 6-7(5) 6-7(8) 9-7. Venus Williams defends her fifth title against her sister Serena, and together they win the doubles.
Nadal wins the Canadian Open in Toronto, while next week Safina collects the women's title in Montreal. Andy Murray defeats Djokovic in Cincinnati. Nadal wins the Olympic gold medal in Beijing on hard courts against Fernando Gonzalez, while Elena Dementieva overcomes Safina 3-6 7-5 6-3. At the US Open Federer defeats Djokovic in the semis, and Murray beats Nadal. Federer defends his fifth US title in a row against the Scot. Serena Williams overcomes Jankovic for her third title.
Russia with Zvonareva wins the Fed Cup defeating Spain on clay in Madrid. Murray wins the Madrid indoors over Simon, while two weeks later Tsonga triumphs in Paris. Venus Williams defeats Jankovic and Zvonareva at the Sony Ericsson Championships in Doha on hard courts. Novak Djokovic overcomes Davydenko at the Masters Cup in Shanghai. Spain wins the Davis Cup against Argentina indoors in Mar del Plata.
Player descriptions
1877 Spencer Gore
1946 Margaret Osborne, Jack Kramer
1947 Nancye Wynne Bolton, Pat Canning Todd, Louise Brough
1949 Doris Hart, Ted Schroeder
2006 Amelie Mauresmo
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JOIN THE CAMPAIGN TO CHANGE AMERICA
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Restoring Economic Fairness - Remarks as Prepared for Delivery - Des Moines, Iowa
Last week, I traveled nearly 2,000 miles to shine a light on some of the great injustices inflicted every day on millions of our fellow citizens. I met health care workers without health care; entire neighborhoods torn apart by predatory lending; and a man who went 50 years of his life without being able to speak because he couldn't afford a $3,000 surgery. This wasn't during the Great Depression. This wasn't in a foreign country. It was here. Now. In America.
I carry these stories and thousands of others just like them everywhere I go. They are a constant reminder of what I'm fighting for and the challenges before us. They're part of a fundamental unfairness that is at the heart of our economy and our society.
This fundamental unfairness is also at the heart of the Two Americas - one for those on top, the big corporations and a few very fortunate families, and one for everyone else.
We have One America that lives by the paycheck calendar; another that never has to look at the calendar before writing a check.
One America that's afraid it won't be able to leave its children a better life; another whose children are already set for life.
One America - middle-class America - long forgotten by Washington; and another America - narrow-interest America - whose every wish is Washington's command.
If you don't think there are Two Americas, let me share with you three facts.
First, the typical CEO makes more by the end of lunch than an average wage worker makes all year - in fact, the income gap is wider than at any time since before the Depression.
Second, the top 300,000 income earners in America now make more than the bottom 150 million combined.
And third, in the past 10 years, the number of lobbyists in Washington has tripled to 36,000. That means there are sixty registered lobbyists for each member of Congress and 20 times more lobbyists than people in my hometown of Robbins, North Carolina.
That's all you need to know to know that Washington is the problem, not the solution. Something's wrong when we have 37 million Americans living in poverty and this kind of income disparity. When 45 million Americans can't get health care, but corporations can get whatever they want from Congress. That may be George Bush's America, but that doesn't mean it's right.
The crowd in charge now hasn't done anything to fix this. The truth is, Washington under George Bush and the Republicans has gone out of their way to make it worse, deliberately circling the wagons around success to ensure that those who have it get even more, instead of creating opportunity to give everyone an equal chance. But that doesn't mean it started when they came into office. Men in their 30s today earn less in real dollars than their fathers did 30 years ago. For an entire generation, regular workers haven't seen a raise. With this reality staring them in the face, it's not surprising that less than a third of Americans now believe the next generation will be better off.
It's time for us to put our economy back in line with our values. It's time to end the president's war on work. And it's time to restore fairness to a tax code that has been driven badly out of whack by the wrongheaded rules of the Washington establishment more wealth for the wealthy and more power for the powerful. In America, when the middle-class makes money from hard work they shouldn't pay higher taxes than when the rich make money from money.
It's time for us to fight back for the American Dream that says we have opportunity for all and special privileges for none. That success is based on how hard you work, not how
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***
much influence you have. That a child's future does not depend on his or her parents' wealth.
***
None of this happened by accident. Washington is broken. The system is rigged. Cronyism and corporate interests prevail over fairness and the best interests of the American people. Washington puts Wall Street before Main Street. Pharmaceutical companies before patients. Agricultural conglomerates before family farmers. If you want to think about all this in a very simple way, it's that Washington values wealth over work. And it's no surprise - the people with wealth and corporate power are the same people who keep politicians in power. They scratch Washington's back and Washington scratches theirs.
But it doesn't have to be this way. I still believe passionately in the American Dream because I've lived it myself. I came from a family with very little - my father had to borrow $50 to bring me home from the hospital. Now I want for no material thing. I know that we can fix the mess we are in. I know that we can replace Two Americas with One America. We can end these divisions by recommitting ourselves to a government of, by and for the people, but it's not going to be easy.
There are powerful forces that will resist us. These are the same powerful forces I have fought against all my adult life. But I have defeated them before and we will defeat them together because no matter how powerful special interest America thinks it is, there is no one more powerful than the American people and together we can build One America and restore the American Dream we all believe in.
But let me tell you one thing - it's not going to be easy and it's going to take all of us together. Because the people with power aren't going to give it up without a fight. And we can't sit down with them and make a deal. We can't triangulate our way to big change; we can't compromise our way to big change - we need to lead the way to big change. And that starts with me being specific, clear and honest about what I'm going to do.
Fixing the economy is a critical part of putting our country back on track. We won't be able to do this by thinking small or taking baby steps. We're going to have to take giant steps. I want to talk to you about my plans to build an economy that rewards all work and creates opportunities for every American.
To build and rebuild this economy we need to:
Reform our tax system to reward work instead of only wealth.
Negotiate and enforce smarter trade agreements that benefit workers and consumers.
Demand corporate responsibility and ensure that corporations treat workers fairly.
Today, I'm going to focus on our tax code, which is the way we represent our values as a nation in our economy. Our tax code has shifted most of the burden onto the backs of working Americans. There is simply no end to the special tax breaks available to big corporations and wealthy individuals who can afford lawyers and lobbyists.
This is all wrong. It undermines our core values of work and fairness. And, as we've learned in the last nearly seven years, it slows down our economy. The great engine of growth in America isn't the special interests or the money managers: it is the teachers and factory workers and engineers who quietly contribute every day.
I will rewrite our tax code to make sure it is fair and that hard-working families, like those here in Iowa, can succeed—and so that America can succeed.
This means that poor and middle class families who work hard, save, and do right by their families will pay less. It also means that those at the very top, who have benefited from special break after special break during the Bush Administration, will again pay their fair share.
First today, I'm going to talk about three new tax cuts that will honor values that make our country great: saving, work, and family.
Starting off, we need to encourage families to build assets, so that they each have a nest egg to buy a home, send their kids to college, and retire with dignity. Yet because our tax code gives the biggest savings breaks to the people at the top, most families today don't have the necessary incentives to save.
I'm going to turn that around. I will help millions of American families build a better life by providing each of them a dollar-for-dollar match on up to $500 a year of their savings. We'll call them Get Ahead Accounts, and they'll give millions of families the chance to do just that.
In my case, that chance to go to college meant everything. No young person should be denied that chance because of lack of money, and piling more and more loans onto students is not the answer. That's why I've proposed a national "College for Everyone"
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initiative based on the program we started in a rural county in North Carolina, which will help pay for the first year of college for any student who agrees to work part-time and stay out of trouble. In North Carolina, students who never thought they would have the chance to go to college are now getting ready to start this fall. To help families save for college, I'll also let families deposit their child tax credits into college savings accounts.
We are also going to do more to honor work and working families in our tax code. I'll help low-income workers get ahead by creating Work Bonds that match their savings and by letting everyone open a modest savings account tax-free. We'll improve and expand our most important tax breaks for working families - the Earned Income Credit - by cutting the marriage penalty that still hits low-income families and by stopping single workers from being taxed deeper into poverty. Finally, we will expand the child care tax credit so that it covers half of the average child care costs, and expand it to make it much more valuable for millions of working families.
Together, these Get Ahead Accounts, Work Bonds, expanded Earned Income Tax Credit, and expanded child care credit will put America's working poor and middle class back where they belong -- at the heart of our priorities.
While these four significant improvements in the fundamental fairness of our individual tax system will clearly come at a cost to the Treasury, I will pay for these benefits for the lower earning and middle class taxpayers by closing the loopholes and abuses which are now benefiting only the wealthiest in our society.
The place to start is unearned income: capital gains and dividends. Study after study has shown that low capital gains rates applied to the wealth of the wealthiest don't add anything to our economy. They just add to our deficits and take away resources we very much need elsewhere.
As president, I will repeal the Bush tax cuts for families earning more than $200,000 a year. I will also raise the top capital gains rate to 28 percent, while protecting the savings and investments of regular families. A 28 percent capital gains tax rate will help make sure that the wealthiest of Americans pay their fair share of taxes.
If we truly believe in a tax code that values work instead of wealth, then we cannot completely eliminate the estate tax. As president, I will eliminate estate taxes for the middle class, for small business owners, and for family farmers, but I will keep these taxes on the few hundred thousand extremely wealthy families with very large estates above $4 million in value.
If we want a truly fair tax system, then we also have to end the injustices in our system that allow many wealthy people and corporations to avoid taxes altogether. As president, I will declare war on offshore tax havens.
Finally, we need to end the special breaks for insiders. The wealthy shouldn't be given hand outs while working people struggle to get a leg up. We need to close loopholes like the one that lets hedge fund and private equity managers treat most of their income as capital gains.
These several actions, when taken together, will better respect the workers of America, restore fundamental tax fairness, and bring opportunity and advantage to everyone across America, including here in Iowa. The higher capital gains rate on the highest income brackets will pay for the new tax benefits I've proposed today. All of the steps I have proposed will raise well over $50 billion a year to be reinvested in health care, education, and other critical priorities. Investing in Americans and in America unleashed the potential of generations and made this country great, but we lost our way when we sacrificed our nation to the private wealth accumulation of a few.
It's time to stop promoting the wealth of the wealthy and to start making sure that every American who works hard has the chance to move up the economic ladder. With these steps, our tax code will be fairer and our economy stronger.
***
Today, we've talked about how we need to change out tax code, and in the coming days, I'll be talking about trade and corporate responsibility. Let me just say a word about each today.
Trade is something I don't have to read about in a book or listen to economists spin theories about. I've seen the effects of bad trade deals up close. I saw what happened when the mill that my dad worked in all his life, and that I worked in myself when I was young, closed and the jobs moved away.
When this happened, it was not just devastating to our community economically. Those weren't just jobs that moved away. It was devastating to the pride and dignity of the people who worked hard every day trying to make a better life for their kids. Unfortunately, it's a story that is still happening all over America. The labor of the American people has made our country great and we need to honor that labor in our trade
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policies. I will soon be outlining details about how we can do that.
Jobs aren't the only things we've lost in this generation. A generation ago, corporate America generally viewed their responsibilities as being equally split among their shareholders, employees, communities and the nation. Companies that had a strong sense of obligation to the country gave American workers the tools to out produce the rest of the world. Companies prospered and so did our workers and the economy.
Soon, I'll also be talking about specific things we can do to get corporations back in line with our values.
*** How we structure our tax code and how we treat our workers says everything about the kind of society we are.
Are we a country where the few decide the fate of the many?
Are we a country where CEOs and executives have a lower tax rate than their workers and most of the nation's taxpayers?
Are we a country that only values greed, profits and cronyism?
This is not our America. We are better than this. The United State of America is better than this.
Washington thinks the American people don't care about the Two Americas.
Is this true? Do we care?
The American people care. I know they care. As I've traveled the country, I've seen that they care.
If we want to live in a moral and just and fair America - an America where everyone is equal, an America where everyone pays their fair share, an America that values hard work
- if we want to live in this America, then I need you.
I have decided what I'm going to do with the rest of my life. I'm going to fight every day for the millions of Americans whose voices are ignored by Washington. My question to you, and the question I would ask you to ask yourselves, is what are you going to do?
How much are you willing to do?
How much do you love America?
Because if we want to build One America; if we want to put our economy back in line with our values; if we want to make Americans believe in the Dream again, then we need you. We need you to speak out. We need you to take action.
The great movements in this country didn't start in the Oval Office, they started with the American people. I believe we can build One America, and I know that together we will.
Thank you. God bless you. God bless America.
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Boston College Law Review
Volume 56 Issue 6 Electronic Supplement
Article 12
5-13-2015
Unknowable Remedies: Albino v. Baca, The PLRA Exhaustion Requirement, and the Problem of Notice
Ethan Rubin Boston College Law School, email@example.com
Follow this and additional works at: http://lawdigitalcommons.bc.edu/bclr
Part of the Administrative Law Commons, Civil Procedure Commons, and the Law Enforcement
and Corrections Commons
Recommended Citation
Ethan Rubin, Unknowable Remedies: Albino v. Baca, The PLRA Exhaustion Requirement, and the Problem of Notice, 56 B.C.L. Rev. E. Supp. 151 (2015), http://lawdigitalcommons.bc.edu/bclr/vol56/iss6/12
This Comments is brought to you for free and open access by the Law Journals at Digital Commons @ Boston College Law School. It has been accepted for inclusion in Boston College Law Review by an authorized editor of Digital Commons @ Boston College Law School. For more information, please contact firstname.lastname@example.org.
UNKNOWABLE REMEDIES: ALBINO v. BACA, THE PLRA EXHAUSTION REQUIREMENT, AND THE PROBLEM OF NOTICE
Abstract: On April 3, 2014, in Albino v. Baca, the U.S. Court of Appeals for the Ninth Circuit held that when a prisoner plaintiff has not been informed of a prison administrative remedy, that remedy is effectively unavailable to the prisoner for the purposes of the exhaustion requirement of the Prison Litigation Reform Act (PLRA). This decision conflicts with what a majority of other circuits have established and widens the gap between those circuits on this issue. This Comment argues for the U.S. Supreme Court to resolve this circuit split in a future case and hold that to fail to give a prisoner notice of an administrative remedy is to make that remedy effectively unavailable.
INTRODUCTION
Between 1972 and 1996, the number of lawsuits filed pursuant to 42 U.S.C. § 1983 in federal district courts increased by 1,153%. 1 In response to this significant increase in prisoner litigation in the federal court, Congress passed the Prison Litigation Reform Act of 1995 ("PLRA"). 2 The PLRA mandates that "inmates exhaust all available administrative remedies before filing any suit challenging prison conditions, including, but not limited to, suits under § 1983." 3 In evaluating the availability of administrative remedies, many courts do not consider whether a plaintiff was given notice of the administrative remedies. 4 This reasoning undermines the policies behind the
1 Barbara Belbot, Report on the Prison Litigation Reform Act: What Have the Courts Decided So Far?, 84 PRISON J. 290, 306 (2004); see 42 U.S.C. § 1983 (2012) (codifying the right to bring a civil action based on the deprivation of any rights, privileges, or immunities secured by the Constitution and laws).
3 Albino v. Baca, 747 F.3d 1162, 1171 (9th Cir.) (en banc), cert. denied sub nom., Scott v. Albino, 135 S. Ct. 403 (2014); see 42 U.S.C. § 1997e(a) ("No action shall be brought with respect to prison conditions under section 1983 of this title, or any other Federal law, by a prisoner confined in any jail, prison, or other correctional facility until such administrative remedies as are available are exhausted.").
2 See Pub. L. No. 104-134, 110 Stat. 1321, 1321-71 (codified as amended at 42 U.S.C. § 1997e(a)); Woodford v. Ngo, 548 U.S. 81, 117 (2006) ("The competing values that Congress sought to effectuate by enacting the PLRA were reducing the number of frivolous filings, on one hand, while preserving prisoners' capacity to file meritorious claims, on the other.").
4 Tope v. Fabian, No. CIV 09-0734 DWF/RLE, 2010 WL 3307351, at *8 (D. Minn. July 29, 2010); see Gonzales-Liranza v. Naranjo, 76 F. App'x 270, 272 (10th Cir. 2003) (noting the irrelevance of notice to the issue of whether or not a prisoner exhausted administrative remedies); Yousef v. Reno, 254 F.3d 1214, 1221 (10th Cir. 2001) (holding that an assistant attorney general need not inform a prisoner plaintiff of the need to follow administrative procedures).
PLRA—judicial efficiency and administrative agency—and fails to prevent unfair treatment of inmates. 5
This Comment argues that the U.S. Supreme Court should grant certiorari in a future case dealing with this issue, and adopt the Ninth Circuit's reasoning that an administrative remedy is effectively unavailable to a prisoner when the prisoner has not been notified of that remedy 12 Part I examines the PLRA, the scope of its exhaustion requirement, and the application of both to Albino. 13 Part II examines the role of notice in the courts' determination of whether a plaintiff has exhausted all available administrative remedies. 14 Finally, Part III argues for the U.S. Supreme Court to grant certiorari in the future for a case dealing with this issue, and hold that when a prisoner does not receive notice of an administrative remedy, that remedy is effectively unavailable. 15 In doing so, the Court would further the policies underlying the PLRA—administrative agency and judicial efficiency—because a notice requirement would enable inmates to use administrative remedies instead of clogging courts with lawsuits that are likely to be dismissed on exhaustion
In 2014, in Albino v. Baca, Plaintiff Juan Roberto Albino was arrested for rape under California Penal Code Section 261(a)(1) and placed in jail on May 11, 2006. 6 Over the course of the next four months, Albino was raped and beaten by inmates three times in three different housing units. 7 Before each attack, Albino had requested protective custody. 8 Prison staff members declined the request and responded that it was Albino's attorney's job to protect him. 9 According to Albino, he was not informed of any formal grievance system. 10 Ultimately, the U.S. Court of Appeals for the Ninth Circuit, sitting en banc, held that Albino satisfied the exhaustion requirement, reasoning that when an inmate has not been informed of prison administrative remedies, those remedies are effectively unavailable to that inmate. 11
5 See Adam Slutsky, Totally Exhausted: Why a Strict Interpretation of 42 U.S.C. § 1997e(a) Unduly Burdens Courts and Prisoners, 73 FORDHAM L. REV. 2289, 2298–2302 (2005) (identifying the protection of administrative agency authority and the promotion of judicial efficiency as the twin purposes of administrative exhaustion); infra notes 71–82 and accompanying text (discussing why a notice requirement advances the policies underlying the PLRA).
7 See id. at 1166–67.
6 See 747 F.3d at 1166.
8 See id.
10 See id. at 1177.
9 See id. at 1167 ("Of the ap[p]rox. 10 or so times plaintiff begged defendant custodial deputies to be placed in segregation or for the[m] to help me, defendants[ ] responded that it was my attorney's job to protect me. As these were sworn peace officers, I was of the belief that I had to seek my trial attorney's help.").
11 See id.
13 See infra notes 18–47 and accompanying text.
12 See infra notes 61–82 and accompanying text.
14 See infra notes 47–60 and accompanying text.
15 See infra notes 61–82 and accompanying text.
grounds. 16 This notice requirement would prevent unfair treatment of prisoners, including the hide-and-seek behavior on the part of prison administrators. 17
I. THE PLRA AND THE SCOPE OF ITS EXHAUSTION REQUIREMENT
In response to a dramatic increase in prisoner lawsuits, Congress enacted the PLRA to reduce the quantity and improve the quality of prisoner suits. 18 The PLRA requires inmates to exhaust all available administrative remedies at a prison or jail before filing suit. 19 As the facts of Albino illustrate, whether or not an inmate satisfies the exhaustion requirement may hinge on whether the remedies were in fact available to the prisoner. 20 Section A discusses the PLRA, the exhaustion requirement, and the policies behind them. 21 Section B explores the role of availability in the exhaustion requirement. 22 Further, section B then identifies the facts of Albino that supported the holding that remedies were effectively unavailable to Albino. 23
A. The Prison Litigation Reform Act
Congress enacted the PLRA to reduce the quantity and improve the quality of prisoner suits. 24 Central to the PLRA is the exhaustion require-
16 See Albino, 747 F.3d at 1169; Russell v. Unknown Cook Cnty. Sheriff's Officers, No. C 3786, 2004 WL 2997503, at *4 (N.D. Ill. Dec. 27, 2004) (asserting that a notice requirement comports with the goal of fostering internal administrative resolutions in lieu of litigation in the courts); Burgess v. Garvin, No. 01 CIV 10994(GEL), 2004 WL 527053, at *3 (S.D.N.Y. Mar. 16, 2004) ("[I]f the matter can be resolved without recourse to the federal courts . . . then the purpose of judicial economy is fulfilled."); infra notes 71–75 and accompanying text (discussing how a notice requirement would reinforce the policies underlying the PLRA).
18 Porter v. Nussle, 534 U.S. 516, 524 (2002); see 42 U.S.C. § 1997e(a) (2012); infra note 28 and accompanying text (discussing the goal of the PLRA to reduce the quantity and improve the quality of prisoner suits).
17 See Goebert v. Lee County, 510 F.3d 1312, 1323 (11th Cir. 2007) ("[I]f we allowed jails and prisons to play hide-and-seek with administrative remedies, they could keep all remedies under wraps until after a lawsuit is filed and then uncover them and proclaim that the remedies were available all along."); see also Burgess, 2004 WL 527053, at *5 ("[Congress] cannot have meant that prisoners would be expected to exhaust remedies of which they were kept entirely ignorant."); infra notes 79–82 and accompanying text (discussing how a notice requirement would prevent unfair treatment of prisoners).
19 42 U.S.C. § 1997e(a) ("No action shall be brought with respect to prison conditions under section 1983 of this title, or any other Federal law, by a prisoner confined in any jail, prison, or other correctional facility until such administrative remedies as are available are exhausted.").
21 See infra notes 24–34 and accompanying text.
20 Albino, 747 F.3d at 1166.
22 See infra notes 35–40 and accompanying text.
24 See 42 U.S.C. § 1997e(a); Porter, 534 U.S. at 524; see Jones v. Bock, 549 U.S. 199, 203 (2007) ("In 2005, nearly 10 percent of all civil cases filed in federal courts nationwide were prisoner complaints challenging prison conditions or claiming civil rights violations. Most of these
23 See infra notes 41–47 and accompanying text.
ment. 25 The exhaustion requirement requires inmates to exhaust all administrative remedies regarding complaints about prison conditions before initiating a lawsuit. 26 This exhaustion requirement protects administrative agency authority by giving prison officials notice of a problem and allowing them to resolve disputes internally before being haled into court. 27 Further, the exhaustion requirement promotes efficient resolution of claims because claims may be heard more quickly and economically in internal prison proceedings rather than in litigation. 28 Moreover, the exhaustion requirement promotes the kind of judicial efficiency necessary for courts to hear meritorious claims in any reasonable timeframe. 29
Failure to exhaust administrative remedies under the PLRA is an affirmative defense. 30 The defendant must show that there was an available administrative remedy and that the prisoner did not exhaust that available remedy. 31 The burden then shifts to the plaintiff to provide evidence showing that the generally available administrative remedies were effectively unavailable. 32 The availability of an administrative remedy is determined objectively: would a similarly situated person of ordinary firmness have considered the remedy
cases have no merit, many are frivolous."); see also 141 CONG. REC. S14418 (daily ed. Sept. 27, 1995) (statement of Sen. Hatch) (noting that roughly 94.7 percent of prisoner lawsuits in 1994 were dismissed before pretrial); 141 CONG. REC. S14418 (daily ed. Sept. 27, 1995) (statement of Sen. Kyl) ("Federal prison lawsuits have risen from 2,000 in 1970 to 39,000 in 1994.").
26 See 42 U.S.C. § 1997e(a); Jones, 549 U.S. at 204.
25 See 42 U.S.C. § 1997e(a); Jones, 549 U.S. at 204.
27 See Jones, 549 U.S. at 204; McCarthy v. Madigan, 503 U.S. 140, 145 (1992) ("Exhaustion serves the twin purposes of protecting administrative agency authority and promoting judicial efficiency."), superseded by statute on other grounds as stated in Booth v. Churner, 532 U.S. 731, 740–41 (2001); Johnson v. Testman, 380 F.3d 691, 697 (2d Cir. 2004) (noting that the PLRA exhaustion requirement is designed to provide notice to corrections officials so that they may address complaints internally).
29 See 141 CONG. REC. S14418 (daily ed. Sept. 27, 1995) (statement of Sen. Hatch) ("The crushing burden of these frivolous suits makes it difficult for courts to consider meritorious claims.").
28 See Woodford, 548 U.S. at 89 (explaining how the exhaustion requirement promotes efficiency). But cf. Collin O'Connor Udell, Parading the Saurian Tail: Projection, Jung, and the Law, 42 ARIZ. L. REV. 731, 768 (2000) (asserting that "the PLRA provisions are plainly attempts by the collective to 'circumvent prior, and to constrain future, judicial decisions' affecting [the prisoner] population").
30 See 42 U.S.C. 1997e(a); Albino, 747 F.3d at 1166.
32 Albino, 747 F.3d at 1172.
31 Albino, 747 F.3d at 1172. See generally 42 U.S.C. 1997e(a) (codifying the exhaustion requirement).
available. 33 Where a generally available administrative remedy is effectively unavailable, the court will excuse a prisoner's failure to exhaust. 34
B. Effectively Unavailable: The Availability of Administrative Remedies and Their Role in Albino
Courts have held that a generally available administrative remedy can be effectively unavailable due to the action of prison officials. 35 For example, when a prison official prevents a prisoner from utilizing an administrative remedy, that remedy is effectively unavailable. 36 Moreover, a defendant may be estopped from raising a non-exhaustion defense if the prisoner was intimidated by prison staff or was misled about the availability of administrative remedies. 37
It is less clear what kinds of inaction on the part of prison officials render an otherwise available administrative remedy effectively unavailable. 38
33 See Hemphill v. New York, 380 F.3d 680, 688 (2nd Cir. 2004) (articulating the objective standard in the context of determining whether a prisoner exhausted available administrative remedies). A remedy is available when it is capable of use, at hand, or otherwise available as a practical matter. See Albino, 747 F.3d at 1171.
35 See, e.g., id. (asserting that an administrative remedy becomes effectively unavailable when a prison official prevents, thwarts, or hinders a prisoner's efforts to utilize the remedy); Lyon v. Vande Krol, 305 F.3d 806, 808 (8th Cir. 2002) (holding that a prisoner does not need to exhaust administrative remedies when prison officials have prevented the prisoner from exhausting such remedies); Miller v. Norris, 247 F.3d 736, 740 (8th Cir. 2001) (holding that a grievance procedure was unavailable to a prisoner when prison officials failed to respond to the prisoner's requests for grievance forms).
34 See Little v. Jones, 607 F.3d 1245, 1250 (10th Cir. 2010) (excusing a prisoner plaintiff's failure to exhaust because prison officials prevented the prisoner from utilizing a grievance procedure).
36 Pavey v. Conley, 663 F.3d 899, 906 (7th Cir. 2011) ("An administrative remedy is not 'available,' and therefore need not be exhausted, if prison officials erroneously inform an inmate that the remedy does not exist or inaccurately describe the steps he needs to take to pursue it."); Aquilar-Avellaveda v. Terrell, 478 F.3d 1223, 1225 (10th Cir. 2007) (finding that district courts must ensure that prisoners have not failed to exhaust administration remedies due to the action or inaction of prison officials.").
38 Compare Bey v. Johnson, 407 F.3d 801, 809 n.9 (6th Cir. 2005) (holding that prison staff do not need to affirmatively provide information on how to file a grievance), judgment vacated, 549 U.S. 1190 (2007), abrogated by Jones v. Bock, 549 U.S. 199 (2007), Yousef v. Reno, 254 F.3d 1214, 1221 (10th Cir. 2001) (holding that prison officials need not advise prisoners of the need to follow administrative procedures), and Hahn v. Armstrong, No. 1:08 CV 169 LMB, 2010
37 See Martin v. Sizemore, No. Civ.A 05-CV-105-KKC, 2005 WL 1491210, at *3–4 (E.D. Ky., June 22, 2005) (holding that prison administrator defendants are estopped from raising exhaustion defense when the complaint system in the prison was set up such that the inmates must confront the subject of the complaint in order to submit a grievance); Simpson v. Gallant, 223 F. Supp. 2d 286, 292 (D. Me. 2002) (holding that a prison staff member who tells plaintiff his issue is not grievable is estopped from claiming non-exhaustion). But see Mendez v. Herring, No. 051690 PHX/JAT, 2005 WL 3273555, at *2 (D. Ariz., Nov. 29, 2005) (finding that inmates are not excused from exhausting administrative remedies when they have been told their complaint is not grievable).
For example, the U.S. Court of Appeals for the Tenth Circuit has found that whether or not a plaintiff was ever informed of an administrative remedy is irrelevant to a determination of availability. 39 In contrast, the U.S. Court of Appeals for the Eleventh Circuit has held that when an administrative remedy is "unknown and unknowable" to a prisoner, it is effectively unavailable. 40
Albino proceeded as a pro se litigant in the U.S. District Court for the Central District of California against Los Angeles County Sheriff Lee Baca, several Doe defendants, and Los Angeles County, alleging violations of 42 U.S.C. § 1983, as well as several state laws, arising out of injuries Albino suffered while confined in Los Angeles County jail. 44 The district court granted Baca's motion for summary judgment because Albino had failed to exhaust his administrative remedies, as required by the PLRA. 45 Although a three-judge panel for the U.S. Court of Appeals for the Ninth Circuit affirmed, the Ninth Circuit, sitting en banc, subsequently held that Albino satisfied the exhaustion requirement, reasoning that when an inmate has not been informed of prison administrative remedies, those remedies are effectively
In Albino, administrative remedies were not available to Albino due to the inaction of prison officials. 41 For example, Albino claims he was never informed of a prison grievance system, that he was not given an inmate orientation, and that he did not encounter a manual describing complaint procedures. 42 Although Albino begged approximately ten times to be placed in protective custody, prison officials told Mr. Albino to consult his attorney and never notified, constructively or otherwise, Albino of the option to file a grievance. 43
WL 575748, at *4 (E.D. Mo., Feb. 11, 2010) (holding that a prison guard failing to assist a prisoner complete a grievance procedure is insufficient to avoid Summary Judgment), with Sadler v. Rowland, No. 3:01CV1786(CFD)(WIG) 2004 WL 2061518, at *7 (D. Conn., Sept. 13, 2004) (declining to dismiss a claim when a Connecticut prisoner who transferred to a Virginia prison sought to complain about Virginia prison conditions and was not told to file a grievance in both prisons), and Hall v. Sheahan, No. 2000 C. 1649, 2001 WL 111019, at *2 (N.D. Ill., Feb. 2, 2001) (noting that a grievance procedure that is not made known to inmates is effectively unavailable to those inmates).
40 See Goebert, 510 F.3d at 1322–23 (finding that a prison grievance procedure described in a manual provided only to staff was not "available").
39 Gonzales-Liranza, 76 F. App'x at 272 (holding that "whether or not a plaintiff was ever advised or informed of a prison's grievance procedures was not relevant" to a determination of exhaustion).
41 See 747 F.3d at 1177.
43 See id. at 1175.
42 Id. In fact, such a manual was not available, or even known, to the prisoners. Id. at 1175. Moreover, Albino did not encounter complaint forms or a complaint box. See id. at 1176.
44 See Albino v. Baca, No. CV 08-3790-GAF(MLG), 2010 WL 883856, at *1 (C.D. Cal. Mar. 10, 2010), rev'd en banc, 747 F.3d 1162 (9th Cir. 2014).
45 See id. at *5. The district court accepted the recommendation of the magistrate judge, who recommended granting summary judgment for Baca because Albino did not exhaust available remedies at the jail. See id. at *1.
unavailable to that inmate. 46 On October 20, 2014, the U.S. Supreme Court denied Baca's petition for certiorari. 47
II. UNKNOWN REMEDIES: THE ROLE OF NOTICE IN THE EXHAUSTION OF ADMINISTRATIVE REMEDIES
In 2014, in Albino v. Baca, the U.S. Court of Appeals for the Ninth Circuit, sitting en banc, held that the administrative remedies in the jail were not available to Albino within the meaning of the PLRA. 48 In reaching this holding, the court stressed the lack of notice given to Albino by prison officials of the grievance system. 49 The Ninth Circuit's emphasis on the lack of notice is consistent with how the U.S. Court of Appeals for the Eleventh Circuit has approached issues of exhaustion. 50
In 2004, in Goebert v. Lee County, the Eleventh Circuit held that a prison grievance procedure, which was described in a manual that inmates were
46 See Albino, 747 F.3d at 1177. The Ninth Circuit also held that an exhaustion defense under the PLRA must be treated within the framework of the Federal Rules of Civil Procedure, rather than as an "unenumerated Rule 12(b)" motion. Id. at 1166 (overruling Wyatt v. Terhune, 315 F.3d 1108 (9th Cir. 2003)).
48 See 747 F.3d 1162, 1166 (9th Cir. 2014), cert. denied sub nom., Scott v. Albino, 135 S. Ct. 403 (2014). In addition to holding that the administrative remedies in the jail were not available to Albino within the meaning of the PLRA, the Ninth Circuit also held that a failure to exhaust administrative remedies should be analyzed under the existing Federal Rules of Civil Procedure rather than as an unenumerated Rule 12(b) motion, overruling prior precedent. Id.
47 See generally Scott v. Albino, 135 S. Ct. 403 (2014) (denying certiorari for Albino).
49 See id. at 1167 ("Albino states in a declaration . . . that he was given no orientation when he was brought to the jail . . . ."). In discussing this lack of notice, the court noted:
The jail had a manual describing a procedure for handling inmate complaints, but this manual was for staff use only and was not made available to inmates . . . . [Complaint] forms had to be requested by an inmate and were never provided to Albino, despite his repeated complaints. Nor was Albino told that he could write a complaint on an ordinary piece of paper and hand it to one of the deputies.
See id. at 1177
50 Goebert v. Lee County, 510 F.3d 1312, 1322–23 (11th Cir. 2007). In denying Baca's petition for certiorari, the U.S. Supreme Court also implicitly endorsed the approach taken by the Ninth Circuit. See Scott v. Albino, 135 S. Ct. 403, 403 (2014). Additionally, the Third Circuit, in dicta, has suggested that it would follow the Eleventh Circuit's approach to notice. See Small v. Camden Cnty., 728 F.3d 265, 271 (3rd Cir. 2013) ("Remedies that are not reasonably communicated to inmates may be considered unavailable for exhaustion purposes."). Other courts, like the U.S. Courts of Appeals for the Second and Eighth Circuit, have held that, although a prisoner's subjective knowledge of prison procedure is irrelevant to exhaustion, objective notice of the grievance procedure may at least be a relevant consideration. See Tope v. Fabian, No. CIV 09-0734 DWF/RLE, 2010 WL 3307351, *9 (D. Minn. July 29, 2010) (holding that, although some courts have held that a prisoner's subjective knowledge is immaterial, objective notice of the grievance procedure is still a relevant consideration.) Nevertheless, an inmate may not close his eyes to a prison grievance system and then claim there were no available administrate remedies. Hall v. Sheahan, No. 2000 C. 1649, 2001 WL 111019, at *2 (N.D. Ill., Feb. 2, 2001) ("[A]n inmate may not close his eyes to what he reasonably should have known.").
never permitted to see and which was not included in a handbook that was provided to inmates, was effectively unavailable. 51 The court stressed that a remedy that has not been made known to an inmate is effectively unavailable to that inmate. 52 Under this reasoning, defendants must show that they informed the plaintiff of the grievance procedure. 53 When an inmate does not know about a remedy and cannot discover it through reasonable effort, that remedy is effectively unavailable. 54 A prison official's failure to provide a prisoner with information about administrative remedies may excuse the prisoner's failure to exhaust administrative remedies. 55
The Ninth and Eleventh Circuit's approach to notice is in contrast to the strict approach advocated by the dissent in Albino, as well as the U.S. Courts of Appeals for the Sixth, Seventh, and Tenth Circuits. 56 Under this stricter analysis, prison officials are under no duty to inform prisoners of a grievance process. 57 A notice requirement is not necessary because prisoners are presumed to know about prison procedures. 58 This approach is consistent with the idea that the statutory exhaustion requirement is mandatory, and futility and other exceptions should not be read into it. 59 Under the strict approach, a court need not expend precious judicial resources determining the details of a prison's grievance procedure implementation. 60
51 See 510 F.3d at 1322–23.
53 See Tope, 2010 WL 3307351, at *8; Hall, 2001 WL 111019, at *2 ("An institution cannot keep inmates in ignorance of the grievance procedure and then fault them for not using it.").
52 Id. at 1323 (quoting Booth v. Churner, 532 U.S. 731, 738 (2001) ("That which is unknown and unknowable is unavailable; it is not 'capable of use for the accomplishment of a purpose.'").
54 Goebert, 510 F.3d at 1324.
56 Compare 747 F.3d at 1177 (holding that administrative remedies were effectively unavailable to a prisoner who was not informed of prison grievance procedures), and Goebert, 510 F.3d at 1321–23 (finding that a prison grievance procedure described in a manual provided only to staff was effectively unavailable), with Twitty v. McCoskey, 226 F. App'x 594, 596 (7th Cir. 2007) (asserting that a prisoner is strictly responsible for exhausting administrative remedies absent any affirmative misconduct on the part of prison officials), Bey v. Johnson, 407 F.3d 801, 809 n.9 (6th Cir. 2005) (noting that prison officials do not have to affirmatively provide information on how to utilize grievance procedures), judgment vacated, 549 U.S. 1190 (2007), abrogated by Jones v. Bock, 549 U.S. 199 (2007), and Yousef v. Reno, 254 F.3d 1214, 1221 (10th Cir. 2001) (holding that prison officials need not advise prisoners of the need to follow administrative procedures).
55 See Arnold v. Goetz, 245 F. Supp. 2d 527, 537 (S.D.N.Y. 2003).
57 See Gonzales-Liranza v. Naranjo, 76 F. App'x. 270, 272 (10th Cir. 2003) ("[A]s a matter of law, any factual dispute between the parties as to whether or not plaintiff was ever advised or informed of the prison's grievance procedures was not relevant.").
59 See Booth, 532 U.S. at 741 n.6 ("[W]e stress the point . . . that we will not read futility or other exceptions into [PLRA's] statutory exhaustion requirement . . . .").
58 Albino, 747 F.3d at 1182 (Smith, J., dissenting) ("[L]itigants . . . [are] presumed to have knowledge of duly enacted laws, regulations, and procedures. Grievance procedures in California jails are promulgated under the direction of state laws and regulations." (citation omitted)).
60 See Griffin v. Romero, 399 F. App'x 349, 351 (10th Cir. 2010) (explaining that Congress intended to spare courts the need to spend countless hours educating themselves as to details of prison administrative processes); Concepcion v. Morton, 306 F.3d 1347, 1354 (3d Cir. 2002)
III. THE U.S. SUPREME COURT SHOULD RESOLVE THE CIRCUIT SPLIT AND ADOPT THE NINTH AND ELEVENTH CIRCUIT APPROACH TO THE ISSUE OF NOTICE
The U.S. Supreme Court should resolve the circuit split, adopt the approach taken by the Eleventh Circuit Court of Appeals in Goebert v. Lee County, and hold that to fail to give a prisoner notice of an administrative remedy is to make that remedy effectively unavailable. 61 Section A argues that, although the Court denied Baca's petition for certiorari in this case, the Court should grant certiorari in the future to address the circuit split and lend uniformity and clarity to this area of the law. 62 Section B argues that when the Court grants certiorari on this issue, the Court should adopt the approach taken by the Eleventh Circuit in Goebert and explicitly require notice of administrative remedies because this is most consistent with the policies underlying the Prison Litigation Reform Act ("PLRA"). 63
A. The U.S. Supreme Court Should Grant Certiorari on This Issue in the Future
The U.S. Supreme Court should grant certiorari to address the circuit split and lend uniformity and clarity to this area of the law. 64 As the law currently stands, the Eleventh and Ninth Circuits have held that a prisoner must receive notice of an administrative remedy for the remedy to be available, but the Sixth, Seventh, and Tenth Circuits have held that a prisoner need not receive notice of an administrative remedy in order for it to be available. 65 Be-
("Congress did not intend for courts to expend scarce judicial resources examining how and by whom a prison's grievance procedure was implemented.").
62 See infra notes 64–70 and accompanying text.
61 See 510 F.3d 1312, 1323 (11th Cir. 2007); supra note 56 and accompanying text (illustrating the circuit split regarding whether a lack of notice of prison procedures excuses a prisoner's failure to exhaust administrative remedies).
63 See infra notes 71–82 and accompanying text.
65 Compare Albino, 747 F.3d at 1177 (finding that administrative remedies were unavailable when a prisoner was not informed of prison grievance procedures), and Goebert, 510 F.3d at 1321–23 (holding that a remedy was unavailable when it was described in a manual provided only to prison officials), with Twitty, 226 Fed. App'x at 596 (noting that only affirmative conduct and not general inaction by prison officials may excuse a failure to exhaust), Bey v. Johnson, 407 F.3d 801, 809 n.9 (6th Cir. 2005) (asserting that prison officials do not have to affirmatively provide information on how to utilize grievance procedures), judgment vacated, 549 U.S. 1190 (2007), abrogated by Jones v. Bock, 549 U.S. 199 (2007), and Yousef v. Reno, 254 F.3d 1214, 1221 (10th
64 See Albino v. Baca, 747 F.3d 1162, 1181 (9th Cir. 2014) (en banc) (Smith, J., dissenting) ("[T]he majority's opinion creates a split with the Eighth and Tenth Circuits . . . ."), cert. denied sub nom., Scott v. Albino, 135 S. Ct. 403 (2014). Although the Court denied certiorari in Albino, the issue raised in Albino will inevitably be raised again in the future due to the frequency of prisoner lawsuits. Scott, 135 S. Ct. at 403; see Goebert, 510 F.3d at 1324; Twitty v. McCoskey, 226 F. App'x 594, 596 (7th Cir. 2007); Belbot, supra note 1, at 396 (noting the high frequency of prisoner lawsuits).
yond this split in authority, confusion in this area of the law is exacerbated by how the issue has been discussed in court opinions. 66 For example, even when a court has addressed the issue of notice in the context of exhaustion, the legal authority for ruling on this issue is not always clear. 67 Further, courts often implicitly take into account whether a prisoner received notice in determining whether administrative remedies are exhausted, but decline to address the issue explicitly or only address it in dicta. 68 The detrimental effects of these shortcomings are particularly dangerous given the high frequency of lawsuits subject to the PLRA. 69 Because of the lack of uniformity among the
Cir. 2001) (holding that prison officials need not advise prisoners of the need to follow administrative procedures). See generally Chelette v. Harris, 229 F.3d 684 (8th Cir. 2000) (explaining that Section 1997e(a) is silent on a prisoner's subjective beliefs about available administrative remedies).
67 See Albino, 747 F.3d at 1175, 1181, n.1 (Smith, J., dissenting) (noting that the majority failed to cite a single case to support its holding that prison officials must inform prison procedure); Knowles, 538 F. Supp. 2d at 462 (failing to provide legal authority after noting that a prisoner did not claim that he had not received notice of prison procedure); Hall v. Sheahan, No. 2000 C. 1649, 2001 WL 111019, at *2 (N.D. Ill., Feb. 2, 2001) (failing to provide legal authority for the proposition that a grievance procedure that is not made known to inmates is effectively unavailable).
66 See Albino, 747 F.3d at 1177 (failing to provide legal authority to support its holding that an administrative remedy is effectively unavailable when a prisoner has not received notice of the remedy); infra note 68 and accompanying text (providing examples of cases in which courts implicitly took into account whether a prisoner received notice but declined to address the issue explicitly). Some cases, like Dillon v. Rogers, note the importance of inmates having avenues for discovering administrative remedies, but fail to explicitly address the role of notice. See 596 F.3d 260, 268 (5th Cir. 2010) (emphasizing the "importance of ensuring that inmates have avenues for discovering the procedural rules governing their grievances," but declining to elaborate on the role of notice). Moreover, some courts explicitly acknowledge when a prisoner has been given notice of prison procedures, but fail to elaborate on the topic any further. See, e.g., King v. Iowa Dep't of Corr., 598 F.3d 1051, 1053 (8th Cir. 2010) (noting that a grievance response form advised a prisoner of his right to appeal, but the prisoner failed to do so); Alexander v. Tippah Cnty., 351 F.3d 626, 630 (5th Cir. 2003) ("The Detention Facility's grievance procedures were explained in the inmate handbook given to Alexander when he first arrived. Alexander admits that he knew how to prepare a handwritten grievance."); Lyon v. Vande Krol, 305 F.3d 806, 809 (8th Cir. 2002) ("There is no question in this case that there was [a procedure available], that Mr. Lyon was aware of it, and that he chose not to follow the steps that the procedure outlined. Mr. Lyon was never told that there was not a procedure . . . ."); Knowles v. N.H. Dep't of Corr. Comm'r, 538 F. Supp. 2d 453, 462 (D.N.H. 2008) ("Nor does the plaintiff claim that he had not received notice of the three-level grievance procedure, or was otherwise unaware of it in a way that might arguably have made it unavailable to him.").
68 See, e.g., Small v. Camden Cnty., 728 F.3d 265, 271 (3rd Cir. 2013) (noting in dictum that "[r]emedies that are not reasonably communicated to inmates may be considered unavailable for exhaustion purposes"); King, 598 F.3d at 1053 (finding that a prisoner did not exhaust available administrative remedies when he failed to appeal his formal complaint because the response form advised him of his right to appeal); Frentzel v. Boyer, No. 4:05-CV-2304 CAS, 2007 WL 1018663, at *5 (E.D. Mo. Mar. 29, 2007) ("In Chelette . . . however, unlike the present case, there was no evidence that the prisoner plaintiff did not know and was not informed of the existence of administrative remedies."), aff'd, 297 F. App'x 576 (8th Cir. 2008).
69 Belbot, supra note 1, at 306 (noting the dramatic increase of prisoner lawsuits).
circuits, the lack of clarity among holdings on this issue, and the quantity of cases subject to these shortcomings, the U.S. Supreme Court should grant a writ of certiorari if and when this issue presents itself to the Court in the future. 70
B. The U.S. Supreme Court Should Adopt The Ninth and Eleventh Circuit Approach to Notice
The U.S. Supreme Court should resolve the circuit split and conclude that an administrative remedy is effectively unavailable to a prisoner when the prisoner has not been notified of the remedy. 71 This approach is most consistent with the policies that underlie the PLRA—administrative agency and judicial efficiency. 72
Because a prison populace that is informed of administrative remedies may be more likely to use these remedies, a notice requirement protects administrative agency by fostering administrative resolutions to prisoner complaints. 73 Additionally, providing notice of administrative remedies promotes judicial efficiency because it invites inmates to use administrative remedies instead of clogging courts with lawsuits that are likely to be dismissed on exhaustion grounds. 74 Thus, a notice requirement promotes the
70 See Albino, 747 F.3d at 1181 (Smith, J., dissenting) ("[T]he majority's opinion creates a split with the Eighth and Tenth Circuits."); King, 598 F.3d at 1053 (finding that a prisoner did not exhaust available administrative remedies when he failed to appeal his formal complaint because the response form advised him of his right to appeal); Belbot, supra note 1, at 306.
72 See McCarthy v. Madigan, 503 U.S. 140, 145 (1992) ("Exhaustion serves the twin purposes of protecting administrative agency authority and promoting judicial efficiency."), superseded by statute on other grounds as stated in Booth v. Churner, 532 U.S. 731 (2001); see also Burgess, 2004 WL 527053, at *5 ("[Congress] cannot have meant that prisoners would be expected to exhaust remedies of which they were kept entirely ignorant."); 141 CONG. REC. S14418 (daily ed. Sept. 27, 1995) (statement of Sen. Hatch) (noting that roughly 94.7 percent of prisoner lawsuits in 1994 were dismissed before pretrial); 141 CONG. REC. S14418 (daily ed. Sept. 27, 1995) (statement of Sen. Kyl) ("Federal prison lawsuits have risen from two thousand in 1970 to 39,000 in 1994.").
71 See Albino, 747 F.3d at 1177; Goebert, 510 F.3d at 1323–24; Burgess v. Garvin, No. 01 CIV 10994(GEL), 2004 WL 527053, at *5 (S.D.N.Y. Mar. 16, 2004).
73 See Russell v. Unknown Cook Cnty. Sheriff's Officers, No. C 3786, 2004 WL 2997503, at *4 (N.D. Ill. Dec. 27, 2004) ("[A notice requirement] is fully consonant with the goals of the PLRA, which aims to foster internal administrative resolutions to inmates' complaints in lieu of litigation in the courts.").
74 See Russell, 2004 WL 2997503, at *4 (explaining that providing notice "direct[s] inmates to follow mandatory grievance procedures, instead of letting them file lawsuits that will be dismissed for failure to exhaust administrative remedies"); Burgess, 2004 WL 527053, at *3 ("If the matter can be resolved without recourse to the federal courts . . . then the purpose of judicial economy is fulfilled."); Slutsky, supra note 5, at 2298 ("The PLRA seeks to deter frivolous suits by improving judicial efficiency. Administrative exhaustion is a prime example of a provision that attempts to accomplish this goal.").
consideration of meritorious claims by preventing frivolous suits from reaching court. 75
A notice requirement also protects against unfair treatment of prisoners and furthers policies of basic fairness. 79 For example, a notice requirement protects against hide-and-seek behavior on the part of prison administrators. 80 Similarly, it protects prisoners who are unaware of their obligation to investigate administrative remedies through no fault of their own. 81 Finally, a notice requirement comports with how courts have read objectivity into their interpretation of the availability of remedies: that is, similarly situated individuals of ordinary firmness may not deem remedies available when such remedies have not been communicated to them. 82
In addition to advancing the policies underlying the PLRA, the notice requirement addresses a weakness of the strict approach advocated by the dissent in Albino. 76 Under the strict approach, a prisoner who is unaware of administrative remedies may be precluded from both timely administrative relief and legal relief. 77 In contrast, because a prisoner who is put on notice of administrative remedies is more likely to utilize such remedies, a notice requirement decreases the likelihood of a prisoner being completely denied the opportunity for relief. 78
75 See Royal v. Kautzky, 375 F.3d 720, 730 (8th Cir. 2004) (observing that the PLRA was intended to prevent frivolous lawsuits and ensure that courts are limited to hearing legitimate violations of prisoners' rights); Tracy M. Sullivan, Prisoners Seeking Monetary Relief for Civil Rights Claims: Must They Exhaust Administrative Remedies Under § 1997e Before Filing a Claim in Federal Court?, 8 WASH. U. J.L. & POL'Y 419, 422 (2002) ("Proponents of the PLRA regarded many of the prisoner civil rights lawsuits as wasting judicial resources and depriving others of quality justice.").
77 See Yousef, 254 F.3d at 1221 (10th Cir. 2001) (affirming the dismissal of a prisoner lawsuit because a prisoner failed to exhaust administrative remedies).
76 See 747 F.3d at 1181 (Smith, J., dissenting) (opposing the majority's holding that jail officials must show they informed prisoners of administrative remedies); Gonzales-Liranza v. Naranjo, 76 F. App'x 270, 272 (10th Cir. 2003) ("[A]s a matter of law, any factual dispute between the parties as to whether or not plaintiff was ever advised or informed of the prison's grievance procedures was not relevant.").
78 See Albino, 747 F.3d at 1177 (refusing to dismiss a prisoner lawsuit for failure to exhaust when prison officials did not inform the prisoner of the availability of administrative remedies).
80 Goebert, 510 F.3d at 1323 (noting the risks of allowing prison officials to engage in hideand-seek behavior with administrative remedies).
79 See id. at 1169; Goebert, 510 F.3d at 1323 ("If we allowed jails and prisons to play hide-andseek with administrative remedies, they could keep all remedies under wraps until after a lawsuit is filed and then uncover them and proclaim that the remedies were available all along."); Romanelli v. Suliene, No. 3:07-cv-00019-bbc, 2008 WL 4587110, at *6 (W.D. Wisc. Jan. 10, 2008) (justifying a notice requirement because of the incentive for prison officials to conceal grievance procedures).
81 See Romanelli, 2008 WL 4587110, at *6 ("It would be unfair to require the prisoner to conduct his own investigation, particularly because in many cases he would be unaware of his obligation to do so.").
82 See Hemphill v. New York, 380 F.3d 680, 688 (2d Cir. 2004) ("The test for deciding whether the ordinary grievance procedures were available must be an objective one: that is, would
CONCLUSION
The U.S. Court of Appeals for the Ninth Circuit's decision in Albino v. Baca reinforces the stance held by the Eleventh Circuit Court of Appeals that to fail to give a prisoner notice of an administrative remedy is to make that remedy effectively unavailable. The decision widens the circuit split on this issue, creating an opportunity for the U.S. Supreme Court to clarify the issue of notice in the context of exhaustion and ultimately affirm the approach held by the Eleventh and the Ninth Circuits. In doing so, the Court could further the policies underlying the Prison Litigation Reform Act and prevent unfair treatment of prisoners.
ETHAN RUBIN
Preferred Citation: Ethan Rubin Comment, Unknowable Remedies: Albino v. Baca, The PLRA Exhaustion Requirement, and the Problem of Notice, 56 B.C. L. REV. E. SUPP. 151 (2015), http:// lawdigitalcommons.bc.edu/bclr/vol56/iss6/11.
'a similarly situated individual of ordinary firmness' have deemed them available."); supra note 33 and accompanying text (discussing the objective standard for determining whether or not administrative remedies were available).
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Responsible Conduct of Research Toolkit
Tools for developing programs on responsible conduct of research for postdocs
Kathleen Flint, Ph.D. Project Manager National Postdoctoral Association http://www.nationalpostdoc.org/rcr-toolkit
Sponsored by the National Postdoctoral Association's Bring RCR Home Project, with funding provided by the Office of Research Integrity Contract # HHSP23320072201TC
TABLE OF CONTENTS
APPENDIX
INTRODUCTION
Postdocs and the Need for RCR Training
Research integrity has become an emerging topic with many high profile cases of misconduct. In such dramatic cases, it is perhaps easy to think that a scientist's inner moral compass should be able to navigate such issues without training. For some integrity-related decisions the answers can be plain, for example: Should I fabricate data? Should I steal someone else's ideas? But, responsible conduct of research (RCR) – especially for early career scientists – is much more of a grey area than just "doing the right thing" and in fact constitutes all the small decisions made during the research activities of every day. Some of the common decisions faced by postdocs may not be so clear cut, such as: Who should be first author on your first lab paper? Can you photoshop your publication images to make them easier to interpret? What role should your advisor play in your new collaborations outside the lab? Such questions can be harder to answer, especially without good training or mentorship.
Despite recent moves at the federal level towards requiring training in RCR [1], many postdocs still do not receive guidance on these issues. Sigma Xi's 2005 nationwide survey of postdocs found that nearly a third (31%) of respondents indicated having received no training in research ethics, with another third (33%) having received only informal, "on-the-job" training. In the specific areas of intellectual property and conflict resolution skills, however, they found that almost two-thirds had received no training [2]. Other studies find similar results [3]. In the case of authorship, for example, studies find that most postdocs are unaware of the authorship guidelines mandated by their institution or professional community [4]. Other data suggest that this lack of training may result in instances of scientific misconduct among postdocs. In 2005, a study reported in Nature [5] found that 28% of early-career scientists – the majority of whom were postdocs – anonymously self-reported having committed at least one of the ten most common acts of questionable research behavior [6]. Similarly, the Office of Research Integrity found that between 1994 and 2003, postdocs accounted for 20% of proven misconduct cases [7]. Yet while there seems to be a need for such training, it is also important that the training be responsive to the particular needs and concerns of postdocs and their phase of career advancement.
Many reports (see [8] and references therein) recommend that RCR is best taught in the broader context of general research skills, where responsible authorship, for example, is taught alongside scientific writing. Whether incorporated into research and technical skill courses or taught as a stand-alone seminar, RCR should be framed within the larger context of the research enterprise and utilize case studies, interactive learning and other adult learning principles to engage postdocs. For postdoctoral scholars who no longer have a core curriculum of research courses, RCR topics have successfully been integrated into a range of professional development programs that teach such topics as grant writing, personnel management, budget development and leadership skills. When asked on the Sigma Xi Postdoc Survey what kind of formal training they would be interested in receiving, postdocs ranked research ethics last, whereas they put grant writing, lab management and project management at the top. Postdocs' clear interest in these types of professional development suggests they can provide a useful platform for teaching
integrity-related topics. See the toolkit article on Choosing a Program Format for a sample of RCR programs using a range of formats.
RCR Topics for Emphasis
ORI has recommended nine core areas [9] for RCR training. Drawing on these, the NPA emphasizes the following areas for such training for postdocs:
* Data Acquisition, Management, Sharing and Ownership;
* Mentor/Trainee Responsibilities;
* Publication Practices and Responsible Authorship;
* Peer Review;
* Collaborative Science;
* Research Misconduct; and
* Communication and Difficult Conversations.
While the first six topics are taken directly from the ORI core areas, the final topic, communication and difficult conversations, has been added due its particular relevance for postdocs. It has been noted that perhaps the most effective form of RCR training is from one's research advisor [10]; however, the success of this approach relies upon effective communication within the postdoc-supervisor relationship. Furthermore, discussion of ethical situations in research, whether with colleagues, collaborators or supervisors, can lead to uncomfortable or difficult conversations especially for postdocs who may feel that their job security or visa status depends upon the goodwill of these individuals. Thus, training in effective communication can be an important part of mastering the other six RCR topic areas.
Those interested in developing an RCR training program directed at postdocs are encouraged to peruse the remainder of this toolkit, which provides articles with advice and model programs. In addition, the NPA Project Manager is available for consultation and assistance with such programs.
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[1] In recent years the Office of Research Integrity has considered requiring research staff supported on public health-related grants to undergo RCR training (see this article in Science Careers for an overview). NIH already requires this for those supported on its training grants (see http://grants.nih.gov/grants/guide/notice-files/not92-236.html).
[2] Sigma Xi Postdoc Survey (2005), see data on Institutional Environment: http://www.sigmaxi.org/postdoc/all/inst_environment_short.html
[3] Eastwood, S., Derish, P., Leash, E., and Ordway, S. (1996) Ethical issues in biomedical research: Perceptions and practices of postdoctoral research fellows responding to a survey. Science and Engineering Ethics 2: 89-114.
[4] c.f. Sigma Xi Postdoc Survey (2005) and Tarnow, E. (1999) The Authorship List in Science: Junior Physicists' Perceptions of Who Appears and Why. Science and Engineering Ethics 5: 73-88.
[5] Martinson, B.C., Anderson, M.S., and de Vries, R. (2005) "Scientists Behaving Badly." Nature, 435, 737-738
[6] Diverging somewhat from the integrity community's definition of research misconduct as fabrication, falsification and plagiarism, Martinson et al. include a broader definition of misconduct which includes "behaviour [that], if discovered, would get a scientist in trouble at the institutional or federal level."
[7] Rhoades, L. J. (2004) ORI Closed Investigations into Misconduct Allegations Involving Research Supported by the Public Health Service: 1994-2003 http://ori.dhhs.gov/publications/documents/Investigations1994-2003-2.pdf [8][10] Board on Health Sciences Policy and Institute of Medicine (2002) Integrity in Scientific Research: Creating an Environment That Promotes Responsible Conduct Washington, DC: National Academies Press
http://www.nap.edu/books/0309084792/html
[9] 9 Core Areas: Data Acquisition, Management, Sharing and Ownership; Conflict of Interest and Commitment; Human Subjects; Animal Welfare; Research Misconduct; Publication Practices and Responsible Authorship; Mentor / Trainee Responsibilities; Peer Review; and Collaborative Science
QUICK START GUIDE
Responsible conduct of research (RCR) programming can take a number of different forms depending on what your goals are for your postdoc community. For example, ensuring that postdocs are familiar with a set of research integrity guidelines can often be accomplished with online modules that can introduce and review material as well as provide some testing and interactivity. In contrast, helping postdocs develop a lasting understanding of the principles involved in research integrity and how they might apply them throughout their own career may require a more dynamic and engaging approach, such as small-group seminar or workshop that allows instruction to adapt to the experiences and concerns of the students.
As a first step, determine what might already be available at your institution. Many institutions may already have some sort of RCR training available for postdocs whether as a consequence of funding agency requirements or a more general institutional offering. In some cases, these programs may merely be expanded to reach all postdocs, in others it may be necessary or prudent to create a new or complementary program that can be tailored to the needs and challenges of postdoctoral scholars. In either case, it is important to marshal the existing resources you may have available on these topics and identify the potential stakeholders such as the office of research, the office of postdoctoral affairs or the graduate school.
Designing your program
Next, consider the type of training you would like to offer, and what would work best for your overarching curriculum. There are a number of options:
* Credit bearing course?
* Brown bag series?
* Occasional symposium?
* Weekend seminar?
Some aspects involved in this decision are:
* How often will you offer it?
* To whom will you offer it?
* Is it required, encouraged or optional?
* What will students take away from it – enlightenment? certification? credit?
* Who will teach it?
* What resources will you need for it?
Answering some of these questions can help determine your approach for others. For example, if you have local speakers or instructors you can perhaps more easily offer an ongoing series, but if you must bring in experts from outside, you may want to offer a more occasional series. For an overview of various program formats, with examples of existing programs, consult the NPA's RCR Toolkit article on "Choosing a Program Format."
A 2002 report from the National Academies on Integrity in Scientific Research: Creating an Environment That Promotes Responsible Conduct examined the best approaches for
RCR education. They found that the best model is learning from a supervisor or advisor, for example through individual meetings, group meetings, journal clubs or seminars, although this is not always the most practical or uniformly implemented method. In lieu of this, they recommend approaches that teach RCR alongside everyday research skills – a commonly held recommendation [1] – and methods that incorporate adult learning principles, such as fostering active learning and participation and adapting to the diversity of experiences and learning styles among students. They also recommend that instruction take place over an extended period of time, either regular meetings over a year-long course or periodic seminars held over a year or more throughout a postdoc's career. Finally, they suggest that instructors need both science and ethics knowledge, and so ideally instruction would involve a collaboration between research faculty and ethics experts. They stress that involving research faculty also creates role models for postdocs within their own disciplines, emphasizing the importance of these topics.
For more details on pedagogical approaches for teaching RCR, consult Chapter 5 of this report on "Promoting Integrity in Research through Education."
Another important question is what content or material should the program cover. Should it emphasize a few RCR topics to cover briefly, or just one to cover in depth? Should the RCR material be incorporated into a lab management style course, focusing on professional development skills? Should you offer a survival skills type workshop, geared more towards surviving postdoc life? Of course, no program need cover all RCR topics; however it is important to define which aspects you will cover. For more detailed information on defining the goals and scope of your program, visit the RCR Toolkit articles on "Determining the Goals and Content of your Program" and "RCR Topics for Postdocs."
Some other useful articles from Science Careers on how to approach teaching scientific integrity topics:
Ethics and Policy Minifeatures
http://sciencecareers.sciencemag.org/career_development/previous_issues/articles/2030/e thics_and_policy_mini_features
A compilation of Science Careers articles on ethics
Additional resources on ethics
http://sciencecareers.sciencemag.org/career_development/previous_issues/articles/2030/e thics_resources/
On Teaching Scientific Integrity
http://sciencecareers.sciencemag.org/career_development/previous_issues/articles/1050/s cientific_integrity_the_view_from_the_teaching_side
An instructor's perspective on designing an RCR course from scratch for grad students She describes her challenges in engaging the students until she transformed the course into a "survival skills" course.
Getting Scientists to Do the Right Thing
http://sciencecareers.sciencemag.org/career_development/previous_issues/articles/2030/g etting_scientists_to_do_the_right_thing
Perspectives on how to approach RCR training, including mention of the NAS report on Integrity in Scientific Research
Targeting postdocs
Regardless of whether postdocs are classified as students, trainees, or employees at an institution, a postdoc's main priority is producing research results instead of taking courses. Therefore research integrity programming will undoubtedly require some tailoring to draw postdocs from their offices and labs. Some suggestions for marketing your program to postdocs are included in the toolkit article "Marketing RCR Programs to Postdocs;" however, below are some introductory considerations.
* Try to integrate RCR topics with other everyday professional development topics, since they are an integral part of so many of the decisions postdocs navigate everyday. This can make the topics more attractive to postdocs as well as frame them as part of essential tasks.
* Try to stay away from lecturing or on-line modules and consider more interactive modes, such as using case studies and lots of discussion in order to really engage postdocs intellectually in the subject.
* Take into consideration the unique and multiple roles a postdoc fills. For example, try to probe issues of being the mentor and the mentee, collaborator and apprentice. Be mindful of roles like that of whistleblower, which can be difficult for postdocs who depend upon the goodwill of their supervisor or colleagues.
* Acknowledge the breadth of cultural backgrounds you will likely have among a postdoc cohort, since 60-70% of postdocs in the U.S. are visa holders.
For additional guidance on tailoring your program to the needs postdocs, visit the RCR Toolkit article on "Tailoring RCR Programs for Postdocs." For insight on RCR issues of particular pertinence to postdocs, visit the RCR Toolkit article on "RCR Topics for Postdocs."
In addition, some good background resources on postdocs are available at:
* The NPA website, in particular, an overview of What is a Postdoc?, and the NPA Agenda for Change
* National Research Council report, Bridges to Independence: Fostering the
Independence of New Investigators in Biomedical Research
* Sigma Xi Postdoc Survey Report, Doctors Without Orders
Good resources with which to start
1. Alexander, M. and Williams, W.R. A Guidebook for Teaching Selected RCR Topics to Culturally Diverse Trainee Groups. Philadelphia: Children's Hospital of
Philadelphia. This is a good place to start because it focuses on postdocs. In particular, it includes the results from some postdoc focus groups which provide considerable insight. It also includes instructional guidance and teaching materials for selected RCR topics: Data Management, Sharing and Ownership; Intellectual Property; and Research Misconduct. http://ori.dhhs.gov/documents/Alexander.RCR%20Guidebook.BW.pdf
2. Macrina, F.L. (2005) Scientific Integrity: Text and Cases in Responsible Conduct of Research (Third Edition). Washington, D.C.: American Society for Microbiology Press.
This textbook is a comprehensive source of course material for teaching RCR with a number of case studies on a range of topics
3. Steneck, N.H. (2004) ORI Introduction to the Responsible Conduct of Research This guide provides a good introduction to the subject of RCR http://ori.dhhs.gov/documents/rcrintro.pdf
4. Board on Health Sciences Policy and Institute of Medicine (2002) Integrity in Scientific Research: Creating an Environment That Promotes Responsible Conduct. Washington, DC: National Academies Press. Again, Chapter 5 provides a good overview of considerations in teaching RCR http://books.nap.edu/openbook.php?record_id=10430&page=84
The NPA's RCR Toolkit also offers advice and program models that can help with beginning to plan an RCR program for postdocs. It can be found online at http://www.nationalpostdoc.org/rcr-toolkit.
________
[1] See for example, Fischer, B.A. and Zigmond, M.J.(1996) "Teaching Ethics: Resources for researchers." Trends in Neurosciences 19: 523-524, and National Academies (1992) Responsible Science: Ensuring the Integrity of the Research Process, Vol. 1. Washington, DC: National Academies Press, and references therein.
DETERMINING THE GOALS AND CONTENT OF YOUR PROGRAM
As a first step, it is important to determine the goals of any responsible conduct of research (RCR) program. Mann, Kalichman and Macrina (2004) [1] describe the most common goals found among such programs. They fall in the following categories:
* Knowledge: Informing about rules, policies or guidelines; Expanding awareness of tools and resources available when faced with ethical dilemmas
* Skills: Enhancing such skills as: ethical reasoning and decision-making; lab and people management; and communication and conflict resolution
* Attitudes: Improving awareness and positive disposition toward scientific integrity issues
* Behaviors: Increasing transparency and discussion of ethical issues; Reducing the likelihood of misconduct occurrences
Having clear goals and objectives for a program is a critical step to ultimately evaluating its success and effectiveness. An evaluation tool should refer back to these objectives and assess the extent to which they have been met.
Along with your goals, determine the content you wish to cover as well as the information that holds the most interest for your target audience. There are a range of topics in RCR, usually characterized into the nine core areas put forward by the Department of Health and Human Services' Office of Research Integrity and each of these areas covers a range of subtopics. Information on particular issues for postdocs in some of these core topic areas is detailed in the following section on "RCR Topics for Postdocs." Your program could cover a series of these topics and address scientific integrity in general, or it could focus on one or two topics. Alternatively, you could integrate these topics into a program on other professional skills for scientists, such as a comprehensive survival skills or lab management course, or into a program focusing on one topic like grant writing that also addresses issues like responsible authorship, collaborative science and peer review. Thus the choice of program content goes hand-inhand with the choice of the type and format of your program.
One way to design a program that has the most traction with your postdocs is to find out which topics or approaches hold the most interest for them and how much time they would be willing to commit. This can be done informally through individual consultations and in-person focus groups, or through more formal surveys. The NPA Postdoc Association Toolkit has an article on "Strategies for Conducting a Postdoc Survey." Aggregate data on U.S. postdocs from the Sigma Xi Postdoc Survey might also be helpful.
* Sigma Xi summary report, Doctors Without Orders
* Sigma Xi survey data: http://postdoc.sigmaxi.org/results/data
________________
[1] Mann, M.D., Kalichman, M.W., and Macrina, F.L. (2004) "Education in the responsible conduct of research." The Physiologist. 47(4): 149 http://www.the-aps.org/publications/tphys/2004html/AugTPhys/educresp.htm
RCR TOPICS FOR POSTDOCS
This section details some key RCR content areas, identifying some key issues of particular relevance for postdocs and listing some useful case studies and course materials.
A. Data Acquisition, Management, Sharing and Ownership
B. Mentor/Trainee Responsibilities
C. Publication Practices and Responsible Authorship
D. Peer Review
E. Collaborative Science
F. Research Misconduct
G. Communication and Difficult Conversations
A. DATA ACQUISITION, MANAGEMENT, SHARING AND OWNERSHIP
The data acquisition, management, sharing and ownership topic covers accepted practices and procedures for acquiring, storing, documenting, analyzing, sharing and maintaining data. It includes definitions for what constitutes data, procedures for maintaining the confidentiality and integrity of data, and proper methods for keeping records and processing and analyzing data. It also examines guidelines for who 'owns' data as well as the legal ramifications for intellectual property, patent and copyright laws.
These are critical areas where postdocs must understand the issues involved. Since postdocs typically work on a supervisor's project for a limited period of time, a number of questions will arise about the postdocs' rights with regard to the data collected and analyzed during the course of their appointment. This is particularly true when a postdoc leaves that institution for his or her next position and wants to continue working on some aspect of that project. The temporary nature of the postdoc appointment also makes data management and documentation procedures very important for when the postdoc leaves and the supervisor or other collaborators want to continue the work or need the records for contractual or intellectual property purposes. Furthermore, there are additional issues involved if the postdoc's research is funded in any way through industry which might have additional rules governing the ownership and publication of any data.
Since every discipline and every lab have slightly different accepted practices and procedures and funding agencies and institutions have a variety of requirements on data sharing and ownership, there are no one-size-fits-all guidelines for these issues. Upon starting a new appointment every postdoc and postdoc supervisor should have a frank and detailed conversation about these issues so that uniform practices can be utilized from day one and surprises can be avoided at the end of the appointment. However, grey areas and other questions inevitably arise and this is an area where a good RCR program can help equip postdocs with information and tools for answering them.
There are many different guidelines to which researchers must adhere when determining ownership and sharing of their data. These can include their funding agency, their institution or the source of the data themselves (e.g. databanks, museum collections, research subjects). An additional dimension for postdocs is what role they may play in the ownership of data that they collect while working for someone else. While some of these data may be collected in their supervisors' labs they may also be collected at other facilities, perhaps as part of a proposal submitted solely by the postdoc. The relative role of postdoc and supervisor in managing these data, including whether the postdoc can take any part with him or her upon leaving that institution, is a critical and sensitive one.
Case Studies and Teaching Materials
Some useful articles on data management from the Science Careers series on ethics in science. These articles present a fictitious case study and then provide comments on the case from individuals and experts in the field:
University-Industry Collaborations: Whose Data? A case study on sharing of data within a Ph.D. student's industry collaboration.
http://sciencecareers.sciencemag.org/career_development/previous_issues/articles/1260/u niversity_industry_collaborations_whose_data
Sharing in the Sciences Another case study on "custody" of unpublished data http://sciencecareers.sciencemag.org/career_development/previous_issues/articles/1680/s haring_in_the_sciences
Chapter 9 of the textbook Scientific Integrity deals with Ownership of Data and Intellectual Property:
Macrina, F.L. (2005) Scientific Integrity: Text and Cases in Responsible Conduct of Research (Third Edition). American Society for Microbiology Press, Washington, D.C.
Chapter 4 on Teaching Materials for Data Management, Sharing, and Ownership provides teaching materials and case studies for postdocs:
Alexander, M. and Williams, W.R. A Guidebook for Teaching Selected RCR Topics to Culturally Diverse Trainee Groups. Philadelphia: Children's Hospital of Philadelphia. http://ori.dhhs.gov/documents/Alexander.RCR%20Guidebook.BW.pdf
Additional case studies on Responsible Authorship from the Online Ethics Center at the National Academies of Engineering http://www.onlineethics.diamax.com/cms/research/modindex/moddata.aspx#method
Intellectual Property
Postdocs provide the intellectual stimulus for much of the research that is conducted in today's laboratories. Working with Principal Investigators who are leading the research enterprise, postdocs make invaluable intellectual contributions to the productivity of the lab. In some cases, postdocs may develop new ideas that they want to test in the lab and ultimately publish the results of those tests. Given the complex nature of the postdoc's relationship with the PI and the institution, it is essential that postdocs have a working knowledge of intellectual property issues. This should include a basic understanding of patents. This knowledge will protect the postdoc and also those who work with postdocs, including the institutions that host them. There are numerous workshops, articles and other resources available on this topic:
(excerpt from the NPA Postdoc Office Toolkit article on "Providing Complementary Skills Development Programs")
Case Studies and Teaching Materials
Science Careers has published a resource guide on this topic, which includes articles on protecting your patent, ownership of inventions and getting commercial funding for your academic research.
http://sciencecareers.sciencemag.org/career_development/issue/nextwave/0070/intellectu al_property_feature_index/
The Penn Career Workshop series covers this topic as an alternative career path. http://www.aamc.org/members/great/ee_penn_pdoffice_services_descript.pdf
The University of Alberta offers a session on Intellectual Property Guidelines and Patents as part of its professional development program: http://www.aamc.org/members/great/ee_alberta_profdvlpmntprogrm_profunit.pdf
Chapter 5 on Teaching Materials for Intellectual Property provides teaching materials and case studies for postdocs:
Alexander, M. and Williams, W.R. A Guidebook for Teaching Selected RCR Topics to Culturally Diverse Trainee Groups. Philadelphia: Children's Hospital of Philadelphia. http://ori.dhhs.gov/documents/Alexander.RCR%20Guidebook.BW.pdf
From Science Careers series on Lab Management articles, the following focus on the opportunities and considerations in intellectual property, such as inventions, patents and other "hidden" forms of IP:
Opportunities: Intellectual Property, Part 1
http://sciencecareers.sciencemag.org/career_development/previous_issues/articles/2006_ 11_10/opportunities_intellectual_property_part_1
Opportunities: Intellectual Property, Part 2
http://sciencecareers.sciencemag.org/career_development/previous_issues/articles/2006_ 12_08/opportunities_intellectual_property_part_2
Chapter 11, Understanding Technology Transfer from Burroughs Wellcome Fund and the Howard Hughes Medical Institute (2006) Making the Right Moves: A Practical Guide to Scientific Management for Postdocs and New Faculty, Second Edition
Data Management and Record Keeping
Data management and record keeping practices also vary from lab to lab and institution to institution, although some aspects may also be mandated by a funding agency or other group for the purposes of auditing. An advantage of good lab notebook maintenance on the part of postdocs is that it provides an easy and low-conflict way for postdoc supervisors to keep in touch with research progress on their projects. A potential issue for postdocs, however, is the fact that the majority in the U.S. are visa holders, many of whom may prefer to keep their notes in their native language instead of English. Postdoc supervisors need to take this into consideration and establish guidelines for the extent to which record keeping must be generally accessible.
Case Studies and Teaching Materials
Chapter 8, Data Management and Laboratory Notebooks from Burroughs Wellcome Fund and the Howard Hughes Medical Institute (2006) Making the Right Moves: A Practical Guide to Scientific Management for Postdocs and New Faculty, Second Edition
Chapter 11 of the textbook Scientific Integrity deals with Scientific Record Keeping, as well as Appendix VI on Laboratory Notebook Instructions used by the research division of a biotech company:
Macrina, F.L. (2005) Scientific Integrity: Text and Cases in Responsible Conduct of Research (Third Edition). American Society for Microbiology Press, Washington, D.C.
Do's and Don'ts for Keeping Lab Notebooks http://www.fr.com/practice/pdf/LABBOOK2.pdf
B. MENTOR/TRAINEE RESPONSIBILITIES
The topic of mentor and trainee responsibilities covers the relative roles and responsibilities of both the mentor and the trainee. This includes the best approaches for selecting a mentor, managing conflicts and potential competition between mentor and trainee, mapping out the extent of collaboration between mentor and mentee and constructive procedures for mitigating abuses and resolving grievances. It is also important to make the distinction that a mentor is not always a direct research supervisor and so may play a different role than the supervisor in the trainee's professional development.
Postdocs are often in the unique position of simultaneously serving as both mentor and trainee. Since they are typically the most senior researcher in a group, they are frequently called upon to supervise the research of graduate and undergraduate students. While learning the extent of their role as research mentor, postdocs will also need to understand the potential limitations on their role since they may not be the official supervisor for these trainees.
The importance of the postdoc's supervisor to his or her future career cannot be overstated, since the good recommendation of the supervisor is key to obtaining the next position. This considerable dependence of the postdoc on the supervisor's goodwill can lead to conscious or unconscious abuses and can be a particular challenge for international postdocs who may be concerned about jeopardizing their visa status. Formal grievance procedures can help; however, it is important to note that even in the event that a postdoc wins in a formal ruling, they will still lose to some extent due to the loss of job recommendation and other fall out.
RCR programs that can provide guidance and information on these topics will greatly help postdocs navigate their relationships with their supervisors, mentors and trainees. Some institutions are also moving towards mentoring resources and programs for faculty and more senior mentors as well, since formal training on mentoring is not widespread.
Case Studies and Teaching Materials
Mentoring Scientists: An Ethical Dilemma An articles from Science Careers examining a case study on the ethics of mentoring, such as how to choose a mentor and who is the most appropriate person.
Chapter 3 of the textbook Scientific Integrity deals with Mentoring:
Macrina, F.L. (2005) Scientific Integrity: Text and Cases in Responsible Conduct of
Research (Third Edition). American Society for Microbiology Press, Washington, D.C.
Additional case studies on Responsible Authorship from the Online Ethics Center at the National Academies of Engineering http://www.onlineethics.diamax.com/CMS/research/modindex/advis.aspx#method
Handbooks and Guidelines
Adviser, Teacher, Role Model, Friend: On Being a Mentor to Students in Science and Engineering
The 1997 National Academies handbook on mentoring:
http://www.nap.edu/readingroom/books/mentor/
Entering Mentoring: A Seminar to Train a New Generation of Scientists
, HHMI- sponsored handbook by Jo Handelsman, Christine Pfund, Sarah Miller Lauffer, and
Christine Maidl Pribbenow; it outlines a seminar on how to be a mentor http://www.hhmi.org/resources/labmanagement/downloads/entering_mentoring.pdf
How to Get the Mentoring You Want: A Guide for Graduate Students at a Diverse University
How to Mentor Graduate Students: A Guide for Faculty in a Diverse University
Some useful handbooks on mentoring for both the mentor and the mentee from the
University of Michigan's Rackham Graduate School http://www.rackham.umich.edu/StudentInfo/Publications/StudentMentoring/contents.html
"Mentoring and Being Mentored"
Chapter 5 from Burroughs Wellcome Fund and the Howard Hughes Medical Institute (2006) Making the Right Moves: A Practical Guide to Scientific Management for Postdocs and New Faculty, Second Edition
Mentoring International Postdocs: Working to Advance Science & Careers
An online module available from the federal Office of Research Integrity, developed by the Children's Hospital of Philadelphia, an NPA member institution. http://www.ori.hhs.gov/education/products/chop_mentoring/
On the Right Track: A Manual for Research Mentors (2003) is available for a fee from the Council of Graduate Schools. This manual discusses the individual and corporate responsibilities of graduate faculty in producing competent scholars capable of conducting independent, original and ethically sound research.
The University of California, San Francisco, has developed mentoring guidelines for its faculty:
http://student.ucsf.edu/postdocs/assets/MentorGuidelines2003.doc
Articles
" Nature's guide for mentors"
Nature
A guide on mentoring from
Lee, A., Dennis, C., and Campbell, P. (2007) " Nature
791-797
's guide for mentors." Nature447:
"Mentoring for the Postdoctoral Fellow"
An article in the NPA's quarterly newsletter, Summer 2004.
"Mentoring Minority Science Students: Can a White Male Really be an Effective Mentor?"
Article from the American Indian Graduate Center on a thorny topic in mentoring http://www.aigc.com/articles/mentoring-minority-students.html
Science Careers has multiple resources on mentoring, including this article on "Enduring Qualities in Mentoring"
http://sciencecareers.sciencemag.org/career_development/issue/nextwave/1470/enduring _qualities_in_mentoring
Other resources
A Comprehensive Pilot Mentoring Program at the University of California, San Francisco
The NPA offered a workshop on this topic at its 3rd Annual Meeting.
Individual Development Plan for Postdoctoral Fellows
Developed by FASEB, a Friend of the NPA. The process of developing a work plan and long-term strategy with postdocs for their postdoctoral training is also a great tool for mentoring http://opa.faseb.org/pdf/idp.pdf
MentorNet is an internet based mentoring resource that connects individuals seeking mentors with those willing to serve as mentors through e-mail exchanges: http://www.mentornet.net/
The Association for Women in Science (AWIS) has a number of resources focused on mentoring:
http://www.serve.com/awis/mentoring.html
The American Association of Medical Colleges has developed a compact for postdocs and their supervisors and lays out their relative roles and responsibilities. Some institutions have implemented the compact as a (non-binding) contract to be signed upon beginning the postdoctoral appointment.
http://www.aamc.org/research/postdoccompact/
C. PUBLICATION PRACTICES AND RESPONSIBLE AUTHORSHIP
This topic examines the responsibilities of authors in scientific publication. It includes procedures for assigning credit and authorship, the responsibilities of each author, as well as accepted practices for detailing methods, analyses and results and including appropriate citations. It also can focus on some of the pitfalls such as the pressure to publish.
As for any researcher, a postdoc's publication record is the first consideration during any hiring or promotion review. The challenge for postdocs is to publish as many papers as possible during the limited time they have in a particular appointment. Their relative success in this endeavor can be inhibited by many things, from failed experiments to projects that require more time than the length of the appointment to obtain publishable results. Having a research plan with timelines and objectives can help both the postdoc and his or her supervisor keep the project on target and facilitate communication about their goals and outcomes.
Determining Authorship
A significant challenge for a postdoc coming into a new lab or new research group is learning the authorship practices for that group. While many scientific communities have guidelines for publication studies show that postdocs generally are unaware of these and rarely discuss such practices with their supervisors. These facts coupled with supervisors who may also have little familiarity with official guidelines can lead to confusion in the best case and conflict in the worse case.
Case Studies and Teaching Materials
Some useful articles on responsible authorship from the Science Careers series on ethics in science. They examine how to determine authorship by presenting a case study and comments on the case study from a panel of experts and relevant stakeholders.
The Ethics of Authorship: Feature Overview--How Should Authorship Be Decided? http://sciencecareers.sciencemag.org/career_development/previous_issues/articles/0910/t he_ethics_of_authorship_feature_overview_how_should_authorship_be_decided
Do You Really Want Your Name on That Paper? Another case study on authorship that focuses on a scientist's responsibilities once he or she is listed as an author. It includes several articles offering perspectives on the case study.
http://sciencecareers.sciencemag.org/career_development/previous_issues/articles/2170/d o_you_really_want_your_name_on_that_paper
American Society of Plant Biologists Guidelines for Ethics in Publishing http://aspb.org/publications/ethics.cfm
Chapter 4 of the textbook Scientific Integrity deals with Authorship and Peer Review: Macrina, F.L. (2005) Scientific Integrity: Text and Cases in Responsible Conduct of Research (Third Edition). American Society for Microbiology Press, Washington, D.C.
Northern Illinois University's Responsible Authorship Quick Guide: Common Mistakes http://ori.dhhs.gov/education/products/niu_authorship/mistakes/index.htm
Additional case studies on Responsible Authorship from the Online Ethics Center at the National Academies of Engineering http://www.onlineethics.diamax.com/CMS/research/modindex/auth.aspx#method
Image Manipulation for Publication
A growing issue in the age of Photoshop is how extensively one can manipulate a digital image for publication until the data are no longer faithfully represented. This issue is more prevalent among early career scientists since these image manipulation tools have always been available throughout their scientific careers. The consensus seems to be that some manipulation is allowable if it makes the data presentation more clear and does not mislead. However, where are the limits? It is the journals that have pioneered guidelines on digital data manipulation, with the The Journal of Cell Biology leading the way.
Case Studies and Teaching Materials
Journal guidelines on digital images
The Journal of Cell Biology http://www.jcb.org/misc/ifora.shtml
Nature
http://www.nature.com/nature/authors/submissions/images/index.html
Articles
Rossner, M. and Yamada, K.M. (2004) "What's in a picture? The temptation of image manipulation." Journal of Cell Biology 166:11-15 http://www.jcb.org/cgi/content/full/166/1/11
North, A.J. (2006) "Seeing is believing? A beginners' guide to practical pitfalls in image acquisition." Journal of Cell Biology 172:9-18 http://www.jcb.org/cgi/content/full/172/1/9
D. PEER REVIEW
Peer review is the process through which the relative merits of scientific research are determined. It includes the definition and process of peer review, the variety of activities that utilize peer review from publication to proposal submissions, the role and responsibilities of reviewers, and understanding impartiality and confidentiality. Postdocs will have begun to be invited to review papers for journals and sit on review panels so learning about this process will be a very pertinent skill for them. Furthermore, this burgeoning experience on the part of the postdoc makes it attractive for busy PIs to pass on their own review responsibilities to their postdocs, making guidance in the ethics of peer review also important.
Case Studies and Teaching Materials
Chapter 4 of the textbook Scientific Integrity deals with Authorship and Peer Review: Macrina, F.L. (2005) Scientific Integrity: Text and Cases in Responsible Conduct of Research (Third Edition). American Society for Microbiology Press, Washington, D.C.
"Peer-Review Techniques for Novices" by Lesley McKarney
Science Careers article with guidance directly for the early-career scientist on how to approach peer review http://sciencecareers.sciencemag.org/career_development/previous_issues/articles/0980/p eer_review_techniques_for_novices/
"Reviewers Can Help Get Your Paper Published" by David Grimm
Science Careers article examining findings that suggesting your own peer reviewers may bias acceptance of your paper or proposal http://sciencecareers.sciencemag.org/career_development/previous_issues/articles/3710/r eviewers_can_help_get_your_paper_published/
"Academic Scientists at Work: I Can't Believe They Didn't Like It!" by Jeremy M. Boss and Susan H. Eckert
Science Careers article explaining the peer review process and how scientists can use it to improve their papers and proposals http://sciencecareers.sciencemag.org/career_development/previous_issues/articles/2590/a cademic_scientists_at_work_i_can_t_believe_they_didn_t_like_it
Additional case studies on Responsible Authorship, including peer review, from the
Online Ethics Center at the National Academies of Engineering http://www.onlineethics.diamax.com/CMS/research/modindex/publ.aspx#method
An Overview of the Peer Review Process at NIH from the NIH Center for Scientific Review http://www.csr.nih.gov/review/policy.asp
E. COLLABORATIVE SCIENCE
Collaborative science covers all aspects of developing and maintaining research collaborations. This includes communicating and establishing the parameters of the collaboration, such as authorship determinations and sharing of data and materials. Another dimension is collaboration between researchers from academia and industry, which will have additional guidelines.
Postdocs are in the process of transitioning to independence and building their professional network. As this professional network grows and new project ideas emerge, postdocs and their supervisors should be sure to have clear communication about the responsibilities of their own collaboration as well as the possibilities for collaboration with others.
Setting up these ground rules is a critical first step for postdocs, who, depending upon the nature of their appointment and the concerns of their PI, may not be aware of potential complications with their participation in collaborations. For example, some PIs may be concerned about postdocs collaborating outside of their primary project, especially when 100% of the postdoc's effort is funded by that project. Postdocs will naturally want to broaden their scholarly network to benefit both their science and their career prospects. However, building these networks through outside collaboration can increase the postdoc's potential for conflict with the interests of his or her PI, making communication about the nature and scope of the collaboration as well as the expectations of the PI critically important.
Case Studies and Teaching Materials
Chapter 8 from the textbook Scientific Integrity deals with Collaborative Research: Macrina, F.L. (2005) Scientific Integrity: Text and Cases in Responsible Conduct of Research (Third Edition). American Society for Microbiology Press, Washington, D.C.
Chapter 12, Setting Up Collaborations from Burroughs Wellcome Fund and the Howard Hughes Medical Institute (2006) Making the Right Moves: A Practical Guide to Scientific Management for Postdocs and New Faculty, Second Edition http://www.hhmi.org/resources/labmanagement/downloads/moves2_ch12.pdf
Silence is Not Golden: Making Collaborations Work By Joan P. Schwartz, Ph.D., NINDS http://ori.dhhs.gov/education/science_not_golden.shtml
Articles on Industry Collaborations
Some useful articles on industry partnerships from the Science Careers series on ethics in science. These articles present a fictitious case study and then provide comments on the case from individuals and experts in the field.
University-Industry Collaborations: Whose Data? A case study on sharing of data within a Ph.D. student's industry collaboration.
http://sciencecareers.sciencemag.org/career_development/previous_issues/articles/1260/u niversity_industry_collaborations_whose_data
Sharing in the Sciences Another case study on corporate sponsorship and "custody" of data http://sciencecareers.sciencemag.org/career_development/previous_issues/articles/1680/s haring_in_the_sciences
Gluck, M.E., Blumenthal, D., and Stoto, M.A. (1987) "University-Industry Relationships in the Life Sciences: Implications for Students and Post-Doctoral Fellows." Research Policy 16: 327-336.
A study on potential conflicts of interest for graduate students and postdocs when their funding comes directly from industry supporters
F. RESEARCH MISCONDUCT
The definition of research misconduct is constantly evolving as institutions and agencies continue to establish guidance for their communities on how to conduct research with integrity. The basic components, however, of research misconduct remain: falsification, fabrication, and plagiarism in the course of research activities. This is often referred to as "FFP." There is another component that is receiving increasing attention that involves research practices that are not as egregious as FFP but are found to occur with much greater frequency. These are called questionable research practices, or "QRP," and studies have suggested that those who engage in QRP will have an increased tendency to commit FFP (see M. Anderson and collaborators, as reported at the 2008 ORI Conference on RCR Education, Instruction and Training).
Training in this topic typically involves the various agency definitions of misconduct, how to report occurrences and the roles and responsibilities of the whistleblower. For postdocs it is important to also identify the risk involved in whistleblowing, since they are particularly vulnerable to repercussions. Furthermore, even in a situation where postdocs may succeed in reporting misconduct, they often still lose since their position and immediate career future may depend upon the PI or lab that has engaged in misconduct. For these reasons it is also important to make clear the avenues available to postdocs for asking advice and questions about sensitive situations, whether that is through the ombudsman, the postdoc office director or a peer network of some kind.
Teaching Materials and Case Studies
Chapter 4 on Teaching Materials for Research Misconduct provides teaching materials and case studies for postdocs:
Alexander, M. and Williams, W.R. A Guidebook for Teaching Selected RCR Topics to Culturally Diverse Trainee Groups. Philadelphia: Children's Hospital of Philadelphia. http://ori.dhhs.gov/documents/Alexander.RCR%20Guidebook.BW.pdf
Martinson, B.C., Anderson, M.S., and de Vries, R. (2005) "Scientists Behaving Badly." Nature, 435, 737-738.
Study on self-reported research "misbehaviors" or QRP, with comparison of late-, midand early-career scientists. Surveyed early-career scientists, 58% of which are postdoctoral fellows, showed different patterns in misconduct, and reported a somewhat lower rate of committing misconduct than mid-career scientists (28% compared with 38%).
Articles on Whistle Blowing
A useful article from Science Careers about the issues involved in being a whistle blower in science:
Scientific Integrity and Ethics: A Dilemma
Protecting Whistleblowers--Tell ORI What You Think! A Science Careers discussion of ORI regulations for protecting whistleblowers (rules passed in 2001)
http://sciencecareers.sciencemag.org/career_development/previous_issues/articles/0770/p rotecting_whistleblowers_tell_ori_what_you_think
Overview of Whistleblower Policies at ORI http://ori.dhhs.gov/misconduct/whistleblowers.shtml
Another article that considers the potential consequences of being a whistle blower: Hoke, F. (1995) "Veteran Whistleblowers Advise Other Would-Be 'Ethical Resisters' To Carefully Weigh Personal Consequences Before Taking Action" The Scientist 9(10):1 http://www.the-scientist.com/article/display/16504/ (subscription required)
A very accessible article from New York Times Magazine in 2006 describes the experience of former University of Vermont lab tech Walter DeNino, who was the whistleblower in the Eric Poehlman case, the first research misconduct case that resulted in jail time.
Interlandi, J. "An Unwelcome Discovery." New York Times Magazine October 22, 2006
G. COMMUNICATION AND DIFFICULT CONVERSATIONS
Communication and difficult conversations is a topic not include among the standard nine education areas recommended by the Office of Research Integrity. Nevertheless, it is a topic of particular importance for postdocs whose position at any institution is one with little official status often requiring that postdocs rely upon persuasion and goodwill to navigate some aspects of the research environment. In particular, a postdoc's sole reliance upon his or her supervisor for resources, support, approval, and future job recommendations means that communication is a critical skill as is diplomacy when conversations turn towards difficult or sensitive topics. These skills are doubly important for international postdocs who come from a different cultural perspective, with different norms and assumptions, and may have to have these difficult conversations in a second language.
Communication for Difficult Situations
Dealing with people in any environment can lead to difficult situations, and the research environment is no different. Despite the "scholar in an ivory tower" allusions, research requires significant collaboration and people management skills. Postdocs have the disadvantage of having little status or power within their institution, which can create additional difficulties. Thus communication in such situations can be the key to amicable resolutions.
Teaching Materials
High Conflict People in Legal Disputes by Bill Eddy.
It provides an overview of the 4 difficult personality types (Borderline, Narcissistic, Antisocial, Histrionic) that can be encountered in any kind of dispute, not just legal, as well as advice on how to deal (or not deal) with each one.
"Dealing with Difficult People and Difficult Situations" by Dale Cameron A New York Academies of Science eBriefing
Lab Dynamics: Management Skills for Scientists by Carl M. Cohen and Suzanne L.
Cohen
Book published by Cold Spring Harbor Laboratory Press that covers general management skills, among which are dealing with conflicts
"Dealing with Conflict" by Carl Cohen
Article in The Scientist (2007, Vol 21, Issue 2) (subscription required
) drawing on information from Cohen’s
Lab Dynamics book
Influence Without Authority by Allen R. Cohen and David L. Bradford This book deals more with workplace influence such as how to get things done when you are not in charge.
Influence: The Psychology of Persuasion by Robert Cialdini
The book probes other aspects of influencing people, in particular, how human psychology can be used in marketing and sales
" Obtaining and Negotiating a Faculty Position" and
" Laboratory Leadership in Science"
Chapters 1 and 3 from Burroughs Wellcome Fund and the Howard Hughes Medical Institute (2006) Making the Right Moves: A Practical Guide to Scientific Management for Postdocs and New Faculty, Second Edition
Conflict Resolution
Having a complete set of management skills should help postdocs to avoid conflict, but when conflict does arise, the postdoc should be prepared to seek an amicable resolution with the parties involved. Given the highly competitive nature of scientific research, and the increasing trend toward team science, postdocs will need training in conflict resolution. Because postdocs have very little status or power within an institution, training in this area should emphasize how to avoid conflict by clearly communicating expectations, concerns, and questions in a forthright and respectful manner. Building on the negotiation skills addressed in the previous section will be helpful in this regard. (Excerpt from the NPA Postdoc Office Toolkit article on "Providing Complementary Skills Development Programs")
Teaching Materials
There are numerous workshops, articles and other resources available on this topic:
The NPA offered a workshop on this topic at its 2nd Annual Meeting. The workshop was entitled: Pragmatic Leadership: Finding Your Leverage Points for Success
The University of Pittsburgh Health Sciences Office of Academic Career Development offers a Postdoctoral Professionalism Series, including a workshop on "Enhancing Your Professional Skills: Strategies for Conflict Management."
http://www.aamc.org/members/great/ee_pitt_progrms_descript.pdf
Science Careers has published a series of helpful articles on this topic:
Lab Rage: Dealing with Personality Conflicts
http://sciencecareers.sciencemag.org/career_magazine/previous_issues/articles/0490/lab_ rage_dealing_with_personality_conflicts/
Butting Heads: Conflict Resolution for Postdocs, Part I
http://sciencecareers.sciencemag.org/career_magazine/previous_issues/articles/2001_03_ 16/noDOI.13497987501303093089
Butting Heads: Conflict Resolution for Postdocs, Part II
http://sciencecareers.sciencemag.org/career_development/previous_issues/articles/0980/b utting_heads_conflict_resolution_for_postdocs_part_ii/
See also:
Dysfunctional Advisee-Adviser Relationships: Methods for Negotiating Beyond Conflict http://sciencecareers.sciencemag.org/career_development/previous_issues/articles/0000/d ysfunctional_advisee_adviser_relationships_methods_for_negotiating_beyond_conflict
TAILORING RCR PROGRAMS FOR POSTDOCS
Training programs in RCR are often directed primarily at the student who is still learning how to be a researcher and may not have experience with many of the topics covered. Postdocs on the other hand are already professional researchers and many RCR topics will resonate with them from previous experience. In addition, postdocs have a number of unique concerns due to the nature of the postdoc appointment, from its short-term nature to its inherent lack of official standing. Below are six general recommendations for tailoring a program to needs and habits of postdocs.
Customize your program content to the specific concerns of postdocs – To design a program that targets postdocs, it is recommended to review the seven individual RCR content areas described in the toolkit article "Determining the Goals and Content of your Program" which each outline issues of particular relevance to postdocs.
Supervisors are key to a postdoc's RCR training – It is acknowledged by most sources (c.f. National Academies 2002 [1]; Anderson et al. 2007 [2]) that the best method for influencing responsible behavior is through mentoring from an advisor, which can include one-on-one mentoring as well as participating in group meetings or journal clubs. The relationship between a postdoc and his or her supervisor is a critical one, since postdocs are particularly reliant upon their supervisors for both financial and infrastructural support, as well as further career advancement. Thus it is important to involve postdoc supervisors with RCR training, whether they actively participate as a mentor in these topics or merely support the postdoc's participation in a more formal program. Since extensive mentoring is not always feasible in today's busy research environment, formal training is often necessary to supplement individual mentoring. In any case, having a supervisor's support for such training activities can be critical for postdocs to feel comfortable taking time away from research in order to participate.
Establish a postdoc training curriculum that includes RCR – One way to reinforce RCR education is to incorporate training in RCR into a core curriculum [3]. As the postdoc position is increasingly acknowledged as a training period (as evidenced, for example, by the new NIH and NSF postdoc definitions), it is important to give coherence to that training via a curriculum. The importance of this training is further underscored by the NIH requirement for RCR training for all NIH-supported trainees as well as the 2007 America COMPETES Act which instructs NSF to require training in RCR for all NSF grant-funded postdocs. The NPA's Recommended Practices recommends establishing a postdoc curriculum, and is currently developing a recommended curriculum of core competencies for postdocs that include responsible conduct of research.
Incorporate RCR with everyday "survival" skills – Another recommendation from the NRC report Integrity in Scientific Research [4] is to teach RCR alongside "survival" skills. This is an increasingly popular approach that has become very successful as a vehicle for delivering research integrity training, especially for postdocs. Not only does this have pedagogical advantages by integrating the topic with other basic research skills and thus improving long term retention, it also makes RCR training much more attractive for postdocs. If a training program appears to have a more direct benefit to a postdoc's career, such as preparing them to be a better lab manager, then postdocs are much more likely to attend. For example, when asked on the Sigma Xi Postdoc Survey what kinds of formal training they would be interested in receiving, postdocs ranked research ethics last, whereas they put grant writing, lab management and project management at the top.
Two primary models have emerged for these types of programs: Survival Skills courses and Lab Management courses. Part of the success of these approaches is due to the very useful "train-the-trainers" workshops that provide instruction on designing and offering such programs.
* The Survival Skills and Ethics program at the University of Pittsburgh offers a series of workshops on survival skills as well as an annual train-the-trainers conference on designing your own survival skills course. Their website also offers a number of resources for those mounting their own program, especially designed for those who have completed their training conference.
Some other examples:
o University of Pennsylvania School of Medicine: Research Survival Skills course
http://www.med.upenn.edu/postdoc/training.shtml
Focuses on scientific writing, grant writing, and laboratory management
o UC San Diego Research Ethics Program – Ethics and Survival Skills
Course http://ethics.ucsd.edu/courses/survival/index.html
o University of Miami Miller School of Medicine: Professional Skills and Ethics courses http://www.biomed.miami.edu/postdocs/prospective-professional.html
* Lab Management courses were widely promoted through a joint initiative of the Burroughs Wellcome Fund and the Howard Hughes Medical Institute. The initiative offered train-the-trainers workshops for those who would like to develop a lab management course. Along with these workshops, they also developed excellent resources both for those teaching such a course and those who would take the course. In particular, they produced two publications, which can be ordered for free from HHMI or downloaded:
o Training Scientists to Make the Right Moves: A Practical Guide to Developing Programs in Scientific Management http://www.hhmi.org/resources/labmanagement/training.html and
o Making the Right Moves: A Practical Guide to Scientific Management for Postdocs and New Faculty
http://www.hhmi.org/resources/labmanagement/moves.html
o In addition to these publications, the Lab Management website includes a number of useful tools for planning a lab management course, such as example syllabuses, evaluation forms, and case studies.
Some examples of lab management courses:
o Philadelphia Postdoctoral Consortium Scientific Management Course for Postdocs
http://www.jefferson.edu/JCGS/postdoc/sci_mgmt_course/postdoc_sci_m gmt_course.cfm
o UC Davis Laboratory Management Institute http://www.research.ucdavis.edu/home.cfm?id=OVC,14
o UC San Diego Lab Management Symposium http://research.ucsd.edu/postdoc/events/labmgmt2007/index.html
o UC San Francisco Scientific Leadership and Laboratory Management Course http://medschool.ucsf.edu/postdocs/leadership.html
o University of Pittsburgh Course in Scientific Management and Leadership http://www.oacd.health.pitt.edu/leadershipcourse/
o For other organizations mounting lab management courses based on training from the BWF-HHMI program, visit: http://www.hhmi.org/resources/labmanagement/partners.html
Address the cultural diversity among postdocs – It is important to take into account the range of cultural backgrounds among postdocs, since the majority will be visa holders. Expect postdocs trained in different countries to have a range of experiences with RCR, different scientific cultures and norms upon which to draw, and certainly different personal experiences with research. Focus groups with international postdocs on RCR at the Children's Hospital of Philadelphia found that while postdocs from all countries indicated a need for RCR training, it was important to allow the opportunity for postdocs to share their varied experiences. Another consideration is that the vulnerability of postdocs due to their lack of official standing is doubly true for postdocs from other countries and those from underrepresented groups.
Some useful resources on this are:
* Alexander, M. and Williams, W.R. A Guidebook for Teaching Selected RCR Topics to Culturally Diverse Trainee Groups. Philadelphia: Children's Hospital of Philadelphia.
http://ori.dhhs.gov/documents/Alexander.RCR%20Guidebook.BW.pdf
* Williams, W.R. Mentoring International Postdocs: Working Together to Advance Science and Careers. Philadelphia: Children's Hospital of Philadelphia. http://ori.dhhs.gov/education/products/chop_mentoring/
* NPA International Postdoc Survival Guide http://www.nationalpostdoc.org/site/lookup.asp?c=eoJMIWOBIrH&b=1482617
Consider How to Attract Postdocs – In deciding which format is most appropriate for your postdoc community, take into account some of the big issues for attracting postdocs to your program. It can be a challenge to draw them from their labs and offices, even with the support of their supervisors. Some questions to consider are:
* What will postdocs get out of it? Consider whether the course will be required or optional. Consider whether postdocs will be satisfying a requirement, or perhaps receiving a certification. Postdocs will likely be more interested in a program where they receive something tangible upon completion that may help with future job prospects.
* Is it a time/location when the postdocs will be willing to the leave their lab or office? The distance and time of day of a program can be critical for increasing postdoc participation. See "Marketing RCR Programs to Postdocs" for suggestions on this and other concerns.
________________
[1][3][4] Board on Health Sciences Policy and Institute of Medicine (2002) Integrity in
Scientific Research: Creating an Environment That Promotes Responsible Conduct.
Washington, DC: National Academies Press.
http://books.nap.edu/openbook.php?record_id=10430&page=84
[2] Anderson, M.S., Horn, A.S., Risbey, K.R., Ronning, E.A., De Vries, R., and Martinson, B.C. (2007) "What Do Mentoring and Training in the Responsible Conduct of Research Have To Do with Scientists' Misbehavior? Findings from a National Survey of NIH-Funded Scientists." Academic Medicine. 82(9): 853
CHOOSING A PROGRAM FORMAT
There are a range of formats for programs that can suit different goals and needs in an RCR program. Here are just a handful of general format types to consider.
A. Short Course or Single Workshop
The length of a program must balance practical concerns with pedagogical theory. While a program that is too short may not have sufficient depth, it is also important to remember that postdocs are busy and their primary responsibility is producing research results. Thus, keeping the program to a manageable length, such as a short course or a weekend workshop, can increase your attendance. Shorter programs like this can be effective if they are devoted to a particular topic – such as preparing a protocol for human subjects review board – or if they are connected to a comprehensive program that grounds the course in a larger context.
Such courses should also attempt to make the information pertinent and engaging to postdocs using the active learning methods. Some suggested techniques:
* Use case studies: some good case studies appear in the textbook Scientific Integrity, on the HHMI Lab Management website, and on the ORI RCR education website; see also, A Guidebook for Teaching Selected RCR Topics to Culturally Diverse Trainee Groups, which has adapted some case studies for postdocs on the topics of: Data Management, Sharing and Ownership; Intellectual Property; and Research Misconduct. Additional examples appear in the Sample materials article in this toolkit.
* Perform in-class or pre-surveys: Surveying the participants can help them examine their own opinions and compare with those of others—see example surveys in Macrina's Scientific Integrity textbook. For additional baseline knowledge examples consult the RCR Surveys and Program Evaluation article in this toolkit.
* Employ role playing: Role playing different case study situations is another way of engaging participants actively in the decision making process. One example is LabAct, offered by the Lab Management Institute at UC Davis. This has also been utilized at Penn State in their RCR postdoc training (see the online description here: http://www.nationalpostdoc.org/publications/rcr/198-rcr-programabstracts#pennstate). The RCR textbook, Scientific Integrity, includes some role playing exercises in its Appendix II. See also research-ethics.net for additional guidance on role playing: http://www.researchethics.net/index/distools/role/index.php
* Other interactive activities:
o Mock IRB Review Board: Offer an opportunity for participants to do their own ethical review of studies involving human subjects as an Institutional Review Board.
o Postdoc Supervisor Interview: For an example of this assignment, download a handout developed by the University of North Carolina – Chapel Hill: http://www.nationalpostdoc.org/index.php?option=com_rubberdoc&view =doc&id=227&format=raw
Some Examples of Courses:
* University of California San Diego: "How to Write and Publish a Scientific Paper"
http://www.nationalpostdoc.org/publications/rcr/198-rcr-program-abstracts#ucsd Embeds RCR information on responsible authorship and peer review with strategies for writing and publishing
* University of Washington: "Communication with Difficult Colleagues" http://www.nationalpostdoc.org/publications/rcr/198-rcr-programabstracts#washington Workshop on strategies for ethical persuasion and dealing with difficult personalities, with special emphasis on the sensitive nature of a postdoc's communication with his or her postdoc supervisor
* Boston University: Responsible Conduct of Research Program http://www.bu.edu/research/policies/ethicsprogram.html Case studies have many examples with postdocs and grad trainees involved; offers certification good for satisfying NIH requirements
* MIT: "Survival Skills for Researchers: The Responsible Conduct of Research." http://ocw.mit.edu/OcwWeb/Health-Sciences-and-Technology/HST-502SurvivalSkills-for-Researchers--The-Responsible-Conduct-ofResearchSpring2003/CourseHome/index.htm
* Stanford University: Responsible Conduct of Research Course http://postdocs.stanford.edu/education/ethics.html.
* University of Minnesota: RCR Courses
http://www.research.umn.edu/first/ UMN also has a Small Grants program, fostering the development of continuing educational opportunities in RCR: http://www.research.umn.edu/opportunities/intramural/RCR_grantsprogram.html
* University of Missouri-Columbia: RCR courses for grads and postdocs http://gradschool.missouri.edu/RCR/index.htm
* Virginia Commonwealth University: Scientific Integrity Resources and Course http://www.courses.vcu.edu/rcr/
Includes information on RCR resources at VCU plus information on a Scientific Integrity course for grads and postdocs
* See also the descriptions for additional RCR programs at the NPA's RCR for Postdocs Web site: http://www.nationalpostdoc.org/publications/rcr/130-rcrprogram-descriptions
B. Course or Workshop Series
A shorter program often can be more effective if it is part of a longer series. The advantage of a series of programs allows learning over longer periods of time and links individual programs to a broader picture. This could include regular meetings over a year-long course or periodic seminars held over a year or more throughout a postdoc's career. Creating a series can also create some flexibility for postdocs who may not be able to attend all the workshops. Multiple events may also allow for smaller class sizes, which can foster more individualized instruction that adapts to varying backgrounds and learning styles. Another advantage of having a comprehensive program or series of events can allow for different types of formats to be used, for example discussion groups, lecturing, or peer teaching, which can serve to reinforce the material through these different venues.
Some examples:
* University of Texas Health Science Center at Houston: Postdoctoral Certificate Training Program
http://www.uth.tmc.edu/postdocs/postdoc_certificate_program.html A two-year, 15 semester credit hour certificate program with courses on various professional development topics including RCR
* Washington University in St Louis: Professional Development Series http://dbbs.wustl.edu/dbbs/website.nsf/6c18fc53358d390286256cde00604464/53 37a89f8118e82d86257296006f53d6?OpenDocument A series of monthly workshops for postdocs on non-scientific skills, including mentoring, lab management, and difficult conversations. Postdocs receive a certificate for attending all.
* University of Texas MD Anderson Cancer Center: Postdoc Toolkit Series http://www.nationalpostdoc.org/publications/rcr/198-rcr-programabstracts#mdand
A series of workshops on: What is Responsible Conduct of Research? How to Make a Career Development Plan with Your Mentor; Your words, your reputation: understanding copyright and plagiarism in scientific publication; Back and Forth Through the Journal's Doors: Responsible Authorship and Effective Peer Review; Talk the Talk: Developing Ideal Communication between Postdoc and Mentor
Holding an informal series of events has some of the same advantages of linking shorter programs to a large context with a coherent theme and curriculum. The less formal nature, however, can allow postdocs to attend when time permits and avoids the stigma of merely "checking a box" for a requirement. In particular, brown bag events that take place over lunchtime make use of existing "downtime" for postdocs and so may increase attendance and participation. They also offer the opportunity to integrate RCR topics with other professional development opportunities such as networking with senior faculty.
Some examples:
* Penn State Brown Bag Seminars
http://www.research.psu.edu/orp/education/offerings/index.asp#bb
* UC Davis Brown Bag Series http://www.research.ucdavis.edu/rcr/
* University of Kansas Graduate School Brown Bag Seminars http://www.graduate.ku.edu/~graduate/rcrmedia/
* Indiana University http://research.iu.edu/rschcomp/announce.html Brown bag series primarily on human subjects in research
D. Computer-based or Online Courses
A number of institutions have developed online modules for RCR training. Such online modules can provide a good base for designing a course – and avoiding reinventing the wheel – and they can make the information easily accessible. In practice, they can be useful for teaching a set of policies or rules; however, typically they are not as effective at engaging postdocs in the more subtle aspects of scientific integrity as in-person, interactive learning techniques.
Some examples:
* Office of Research Integrity website: ORI has an extensive website with links to a number of educational tools for teaching RCR:
http://ori.dhhs.gov/education/products/
* CITI RCR course: Collaborative Institutional Training Initiative (CITI) is a crossinstitutional online teaching portal. The RCR course is currently available for free to the research community:
https://www.citiprogram.org/rcrpage.asp
* Open Seminar in Research Ethics: Another freely available online course in ethics: http://www.openseminar.org/ethics/
E. Non-Traditional Training Formats
The formats included above highlight only a few of the more common approaches. There are many opportunities for creativity when designing these programs and developers should continue to experiment and think outside the box. For example, talking to postdocs about their interests and needs could reveal new approaches or topics. The RCR education community also continues to innovate so watch for conferences or programs that highlight these ideas and innovations. The ORI website and the RCR INSTRUCTION listserv at NIH are great sources for information, as are the other articles in the NPA RCR Toolkit.
Some examples:
* RCR Orientation for International Postdocs
o Medical University of South Carolina: International Scholar Orientation Program
http://www.nationalpostdoc.org/publications/rcr/198-rcr-program- abstracts#musc
Program orients incoming international postdocs to the U.S. research culture, preparing them to participate in an RCR retreat offered to all incoming postdocs at MUSC
* Train-the-Trainers sessions for teaching postdocs to teach RCR to graduate students
o Wake Forest University
http://www.nationalpostdoc.org/publications/rcr/198-rcr-program- abstracts#wake
Wake Forest provides training to postdocs on "problem-based learning" teaching strategies for teaching RCR
o University of North Carolina at Chapel Hill
http://www.nationalpostdoc.org/publications/rcr/198-rcr-programabstracts#unc
* Embed in professional and career development activities
o Stanford: Soft Skills Workshops for Postdocs http://www.nationalpostdoc.org/publications/rcr/198-rcr-programabstracts#stanford
Workshops embedded RCR topics with other skill development:
"Developing a career progress plan", "Interviews and interviewing – how to get what you want”, and “Managing, motivating, and mentoring your
workforce"
o Brown University: "PI 101: Key Advice for the Newly Independent Investigator and Those Who Hope to Be"
http://www.nationalpostdoc.org/publications/rcr/198-rcr-programabstracts#brown
Workshop places RCR in the context of professional survival skills, in particular providing guidance and insight to postdocs on becoming a successful and ethical independent investigator
o Massachusetts General Hospital Postdoc Association: Mentored Lunches on Difficult Topics
http://www.nationalpostdoc.org/publications/rcr/198-rcr-programabstracts#massgen
The MGH postdoc association invited postdoc-recommended faculty mentors to talk over lunch about various topics that can be difficult to discuss with one's own supervisor, such as: balancing work and life; where to look for good mentoring; building self-image and selfconfidence; and the hirable qualities of an assistant professor: publications vs. independent funding vs. personality
Whatever form your program takes, the NPA can provide technical assistance to help you reach your postdoc audience. Be sure to consult the other articles in the RCR Toolkit, or contact the NPA Project Manager directly. Additional programs are listed on the NPA RCR for Postdocs page. Also, if you would be interested in sharing the details of your program, the NPA is always looking for additional models to feature in the toolkit. Contact the NPA Staff for further details.
SAMPLE AGENDA, SYLLABUSES AND MATERIALS
Below is a list of various sample curricula, agenda and program materials that are available for download at the NPA Web site. In order to do so, it is recommended that you visit this article online at: http://www.nationalpostdoc.org/publications/toolkits/rcrtoolkit/309-rcr-toolkit-samples
Program Agenda and Syllabuses
* "Interviews and Interviewing: How to get what you want" Workshop, Stanford University Postdoctoral Association
* "Managing, Motivating and Mentoring your Workforce" Workshop, Stanford University Postdoctoral Association
* "Developing a career progress plan" Workshop, Stanford University Postdoctoral Association
*
International Scholar Orientation Program, Medical University of South Carolina
* "RCR ON THE PATHWAY TO INDEPENDENCE: A program for postdoctoral fellows," RCR Workshop Series, University of South Alabama
* "Postdoc Survival Skills," University at Buffalo
* "Train-the Trainer" Biomedical Research Ethics Course for Postdoctoral Scholars, University of North Carolina at Chapel Hill
* Ethics Training Short Course for Postdocs, University of North Carolina at Chapel Hill
* Learning Goals for Training and Education in the Responsible and Ethical Conduct of Research / Scholarship, Michigan State University
Exercises and Case Studies
* Postdoc Case Studies (and Responses) on Data Ownership & Sharing, Intellectual Property, and Research Misconduct, Oak Ridge Associated Universities
* PI Interview Assignment, University of North Carolina at Chapel Hill
* Data Ownership Case Studies, University of South Alabama
* Grant Writing Case Study, including visa issues for international postdocs, University of South Alabama
* Mentoring Case Study, University of South Alabama
* Research Misconduct Case Studies, University of South Alabama
* Peer Review Case Study, University of South Alabama
* Authorship and Collaboration Case Studies, University of South Alabama
RCR Brochures and Completion Certificates
* RCR Brochure for Postdocs, including information on RCR training courses, University of South Alabama
* RCR Informational Brochure for Postdocs, Brown University Provides information on RCR topics targeted for postdocs
* RCR Series Completion Certificate, Michigan State University
* Brochure on RCR Training Courses, Michigan State University
Program Evaluation Forms and Surveys
* RCR Baseline Knowledge Pre-Survey, MD Anderson Cancer Center Postdoc Association
* International Postdoc RCR Survey, Medical University of South Carolina Pre-test to assess knowledge and attitudes towards RCR topics among international postdocs
* Postdoc RCR Attitudes Survey, University of Washington
Postdoc Baseline RCR Knowledge Pre-Test, Oak Ridge Associated Universities
* Children's Hospital of Philadelphia Pre-Assessment and Course Evaluation
Flyers and Other Marketing Materials
* Conference Flyer with speakers, "Scientific Integrity: Conflicts in Research and Education," University of Pennsylvania
* Ethics Training Short Course, University of North Carolina at Chapel Hill
Postdoc Performance Evaluations
* Postdoctoral Scholar Annual Evaluation Form, UCLA Feedback and assessment on postdoc's overall performance
* Postdoc Annual Performance Evaluation Form, Brown University
* Research / Career Development Plan & Periodic Evaluation Form, UCLA Tool for setting and assessing progress towards short- and long-term research and career goals
Presentation Slides
* Powerpoint slides with questions for use with "clickers" or personal response systems, Michigan State University
The following were developed for use with the TurningPoint response system
o Basic RCR Awareness questions
o Case Studies: Data Ownership and Animal Subjects
o Case Studies: Human Subjects and Publishing
o RCR Attitude questions
Other
* Compact Between Postdoctoral Scholars and Faculty Mentors, UCLA Articulates the roles and responsibilities of both the Postdoctoral Scholar and Faculty Mentor.
* Tool Kit for Postdoctoral Scholars and Faculty Mentors, UCLA
RCR SURVEYS AND PROGRAM EVALUATION
When determining the goals of an RCR program, it is also important to consider how to evaluate whether these goals have been achieved. The RCR community has made significant strides in assessing the overall effectiveness of RCR education. However, attempts to determine a change in behavior – arguably the intended ultimate result of RCR training – have been difficult due to the multiple variables that impact behavior, the challenge of defining a control sample, and the question of whether an individual's hypothetical behavior in a case study actually mirrors their behavior when faced with the situation in the real world (see for example Elliott & Stern 1996). Thus, the achievement of goals focusing on changes in knowledge or skills in RCR might be somewhat easier to assess than a change in attitude or behavior.
The most common approach to evaluating individual gains from a course or program is to use pre- and post-testing. This can assess an individual's knowledge coming in to the program and then compare this to their knowledge of the same information upon completing the program. It can also assess to some extent attitudes and skills.
For a concise overview of considerations when evaluating a program, visit the ethics education repository research-ethics.net:
http://www.research-ethics.net/index/introduction/eval/index.php
Common Evaluation Tools from the Literature
Defining Issues Test (DIT-2)
Rest, Narvaez, Thoma, &. Bebeau, 1999 "DIT2: Devising and testing a revised instrument of moral judgment." Journal of Educational Psychology 91(4):644-659
The DIT-2 (version 2 of the Defining Issues Test) assesses moral judgment using a series of case studies to which subjects respond. Many programs have used the DIT-2 as a pretest and post-test to gauge the degree to which an RCR program has impacted the moral reasoning of students.
To order the survey, visit The Center for the Study of Ethical Development website: http://www.centerforthestudyofethicaldevelopment.net/index.html
There you can purchase the exams and the Center will score them for you. They have a sliding fee scale depending on how many tests you order.
Ethical Decision Making Measure
Mumford, M., Davenport, L.D., Ryan, P.B., Connelly, S., Murphy, S.T., Hill, J.H., and Antes, A.L. 2006 "Validation of Ethical Decision Making Measures: Evidence for a New Set of Measures." Ethics and Behavior 16(4):319-345.
These measures use a range of ethical situations and case studies to probe the respondent's ethical decision making.
Baseline Knowledge Test
Heitman, E., Olsen, C.H., Anestidou, L., and Bulger, R.E. 2007 "New Graduate Students' Baseline Knowledge of the Responsible Conduct of Research" Academic Medicine 82(9):838-845
This test provides an assessment of baseline knowledge of RCR topics targeting graduate students. While the test is designed for research purposes and encompasses all topic areas of RCR, a reduced set could be appropriate for a course assessment.
Views on Science-Technology-Society (VOSTS)
Aikenhead, G.S. and Ryan, A.G. 1992 "The Development of a New Instrument: "Views on Science-Technology-Society" (VOSTS)" Science Education 76(5): 477-491
The questionnaire probes attitudes about a scientist's and engineer's social responsibility. It can be found on the author's webpage at:
http://www.usask.ca/education/people/aikenhead/vosts.pdf
Pre-Test and Post-Test Examples
Example attitude surveys for use during an RCR course
These surveys are more commonly used to engage participants during a course, but could form the basis for some pre- and post-test questions as well. Examples for all the RCR core areas can be found in Appendix I of the Scientific Integrity textbook companion website, scientificintegrity.net.
University of Washington Postdoc RCR Attitudes Survey Assesses current attitudes and practices regarding professional development and responsible conduct of research program targeting postdocs http://www.nationalpostdoc.org/index.php?option=com_rubberdoc&view=doc&id=212& format=raw
Medical University of South Carolina International Postdoc RCR Survey
This survey was used as a pre-test to assess knowledge and attitudes towards RCR topics among international postdocs attending an orientation to responsible research practices and norms in the U.S.
http://www.nationalpostdoc.org/index.php?option=com_rubberdoc&view=doc&id=213& format=raw
Florida State University Pre- and Post-tests on Graduate Student RCR Knowledge Tests developed by Florida State University to test incoming and outgoing knowledge of RCR issues among graduate students. This was part of a program funded by the federal Office of Research Integrity and the Council of Graduate Schools:
Pre-test: http://www.cgsnet.org/portals/0/pdf/RCR_Pre-Test.pdf
Post-test: http://www.cgsnet.org/portals/0/pdf/RCR_Post-Test.pdf
Exit Survey: http://www.cgsnet.org/portals/0/pdf/RCR_ExitSurvey.pdf
Children's Hospital of Philadelphia Pre-Assessment and Course Evaluation These surveys were developed by Children's Hospital of Philadelphia for use in their RCR courses for trainees. The Pre-Assessment is primarily a gauge of who the audience is and their general preparation. The course evaluation assesses the course usefulness and design.
CHOP Pre-Assessment Survey:
http://www.nationalpostdoc.org/index.php?option=com_rubberdoc&view=doc&id=211& format=raw
CHOP Course Evaluation Survey:
http://www.nationalpostdoc.org/index.php?option=com_rubberdoc&view=doc&id=210& format=raw
MD Anderson Cancer Center Postdoc Association Pre-Survey of RCR Training and Attitudes
A pre-survey conducted of MD Anderson's postdocs probing their past training, interests and attitudes with regard to RCR topics.
Download:
http://www.nationalpostdoc.org/index.php?option=com_rubberdoc&view=doc&id=223& format=raw
Oak Ridge Associated Universities Postdoc Baseline RCR Knowledge Pre-Test Probes postdoc awareness of RCR issues prior to participating in training Download:
http://www.nationalpostdoc.org/index.php?option=com_rubberdoc&view=doc&id=232& format=raw
University of North Carolina at Chapel Hill Postdoc Ethical Decision Making Survey Examines the ethical decision making choices of postdocs and can be used to assess the impact of RCR training
Download:
http://www.nationalpostdoc.org/index.php?option=com_rubberdoc&view=doc&id=246& format=raw
Course Evaluations
In addition to assessing the impact of the course material, it is also important to do an evaluation of the program delivery to identify the relative success of the program format and potential improvements. Several examples of these are included below.
Examples of workshop evaluation forms:
Stanford; http://aic.stanford.edu/education/forms/wrkeval.pdf
Oregon State; http://osulibrary.oregonstate.edu/instruction/workshop.htm
North Carolina State: http://www2.chass.ncsu.edu/CWSP/fac_seminar/sem_eval.html
UCLA: http://www.library.ucla.edu/college/reference/email/seminar.htm
Other examples of evaluation questionnaires from HHMI Lab Management courses:
http://www.hhmi.org/resources/labmanagement/resources.html#evaluation
Selected References on Assessment of RCR Training Effectiveness
Elliott, D. & Stern, J. E. (1996). Evaluating teaching and students' learning of academic research ethics. Science and Engineering Ethics 2(3): 345-366.
In a study of the outcomes of a research integrity course, the authors find a null effect of the course on ethical behavior and suggest that evaluation should return to focusing on knowledge and skills.
Martinson, B.C., Anderson, M.S., and de Vries, R. (2005) "Scientists Behaving Badly." Nature, 435, 737-738.
Study on self-reported questionable research practices, with comparison of late-, midand early-career scientists.
Anderson, M.S., Horn, A.S., Risbey, K.R., Ronning, E.A., De Vries, R., and Martinson, B.C. (2007) "What Do Mentoring and Training in the Responsible Conduct of Research Have To Do with Scientists' Misbehavior? Findings from a National Survey of NIHFunded Scientists." Academic Medicine. 82(9): 853
A broad study of NIH PIs and trainees that finds that the RCR training method that seems to have the best result is mentoring.
Kalichman, M.W. and Plemmons, D.K. 2007 "Reported Goals for Responsible Conduct of Research Courses." Academic Medicine 82(9):846-852
A survey of instructors of RCR courses for NIH training grant trainees finds a lack of consensus about stated goals of instruction.
MARKETING RCR PROGRAMS TO POSTDOCS
This article was adapted from the NPA Postdoc Office toolkit article on "Organizing Career Development Workshops"(requires NPA member login) as well as from advice contributed to the ScienceCareers.org forums on how to encourage postdocs to attend career development events:
http://sciencecareers.sciencemag.org/career_development/tools_resources/forum/view?id =23905
There are many different strategies for marketing your program to postdocs, which depend upon a variety of characteristics, from your institutional culture to the size of your postdoc community. The following suggestions on how to attract postdocs to a professional development event should be applied with these broad considerations in mind.
Making the content attractive
Perhaps the most important aspect of making your event attractive to postdocs is to ensure that they feel it will have a return on their time. Your event needs to provide a benefit that makes a busy postdoc take time away from his or her research, so be sure to emphasize what they will get out of the event in all your publicity. You might even consider taking the straightforward approach and bulletize these things in your announcements, such as professional development, aid in career advancement, or ability to compete effectively for grants.
Another consideration is building "buy-in" from administration or faculty. If a postdoc's supervisor supports the event, he/she may feel more comfortable leaving the lab in order to attend. An added benefit is that support from the institution could also lead to additional resources for your event. Some ways to do this are to emphasize the benefits to the PI, such as fulfillment of training requirements, strengthening of a postdoc's writing and publication skills, or even reducing the likelihood of research misconduct.
Research integrity programs in particular can benefit from integrating responsible conduct of research (RCR) topics into a larger context of professional development or lab management skills for postdocs. Not only will this make the program more attractive to postdocs it will reinforce the connections between RCR and everyday research tasks and skills. The advantages of these types of approaches are discussed in the toolkit articles on "Tailoring RCR Programs for Postdocs" and "Choosing a Program Format."
Another way of attracting postdocs – and building faculty support – is to try to enhance the prestige of participating in the program. This could mean instituting an application process that makes it an honor to be selected for the program or offering a certificate of completion or a certification that can be listed on a CV. An application process can accomplish several things. It can add selectivity to participation, and thus increase interest and attendance. It also has several practical benefits, such as gauging the level of interest in advance and providing a vehicle with which to request endorsement for postdoc participation directly from PIs. Requiring a signature from the postdoc's supervisor not only ensures that the supervisor supports his or her attendance, but it can also foster communication on research integrity between them.
Receiving some kind of certification is another way that postdocs can feel they are deriving a concrete benefit. Several institutions have begun offering "Certificates of Participation" to postdocs who attend a certain number of professional development events or who participate in some sort of defined curriculum. These offerings have been successful in increasing postdoc attendance, which in turn can encourage faculty and administration support. Many institutions may already have something like this in place for any required training programs. A potential downside of institution-specific certifications is that they typically have no official recognition outside the institution. So while they can demonstrate a participant's interest and commitment to professional development, they may have little tangible benefit towards future employment.
Scheduling and Logistics
Another important consideration is the location and scheduling of your event. Make the event location convenient to the audience you are trying to attract. For example, do they have to walk down the hall or across campus? Similarly, try to make the time and date convenient for your community, while acknowledging that there is likely no perfect solution for everyone. Lunchtime events like brown bag meetings or seminars let postdocs turn "down" time into productive time and can often avoid friction with supervisors. On the other hand, your lunchtime event may incur competition from other institutional events also held during that popular timeslot. Late afternoon events can be convenient because experiments can be set to run and coffee breaks are often taken then in any event; however, some postdocs can be reticent to leave the lab during "business hours." An alternative is early evening events which cause fewer conflicts with research and supervisors, but can be problematic, for example, for postdocs who have young children. The best approach is to know your community and its habits and be flexible and responsive to their needs. You may, for example, choose the time of day based on the type of event you are offering. Often one-hour seminar-style workshops can be successful during lunch, whereas more open-ended or longer types of events, like roundtable or panel discussions, work best when held in the evening or on a weekend. Along the same lines, all-day events for postdocs will have a much higher attendance on a Saturday than during the week. No matter what time of day you hold your event, food always provides a major incentive for people to attend. This is especially true if your event encroaches on a mealtime. Moreover, it can make your event seem like an efficient use of time, since at some point they will have to eat anyway.
A critical component to planning your event is feedback and assessment. Be sure to evaluate any program you run, which can give you valuable feedback on your planning process and can help you garner resources and support for future events. Another approach that can provide feedback in advance of your event is to require preregistration. This can give you a sense of the interest level, can help you tune your program to the interests of your postdocs, can help you optimize your resources such as how many cookies you should buy, and can allow you the option of rescheduling to a time that might give you a better turn out. Some examples of evaluation forms, with varying audiences, topics, and formats, are below:
http://aic.stanford.edu/education/forms/wrkeval.pdf http://osulibrary.oregonstate.edu/instruction/workshop.htm
http://www2.chass.ncsu.edu/CWSP/fac_seminar/sem_eval.html http://www.library.ucla.edu/college/reference/email/seminar.htm
A tool that can help you plan such events is the Conference and Event Planning Checklist (http://www.nationalpostdoc.org/index.php?option=com_rubberdoc&view=doc&id=52& format=raw). Distributed at the 2006 NPA Annual Meeting in a session on "Organizing Career Fairs and Professional Development Events," it provides a series of planning milestones for professional development events.
Spreading the Word
A first step in publicizing your event is finding a good way to identify and reach the postdocs. Postdoc offices and associations often have a list of all current postdocs. Other places to talk to are human resource offices, graduate schools, and sponsored research offices. Once you know where the postdocs are, you need to decide how you will reach them. Email lists can be effective at getting the word out, although they are often impersonal and risk being unread in a full inbox. Other ways are to reach postdocs through their departments or offices, either via email or through actual snail mailings. Compared with an email from an external source, an email sent from a local contact – such as someone known, like the department assistant or chair – not only seems more targeted to the postdoc, it also tends to carry some degree of endorsement of the event which can make postdocs more comfortable with leaving their offices or labs. Another traditional but effective approach is posting flyers on bulletin boards or distributing flyers during other events at which there will be postdocs.
Your announcements themselves also need some consideration in design and content. Try to be creative with event titles and information and really try to catch postdocs' attention. This can help make it more of an "event" that should not be missed, as opposed to the weekly seminar that often is. You may also want to consider "branding" your events, with a logo or slogan that is used in all your advertisements. An event that is regularized in scheduling is also easier to plan around (e.g. "First Friday Seminars")
Part of your publicity effort should focus on building support and interest from faculty, administrators, and staff. This of course requires a somewhat different approach than in reaching out to postdocs. Identify individuals who have oversight of research and training policies. This may include the "usual" suspects who work with postdocs, such as Postdoc Office Directors, VPs of Research, Graduate Deans, and Human Resource Officers. But, also talk to people in Employee Assistance Programs, Career Centers, Teaching and Learning Centers who may have an interest in helping with professional development and training programs.
You can find more information on these issues in the NPA Postdoc Association toolkit articles on "Identifying Administrators Responsible for Research and Training Policies" and "Gaining Support from Faculty and Administrative Advocates" (requires NPA member login).
Other Marketing Resources
A general introduction to marketing in the business world: Marketing: An Introduction
Science Careers has a series of articles written for scientists on some lessons that can be learned from MBA training. The following articles are part of a larger series, but deal specifically with aspects of marketing.
Marketing I, Introduction see also the nine subsequent articles http://sciencecareers.sciencemag.org/career_development/previous_issues/articles/0070/ marketing_i_part_1_introduction_part_viii_of_learnin_s_from_my_mba_series
For additional information on organizing such events, peruse the NPA Postdoc Office toolkit article on "Organizing Career Development Workshops".
APPENDIX
SELECTED RESOURCES ON THE RESPONSIBLE CONDUCT OF RESEARCH
I. GENERAL REFERENCES
RCR TOPICS
* General
* On Postdocs
RCR TRAINING
* General
* On Postdocs
RCR TOPICS
General
American Society of Plant Biologists guidelines for Ethics in Publishing http://aspb.org/publications/ethics.cfm
The AAAS-ORI Bibliography and Resources on the Responsible Conduct of Research (Feb 2005)
http://www.aaas.org/spp/sfrl/projects/ori.shtml
Large database of references and online resources on RCR
Collaborative Institutional Training Initiative, University of Miami, CITI Responsible Conduct of Research Program https://www.citiprogram.org/rcrpage.asp
Extensive on-line RCR courses; although postdocs might be less likely to be engaged by on-line courses, these modules provide a significant source of instructional material
ORI's RCR Educational Resources Web page http://ori.dhhs.gov/education/products/
ORI's extensive database of educational products and resources on the topics and teaching of RCR
Responsible Scientific Conduct Bibliography from University of Pittsburgh Survival Skills and Ethics Program http://www.survival.pitt.edu/library/biblio/responsilble.asp
Steneck, N.H. (2004) ORI Introduction to the Responsible Conduct of Research http://ori.dhhs.gov/documents/rcrintro.pdf
An introduction to RCR, with a useful list of resources in its bibliography.
On Postdocs
Burroughs Wellcome Fund and the Howard Hughes Medical Institute (2006) Making the Right Moves: A Practical Guide to Scientific Management for Postdocs and New Faculty, Second Edition http://www.hhmi.org/labmanagement
Text on lab management skills for postdocs and junior faculty, based on courses held in 2002 and 2005 by BWF and HHMI
Children's Hospital of Philadelphia Mentoring International Postdocs: Working Together to Advance Science and Careers http://ori.dhhs.gov/education/products/chop_mentoring
A video guidebook, sponsored by ORI, centered on case studies to raise awareness and training in mentors of postdocs.
Eastwood, S., Derish, P., Leash, E., and Ordway, S. (1996) Ethical issues in biomedical research: Perceptions and practices of postdoctoral research fellows responding to a survey. Science and Engineering Ethics 2: 89-114.
Study of ethical matters relating to research and publishing involving postdoctoral research fellows at UC San Francisco; nearly 40% reported having had no guidance on research ethics from a mentor.
Gluck, M.E., Blumenthal, D., and Stoto, M.A. (1987) "University-Industry Relationships in the Life Sciences: Implications for Students and Post-Doctoral Fellows." Research Policy 16: 327-336.
A study on potential conflicts of interest for graduate students and postdocs when their funding comes directly from industry supporters
Martinson, B.C., Anderson, M.S., and de Vries, R. (2005) "Scientists Behaving Badly." Nature, 435, 737-738.
Study on self-reported research "misbehaviors" or questionable research practices, with comparison of late-, mid- and early-career scientists. Surveyed early-career scientists, 58% of which are postdoctoral fellows, showed different patterns in misconduct, and reported a somewhat lower rate of committing misconduct than mid-career scientists (28% compared with 38%).
National Academies Committee on Science, Engineering, and Public Policy (2000) Enhancing the Postdoctoral Experience for Scientists and Engineers: A Guide for Postdoctoral Scholars, Advisors, Institutions, Funding Organizations, and Disciplinary Societies Washington, DC: National Academies Press http://www.nap.edu/books/0309069963/html A guide on various aspects of professional development for postdocs
National Academy of Sciences, National Academy of Engineering, and Institute of Medicine (1997) Adviser, Teacher, Role Model, Friend: On Being a Mentor to Students in Science and Engineering, Washington, DC: National Academies Press
http://books.nap.edu/catalog.php?record_id=5789
Specifically addresses issues of mentoring of and for postdocs
Sigma Xi (1999) The Responsible Researcher: Paths and Pitfalls. Research Triangle Park, NC: Sigma Xi, The Scientific Research Society.
http://www.sigmaxi.org/programs/ethics/ResResearcher.pdf
General advice for students, postdocs, as well as faculty and scientists in government and industry. Chapter 4 focuses on Postdoctoral Fellows; while it is directed at the postdoc, it highlights some of the most pertinent concerns and issues in RCR for postdocs
Tarnow, E. (1999) The Authorship List in Science: Junior Physicists' Perceptions of Who Appears and Why. Science and Engineering Ethics 5: 73-88.
A study of the awareness of physics postdocs of authorship guidelines in their community, finding that there was low awareness and little discussion of authorship criteria between postdocs and supervisors.
RCR TRAINING
General
American Association for the Advancement of Science. Integrity in Scientific Research. http://www.aaas.org/spp/video/.
A video guide on case studies of various RCR topics
Bebeau, M.J., Pimple, K.D., Muskavitch, K.M.T., Borden, S.L., and Smith, D.L. (1995) Moral Reasoning in Scientific Research: Cases for Teaching and Assessment. Bloomington, IN: Indiana University.
http://poynter.indiana.edu/mr/mr-main.shtml
Handbook for teaching scientific ethics through moral reasoning; uses a case study approach
Board on Health Sciences Policy and Institute of Medicine (2002) Integrity in Scientific Research: Creating an Environment That Promotes Responsible Conduct Washington, DC: National Academies Press http://books.nap.edu/openbook.php?record_id=10430&page=84
Primary on research integrity in the biomedical sciences, but note in particular Chapter 5: "Promoting Integrity in Research through Education" which contains advice on how to teach RCR and how it should be integrated with the teaching of basic research skills
Fischer, B.A. and Zigmond, M.J. (2001) "Promoting Responsible Conduct in Research Through "Survival Skills" Workshops: Some Mentoring is Best Done in a Crowd." Science and Engineering Ethics 7(4): 563-87.
Article oriented towards the efficacy of these types of programs for teaching graduate students, but many have successfully adapted this approach for postdocs
Korenman, S.G. and Shipp, A., eds. (1994) Teaching the Responsible Conduct of Research Through a Case Study Approach: A Handbook for Instructors. Washington, DC: Association of American Medical Colleges Guidance and useful case studies for teaching RCR
ORI's RCR Educational Resources Web page http://ori.dhhs.gov/education/products/
ORI's extensive database of educational products and resources on the topics and teaching of RCR
RCR Education Consortium Home Page (2002-2004) http://rcrec.org/ An extensive online repository of RCR education resources for instructors.
On Postdocs
Alexander, M. and Williams, W.R. Children's Hospital of Philadelphia A Guidebook for Teaching Selected RCR Topics to Culturally Diverse Trainee Groups http://ori.dhhs.gov/documents/Alexander.RCR%20Guidebook.BW.pdf A handbook, sponsored by ORI, on how to teach RCR topics to postdocs using case studies, based on findings gathered from postdoc focus groups; focus was given to identifying potential differences in approach for international postdocs, but they found few differences in approach were necessary
Burroughs Wellcome Fund and the Howard Hughes Medical Institute (2006) Training Scientists to Make the Right Moves: A Practical Guide to Developing Programs in Scientific Management http://www.hhmi.org/resources/labmanagement/training.html A guide on how to teach a lab management course for postdocs and junior faculty http://www.hhmi.org/resources/labmanagement/downloads/bwf_hhmi_case_study.pdf A specific case study of a course on how to teach a lab management course http://www.hhmi.org/resources/labmanagement/resources.html Sample materials and resources for teaching a lab management class
Macrina, F.L. (2005) Scientific Integrity: Text and Cases in Responsible Conduct of Research (Third Edition). American Society for Microbiology Press, Washington, D.C. Many of his case studies involve postdocs, and his course on scientific integrity at Virginia Commonwealth University is designed for grads and postdocs
Macrina, F.L., Funk, C.L., and Barrett, K. (2004) Effectiveness of Responsible Conduct of Research Instruction: Initial Findings. Journal of Research Administration 6: 6-12. http://www.srainternational.org/NewWeb/publications/Journal/pdf/VolXXXVNoII.pdf Initial results of study of effectiveness of RCR training on postdocs; they find some evidence of greater attention to authorship issues among those with RCR training, but they also find significant awareness among those without RCR training
NSF 2010 RCR REQUIREMENT
Overview
The 2007 America COMPETES Act directed NSF to require that all funded students and postdocs undergo training in the responsible conduct of research (RCR). The implementation of this requirement becomes effective January 4, 2010, when all institutions submitting proposals to NSF must certify that they have a training plan in place for undergraduate and graduate students and postdoctoral scholars who will be supported by NSF to conduct research. This certification must be in place at the time of proposal submission. Training plans need not be submitted with the proposal, however, they must be provided for review upon request. Institutions are responsible for verifying that their undergraduate students, graduate students and postdoctoral scholars receive training.
These guidelines are enumerated in detail in the January 2010 NSF Proposal and Award Policies and Procedures Guide, specifically in Part I – Grant Proposal Guide, Chapter II. C.1e (http://www.nsf.gov/pubs/policydocs/pappguide/nsf10_1/gpg_2.jsp#IIC1e) and in Part II – Award and Administration Guide, Chapter IV.B (http://www.nsf.gov/pubs/policydocs/pappguide/nsf10_1/aag_4.jsp#IVB). Additional details on the implementation, including responses to the concerns submitted by the community during the open comment period, are included in the Federal Register Notice of August 20, 2009 (Volume 74, Number 160).The pertinent excerpts from these sections are quoted later in this article.
Developing an RCR Training Plan
The NSF has stated that it does not intend to release guidance or standards on what should be included in a training plan. In the Federal Register Notice of August 20, 2009, the agency emphasized the need for institutions to tailor their training to the needs, diversity and intended careers of their students and postdocs. It encouraged institutions to determine their own plan for both content and delivery, although this might include newly developed resources as well as use of existing materials. This differs somewhat from the required RCR training of biomedical trainees supported by National Institutes of Health (NIH) training grants, which has long adopted the nine core content areas recommended by the federal Office of Research Integrity at the Department of Health and Human Services: Data Acquisition, Management, Sharing and Ownership; Conflict of Interest and Commitment; Human Subjects; Animal Welfare; Research Misconduct; Publication Practices and Responsible Authorship; Mentor / Trainee Responsibilities; Peer Review; and Collaborative Science.
Institutions developing training plans for their postdoctoral scholars therefore should be responsive to the unique needs of these early-career researchers. Many postdocs have not received formal training in RCR, and this is more often true for international postdocs who comprise the majority of postdocs working in the U.S. Any training program should be cognizant of the breadth of cultural diversity among postdocs, and among graduate students, and that some cultural and research norms may differ; for example, the norms for attribution, record keeping and assignment of authorship. The NPA finds that postdocs are more likely to engage in a program that has clear career implications for
career development. When designing a training curriculum, consider embedding ethics issues alongside training in research and professional development topics, such as authorship practices with scientific publishing tips or peer review principles with grant writing guidance. Finally, take into account other unique issues for postdocs, such as the implications of short-term appointments on data ownership, the dual role they fill of both mentor and mentee, and postdocs' dependence upon their supervisor for career advancement, which can influence conflict management in the lab/research group. Guidance on these needs and approaches for establishing effective training programs for postdocs can be found in the NPA's RCR Toolkit.
Some additional suggestions:
1. Find out how NIH-funded trainees on training grants satisfy their RCR training requirement. You may be able to generalize this training to include NSF-funded trainees.
2. Consult the NPA's RCR Toolkit, in particular, the Quick Start Guide, RCR Topics for Postdocs, and Sample curricula, agenda and course materials.
3. When released, consult the forthcoming NSF's RCR education clearinghouse.
Excerpts from NSF Guidelines:
Implementation Plan from Federal Register Notice:
Implementation Plan: Effective January 4, 2010, NSF will require that, at the time of proposal submission to NSF, a proposing institution's Authorized Organizational Representative certify that the institution has a plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduates, graduate students, and postdoctoral researchers who will be supported by NSF to conduct research. While training plans are not required to be included in proposals submitted to NSF, institutions are advised that they are subject to review upon request. NSF will formally implement the new RCR requirement via an update to the NSF Proposal and Award Policies and Procedures Guide (PAPPG). It is anticipated that the revisions to the PAPPG will be issued on October 1, 2009. NSF also will modify its standard award conditions to clearly stipulate that institutions are responsible for verifying that undergraduate students, graduate students, and postdoctoral researchers supported by NSF to conduct research have received RCR training. In addition, NSF will support the development of an on-line RCR resource containing research findings, pedagogical materials, and promising practices regarding RCR in science and engineering. The development and evolution of the ongoing online RCR resource will be informed by the research communities that NSF supports, and it will serve as a living resource of multimedia materials that may be used to train current and future generations of scientists and engineers in RCR.
From January 2010 Award & Administration Guide (AAG), Chapter IV.B, Page IV-3:
2. Institutional Responsibilities
a. An institution must have a plan in place to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduates,
graduate students, and postdoctoral researchers who will be supported by NSF to conduct research. As noted in GPG Chapter II.C.1.e, institutional certification to this effect is required for each proposal.
b. While training plans are not required to be included in proposals submitted to NSF, institutions are advised that they are subject to review, upon request.
c. An institution must designate one or more persons to oversee compliance with the RCR training requirement.
d. Institutions are responsible for verifying that undergraduate students, graduate students, and postdoctoral researchers supported by NSF to conduct research have received training in the responsible and ethical conduct of research.
From January 2010 Grant Proposal Guide (GPG), Chapter II.C.1e:
* Certification Regarding Responsible Conduct of Research (RCR): The AOR is required to complete a certification that the institution has a plan16 to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduates, graduate students, and postdoctoral researchers who will be supported by NSF to conduct research.
Additional information on NSF's RCR policy is available in the AAG, Chapter IV.B. While training plans are not required to be included in proposals submitted to NSF, institutions are advised that they are subject to review upon request.
References:
NSF Federal Register Notice on RCR Implementation: Federal Register Notice of August 20, 2009 (Volume 74, Number 160) http://edocket.access.gpo.gov/2009/E9-19930.htm.
NPA RCR Toolkit: http://www.nationalpostdoc.org/rcr-toolkit
ORI's RCR Education Materials Clearinghouse http://ori.dhhs.gov/education/products/
National Academy of Engineering Workshop Report: Ethics Education and Scientific and Engineering Research: What's Been Learned? What Should be Done? http://www.nap.edu/catalog.php?record_id=12695
REVISION HISTORY
June 29, 2010:
* Minor formatting changes and copy editing.
Oct 8, 2009:
* Addition of Sample Agenda, Syllabuses and Materials section
* Separation of section on RCR Topics for Postdocs from Determining the Goals and Content of Your Program
* Addition of overview of new NSF RCR requirement for postdocs
* Minor text edits
|
You Can't Fool Me!
8 th Grade
Duration
2-3 classes and a Museum visit
Location
Classroom and Gem & Mineral Hall
Supplies
- See individual lessons
Standards
Science 8.7.a.c Social Studies 184.108.40.206.2 CCS ELA Grades 6-12: Reading Standards for Literacy in History/ Social Studies 220.127.116.11
Reading Standards for Literacy in Science and Technical Subjects 3.4
Vocabulary
Ore
Smelt
Privateer
Physical Property
Chemical Property
Density (specific gravity)
Streak
Color
Transparency
Luster
Cleavage
Double refraction
Hardness
Fluorescence
1 You Can't Fool Me!
Module Overview
This module explores how we use the chemical and physical properties of matter to identify unknown substances.
Module Purpose
This lesson engages students in the study of chemical and physical properties of matter by revealing their application to real life situations.
Module Outline
In one pre-visit session students read a historical account of Martin Frobisher, an English seaman who mistook pyrite for gold and shipped over one-thousand tons of it back to Queen Elizabeth I. This stage reviews 7th grade social studies content and part of the 8th grade California Standards Test
During a visit to the Museum students learn about some of the different chemical and physical properties scientists observe to classify and identify matter.
In one to two post-visit sessions, students learn the definitions of chemical and physical properties and relate the knowledge they gained at the museum to the story of Sir Martin Frobisher. They then apply their learning in a lab by identifying an unknown substance.
Module Prerequisite Skills & Concepts
- Students make qualitative and quantitative observations.
- Students can distinguish between an observation and an inference.
Assessment Opportunities
| | Before and During the Lesson | | End of Lesson |
|---|---|---|---|
| Lesson/Phase | Uncovers Student Ideas | Checks for New Understandings | Evaluates Learning |
| Pre-Visit | The Pirate Frobisher and His Golden Mistake | The Pirate Frobisher and His Golden Mistake | |
| Museum | | Gem and Mineral Hall Discoveries | Mineral research project |
| Post-Visit | | Informal observations | Identifying an Unknown |
References and Resources
Using Dissolving to Identify an Unknown Lesson Plan. Middle School Chemistry.com http://www.middleschoolchemistry.com/lessonplans/chapter5/lesson5
Martin Frobisher." Martin Frobisher. N.p., n.d. Web. 25 June 2012.
http://www.east-buc.k12.ia.us/00_01/Exp/mf/mf.htm
Neathy, L. (1983, December). Martin Frobisher (ca. 1540-1594). Arctic , 36 (4), pp. 374-375.
"Sir Martin Frobisher". Encyclopædia Britannica. Encyclopædia Britannica Online.
Encyclopædia Britannica Inc., 2012. Web. 25 Jun. 2012
http://www.britannica.com/EBchecked/topic/220573/Sir-Martin-Frobisher
University of Toronto. "Sir Martin Frobisher." - Dictionary of Canadian Biography Online.
University of Toronto, 2000. Web. 25 June 2012.
http://www.biographi.ca/009004-119.01-e.php?&id_nbr=230
Background Pre-Visit
Duration
Purpose
30-60 minutes
Location
Gem & Mineral Hall
Supplies
- Worksheet
- Pencils
- Optional maps, pictures, videos, etc.
This lesson engages students in the concepts they will study at the Museum by making them relevant and introducing problems for students to solve. It also provides students with an opportunity to review previously learned content.
Objectives
- Students will summarize the events of three voyages of Sir Martin Frobisher to North America.
- Students will explain how the discovery of "black gold" influences Frobisher's voyages.
- Students will brainstorm methods by which one could distinguish between pyrite and gold.
- Students state that scientists can use the physical and chemical properties of matter to identify unknown substances.
Outline
Give students 5 minutes to begin working on the worksheet. Then, have them share responses with neighbors, then the class. Write their ideas for "why the mistake occurred" on the board, looking for patterns.
Introduce the reading "Sir Martin Frobisher activity. Based on students needs, complete the reading and questions using your preferred method (whole group, small group, independently).
Have students share their ideas for how the Royal assayer might have been able to tell the difference between real gold and Fool's gold. Write their ideas on the board.
Explain that scientists trying to identify an unknown substances observe physical and chemical properties. A property is a characteristic or trait. Have students name properties of gold. It is not important to distinguish between chemical and physical properties at this point.
Explain that when students visit the Museum, they will learn about more properties that can be used to identify substances.
Go over your behavioral and academic expectations for your trip to the Museum and explain the activities students will be completing while there.
Example Supplemental Materials
Frobisher Bay
1,300 tons =
X X
35 35
Mistaken Identity
Have you ever been involved in a case of "mistaken identity?" Did you mistake someone (or something) for someone else? Or maybe you were mistaken for someone else? What happened? What might have caused the confusion?
The Pirate Frobisher
Read the passage below, and answer the questions.
In the time of Queen Elizabeth, pirates were a dangerous menace on the high seas. Though many English ships were robbed and fortunes lost, there was a legal form of piracy called privateering. Queen Elizabeth gave permission for privateers to attack the treasure ships of enemy nations of England, such as France and Spain. One such privateer was a man named Martin Frobisher. Frobisher was the sixteenth child born in his family. Even as a child, he was known for being not only courageous, but also uncontrollable and reckless. He was never very interested in school, and quit when he was a teenager to become a privateer.
Like many privateers of the day, Frobisher was also an explorer. Trading with other nations was of great importance to the English throne, so privateers were sometimes ordered to search for faster, better routes. Queen Elizabeth was desperate to find a channel to Asia that traveled above America, known today as the Northwest Passage. The ambitious Frobisher decided that he would be the one to find such a passage, and after receiving an order from Queen Elizabeth, he set sail.
On his first voyage, Frobisher explored Greenland and the Arctic regions of Canada. While searching for the Northwest Passage, he sailed around Baffin Island and discovered an estuary that would eventually be named in his honor--Frobisher Bay. He and his team of explorers landed on an island, where they met an Inuit tribe who were uneasy with his aggressive attitude. Distrusting Frobisher, the tribe captured five of his men. Although he failed to free his men, some of the crew found a mysterious substance they called "black earth" as they were escaping. (Continued on next page)
When the crew returned to England, rumors broke out that the "black earth" was actually gold. Frobisher was able to secure funds for a second voyage partly because of the supposed gold. On this second trip, the group returned to Frobisher Bay and spent most of their time collecting the alleged gold ore. They returned to England with 200 tons of the mystery substance, and Queen Elizabeth commissioned a third expedition, which set off before the ore could be smelted, the process of extracting metal from raw material.
Key Terms
- Ambitious
- Smelt
- Privateer
- Northwest Passage
6 You Can't Fool Me!
- Estuary
- Ore
- Fleet
- Pyrite
A Golden Mistake
Even though the ore had not been confirmed as gold, the Queen had great faith in the project, and the third fleet was much larger than the earlier two. While the first two fleets consisted of three ships, the second was made of fifteen--enough to establish a colony on the island as well as carry back a much greater amount of ore. Though the prospects looked good, disaster struck. Just after the crew sighted Frobisher Bay, the fleet faced both deadly ice and fearful storms. Frobisher attempted to navigate up the Hudson Strait, but when this proved to be a dead end, the fleet had to turn back and follow the original route. The settlement was unsuccessful--perhaps due to the terrifying nature of the journey there. Though the colony failed, a large quantity of the mystery ore, (1,100 tons), was shipped back to England.
Here is where Frobisher's fortunes took yet another turn for the worse. While the expedition was gone, the mystery ore from the first two voyages was smelted. Instead of gold, the ore was actually pyrite, otherwise known as Fool's Gold. The ore that Frobisher had worked so hard for was utterly worthless, and his reputation fell to pieces.
Interestingly, the court's Royal Assayer, (who in modern days would be known as a geologist), correctly identified the original samples as pyrite. The court ignored this advice and instead continued the project under the council of an Italian assayer. The useless pyrite was used to pave the streets of London, and Martin Frobisher narrowly avoided being thrown in jail over the mistake. Desperate, the expedition's backers asked Frobisher to make yet another journey, assuming he had mined the wrong area. Disheartened and cautious, Frobisher said no. Despite his struggles with "black earth" and the Northwest Passage, Martin Frobisher went on to lead one of the four English naval squadrons against the Spanish Armada, which lead to a period of great prosperity for England. He was knighted in honor of his actions during the defeat of the Spanish Armada.
Reading Questions
What is a privateer?
How is this different from a pirate?
What do you think the "enemy nations" thought of privateers?
What was the Northwest Passage? Does it exist?
7 You Can't Fool Me!
A Golden Mistake
Why did European explorers want to find the Northwest Passage?
What is black earth?
Why was it important to Frobisher?
Do you think Frobisher knew it wasn't gold? Use evidence to support your opinion.
Frobisher's 2 nd and 3 rd voyages were extremely dangerous and cost Queen Elizabeth a lot of money. Why do you think the English were willing to risk so much based on so little evidence of gold?
Do you have any ideas about how the English Royal assayer was able to determine that the ore was just Fool's Gold?
8 You Can't Fool Me!
Observation
Museum Visit
Duration
30-45 minutes
Location
Gem & Mineral Hall
Supplies
- Worksheet
- Clipboards with LED or similar lights (optional: it is quite dark in the Mineral Hall)
- Pencils
Purpose
The Museum visit allows students to authentically observe properties of matter and practice inquiry skills such as observation and classification.
Objectives
- Students will identify and define properties used to identify and classify minerals and gems.
- Students will describe qualitative properties of a mineral or gem they find at the museum.
- Optional: Students will use the periodic table to explain trends in the properties of minerals by group.
Outline
Verbally call on students before entering the hall and ask: What are the expectations for our visit?
Assign students to groups of 2-3 before arriving at the Museum. You may want to assign different groups different properties to focus on or take out some of the activities outside of the "Basics of Mineralogy" if you do not have a lot of time.
Whole Group: Gather students in front of the hall, pointing out the layout of the hall. Each group should start in a different part of the hall to avoid clumping. Make sure each group knows where to start and what time and where the class will meet up again. (5-10 min)
Small Group: Students work in groups to complete the assignment, observing the exhibits as they go. (30 min)
Whole Group: When it is time, gather the class back at the entrance to the exhibit.
Small Group: Either on the bus or back in class, allow students time to share their results with another group or two.
Gem & Mineral Hall
SECTION
CLOSED
Basics of Mineralogy
Color and Streak
1. Read about the differences between mineral color and streak. Which one is a better property for identifying an unknown mineral? Why?
2. Choose one of the minerals in the display and observe it closely. Describe the difference between its color and its streak.
Transparency and Luster
Study the minerals in this display that show the property called transparency. Draw a picture below representing the difference between translucent, transparent, and opaque minerals. Be sure to label your drawings.
What are some of the words used to describe different types of luster?
10 You Can't Fool Me!
Observing Minerals
Observing Minerals
If you have studied the periodic table, do you notice any trends like those in the periodic table in the luster of minerals? It so, what do you notice?
Cleavage and Double Refraction
Draw a picture of two different cleavage patterns.
Draw a picture of double refraction
Specific Gravity and Hardness
Specific gravity is similar to density. How could we use density to help us identify an unknown substance?
6. Think back to 7 th grade science, what is refraction and why does it happen?
11 You Can't Fool Me!
Observing Minerals
Gem
Environment
Properties
What is the Mohr scale?
What substance is a 10 on the Mohr scale?
Does anything in the display surprise you?
Gemstones and their Origins
Read the informational panels and observe the gemstones in this display. Be especially observant of the information for specific gems. Fill in the table below with data on the properties of gemstones created in different environments.
| Gem | Environment |
|---|---|
12 You Can't Fool Me!
Observing Minerals
Meteorites
What properties are used to identify real meteorites?
Do you think YOU would be able to tell a rock from a meteorite? Why or why not?
Native Gold
List some of the properties of gold.
Draw a picture of each different form of gold:
Crystals
Leaves
Trees
Wires
Specks
Nuggets
Dust
13 You Can't Fool Me!
Observing Minerals
Compare and contrast gold and pyrite:
The Remaining Displays
Find your favorite gem or mineral. What is it called?
Observe as many of its properties as you can, describing them below. Draw a picture as well if you would like.
At Home
Research your mineral, identifying more of its properties. Then, choose one of the following products to demonstrate your knowledge:
- Create a poster or brochure of your mineral.
- Write a story or comic strip about your mineral, in which it is the "superhero," using its properties as inspiration for its superpower.
- Create a PowerPoint, Keynote, or Prezi presentation to share with the class.
- Create a fake Facebook page for your mineral
- Write a song or poem about your mineral
14 You Can't Fool Me!
Experimentation
Post-Visit
Duration
1—2 classes
Location
Gem & Mineral Hall
Supplies
- See lab "Using Dissolving to Identify an Unknown" http:// www.middleschoolche mistry.com/ lessonplans/chapter5/ lesson5
Purpose
Following the visit to the Museum, students learn about the properties of matter in more detail and apply their knowledge to a laboratory investigation. This phase introduces concepts, ideas, skills, relationships and explanations while either verifying or validating students' ideas or challenging their alternative concepts.
Objectives
- Students will present possible answers to others and listen critically to another students' explanations.
- Students will accurately apply their knowledge of the properties of matter to identify an unknown substance.
Outline
At the beginning of class, invite students to list the properties of matter they found at the Museum. Write these on the board. You may want to introduce the terms chemical and physical properties at this time and have students distinguish between the two.
Ask, "How could Frobisher or Queen Elizabeth have used this information to their advantage 435 years ago?" "How can we use this information now?"
Introduce the lab activity, Identifying an Unknown Using its Physical Properties. There are many pre-written lab activities available for download that cover this premise. One you may consider using is "Using Dissolving to Identify an Unknown" from middleschoolchemistry.com, it can be found at http:// www.middleschoolchemistry.com/lessonplans/chapter5/lesson5.
You may wish to alter the activity to take out some of the emphasis on solubility if you have not yet studied that with your students. You could also extend the identification process to include conductivity if you have the equipment to do so.
|
RIO GRANDE CITIZENS FORUM
USIBWC Headquarters
El Paso, Texas
July 12, 2018
* Tentative Meeting Notes
Board Members in attendance:
Blanca Trout, Canutillo Independent School District
Jim Maxfield, Mid-West Textile Co., Save the Valley
Mark Calamia, National Park Service
Kirk Clifton, National Hispanic Cultural Center
John Unruh, Retired, U.S. Geological Survey
Yvonne Curry, Conde, Inc.
Danny Chavez, Hudspeth County Conservation and Reclamation
Philip Partridge, Outdoor recreation enthusiast
Jamie Barron, local property owner
Walton Low, Retired, U.S. Geological Survey
Via phone: Paul Tashjian, Audubon New Mexico
U.S. Section, International Boundary and Water Commission (USIBWC) Staff in attendance:
Jose Nuñez, Acting Commissioner
Daniel Avila, Principal Engineer, Operations Department
Dr. Padinare Unnikrishna, Chief, Engineering Services Division (Acting Principal Engineer, Engineering
Department)
Jose Luis Sierra, Supervisory Facilities Operation Specialist
Sally Spener, Foreign Affairs Officer
Lori Kuczmanski, Public Affairs Officer
Members of the public in attendance:
Robert Kimpel, Hudspeth Farmers
Jaime and Javier Armendariz, Citizens
Carlos Rincon, EPA
Ed Trout, Citizen
John Sparks, Arcadis
Pete Alvarez, Citizen
Jeff Scarborough, Freese and Nichols, Inc.
Joel Mora, Arcadis
Ben Stewart, Stantec
Welcoming Remarks:
At 6:30 PM, Acting Commissioner Jose Nuñez convened the meeting. He welcomed the group, introduced board members and allowed the audience to introduce themselves. The first presentation was announced.
Presentation One: Overview of the History, Mission, and Projects of the International Boundary and Water Commission – Lori Kuczmanski, Public Affairs Officer, USIBWC
Ms. Kuczmanski began her presentation by going over the agency's mission, which is to apply the boundary and water treaties between the United States and Mexico. She provided a brief overview of some of the boundary Treaties and the structure of the IBWC per the 1944 Water Treaty. The International Boundary and Water Commission (IBWC) has a U.S. Section and a Mexican Section, each headed by a Commissioner. Under the Convention of 1906, the United States delivers Rio Grande water to Mexico at Ciudad Juarez, Chihuahua; this water is stored at Elephant Butte Dam in New Mexico and then released downstream into the Rio Grande. A 1933 treaty was enacted to stabilize the international boundary at El Paso-Ciudad Juarez by straightening the Rio Grande channel and erecting flood control levees in both countries. This part of the Rio Grande is known as the Rectification Project. To settle a longstanding boundary dispute at El Paso-Ciudad Juarez after the Rio Grande channel shifted, the 1963 Chamizal Convention provided for the relocation of the Rio Grande to a concrete-lined channel through the central part of the sister cities. IBWC Minutes were discussed, which are binding Commission agreements intended to implement treaty. There are currently 324 Minutes approved. Ms. Kuczmanski then discussed the USIBWC field offices along the border from South Texas to San Diego, CA and what their mission is in relation to the agency's mission. Commission responsibilities include boundary demarcation, operation of international wastewater treatment plants, operation of international dams, flood control, and water delivery.
Question: Why did you build the wastewater treatment plants for Mexico? Jose Nuñez: Mexico paid for part of the construction costs and pays for part of the operations and maintenance.
Question: Did you build a treatment plant in Juarez after the cholera epidemic there? Carlos Rincon, EPA: The Ciudad Juarez treatment plant was funded through the Border Environment Cooperation Commission-North American Development Bank.
Presentation Two – 2018 Upper Rio Grande Field Office O&M Critical Mission Directives and Responsibilities– Jose Luis Sierra, Supervisory Facilities Operation Specialist
Mr. Sierra gave a background on the mission and responsibilities of the Upper Rio Grande Field Office.
Flood Control Responsibilities
Flood control responsibilities include inspecting and maintaining approximately 220 miles of river levees along the river beginning below Percha Dam, NM to Little Box Canyon, TX. This includes 4,500 acres of river floodplains and 18.5 miles of canals. The IBWC inspects and maintains 210 drainage and irrigation structures. The IBWC inspects and maintains 5 major sediment control dams -- Green, Jalarosa 1 & 2, Crow Canyon & Broad Canyon, all five located in northern Doña Ana and southern Sierra Counties, (south of Garfield Bridge, north of Hatch, & northwest of Radium Springs). We operate and maintain 2 major diversion dams -- American Dam and International Dam in El Paso, Texas-Ciudad Juarez, Chihuahua. The IBWC inspects, monitors and maintains four flood warning stations and five flow gaging stations throughout the entire project
Boundary Demarcation and Ports of Entry Responsibilities
The IBWC maintains several international bridges, including Bridge of the Americas (BOTA), Ft. Hancock/Porvenir Bridge & Tornillo/Guadalupe Bridge. We perform weekly trash removal, monthly sweeping, fencing repairs, boundary monuments maintenance and pavement markers replacement. The USIBWC is charged with the maintenance of flag poles & replacement of U.S. flags, as needed at the following bridges: Santa Fe, Stanton and Bridge of the Americas. IBWC is in charge of maintaining the yellow pavement makers that mark the boundary on the international bridges. At Fort Hancock, it is not a commercial bridge, therefore there is low traffic.
Upper Rio Grande Flood Control Canalization Project Limits
The USIBWC's Rio Grande Canalization Project runs from Percha Dam, NM to the American Dam in El Paso, TX. This is about 106 river miles. The Rio Grande design flow for the region ranges from 13,000 cubic feet per second (cfs) in the upper reach to 24,000 cfs in the Chamizal Project area near downtown El Paso, TX-Cd. Juarez, Chih.
Canalization Segment Five Sediment Control Dams
The five sediment control dams located at tributary arroyos were constructed to reduce flood peaks and sediment inflows into the Rio Grande, thereby reducing the average annual maintenance cost for the Rio Grande Canalization Project. Between 1969 and 1975, five dams were constructed by the Soil Conservation Service (SCS) (now NRCS) at four major arroyos. They are designed, with one exception (Broad Canyon; 50-year Design), to provide sufficient storage capacity to contain an estimated 100 years of sediment inflow and to control the estimated 100-year flood. The five sediment control dams, outlet works and access roads, are maintained by the USIBWC-Las Cruces Facility. The local entities sponsoring these five SCS projects are the Elephant Butte Irrigation District (EBID) and the Caballo Natural Resources Conservation District.
Sediment Control Dams
USIBWC Las Cruces Field Office personnel are required to inspect and maintain all five sediment control dams. Also, they facilitate yearly inspections with EBID, NRCS, and representatives from the New Mexico Office of the State Engineer.
Canalization River Projects
Typically, 100,000 to 120,000 cubic yards (CY) of river sediment are removed during the non-irrigation season, which is from late October to mid-March. Because there is water in the river during the irrigation season, we are only able to do river sediment removal work during five months per year. During the fiscal year (FY) 2018 non-irrigation season, 12 river channel maintenance projects were undertaken in the Rio Grande Canalization Project. An approximate total of 178,973 CY of river sediment was removed. The river channel sediment removal performed this year was due to additional personnel brought in from the Mercedes and Ft. Hancock Field Offices to assist. This is not the norm. Usually only the local staff works this area, but we really needed assistance to get this area cleaned up, and our staff did a great job getting it done.
In late 2018/early2019 during the non-irrigation season, it is scheduled to address priority river channel and arroyo locations listed under the USIBWC River Management Plan - Canalization Record of Decision(ROD) - 5 Yr. Part IV-Channel Maintenance Section. FY 19 river sediment removal schedule will include work sites on various arroyos and siphons, including Placitas Arroyo, Rincon Siphon, Garcia I Arroyo, Rincon Arroyo and Bignell Arroyo. Various locations will require work to restore willow trees for wildlife habitat, which will require additional time to perform both river sediment removal and restoration work by the same IBWC personnel. Where there is established habitat in areas where we perform sediment removal work, we have to preserve and relocate and vegetation, which is very time consuming.
Proposed 2018/2019 work sites
During the 2018-2019 non-irrigation season, the following estimated amounts of sediment are expected to be removed at the following locations:
- Hatch Siphon, 4,000 cubic yards
- Placitas Arroyo, 13,000 cubic yards
- Rincon Siphon, 15,000 cubic yards
- Garcia Arroyo, 12,000 cubic yards
- Rincon and Bignell Arroyos, approximately 56,000 cubic yards
Diversion Dams Maintenance
American Dam Field Office personnel are required to inspect and maintain both diversion dams (American and International) as a priority. The field office staff are also working with the USIBWC's Engineering Services Division (ESD) on projects to rehabilitate gates, cables, seals, trunnions, sprockets, motors, limit switches, etc. At International Dam, winter maintenance completed December 1, 2017 included the following: Cables were replaced, gates were exercised, the dam was power washed, cleaned, scraped and painted. Limit switches were adjusted.
Five-Year U.S. Army Corps of Engineers (USACE) Diversion Dams Inspections
In order to perform the 5-year USACE diversion dams inspections it is necessary to remove the silt from the upstream and downstream aprons of the dams. 30,000 cubic yards of material were removed at American Dam and 20,000 cubic yards at International Dam.
Rectification Project Chamizal Concrete Channel Area
Project area is from start of Chamizal concrete channel at the Chihuahuita neighborhood near downtown El Paso to 2.5 miles downstream. (Remaining 2.5 miles downstream are under maintenance responsibility of the Mexican Section of the IBWC.)
Scheduled for July-August, perform required maintenance on silt and vegetation removal from start of Chamizal concrete channel at Chihuahuita to 2.5 miles downstream.
A Mexican contractor has already started their downstream end of required maintenance on silt and vegetation removal on the Chamizal concrete channel.
Rectification Project segment of the Rio Grande
We cover approximately 95 river miles from the end of the concrete-lined Chamizal Project river channel downstream to Little Box Canyon.
Major Maintenance. Project: Guayuco Arroyo
In 2017, 42,944 CY of sediment were removed. This is a major arroyo requiring continual, regular maintenance. In 2018, approximately 8,000 CY have been removed from this Arroyo. We must coordinate with the Mexican Section of the IBWC to request permission to work from the Mexican side of the river. Will address this again as 2018 rain events require work to be done. For the Guayuco Arroyo, we are stabilizing the opposite Mexican bank, which had eroded, and re-aligning the confluence so it's not perpendicular but angled. We hope this will reduce future maintenance needs.
Fort Quitman Gaging Station
Removal of silt at this critical site is required to improve the ability to accurately measure flow at the Fort Quitman Gaging Station site. Approximately 15,000 cubic yards of material was removed.
Ft Quitman Gaging Station to Neely Arroyo
To address local flooding, we are removing sediment in this area.
Neely Arroyo- Local Flooding Problem Area
At Neely Arroyo, we have localized flooding. The water table is high and for 18-24 months, then the water just stands there. We are obtaining some additional equipment to double the river capacity in the Ft. Quitman/Neely Arroyo area. We are making it wider and deeper. But Neely Arroyo is too wet for some equipment. Levee repairs and grading at Neely Arroyo assist in addressing adjacent local flooding. There has been river flow covering the floodplain. This entire general area needs to be addressed as a total separate river dredging project, as it has not been addressed for a number of years.
Mr. Kimpel: What about a pontoon excavator?
Sierra: We no longer have them. We are seeking quotes on the equipment but don't currently have funding for it.
Mr. Kimpel: I think you need to blast out Little Box Canyon. I think that's the obstruction.
There were suggestions from the board and audience to request assistance from the U.S. Army Corps of Engineers (USACE), Ft. Bliss, or NRCS. USIBWC noted that it is exploring alternatives for blocking sediment from reaching the river. Agencies like the USACE are not free.
Boundary Preservation segment of the Rio Grande
In the area of Arroyo Del Fraile, a downstream area known as the Boundary Preservation Project, we widened and re-established the Rio Grande pilot channel to approx. 38' and removed an average of 3' of sediment, totaling approximately 55,736 CY to date. We have re-established the pilot channel for approx. 2.5 miles upstream of Del Fraile. We are working on two fronts: from Ft. Hancock downstream and from the Del Fraile Arroyo upstream.
Mr. Kimpel stated his view that the Del Fraile Arroyo area should not be a priority due to low land values there. He said in the area of the Guayuco Arroyo a state highway had water on it and he thinks the State of Texas may sue IBWC.
Question: Why did you build sediment control dams in New Mexico but not in Texas?
Sierra: The NRCS built the dams. USIBWC just maintains them.
Question: What do you do about salt cedar?
Sierra: We work with the U.S. Fish and Wildlife Service to remove salt cedar with heavy equipment and then we mulch it.
Question: How do you determine how much sediment there is?
Padinare Unnikrishna: We hired Tetra Tech to do sediment transport studies and identified alternatives. We then designed the Thurman I and Thurman II sediment basins. We are looking at potential sediment control projects at other arroyos as well. We have looked at nine locations where sediment is a concern, based on the Tetra Tech study.
Sierra: We had islands by Canutillo Bridge. We had to work there last year and this year.
Question: Can environmental organizations help with the habitat relocation? Can you use their manpower?
Sierra: We get help from U.S. Fish and Wildlife Service and are also trying to get a Memorandum of Understanding with the Bureau of Reclamation to help us.
Question: Have you asked nonprofits to help?
Jose Nuñez: Community college students and schools help with water quality monitoring and tree planting.
Question: Have you reached out directly to them? Groups like the Nature Conservancy? Mark Calamia: Maybe you could have formal agreements for different groups like Southwest Environmental Center, Audubon, etc. You could have them sign an agreement to partner with them. We would have free flow of information between these groups about restoration.
Question: What do you do with the sediment that you remove?
Sierra: We talked to ranchers and farmers and developed no-cost agreements to deposit it on their lands. For sediment disposal sites, we have 6 Memorandums of Understanding in the Rio Grande Rectification Project and 12 in the Rio Grande Canalization Project.
Mr. Kimpel offered to accept sediment as his land is close to the river.
Daniel Avila: We are working with the property owners and trying to get others to accept it.
Question: Is it good soil?
USIBWC: It's good soil that many farmers and ranchers like.
Mr. Kimpel: It has rocks and things in it but you have to agree to take it as is.
Danny Chavez, Hudspeth County Conservation and Reclamation District, expressed his appreciation for the work being undertaken but also expressed concern that USIBWC had not done enough over the previous 20 years. He said the equipment in the USIBWC yard at the Ft. Hancock Field Office has not been used in 20 years. Acting Commissioner Jose Nuñez and Principal Engineer Daniel Avila explained that more sediment is deposited in the Rio Grande than is removed: 400,000 cubic yards of incoming sediment per year versus 175,000 cubic yards removed. It was noted that nearby property owners should do more to control sediment originating on their lands. USIBWC has a limited budget, and equipment does remain idle when there are inadequate funds for repairs. In addition, federal agencies have budgetary restrictions; budgets are straight-lined (no increases from one year to the next) so work needs to be prioritized, given limited resources.
Presentation Three: Orientation for New Citizens Forum Board Members – Lori Kuczmanski, Public Affairs Officer, USIBWC
Before beginning her presentation on the orientation for new board members, Ms. Kuczmanski and Jose Nuñez handed out IBWC commemorative coins and Certificates of Appreciation for the Board Members.
The purpose of the Citizens Forum is to facilitate the exchange of information between the USIBWC and the local community regarding any projects (current and future) that the USIBWC may be involved in or related issues.
The Board Member duties include attending the public meetings four times per year and the term is for 2 years. The Citizens Forum is not a federal advisory board; the goal is to exchange information and receive feedback from a variety of viewpoints.
Board Members will not be disruptive during the meetings and will not serve as a spokesperson for the IBWC. Serving on the Board is voluntary and there are no reimbursements for expenses. It is requested that Board Members send requests to the Public Affairs Officer on any suggestions for future topics to be presented at meetings.
There are two co-chairs for the Board, with one being the USIBWC and one being a community co-chair who is elected by the Board members, and they will alternate chairing the meetings.
It was agreed that the board would meet the second Thursday of every third month at 6:30 p.m.
The community co-chairs will be Walton Low (Oct. 2018 meeting), USIBWC (Jan. 2019 meeting) Blanca Trout (April 2019 meeting), USIBWC (July 2019 meeting) Mark Calamia (October 2019 meeting), USIBWC (January 2020 meeting), and Kirk Clifton (April 2020 meeting).
Questions and comments:
Clifton: Should we use Robert's Rules of Order? I don't think the meetings should go beyond their scheduled time.
Low: Meetings never exceed two hours (except for this one). There is no need for Robert's Rules. Usually there are only 2 presentations, lasting a total of 1 to 1 ¼ hours.
Board Discussion/Suggested Future Agenda Items:
Jose Nuñez: An update on the USIBWC sediment basin projects.
Lori Kuczmanski: Law enforcement issues along the river/USIBWC property. This is an issue that has been raised by residents who live along the river.
Walton Low: We could hear from the Doña Ana County Sheriff.
Mark Calamia: People who live by the river are the best sources of information to IBWC. He suggested to develop a survey or have focus groups to see what the grassroots community wants, outside of the meeting. USIBWC could have a contractor perform a focus group to assess issues and needs. We should ensure there's follow up.
Sally Spener: The purpose of the Citizens Forum is for the board members to facilitate the exchange of information with the public, to represent the community groups, people who live along the river. The board should let USIBWC know what the community concerns are and share with the community the information that is discussed at the meetings.
Lori Kuczmanski: We can take the board on field trips.
Kirk Clifton: How EBID coordinates with IBWC. Another suggested agenda item is City of Las Cruces utilities discharges to the river.
Partridge: A problem is public awareness. You need a public relations budget.
Jose Nuñez: FEMA certification of the Rio Grande flood control system, interior drainage (flood control on the land side of the Rio Grande levees). We should hear what the City of Las Cruces is doing for interior drainage.
Calamia: Historic preservation, wildlife habitat restoration, wetland improvements.
The next meeting is scheduled for Oct. 11 at 6:30 p.m. at Las Cruces City Hall.
Jose Nuñez: USIBWC is going to be moving its office to the building next door at the corner of Executive Center Blvd. and N. Mesa Street so future El Paso meetings may be at the new building.
*Meeting notes are tentative and summarize in draft the contents and discussion of Citizens Forum Meetings. While these notes are intended to provide a general overview of Citizens Forum Meetings, they may not necessarily be accurate or complete, and may not be representative of USIBWC policy or positions.
|
Earnings Release Conference Second Quarter of FY2018 (July 1, 2018 to September 30, 2018)
October 31,2018 Murata Manufacturing Co., Ltd.
http://www.murata.com/ir/library/index.html
2
1. Second Quarter of FY2018
From July 1, 2018 to September 30, 2018 Consolidated Basis
3
Topics of Financial Results for FY2018 Second Quarter
* In Q2, net sales surpassed the target since components and modules for new smartphone models were successful.
* Net sales for H1 posted 27% growth year-on-year. Components, and in particular capacitors, generated higher demand in many applications such as car electronics and smartphones.
* Both net sales for Q2 and H1 were the highest ever.
4
Topics of Financial Results for FY2018 Second Quarter
* For H1, operating income posted a 39% year-on-year increase due to a production increase resulting from growth in demand mainly for capacitors, as well as effects of cost reduction. Operating income ratio rose by 1.5 percentage points to 17.7%.
* Demand remains expected to be strong, in particular for components. Murata revises its full-year performance forecasts by reviewing outlooks for exchange rate and component demand. Operating income will likely be 275.0 billion yen.
5
Quarterly Financial Results
Income before income taxes
attributable to
Financial Results Overview
| FY2017 First Half (a) | | FY2018 1Q 2Q First Half (b) (c) (d) | | | | | | Q on Q Change (c) vs. (b) | | |
|---|---|---|---|---|---|---|---|---|---|---|
| | | 1Q (b) | | 2Q (c) | | | | | | |
| (B JPY) 619.6 | (%) 100.0 | (B JPY) 345.5 | (%) 100.0 | (B JPY) 442.9 | (%) 100.0 | (B JPY) 788.4 | (%) 100.0 | (B JPY) +97.4 | (%) +28.2 | (B JPY) +168.8 |
| 100.5 | 16.2 | 48.2 | 13.9 | 91.3 | 20.6 | 139.4 | 17.7 | +43.1 | +89.6 | +38.9 |
| 109.8 | 17.7 | 49.9 | 14.5 | 92.8 | 21.0 | 142.8 | 18.1 | +42.9 | +85.9 | +33.0 |
| 91.1 | 14.7 | 39.0 | 11.3 | 69.3 | 15.7 | 108.3 | 13.7 | +30.3 | +77.8 | +17.2 |
(%)
+27.2
+38.7
+30.0
+18.9
6
Copyright © Murata Manufacturing Co., Ltd. All rights reserved.
Net sales taxes
Quarterly Sales, Order and Backlog
500.0
400.0
300.0
200.0
100.0
7
8
Orders by Product
180.0
150.0
120.0
90.0
60.0
30.0
Other Components
Power Supplies and
9
Sales by Product
| | FY2017 First Half (a) | | FY2018 1Q 2Q First Half (b) (c) (d) | | | | Q on Q Change (c) vs. (b) | | |
|---|---|---|---|---|---|---|---|---|---|
| | | | 1Q (b) | 2Q (c) | | | | | |
| Capacitors | (B JPY) 209.0 | (%) 33.8 | (B JPY) 126.5 | (B JPY) 147.2 | (B JPY) 273.7 | (%) 34.8 | (B JPY) +20.7 | (%) +16.3 | (B JPY) +64.6 |
| Piezoelectric Components | 78.5 | 12.7 | 38.1 | 38.5 | 76.6 | 9.7 | +0.4 | +1.1 | (2.0 ) |
| Other Components | 127.7 | 20.7 | 93.8 | 108.3 | 202.1 | 25.7 | +14.5 | +15.5 | +74.4 |
| Communication Modules | 178.3 | 28.8 | 75.2 | 137.1 | 212.3 | 27.0 | +61.9 | +82.3 | +34.0 |
| Power Supplies and Other Modules | 24.6 | 4.0 | 11.3 | 11.1 | 22.3 | 2.8 | (0.2 ) | (1.4 ) | (2.3 ) |
| Net sales | 618.2 | 100.0 | 344.8 | 442.1 | 786.9 | 100.0 | +97.3 | +28.2 | +168.7 |
Sales by Product FY18 First Half vs. FY17 First Half
10
Sales by Product FY18 Second Quarter vs. FY18 First Quarter
11
Sales by Application
(%)
| | FY2017 First Half (a) | | FY2018 1Q 2Q First Half (b) (c) (d) | | | | Q on Q Change (c) vs. (b) | | |
|---|---|---|---|---|---|---|---|---|---|
| | | | 1Q (b) | 2Q (c) | | | | | |
| AV | (B JPY) 30.9 | (%) 5.0 | (B JPY) 17.3 | (B JPY) 19.7 | (B JPY) 37.0 | (%) 4.7 | (B JPY) +2.4 | (%) +13.9 | (B JPY) +6.1 |
| Communication | 326.7 | 52.8 | 157.4 | 235.5 | 392.8 | 49.9 | +78.1 | +49.6 | +66.2 |
| Computers and Peripherals | 98.3 | 15.9 | 56.4 | 65.3 | 121.8 | 15.5 | +8.9 | +15.8 | +23.4 |
| Automotive Electronics | 92.1 | 14.9 | 59.6 | 63.0 | 122.6 | 15.6 | +3.4 | +5.7 | +30.5 |
| Home Electronics and Others | 70.1 | 11.4 | 54.1 | 58.6 | 112.7 | 14.3 | +4.5 | +8.3 | +42.6 |
| Net sales | 618.2 | 100.0 | 344.8 | 442.1 | 786.9 | 100.0 | +97.3 | +28.2 | +168.7 |
*Based on our estimate
12
Sales by Application FY18 First Half vs. FY17 First Half
*Based on our estimate
Sales by Application FY18 Second Quarter vs. FY18 First Quarter
*Based on our estimate
Breakdown of Operating Income Changes FY17 First Half to FY18 First Half
（
160.0
120.0
(40.0)
(80.0)
15
Breakdown of Operating Income Changes FY18 First Quarter to FY18 Second Quarter
100.0
(20.0)
16
2. Projected Financial Results for FY2018
(From April 2018 to March 2019)
Projection of Demand (Communication)
FY2017
FY2018 Projection
| Mobile Phones Total (units) | |
|---|---|
| | 2G/3G LTE |
| | Smartphones |
18
Projection of Demand (PC)
FY2017
| PCs (units) | |
|---|---|
| | Desktop Notebook Tablet |
FY2018 Projection
Projected Sales by Product
| | FY2018 Projections (Growth Ratio against FY2017) |
|---|---|
| Capacitors | +29% |
| Piezoelectric Components | (4%) |
| Other Components | +27% |
| Communication Modules | +10% |
| Power Supplies and Other Modules | (14%) |
| Total | +18% |
Projected Sales by Application
| | FY2018 Projections (Growth Ratio against FY2017) | FY2018 Second Half Projections (Growth Ratio against First Half) |
|---|---|---|
| AV | +10% | (2%) |
| Communication | +13% | +7% |
| Computers and Peripherals | +17% | (6%) |
| Automotive Electronics | +32% | +16% |
| Home Electronics and Others | +27% | +3% |
| Total | +18% | +5% |
*Based on our estimate
21
Projected Financial Results for FY2018
| Previous (April 2018) | | | | | | | |
|---|---|---|---|---|---|---|---|
| FY2018 1st 2nd Projections Half Half | | | | | | | |
| 1st Half | 2nd Half | | First Half Results | | Second Half Projections | | |
| (B JPY) 753.0 | (B JPY) 822.0 | (B JPY) 1,575.0 | (B JPY) 788.4 | (%) 100.0 | (B JPY) 831.6 | (%) 100.0 | (B JPY) 1,620.0 |
| 119.0 | 121.0 | 240.0 | 139.4 | 17.7 | 135.6 | 16.3 | 275.0 |
| 120.0 | 122.0 | 242.0 | 142.8 | 18.1 | 137.2 | 16.5 | 280.0 |
| 89.0 | 91.0 | 180.0 | 108.3 | 13.7 | 101.7 | 12.2 | 210.0 |
Net sales taxes
Murata Corporation
(%)
100.0
17.0
17.3
13.0
Average exchange rates
Yen／US dollar
105.00
110.27
110.00
110.14
22
Breakdown of Operating Income Changes FY18 First Half to FY18 Second Half Projection
160.0
140.0
120.0
100.0
23
Copyright © Murata Manufacturing Co., Ltd. All rights reserved.
<Projection>
Operating
Projected Financial Results for FY2018
| FY2018 First Half Results | FY2018 Second Half Projections |
|---|---|
| 57.4 B JPY | 68.6 B JPY |
| 50.3 B JPY | 49.7 B JPY |
| 156.4 B JPY | 183.6 B JPY |
| 110.27 | 110.00 |
| 129.84 | 130.00 |
*The new depreciation and amortization method will generate a gain of 48.0 billion yen per year.
24
Dividends per Share
FY2018 projected annual dividends per share 280 JPY per share
(Interim: 140 JPY per share, Year-end: 140 JPY per share) *20 yen increase of year-end dividend per share
FY2017 annual dividends per share 260 JPY per share
(Interim: 130 JPY per share, Year-end: 130 JPY per share)
Note: The above projections are based on our view of the current business environment and our projections for FY2018.
Return to Shareholders
(Billion Yen)
70
60
50
40
30
20
10
0
EPS
(Yen)
26
160%
140%
120%
100%
80%
60%
40%
20%
0%
Our basic policy of profit distribution to shareholders is to prioritize the sharing of gains through payment of dividends, and to steadily raise them by increasing profit per share.
This report contains forward-looking statements concerning Murata Manufacturing Co., Ltd. and its group companies' projections, plans, policies, strategies, schedules, and decisions. These forward-looking statements are not historical facts; rather, they represent the assumptions of the Murata Group (the "Group") based on information currently available and certain assumptions we deem as reasonable. Actual results may differ materially from expectations due to various risks and uncertainties. Readers are therefore requested not to rely on these forward-looking statements as the sole basis for evaluating the Group. The Company has no obligation to revise any of the forward-looking statements as a result of new information, future events or otherwise.
Risks and uncertainties that may affect actual results include, but are not limited to, the following: (1) economic conditions of the Company's business environment, and trends, supply-demand balance, and price fluctuations in the markets for electronic devices and components; (2) price fluctuations and insufficient supply of raw materials; (3) exchange rate fluctuations; (4) the Group's ability to provide a stable supply of new products that are compatible with the rapid technical innovation of the electronic components market and to continue to design and develop products and services that satisfy customers; (5) changes in the market value of the Group's financial assets; (6) drastic legal, political, and social changes in the Group's business environment; and (7) other uncertainties and contingencies.
The Company undertakes no obligation to publicly update any forward-looking statements included in this report.
|
Improving Connections in Elevated Coastal Residential BuildingsU.S. Department of Homeland Security seal. FEMA.
HURRICANE SANDY RECOVERY ADVISORY
Purpose and Intended Audience
FEMA post-disaster assessment teams observed residential buildings damaged during Hurricane Sandy that had inadequate connections between the elevated floor and the pile foundation (Figure 1). This Recovery Advisory describes how to improve connections attaching elevated floors to pile foundations. The improved connection details herein are no substitute for properly elevating a building above the base flood elevation (BFE). Even properly elevated homes may experience an event greater than the base flood. The improved connection details presented in this advisory will reduce potential damage from future wind events and provide added resistance against flood-related structural failure in the event that flood levels exceed the elevated height of the floor. Readers of this Recovery Advisory should consult Hurricane Sandy Recovery Advisory No. 5, Designing for Flood Levels Above the Base Flood Elevation After Hurricane Sandy, on properly elevating buildings.
RA1, February 2013
Figure 1: Building with insufficient connectors (red circle) washed off its pile foundation when elevated floor-to-pile connectors failed. Stronger connectors were used on the house in the background (Ortley Beach, NJ).
Although the information in this Recovery Advisory is most useful for new construction, the same concepts can be applied to retrofits of existing construction. The intended audience for this Recovery Advisory is builders, architects, and engineers. This Recovery Advisory uses the concept of load paths. Readers unfamiliar with load paths can find an overview in FEMA P-499, Home Builder's Guide to Coastal Construction, Category 4 – Load Paths technical fact sheets (refer to Table 1).
Key Issues:
1. Inadequate connections between structural building elements can lead to failure during a flood or high-wind event.
2. The connection between an elevated floor and a pile foundation must be designed to withstand both uplift and lateral loads (Figure 2).
3. Connectors for elevated floor-to-pile foundation elements are often exposed to salt water and must be protected from corrosion. Connectors should be inspected regularly and replaced as needed.
This Recovery Advisory Addresses:
" " Strengthening elevated floor-to-pile foundation connections
" " Protecting metal connectors and brackets from corrosion
" " Resources for strengthening connections
Strengthening Elevated Floor-to-Pile Foundation Connections
The FEMA assessment teams deployed after Hurricane Sandy observed damaged connections between elevated floors and pile foundations. These inadequate connections were subjected to flood levels that exceeded the top of the foundation, and these loads exceeded the capacity of the connections. As a result, the buildings experienced simultaneous uplift and lateral loads during the storm and were pushed off their foundations.
As shown in Figure 1, the inadequate connectors failed, resulting in complete separation of the building from the foundation (foreground), while homes with more substantial connectors secured the building to the foundation (background). It was also observed that elevated floorto-pile foundation connections that were attached near the top edge of the beam with fasteners driven in line with the wood grain resulted in the beam splitting along the grain as shown in Figure 3.
Building Codes
Model building codes do not have standard details to guide the connection of an
Figure 3: Building with connectors nailed along the grain in the upper edge of the wood beam resulted in the beam splitting (Beach Haven, NJ)
elevated floor to a pile foundation. These connections are typically designed to resist high-wind forces and, in some cases, seismic forces (lateral loads) or to meet standard practice for connecting and bracing wood members. They are not typically designed to resist uplift from flood-induced buoyancy forces. Strengthening these connections will reduce the likelihood of a building separating from its foundation if flood levels exceed the top of the foundation or wave loads impact the floor system.
While the details presented in this advisory address better floor-to-pile foundation connections, prior to beginning any new construction or retrofit project it is important to consult the local building code to verify that all elements of the building project, not just the foundation connections, will be compliant.
Details of Strengthening Elevated Floor-to-Pile Foundation Connections
Figure 4 shows details for strengthening the connection of an elevated floor-to-pile foundation. The connections are strengthened by:
" " Using full-depth solid blocking between joists to brace joists and provide shear resistance
" " Using connectors that extend to (or beyond) the mid height of the beam and joist to provide uplift resistance
" " Attaching hold-down connectors directly to the pile
Figure 4a illustrates strengthened connections using a combination of metal connectors and full-depth solid blocking between joists. Figure 4b illustrates strengthened connections by using full-depth solid blocking between joists and wood uplift blocks. Both of these methods, when used as part of an engineered design, can address both uplift and lateral loading from flood and wind loads.
To achieve the full-strength capacity of the connection, the connectors need to be secured with fasteners of the suitable size, length, and material specified by the manufacturer.
Protecting Metal Connectors and Brackets from Corrosion
Metal connectors and fasteners must be adequately protected from corrosion to retain their design capacity. Metal corrosion is most pronounced in coastal buildings within 3,000 feet of the ocean and should be considered a potential issue in all coastal areas (Figure 5).
Minimizing corrosion should be an objective when selecting new connectors. Most often, corrosion resistance can be achieved by using connectors and fasteners that are hot-dip, zinc-coated galvanized steel or stainless steel; see notes above in Figure 3. It is important to verify with the connector manufacturer that the
treated wood, fasteners, and connectors are compatible and will not result in an increased rate of corrosion when brought into contact with each other. For example, galvanized fasteners (nails/screws) should be used with galvanized connectors, and stainless steel fasteners should be used with stainless steel connectors. Connections assembled with a mixture of materials will accelerate corrosion if the different metals come into contact with each other. For more information on corrosion protection, see FEMA Technical Bulletin 8, Corrosion Protection for Metal Connectors in Coastal Areas for Structures Located in Special Flood Hazard Areas in Accordance with the National Flood Insurance Program (FEMA, 1996).
Deteriorated connectors should be replaced. Existing fasteners not yet corroded can be protected by applying corrosion-resistant paints such as zinc or epoxy-polyamide. However, the effectiveness of an applied paint is not completely predictable because its effectiveness is not necessarily correlated to paint thickness, and it is only effective on the painted areas. Unpainted areas and hard-to-reach portions of the connectors and fasteners will remain susceptible to corrosion.
Metal connectors and fasteners, and protective coating if used, should always be installed in accordance with the manufacturers' or engineers' specifications.
Resources and Useful Links
" " ICC (International Code Council). 2012. International Building Code. Country Club Hills, IL. The ICC offers a free viewer that shows the codes at http://www.iccsafe.org/content/pages/freeresources.aspx.
" " ICC. 2012. International Residential Code for One- and Two-Family Dwellings. Country Club Hills, IL.
" " FEMA. 1996. Technical Bulletin 8. Corrosion Protection for Metal Connectors in Coastal Areas for Structures Located in Special Flood Hazard Areas in Accordance with the National Flood Insurance Program. Available at http://www.fema.gov/library/viewRecord.do?id=1721.
The FEMA Region II Web page provides useful information and links for disaster survivors and recovering communities, including available FEMA assistance and recovery initiatives. Please refer to http://www.region2coastal. com.
" " FEMA. 2013. Hurricane Sandy Recovery Advisory No. 5, Designing for Flood Levels Above the Base Flood Elevation After Hurricane Sandy. Washington, DC. Available at http://www.fema.gov/media-library/assets/ documents/30966?id=6994.
" " American Wood Council. Wood Frame Construction Manual. Leesburg, VA.
The connection between an elevated floor and a pile foundation is only one of many connections that must be strong enough to transfer loads without failing. Other connections are equally important for reducing the likelihood of damage for high winds or floods. Table 1 lists FEMA documents that have information related to load path connections in residential buildings. Although these resources may not have sufficient information to size specific connections, they will introduce readers to the concepts necessary to properly anchor a coastal building. All of the documents listed in Table 1 can be downloaded from the publications section of the FEMA Building Science Web site: http://www.fema.gov/building-science-publications.
| Resource Title | Connections and Fasteners | Wood-Frame Construction | Masonry Construction | Foundations | Walls and Roofs |
|---|---|---|---|---|---|
| FEMA P-499, Home Builder’s Guide to Coastal Construction (2010) | | | | | |
| Fact Sheet 1.1: Coastal Building Success and Failures | | ✔ | ✔ | ✔ | ✔ |
| Fact Sheet 1.2: Summary of Coastal Construction Requirements and Recommendations | | ✔ | ✔ | ✔ | ✔ |
| Fact Sheet 1.5: V Zone Design and Construction Certificate | | ✔ | ✔ | ✔ | |
| Fact Sheet 1.6: Designing for Flood Levels Above the BFE | | ✔ | ✔ | ✔ | |
| Fact Sheet 1.7: Coastal Building Materials | ✔ | ✔ | ✔ | ✔ | ✔ |
| Fact Sheet 1.8: Alternative Construction Materials | | ✔ | ✔ | ✔ | ✔ |
| Fact Sheet 3.1: Foundations in Coastal Areas | | ✔ | ✔ | ✔ | |
| Fact Sheet 3.2: Pile Installation | ✔ | ✔ | | ✔ | |
| Fact Sheet 3.3: Wood-Pile-to-Beam Connections | ✔ | ✔ | | ✔ | |
| Fact Sheet 3.4: Reinforced Masonry Pier Construction | ✔ | ✔ | ✔ | ✔ | |
| Fact Sheet 3.5: Foundation Walls | | ✔ | ✔ | ✔ | |
| Fact Sheet 4.1: Load Paths | ✔ | ✔ | ✔ | ✔ | ✔ |
| Fact Sheet 4.2: Masonry Details | ✔ | | ✔ | ✔ | ✔ |
| Fact Sheet 4.3: Use of Connectors and Brackets | ✔ | ✔ | | ✔ | ✔ |
| Fact Sheet 8.1: Enclosures and Breakaway Walls | ✔ | ✔ | ✔ | ✔ | |
| Fact Sheet 9.1: Repairs, Remodeling, Additions and Retrofitting (Flood) | ✔ | ✔ | ✔ | ✔ | ✔ |
| Fact Sheet 9.2: Repairs, Remodeling, Additions and Retrofitting (Wind) | ✔ | ✔ | ✔ | ✔ | ✔ |
| Technical Bulletin 2: Flood Damage-Resistant Materials Requirements (2008) | ✔ | ✔ | ✔ | ✔ | ✔ |
| Technical Bulletin 5: Free-of-Obstruction Requirements (2008) | | ✔ | ✔ | ✔ | |
| Technical Bulletin 8: Corrosion Protection for Metal Connectors in Coastal Areas (1996) | ✔ | | | | |
| Technical Bulletin 9: Design and Construction Guidance for Breakaway Walls (2008) | | ✔ | ✔ | ✔ | |
| T echnical Bulletin 11: Crawlspace Construction for Buildings Located in Special Flood Hazard Areas (2001) | | ✔ | ✔ | ✔ | |
| FEMA P-55, Coastal Construction Manual (2011) | ✔ | ✔ | ✔ | ✔ | ✔ |
| FEMA P-762, Local Offciials Guide for Coastal Construction (2009) | ✔ | ✔ | ✔ | ✔ | ✔ |
For more information, see the FEMA Building Science Frequently Asked Questions Web site at http://www.fema.gov/frequently-askedquestions.
To order publications, contact the FEMA Distribution Center:
If you have any additional questions on FEMA Building Science Publications, contact the helpline at FEMA-Buildingsciencehelp@ fema.dhs.gov or 866-927-2104.
You may also sign up for the FEMA Building Science e-mail subscription, which is updated with publication releases and FEMA Building Science activities. Subscribe at https://public. govdelivery.com/accounts/USDHSFEMA/subscriber/new?topic_ id=USDHSFEMA_193.
Visit the Building Science Branch of the Risk Reduction Division at FEMA's Federal Insurance and Mitigation Administration at http://www.fema.gov/building-science.
Improving Connections in Elevated Coastal Residential Buildings
Call: 1-800-480-2520 (Monday–Friday, 8 a.m.–5 p.m., EST)
Fax: 240-699-0525
E-mail: FEMA-Publications-
email@example.com
Additional FEMA documents can be found in the FEMA Library at http://www.fema.gov/library.
Please scan this QR code to visit the FEMA Building Science Web page.
|
MKTG/STAT 476/776: Applied Probability Models in Marketing
Spring 2019 (Monday/Tuesday/Wednesday 3-6PM)
Professor Peter Fader and TAs: Alexis Charolais, Danielle Clanaman, James Goh, Julia Lesko, and Ajjit Narayanan (group email: email@example.com)
TA office hours: Monday/Tuesday 6-7:30PM
Motivations and Objectives
Over the past six decades, statisticians have developed a number of models that have proven to be highly effective in their ability to explain and predict empirical patterns within many areas in business, the social sciences, and other domains in which individual behaviors can be tracked over time. These models use some basic "building blocks" from probability theory to offer behaviorally plausible perspectives on different types of timing, counting, and choice processes. Researchers in marketing have actively contributed to (and benefited from) these models for a wide variety of applications, such as new product sales forecasting, analyses of media usage, targeted marketing programs, estimation of customer lifetime value, and even overall corporate valuation. Other disciplines have seen equally broad utilization of these techniques.
As new forms of information technology provide increasingly rich descriptions of individuallevel shopping/purchasing behavior, these models offer great value to practicing managers, particularly those interested in pursuing CRM ("customer relationship management") activities. Furthermore, as more managers become comfortable with non-linear optimization techniques (using, for example, the "Solver" feature within Microsoft Excel), the specification and interpretation of these models can become a regular part of the manager's toolkit. Taken as a whole, the methodological approaches covered in this course are well-suited to address the types of questions that are being asked with increasing frequency and interest by investors and managers of today's data-intensive businesses.
The principal objectives of this course are:
- To familiarize students with probability models and their role in marketing, information systems, supply chain management, actuarial science, operations research, public policy, and many other areas.
- To provide students with the analytical and empirical skills required to develop probability models and apply them to problems of genuine managerial interest.
- To have students develop good instincts to judge the appropriateness, performance, and value of different kinds of models in a variety of settings.
- To encourage students to think critically about statistical methods and managerial perspectives that are common in certain domains but not always the best ways to approach all data-oriented decision problems.
Prerequisites
This course is open to students at any level (undergraduate, MBA, other masters, PhD) who have sufficient curiosity and raw mathematical aptitude to handle the sophisticated methods that will be introduced and featured here. It is essential that students have some familiarity with basic integral calculus. Furthermore, a mid-level probability/statistics course would be helpful, but one's ability to learn and fully understand new concepts/methods is far more important than mere exposure to them. Finally, there is no need to have taken any marketing (or business) courses before this one.
Smart and highly motivated students are encouraged to take the course sooner (e.g., sophomore year or first-year MBA) rather than later. The course can be very helpful for summer internships, and it provides an excellent foundation for other advanced modeling courses that can be taken after this one.
Course Organization and Materials
Every session will be lecture-based, with a strong emphasis on real-time problem solving, including mathematical derivations and numerical investigations using Microsoft Excel. Central to the development of the skills associated with probability modeling is hands-on experience. To this end, a set of homework exercises will be assigned for most sessions. It is very important to carefully worth through these exercises in order to learn the material. By themselves, they play a small role for the course grade, but will have a huge impact on genuine learning and performance on the final exam.
There is no formal textbook for the course (since no suitable book exists), but lecture notes covering most of the material presented in class will be posted on Canvas. Most of the Excel spreadsheets used in class will be made available to the students, and some journal articles, popular press pieces, and blog posts will be suggested as illustrations/applications of the techniques discussed. But most of these readings are just recommended – there will be no formal pre- or post-class reading assignments for any session.
Professor Fader's two books ("Customer Centricity: Focus on the Right Customers for Strategic Advantage" and "The Customer Centricity Playbook: Implement a Winning Strategy Using Customer Lifetime Value") are recommended for students who are interested in seeing how these methods developed in the course can translate into business strategy. But they are not required, and will be of little help for the methodological aspects featured in the course.
Teaching Approach
The methods covered in this course will be quite unfamiliar to most students at the start of the semester. As such, it is important to ensure that the first exposure is impactful and that there are opportunities to work with the materials multiple times and through multiple formats. To make this possible we will utilize a fairly unique "heads up" learning system in the classroom. The basic elements include:
- Strongly recommended (but not mandatory) classroom attendance. (But note that class participation is a substantial component of the course grade).
- The use of laptops in the classroom is strongly discouraged
- Presentation decks, spreadsheets, etc., will not be provided before each weekly class session
- Each session will be recorded and made available in a multimedia format that enhances learning as students go through the material for the second time.
These steps are intended to help students keep their "heads up" to focus on the main points in each session. Students are encouraged to ask questions about key conceptual issues, managerial applications, and the overall modeling philosophy; however, questions about more minor technical issues should be addressed by reviewing the presentation decks and recordings after class (and utilizing the Piazza discussion platform to post and answer questions).
Students are expected to create their own complete set of class notes after attending each session and working through the decks/recordings. It is fine for students to collaborate on this task, but it's best for each student to create their own notes. Any kind of "divide and conquer" approach will be counterproductive for the student (particularly with regard to the final exam).
Evaluation
Homework (5% of final grade): These exercises will be both analytical and numerical. It is fine for students to communicate about specific problems, but every student must write up each problem independently and hand in their own work. Completed assignments are due on Wednesday at 3PM a week after they're assigned, and must be uploaded to Canvas. Homework will be assigned weekly for the first half of the course, and then sporadically afterwards.
Class Participation (15%): Although there are no formal case discussions, students are expected to be actively engaged in the lectures, which will include frequent "cold calls" to ensure that everyone is following (and participating in) the conversation.
Project 1 (25%, due 2/20): For the first paper, students will be asked to find a specific type of dataset and analyze it carefully. Papers will be evaluated using an innovative collaborative grading system, the Wharton Online Ordinal Peer Performance Evaluation Engine (WHOOPPEE). Details about the assignment and grading process will be discussed in class.
Project 2 (25%, due 4/10): The second paper will be more standardized – all students will be given a common dataset to analyze (and WHOOPPEE will be used again for grading).
Final Exam (30%, date TBA): The final exam (date TBA) will be a structured set of questions to assess students' conceptual understanding of the course material. It will not require any detailed mathematical derivations or extensive numerical calculations. It will be a closed-book exam but students can bring a one-page (two-sided) "cheat sheet" as a reference. This will be one of the most challenging exams you take at Wharton/Penn, so you must prepare for it throughout the semester.
All relevant University of Pennsylvania policies regarding academic integrity must be followed. Students may not submit work that has been prepared by (or in conjunction with) someone else, without explicit instructor permission. Any student who in any way misrepresents somebody else's work as their own will face severe disciplinary consequences.
Attending Different Sections
The three sections of the course are basically identical and interchangeable: the same material will be covered in each one. It is fine if students want to switch sections from week to week, and there is no need to ask (or notify) anyone in advance. We encourage students to attend any of the sections but then watch the videos from one (or both) of the sections they didn't attend – slight differences from one session to another can be a helpful way to learn the material better.
Auditing, Pass/Fail, and Waitlists
- Anyone is welcome to audit the course; you can contact Professor Fader (or utilize a URL that he will provide in the first class session) to get full access to Canvas. Auditors are welcome to attend classes as they wish, but they should not take seats from enrolled students; they must wait until 3PM to see if there any open seats. Please respect this rule! As the semester goes on and the waitlist closes, there will be seats for everyone.
- Students cannot take the course pass/fail: given high demand for it, students must be committed to doing their best throughout the semester; striving to merely pass is not good enough.
- We will use a brief survey to create a waitlist for students who are unable to enroll before the semester begins: they will be asked a few questions about their motivations and qualifications to join the course. There will be separate lists for undergraduates, MBA students, and non-MBA graduate students. Details will be discussed during the first week and posted on Canvas.
Course Schedule
Note that the university's academic calendar treats Wednesday 1/16 as a Monday, so Week #1 consists of 1/16, 1/22, and 1/23. Then the regular schedule will begin on January 28.
Week 1 ("M" 1/16, T 1/22, W 1/23): Introduction to probability models
Motivating problem: Forecasting customer retention. Comparisons to traditional regressionbased models: "curve-fitting" vs. "model-building." Careful derivation of a parametric mixture model (the beta-geometric). Coverage of maximum likelihood estimation and the Microsoft Excel Solver tool. Discussion about the philosophy and objectives of probability modeling.
Week "1A" (Date/time TBA): Math/stat review
Optional Q&A session on the basic calculus, probability, and statistics issues covered in Week 1.
Week 2 (M 1/28, T 1/29, W 1/30): Models for count data
Introduction to the Poisson process and its extension to the negative binomial distribution. Evaluating goodness-of-fit. Generalizing the model to allow for "spikes" at 0 or 1.
Week 3 (M 2/4, T 2/5, W 2/6): More on count models
Alternative estimation approaches for count models ("Means and Zeroes" and "Method of Moments"). Dealing with problems of limited/missing data: truncated and shifted NBD models. Applications to Facebook and other real-world datasets.
Week 4 (M 2/11, T 2/12, W 2/13): Repeated choice processes and empirical Bayes methods
Choice vs. counting. The binomial distribution. The beta distribution as a mixture model. Parameter estimation and inference. Conditional distributions and expectations. Combining population information ("priors") with observed data for individuals. Regression-to-the-mean.
Week 5 (M 2/18, T 2/19, W 2/20): Timing models Project 1 due
Motivating problem: forecasting new product adoption. Implementing and evaluating different timing models, particularly the exponential-gamma. Dealing with grouped data and right censoring. Introducing hazard functions. Discussion of other timing models (e.g., Weibull), and the linkages among them. Exploring the interplay between timing and counting processes.
Week 6 (M 2/25, T 2/26, W 2/27): Customer-base analysis
Combining the basic building blocks to create integrated models to estimate customer lifetime value and related concepts.
Spring Break – no class (M 3/4, T 3/5, W 3/6)
Week 7 (M 3/11, T 3/12, W 3/13): Customer-base analysis (cont.)
More CLV-oriented applications.
Week 8 (M 3/18, T 3/19, W 3/20): Introducing covariates
Poisson regression and NBD regression for counting models. Proportional hazard methods and covariate effects for timing models. General discussion about the different role of covariates from the perspective of an econometrician vis-à-vis a probability modeler. Applications.
Week 9 (M 3/25, T 3/26, W 3/27): Finite mixture and latent class methods
Looking at non-parametric (discrete) approaches to capturing heterogeneity. Interpreting support points versus cluster characteristics. Estimation issues. Overview of selection criteria for nonnested models.
Week 10 (M 4/1. T 4/2, W 4/3): Multi-item choice models
The multinomial choice process and the Dirichlet mixing distribution. Interplay between the beta and Dirichlet distributions.
Week 11 (M 4/8, T 4/9, W 4/10): Fun with Dirichlet! Project 2 due
Further examination of the Dirichlet-multinomial choice model and its astonishing patterns. Discussion of Ehrenberg's "empirical laws."
Week 12 (M 4/15, T 4/16, W 4/17): Integrated models
Combined models of counting, timing, and/or choice. Particular focus on the BB/NBD as a working example.
Week 13 (M 4/22, T 4/23, W 4/24): Nonstationary processes
Overview and comparison of techniques such as renewal processes, learning models, hidden Markov methods, and other approaches to capture dynamics over time.
Week 14 (M 4/29, T 4/30, W 5/1): Applications and wrap-up
More applications/extensions, preparation for final exam, and final comments, questions, and discussion about the development and use of probability models beyond the course.
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Economics and Business Review
Volume 2 (16) Number 1 2016
CONTENTS
ARTICLES
Transaction costs and their impact on industry's internationalisation degree – theoretical framework
Katarzyna Mroczek-Dąbrowska
FDI policies in Europe in the aftermath of the 2008+ crisis Marta Götz
Determinants of inward FDI into Visegrad countries: empirical evidence based on panel data for the years 2000–2012
Krzysztof Wach, Liwiusz Wojciechowski
Co-movements of NAFTA stock markets: Granger‑causality analysis Paweł Folfas
Audit committee structure and earnings management in Asia Pacific
Qaiser Rafique Yasser, Abdullah Al Mamun
Success and failure in M&As: Is there a place for a paradigm change? Evidence from the Israeli hi-tech industry
Ofer Zaks
It's not all about the profit: an analysis of changes in arts and business relations Kamila Lewandowska
BOOK REVIEWS
Piotr Trąpczyński, Foundations of Foreign Direct Investment Performance, Poznań University of Economics and Business Press, Poznań 2016 (Svetla Trifonova Marinova)
Maciej Szymczak, Ewolucja łańcuchów dostaw [The Evolution of Supply Chains], Wydawnictwo Uniwersytetu Ekonomicznego w Poznaniu, Poznań 2015 (Jarosław Witkowski)
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, Griffin
Christopher J. Green
– Northumbria University, Newcastle upon Tyne
John Hogan – Georgia State University, Atlanta
– Loughborough University
Bruce E. Kaufman– Georgia State University, Atlanta
Victor Murinde – University of Birmingham
Steve Letza– Corporate Governance Business School Bournemouth University
Hugh Scullion – National University of Ireland, Galway
Richard Sweeney
Yochanan Shachmurove – The City College, City University of New York
Thomas Taylor
– The McDonough School of Business, Georgetown University, Washington D.C.
Clas Wihlborg
– School of Business and Accountancy, Wake Forest University, Winston-Salem
Jan Winiecki– University of Information Technology and Management in Rzeszów
– Argyros School of Business and Economics, Chapman University, Orange
Habte G. Woldu– School of Management, The University of Texas at Dallas
Thematic 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: Marcin Reguła
© Copyright by Poznań University of Economics and Business, Poznań 2016
Paper based publication
ISSN 2392-1641
POZNAŃ UNIVERSITY OF ECONOMICS AND BUSINESS 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 and Business Print Shop
Circulation: 300 copies
Maciej Szymczak, Ewolucja łańcuchów dostaw [The Evolution of Supply Chains], Wydawnictwo Uniwersytetu Ekonomicznego w Poznaniu, Poznań 2015: 186, ISBN: 978-83-7417-866-2
Benefits from the integration of supply chains are the reason why the problems of their function and development have be come a very important dimension of eco nomic analysis and practice in the man agement of big international corporations. Due to contemporary market conditions, achieving a competitive advantage does not exclusively result from the rivalry be tween individual enterprises but, above all, from their collaboration in creating efficient and effective supply chains. An increasing awareness that those prob lems are of key importance in achieving and sustaining competitive advantages has caused much interest, which is con firmed by the many books and publica tions. One of them is a scientific mono graph by Maciej Szymczak, entitled „The evolution of supply chains". Although the author's earlier publications prove that he is an unquestioned specialist in the field of international logistics and global supply chain management, one could ask the question: Is there a need for another monograph on this subject and to whom is it addressed?
Answering the first part of this ques tion, it is worth mentioning that the sub ject, in contrast to majority of the pub lications available, is narrowed down to the problems concerning the evolution in the structure and functioning of supply chains. Moreover the evolution is treat ed in a complex manner as a process of change occurring in time and leading to higher levels of maturity, excellence and efficiency. It focuses on the subject of in ternational evolutions involving very com plex supply chains which is an unques
tionable asset and a feature that distin guishes M. Szymczak's book from the great majority of earlier publications. An addi tional argument proving the originality of the monograph is the proposal and cre dence of the hypothesis that information technologies are a key driving force which makes it possible to devise new business models which can be implemented by the supply chains. Worth mentioning is the fact that the hypothesis is not entirely new. A five-level Compass Model (Manguistics Model) devised by a firm from the ITconsulting branch has already been known for several years. According to this model reaching successive phases in the evolu tion of supply chain depends, above all, on the applied technologies of collect ing, processing and transferring infor mation [Witkowski 2010: 73–75; Simchi ‑Levi, Kaminsky, and Simchi-Levi 2000: 243–244]. It must be admitted, however, that the chosen information technologies illustrated in Chapter Five, which are nec essary to enter the successive phases in the process of the evolution of supply chains are entirely different from those included in the five-level compass model. In con trast to that model the author omits the role of traditional business IT systems and applications, such as the MRP, MRP II, ERP, and CRM. Instead he points to the significance and driving force of transi tion in successive stages of the evolution of supply chains: cloud computing, mobile technologies chosen and the Internet of things. The latter, having the most pros pects for the future and therefore being the most debatable of the information technologies mentioned, is understood
as a network of physical objects constitut ing a structure within the frameworks of which the objects can exchange data. To understand the role and to assess the ap plicability of the innovatory, or even more futuristic IT solutions, the reader should have a fundamental knowledge of tra ditional information technologies which are applied in the creation and function of supply chains. M. Szymczak's book is not an easy read for beginners in man agement. Nevertheless, it may undoubt edly be a very useful repository of knowl edge for those who specialize in logistics, supply chain management and university students of more advanced years in eco nomics or technology faculties. The book is also very useful reading for senior man agers who make an effort to raise the sup ply chains they manage to higher levels of efficiency, maturity and excellence.
The monograph is not very large but its structure comprises six chapters. In order to acquaint the reader with fundamen tal information on supply chains man agement, Chapter One presents a stand ard review of theoretical achievements as widely discussed in the related literature. Undoubtedly in order to limit the size of the book there is a concise and superficial description of the origin, evolution and as sumptions of the concept of supply chain management. Chapters Two and Three contain considerations which are much deeper, discussing the causes and direc tions of the evolution of global supply chains. M. Szymczak gives an apt diagno sis of the main causes of the evolution of supply chains, paying special attention to external factors connected with the pro cess of globalization, changes in the ex pectations of purchasers and progressive use of technology in contemporary soci ety. The logical cause-effect analysis in this part of the book is supported by numerous arguments in the form of statistical data.
On these grounds the author formulates a bold thesis about the fading significance of effectiveness as a factor of the competi tive advantage of global concerns. In his opinion the current evolution of supply chains should include aspirations towards:
– responsiveness to changes in customer needs,
– flexibility of operation,
– resilience to all kinds of turbulence.
Chapter Four is entirely devoted to the presentation of the author's set of models, indicators and measures and the monitor ing and evaluation of the process of striv ing for supply chain excellence. Although the set proposed does not exhaust all the possibilities for the application of models and instruments for the improvement of organizational structures and processes in supply chains, its contents have significant value in their application. In particular managers who are the initiators or lead ers of international supply chains could find it possible to apply the proposed so lutions. Chapter Five concerns the oppor tunities of using information technologies at individual stages of the evolution. The sixth chapter contains exemplification of the described phenomena and regulari ties on the basis of examples chosen from business practice. These are both pres entations of the solutions at the level of
Despite a positive evaluation of this part of the book, I have some doubts as to whether the exclusion the process of the striving for cost leadership is justified. In the industry-end stage branches, and par ticularly in the extraction and processing of raw materials, it will always be the key factor in market success. I consider that a proper starting point for the determina tion of contemporary directions of evolu tion would be the classical division into ef fective chains for functional products and flexible chains for innovative products as proposed by M. Fischer in [1997].
strategic management and concrete solu tions of an operational character in hybrid and self-organizing supply chains. The de scribed examples include retail networks of Internet giants, such as Amazon or the supply chain of computer maker Lenovo. Even if some thematic threads concern ing the origin and future directions of the evolution of supply chains illustrated in the first and the last chapter of the book may raise some objections because they do not present the current state of knowl edge fully. However with the full reasons for the justification of the theses put for ward by the author, he provides the reader with an opportunity to broaden his/her knowledge by making use of a carefully selected bibliography. Lists of the most important current publications are placed after each chapter and the introduction to the monograph.
The contents of the final part of the book prove that the author is fully aware that the views and conclusions concern ing the direction of the evolution of sup ply chains presented are burdened with much subjectivism. This results from the chosen methodological paradigm which assumes that the analysis of the literature and case studies taken mainly from the perspective of the implementation of in novation in information technologies is correct. That is why the concluding re marks of the book contain many ques tions and postulate further research work. In this way M. Szymczak determines new directions and dimensions for the analysis of the processes of the evolution of global supply chains. The book is an interesting and valuable publication which enriches the knowledge of the function and devel opment of network organizations in the global economy.
References
Fischer, M., 1997, What Is the Right Supply Chain for Your Product?, Harvard Business Review, no. 3–4.
Witkowski, J., 2010, Zarządzanie łańcuchem dostaw, PWE, Warszawa.
Simchi-Levi, D., Kaminsky, P., Simchi-Levi, E., 2000, Designing and Managing the Supply Chain. Concepts, Strategies and Case Studies, McGraw-Hill/Irwin, Boston.
Jarosław Witkowski Wrocław University of Economics, Poland
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Dubuque, IA | November 13, 2007
We meet at a difficult time for organized labor. A while back, I went to a Maytag plant in Galesburg, Illinois that was moving to Mexico. And I met workers who were having to compete with their own children for jobs that pay seven bucks an hour. A few months ago, I traveled to Newton, where Maytag was shutting its doors after 114 years. One worker who'd been there more than a decade said, "I just thought I would retire from here and never have another job. I'm scared."
I'm scared.
It makes us outraged to hear these stories. And we've been hearing them for a long time. It was stories like these that led me more than two decades ago to walk away from a career on Wall Street and become a community organizer in Chicago, so I could help folks who'd lost jobs and lost hope when the nearby steel plants closed down. I didn't know a soul in Chicago, but I knew I didn't like the idea of working people being laid off and not having anybody fighting for them. I knew I wanted to do my part to make sure they had a decent future.
So when I go to places like Galesburg or Newton, it reminds me why I entered public service. And it reminds me why I'm a Democrat. Because if the Democratic Party means anything, then it has to mean we value labor. If the Democratic Party stands for anything, then it has to stand up for your rights, and your future. If the Democratic Party has a vision for America - then it has to be an America that's working for working Americans.
But we all know that for a long time now, we've had a President who doesn't see it that way. We have lived through six years of the most anti-labor administration in generations. They don't believe in unions. They don't believe in organizing. They've packed the labor relations board with their corporate buddies. Well, we've got news for them - it's not the Department of Management, it's the Department of Labor, and we're going to take it back.
But despite six years of them doing everything they could to tear labor down - as I look out on this crowd and as I travel across this country, the one thing I know for certain is that the UAW is still fighting. The UAW is still mobilizing. The UAW is still organizing.
I'm tired of playing defense. I know the UAW is tired of playing defense. We're ready to play some offense. We're ready to play offense for a secure retirement. We're ready to play offense to enforce labor laws.
We're ready to play offense for universal health care. I'm tired of seeing unions go to the bargaining table and fight for the benefits they negotiated a long time ago, instead of fighting for better wages to support their families. I reformed health care in Illinois. And I did it by reaching out to Democrats and Republicans. We took on the insurance industry, and we won. And that's what I'll do as President. I've got a plan that cuts costs for the typical family by up to $2,500 a year - more than any other plan that's been offered in this race. And I make this solemn pledge to you - I'll sign my universal health care plan into law by the end of my first term.
We're ready to play offense for American workers. When I'm President, we're not going to wait twenty years or ten years to raise the minimum wage - we'll raise it to keep pace with inflation every year so that American workers aren't falling behind. And we'll take tax breaks away from companies that ship our jobs overseas and put them in the pockets of working Americans who deserve it.
We're not going to stop globalization in its tracks, but we shouldn't be standing idly by while American jobs are shipped overseas. It's time to put Main Street ahead of Wall Street when it comes to trade. The only trade agreements I believe in are ones that put workers first - because trade deals aren't good for the American people if they aren't good for working people. That's why I opposed CAFTA. That's http://www.barackobama.com/2007/11/13/remarks_of_senator_barack_obam_32.php
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why I oppose the South Korea Free Trade Agreement. That's why I voted to block Mexican trucks from entering this country. And that's why we need to amend NAFTA.
We're ready to take the offense for organized labor. It's time we had a President who didn't choke saying the word "union." We need to strengthen our unions by letting them do what they do best organize our workers. If a majority of workers want a union, they should get a union. It's that simple. We need to stand up to the business lobby that's been getting their friends in Congress and in the White House to block card check. That's why I was one of the leaders fighting to pass the Employee Free Choice Act. That's why I'm fighting for it in the Senate. And that's why we'll make it the law of the land when I'm President.
There are few more important unions in this country than the UAW. You created the auto industry. You secured good-paying jobs for generations of workers. And you built the American middle class - the backbone of our economy. So I know someone once said what's good for GM is good for America. But it's time we also recognized that what's good for the UAW is good for America.
We need to help you compete with workers around the world by helping the auto industry compete with car companies all over the world. Yes, that means raising our fuel standards so we can make the fuelefficient cars that are the future of your industry. But it also means giving you the help you need to retool your plants so we can build these cars right here in America. And if we can do that, we'll create thousands and thousands of jobs in the process.
But if we're serious about helping you compete abroad, we need to stand up for you here at home. That's why I called Mike Sheridan with Local 95 in Wisconsin the day they decided to strike GM, and gave him my support. And I made the same call to Dan Kirk with Local 72 when Chrysler workers went on strike. And Larry Sharpe and his members in Local 6 from my home state of Illinois can't be here today because they're striking International Truck and Engine, but Larry knows he has my support. Because when you hit the picket lines - whether it's with GM or Chrysler or anybody else - you aren't just fighting for your own rights, you're fighting for the rights of every American worker.
But it's going to be hard to do all this - it's going to be hard to make the UAW's agenda America's agenda - until we end this war in Iraq. This is a war I opposed in 2002. It's a war I opposed in 2003. And in 2004, and 2005, and 2006. This is a war that should have never been authorized and never been waged. And we shouldn't compound the mistake of going in by waiting any longer to pull our troops out. That's why I've called for us to start withdrawing troops not next month, not next year - now.
This is a defining moment in our history. Our nation is at war. The dream that so many generations fought for feels as if it's slowly slipping away. We are working harder for less. We've never paid more for health care or for college. It's harder to save and it's harder to retire. And most of all we've lost faith that our leaders can or will do anything about it.
And it is because of this that America is listening, intently, to what my fellow candidates and I are saying - not just Democrats, but Republicans and Independents who've lost trust in their government, but want to believe again. So in this election, we have a chance to bring the country together in a new majority - to finally tackle problems that George Bush made far worse, but that had festered long before George Bush ever took office - problems that we've talked about year after year after year after year.
And that is why the same old Washington textbook campaigns just won't do in this election. That's why not answering questions because we're afraid our answers won't be popular just won't do. That's why telling the American people what we think they want to hear instead of telling the American people what they need to hear just won't do. Triangulating and poll-driven positions because we're worried about what Mitt or Rudy might say about us just won't do. If we're really serious about winning this election, we can't live in fear of losing it.
The Democratic Party has always made the biggest difference in the lives of the American people when we've led not by polls, but by principle; not by calculation, but by conviction; when we summoned the entire nation to a common purpose - a higher purpose. And I run for the Presidency of the United States of America because that's the party America needs us to be right now.
A party that offers not just a difference in policies, but a difference in leadership.
A party that doesn't just focus on how to win but why we should.
A party that doesn't just offer change as a slogan, but real, meaningful change - change that America can believe in.
That's why I'm in this race. That's why I am running for President of the United States of America.
Now, I know we've got a lot of good candidates in this race, and I know they're saying the right things when they come and talk to you. But politicians often say they're pro-labor at election time no matter what they've said or done before. And that leaves you wondering what they will say or do after the election. So when a candidate rails against NAFTA today, it's fair to ask her where she's been before. When a candidate says he opposes right-to-work laws or trade rules that hurt workers today, ask him where he's been before. Because what you need, what America needs, is a President who will fight for you when it's hard, and not just when it's politically convenient.
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And that's exactly what I intend to do. Because politics didn't lead me to working folks - working folks led me into politics. I was standing with American workers on the streets of Chicago twenty years ago, and the reason I'm here today is because I don't want to wake up one day many years from now and see that we're still standing by while American jobs get shipped overseas.
So I'm not just here to give a speech. I don't like just talking about the problems we face in this country. I want to solve them. So I'm here to ask for your support, Region 4. I'm here to ask you to believe not just in me, but in your own sense of possibility, your own imagination about what America might be.
Imagine a President whose life's story was like so many of your own, who knows what it's like to go to college on scholarships, who knows what it's like to see his mother get sick and worry that maybe she can't pay the medical bills.
Imagine a President who knows what it's like to put on a comfortable pair of shoes and walk with you on that picket line. Who gives Denny Williams a call before any major piece of labor legislation crosses his desk, so even if we don't see eye to eye on everything, your voice will be heard.
Imagine an America where we don't have to keep playing defense because we can finally play some offense.
That future is within our grasp. We can build that America together if you join me.
But each of us has to do our part. So I just want to close with a story about the difference that one voice can make.
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1/16/2008
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VIRGINIA CITY COUNCIL
COUNCIL PROCEEDINGS
City of Virginia, Minnesota October 27, 2015
Regular meeting of the City Council of the City of Virginia Minnesota was called to order a 6:30 p.m. by Mayor Cuffe, Jr. in the council chambers, city hall.
ROLL CALL:
Present: Mayor Cuffe, Jr.; Councillors: Baribeau, Baranzelli, McReynolds, Littlewolf, Sipola, Jorgensen (7)
Absent: none
Mayor Cuffe, Jr. led the Pledge of Allegiance
Moved by Councillor Littlewolf, supported by Councillor Baranzelli to approve the consent agenda as follows:
1. Approval/correction of minutes of Regular Meeting held October 13, 2015
2. Adoption of Finance Resolution No. 15-019 Schedule of Bills.
3. Approve the application for the exempt permit for MN Ducks unlimited raffle held October 26, 2015.
4. Adopt Resolution 15193 authorizing special assessments against properties for delinquent blight invoices.
5. Adopt Resolution 15194 authorizing special assessments against properties for delinquent public utilities.
6. Adopt Resolution 15195 authorizing special assessments against properties in violation of the Clear Water Discharge Ordinance.
7. Approve the application for the exempt permit for the Mesabi Humane Society to hold a raffle and bingo on November 7, 2015.
Motion carried and Resolutions adopted unanimously
APPEARANCES:
Terry Hartikka-Discussed the Cable Commission request for the HD Access TV equipment purchase. He gave the council an update for the ability for live TV from remote locations, the current equipment is 12-13 years old, with the industry going towards HD it makes sense to go that way. The Commission does have the funds available to purchase the equipment.
Live TV feature, on channel Five and facilitate going live over the internet. Councillor Baribeau asked what will happen to access channel, if they have to get new boxes, not everyone has internet access. It was suggested to look at the contract with Mediacom. If they phased out analog they would have to provide HD on their cost. The Municipal Cable Commission voted to approve the equipment purchase at the Commission meeting. Councillor Littlewolf wasn't sure about the budget, so not sure how we can approve without more information. They are requesting using peg fees, which has a balance of about $31,000 and they need approximately $20,000 for the purchase. She would prefer to see a quote for the items, and to go back to finance committee for more discussion. Councillor Baribeau was contacted and noted that it's already covered under Franchise Fees and in the past we have bypassed the finance committee.
Moved by Councillor Baribeau, supported by Councillor Sipola to approve the purchase of the HD equipment on the recommendation of the Municipal Cable Commission.
Roll Call Vote:
Ayes-Baribeau, Jorgensen, Sipola, Baranzelli, Cuffe, Jr. (5)
Nay-Littlewolf, McReynolds (2)
Motion Carried
Further discussion on the matter, Councillor Littlewolf disagrees with the motion and would like to see the invoices presented to the council; Councillor McReynolds asked if it could be delayed until the next council meeting. Councillor Jorgensen was aware of the purchase from the minutes of the meeting. Mayor Cuffe Jr. also noted that he doesn't have a problem with the purchase and to move forward, the quote and breakdown can be given to the council when Mr. Hartikka has it.
Mr. Hartikka also discussed regulation of adult entertainment; he has received emails from people regarding some adult entertainment issues and would like the council to weigh in on the issue. They may be called sexually orientated businesses; sex clubs, swingers club, etc. Other cities have had to put in ordinances by court order when local groups are concerned. There are options for a community to take care of the situation; restrictions, zoning, no alcohol etc. Councillor Littlewolf would like more information and have the attorney look into it. Mr. Hartikka has spoken with the Mayor, and Attorney regarding this. The council agreed to have the attorney look into the situation and also the Police Chief, and to check the code and see if it falls under any part of that for enforcement.
Moved by Councillor Sipola, supported by Councilor Littlewolf to move the discussion on adult entertainment to Street/Alley/Public Safety Committee for more discussion. Motion Carried
Councillor Baranzelli would like to set the meeting of Street/Alley/Public Safety as a Committee of the Whole Meeting. Mayor Cuffe, Jr. suggested that once its organized then schedule a Committee of the Whole Meeting.
COMMITTEE REPORTS:
Councillor Sipola reported on the Personnel Committee-of-the-Whole meeting held on October 20, 2015
Moved by Councillor Sipola supported by Councillor Baribeau to adopt resolution 15196 regarding the Fire Marshall Position. Resolution adopted unanimously
Moved by Councillor Baribeau, supported by Councillor McReynolds to adopt resolution 15197 to approve the mandatory yoga class presented by the Fire Department, two sessions per month, $100.00 per session to be paid for out of the Fire Department Budget. Resolution adopted unanimously
Moved by Councillor Baribeau supported by Councillor Sipola to adopt resolution 15198 to approve the mandatory physical conditioning class presented by the Fire Department, two sessions per month, $200.00 per session to be paid for out of the Fire Department Budget. Resolution adopted unanimously
Mayor Cuffe, Jr. noted that it is just the start of the program, and eventually he for sees it moving into a more substantial program.
Reviewed the hiring policy and how it relates to department heads, reviewed 13 steps in the order presented and there will be no change in the policy.
Councillor Baribeau reported on the Finance Committee-of-the-Whole meeting held October 20, 2015
Moved by Councillor Baribeau, supported by Councillor Jorgensen to adopt resolution 15199 to approve the quote from Takala for $23,400 for bio-solid removal. Resolution adopted unanimously
Jeff Frost also updated the council on the phosphorus and preliminary study.
Councillor Baribeau updated on the presentation from Steve Giorgi regarding RAMS, they are asking if the city will continue with their membership, and they will also be sending a letter asking for input on a group bonding request.
Moved by Councillor Baribeau supported by Councillor Littlewolf to approve final payment to Ulland Brothers for the Utility Project contingent upon submission of paper work; $44,027.82. Motion Carried
Moved by Councillor Baribeau, supported by Councillor Jorgensen to adopt resolution15200 for the Hobart dishwasher, by Culinex, $17,920.32, not low bid, better model, includes installation. Resolution adopted unanimously
Moved by Councillor Baribeau, supported by Councillor Jorgensen to adopt resolution 15201 for the design study proposal for holes 1,9,10, and 18 in the amount of $13,400.00; $8,400.00 with Gill Design Inc. and $5,000.00 with American Engineering Testing. Resolution adopted unanimously
Moved by Councillor Baribeau, supported by Councillor McReynolds to approve the training request for Chris Clark to attend the Interview & Interrogation class November 17-18, 2015 in Hermantown $250.00. Motion Carried
Moved by Councillor Baribeau, supported by Councillor Littlewolf to have lobbyist, Jerich & Associates to attend the next finance meeting to discuss lobbying for the city for the Miners Memorial Building and any other projects. Motion Carried
Moved by Councillor Baribeau, supported by Councillor Littlewolf to include $5,000 in the 2016 budget for the neighborhood renewal project. Motion Carried
Moved by Councillor Baribeau, supported by Councillor Baranzelli to adopt resolution 15202 for a balance transfer of Morgan Stanley Police investments to Morgan Stanley City investments as of November 1, 2015. Resolution adopted unanimously
Moved by Councillor Baribeau, supported by Councillor McReynolds to incorporate all enterprise funds in the budget discussions for next year. Motion Carried.
Moved by Baribeau, supported by Littlewolf to table discussion on land until after the Friday, October 30 th meeting with VCCU—Motion Carried
Refer to Street/Alley/Public Safety committee for consideration on the VCCU curb cut.
Moved by Councillor Baribeau, supported by Councillor Baranzelli to approve removal of the northbound (East side) four parking spots from 1 st . Street South to 2 nd . Alley South on 2 nd Avenue in order to construct a left (West Bound) turn lane and north bound thru lane at the intersection of 1 st . Street South and 2 nd . Ave. Motion Carried.
OTHER ITEMS OF CONCERN:
Moved by Councillor Baribeau, supported by Councillor McReynolds to refer to the Street/Alley/Public Safety Committee to consider re-routing the one way alley behind the police department.
Motion Carried
COMMISSION LIAISON/DEPARTMENT HEAD REPORTS:
Councillor Littlewolf updated on the Library Committee Meeting, the book sale was a successful event. The library sold the leftover books to Better World Books for $2,600.00. The work study program is up and running, and there is one position open for the work study. The City has hired a new children's librarian, starting November 2, 2015. On Friday, October 30 th , the library employees will be dressed up as the Muppets.
The library schedule has the following items for the public:
- November 5 th noon to 1:30 Poetry workshop with Brian Laidlaw.
- November 19 th cook the book, potluck, and recipe swap
Councillor Baribeau attended the RAMS meeting on October 22 nd , 2015 and informed the council the bylaws and constitution passed, the RAMS annual meeting will be January 7 th , 2016.
Councillor Baranzelli attended the Parks/Recreation Meeting; the heating system is completed at Miners Memorial Building in the back rooms. The locker rooms are also completed and the tennis for all lights will be completed this week.
Councillor Jorgensen also noted there is a motion to rename the former gun club and there are ads seeking nominations for the new name. The Olcott Park Fountain Restoration Committee received a letter of thanks from the extended Bachman family, appreciating the park and recreation committee and also the, City of Virginia, they donated a check for $2,000.00 and had given a previous donation of $500.00.
Mayor Cuffe, Jr. and City Administrator Tourville and Engineer Bill Hennis took a tour of the bridge construction, it was very interesting. MNDOT, Lakehead, and Hoover have begun construction and are moving forward.
There have been many nice comments and we have received many donations on the fountain, There have been pictures in the paper, it's a huge undertaking and any financial support accommodating.
Received a thank you from the Children's Learning facility. The Mayor also thanked the council for all the time spent on committee meetings, doing the budget etc. He also noted the website is almost done, and we will allow department heads to look at it when it's available.
Meeting adjourned at 7:50 p.m. with the next regular council meeting to be held Tuesday, November 10, 2015 at 6:30 p.m.
(CORPORATE SEAL) LARRY CUFFE, JR. Mayor
PAMELA LaBINE
City Clerk
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Update on Strategies and Best Practices for Responding to and Managing Privacy Breaches in Healthcare
April 10, 2017
Sherry Liang
Assistant Commissioner Information and Privacy Commissioner of Ontario
Common Causes of Privacy Breaches
Insecure Disposal of Records
Common Examples
* Records of personal health information in paper format that are intended for shredding, are recycled
* Insecure disposal of records of personal health information in electronic format
* Abandoning records of personal health information when there is a change in practice
Order HO-001 Nature of the Incident
* A medical clinic retained a company to shred records of personal health information dating between 1992 -1994
* Due to a misunderstanding, these records were transported to a recycling company for recycling instead of being shred
* The recycling company sold the records to a special effects company and were used in a film shoot
Order HO-006 Nature of the Incident
* Records of personal health information were placed in a box designated for recycling as opposed to shredding
* The box designated for recycling was located immediately beside the box designated for shredding
* The records of personal health information were found scattered on the street outside the laboratory in Ottawa
Order HO-003 Nature of the Incident
* A Medical and Rehab Centre closed and left behind records of personal health information
* Landlord asked if the Medical and Rehab Centre wanted to claim property on the premises, but received no response
* Landlord required the immediate removal of the records due to impending renovations
How to Reduce the Risk
* Ensure records of personal health information are thoroughly and securely destroyed
* For paper records – use cross-cut shredding and if particularly sensitive, consider pulverization or incineration
* For electronic records – physically damage and discard the media or if re-use is preferred, using wiping utilities
* Plan for a change in practice:
* Enter into an agreement identifying the responsibilities of practitioners for the records
* Arrange for secure retention of the records
* Notify individuals of a change in practice
Mobile and Portable Devices
Common Examples
* Records of personal health information transferred on unencrypted:
* Laptops
* USBs
* Personal digital assistants (PDAs)
* Other portable and mobile devices
Orders HO-004, HO-007 and HO-008
* Our office has issued three orders involving personal health information on mobile and portable devices:
* Order HO-004 – Theft of a laptop containing the unencrypted personal health information of 2,900 individuals
* Order HO-007 – Loss of a USB containing the unencrypted personal health information of 83,524 individuals
* Order HO-008 – Theft of a laptop containing the unencrypted personal health information of 20,000 individuals
How to Reduce the Risk…. STOP, THINK, PROTECT
* STOP and ask "Do I really need to store personal health information on this device?"
* THINK about the alternatives:
* Would de-identified or coded information serve the purpose?
* Could the information instead be accessed remotely through a secure connection or virtual private network?
* If you need to retain it on such a device, PROTECT it by:
* Ensuring it is encrypted and protected with strong passwords
* Retaining the least amount of personal health information
* Developing policies and procedures, training employees and auditing for compliance
Lack of Clarity Regarding Responsibilities in Shared Systems
Challenges Posed by Shared Electronic Health Record Systems
* Health information custodians may have custody or control of personal health information they create and contribute to, or collect from, shared electronic health record systems
* No health information custodian has sole custody and control
* All participating health information custodians and their agents will have access to the personal health information
* These pose unique privacy risks and challenges for compliance with the Personal Health Information Protection Act (PHIPA)
How to Reduce the Risk …
* A governance framework and harmonized privacy policies and procedures are needed to:
* Set out the roles and responsibilities of each participating health information custodian
* Set out the expectations for all health information custodians and agents accessing personal health information
* Set out how the individuals can exercise their right of access
Harmonized Privacy Policies and Procedures Needed
Harmonized privacy policies and procedures should address:
* Privacy training
* Logging, auditing and monitoring
* Consent management
* Privacy breach management
* Privacy complaints and inquiries management
* Access and correction
* Governance
Unauthorized Access
Meaning of Unauthorized Access
* When you view, handle or otherwise deal with personal health information without consent and for purposes not permitted by PHIPA, for example:
* When not providing or assisting in the provision of health care to the individual; and
* When not necessary for the purposes of exercising employment, contractual or other responsibilities
* The act of viewing personal health information on its own, without any further action, is an unauthorized access
Orders HO-002, HO-010 and HO-013
* Our office has issued three orders involving unauthorized access to electronic records of personal health information:
Order HO-002
* They were accessed over six-weeks during divorce proceedings
* A registered nurse accessed records of the estranged spouse of her boyfriend to whom she was not providing care
Order HO-010
* They were accessed on six occasions over nine months
* A diagnostic imaging technologist accessed records of the current spouse of her former spouse to whom she was not providing care
Order HO-013
* An employee accessed records to market and sell RESPs
Detecting and Reducing the Risk of Unauthorized Access
* Clearly explain the purposes for which employees, staff and other agents may access personal health information
* Provide ongoing training and use multiple means of raising awareness such as:
* Confidentiality and end-user agreements
* Privacy notices and privacy warning flags
* Immediately terminate access pending an investigation
* Implement appropriate access controls and data minimization
* Log, audit and monitor access to personal health information
* Impose appropriate discipline for unauthorized access
Ransomware
What is Ransomware?
* A type of malware installed on a device or system
* Starts by tricking a user to install malicious software on a personal or work computer, usually in the form of a spam email sent in the form of an invoice, website or video
* When the user opens the attachment, the software encrypts all the hard drive or specific files and locks the user out, making the data inaccessible until the user pays a ransom to the malware operators to regain access
* Ransom is usually requested in Bitcoin
Ransomware: the Ontario Experience
* In March 2016, the Ottawa Hospital confirmed that four of its computers were hit with ransomware
* The ransomware encrypted information on the computers making it inaccessible to hospital administrators
* A spokesperson indicated that "no patient information was obtained through the attempt."
Ransomware: the Ontario Experience
* In March 2016, media reported that the website of Norfolk General Hospital was hacked and ransomware installed on the website during the attack
* A security researcher reported the website was pushing ransomware to computers that visited the website
* Norfolk General Hospital confirmed three of its computers were infected with ransomware and that the computers were restored from backups and no ransom paid
Ransomware: the Ontario Experience
* In 2016, six ransomware attacks were reported to the IPC by HICs.
* Either individual physicians' practices or small medical centres.
* Electronic systems were infected with malware that locked the systems.
* Attackers demanded ransoms in exchange for decryption keys to restore access to the data.
Ransomware: the Ontario Experience
* In two cases the HICs paid the ransom.
−In one case, decryption key was provided and the data restored.
−In the other, decryption key was provided but data could not be restored. This HIC was able to restore most of the data from back up files.
* In three cases the ransom was not paid.
−In two of these the HICs were able to wipe electronic system, reformat server and restore data from a recent back up.
−In the other case, the HIC lost two years of patient data.
How to Reduce the Risk …
* Educate agents to only download email attachments or click on links from trusted sources
* Avoid opening any email attachments that are unsolicited
* Back-up all personal health information regularly
* Test back ups to ensure they are working as expected
* Ensure security software and anti-virus are current
* Configure internet security software to receive automatic malware notices and perform real-time malware scans
Protecting Against Ransomware
* What is ransomware?
* How do computers get infected?
−Phishing attacks
−Software exploits
* Protecting your organization
* Responding to incidents
* Available at www.ipc.on.ca
Potential Consequences of Privacy Breaches
Potential Consequences to Patients
If inadequate attention is paid to privacy, this may result in:
* Discrimination, stigmatization and psychological or economic harm to patients based on the information
* Patients being deterred from seeking testing or treatment
* Patients may withhold or falsify the information provided to their health care providers
* Loss of trust or confidence in the health system
Potential Consequences to Health Care Providers
* Review or investigation by privacy oversight bodies
* Prosecution for offences
* Statutory or common law actions
* Discipline by employers
* Discipline by regulatory bodies
Offences
* PHIPA creates offences for contravention, including wilfully collecting, using or disclosing personal health information in contravention of the statute
* Anyone can commence a prosecution for offences under PHIPA, with Attorney General's consent
* On conviction, an individual may be liable for a fine of up to $100,000 and a corporation up to $500,000
Statutory or Common Law Actions
* Action based on PHIPA contravention: Can sue for actual harm suffered if Commissioner has made final order or offence results in final conviction
−If the conduct was willful or reckless, court may award up to $10,000 for mental anguish
* Action based on general law: In 2012, the Ontario Court of Appeal recognized a common law cause of action in tort for invasion of privacy
Common Law Action – Tort of "Intrusion Upon Seclusion"
* In Jones v. Tsige, the Ontario Court of Appeal recognized a new common law action for "intrusion upon seclusion"
* There are three required elements of the cause of action:
o Intentional or reckless conduct by the defendant
o The defendant must have invaded, without lawful justification, the plaintiff's private affairs or concerns
o A reasonable person would regard the invasion as highly offensive causing distress, humiliation or anguish
* Damages will ordinarily be measured by a modest conventional sum – generally to a maximum of $20,000
Tort of Intrusion Upon Seclusion in the Health Context – Hopkins v. Kay
* Does the new tort apply to health privacy, given availability of PHIPA remedies?
* Action started against Peterborough Regional Health Centre alleging breach of privacy of about 280 patients
* The Hospital argued PHIPA was an "an exhaustive code" and common law claim for invasion of privacy does not apply to patient records
* Our office intervened and took the position that PHIPA can co-exist with common law claims for invasion of privacy
Hopkins v. Kay
* In February 2015, the Court of Appeal agreed, stating that PHIPA expressly contemplates other proceedings in relation to personal health information.
* In October 2015, an application for leave to appeal was dismissed by the Supreme Court of Canada.
Referrals to Prosecution
* During investigation of breaches, IPC may refer the case to the Attorney General for prosecution
*
In deciding whether or not to refer a case, some of the factors the IPC considers are:
o Were the actions "willful"
o recently signed confidentiality agreement
o recent privacy training
o ignoring privacy warnings on the system
o Additional use or disclosure of the information
o Number of occurrences
o Motive
o Interests/views of the patient
o Disciplinary action taken; complaint to professional college
Referrals for Prosecution
2011 – A nurse at North Bay Health Centre
2015 – Two radiation therapists at University Health Network
2015 – A social worker at a family health team
2015 – A registration clerk at a regional hospital
2016 – A regulated professional at a Toronto hospital
Outcome of Referrals
* Case from 2011 dismissed for delay
* UHN case
– Pled guilty; each individual fined $2000
* Registration clerk
– 443 patients
– Pled guilty; $10,000 fine, $2500 victim surcharge
* Member of Family Health Team in small community
– Pled guilty; $20,000 fine, $5000 victim surcharge
* Health professional at hospital
– Referred to AG in 2016; no word on charges
What to do in the Event of a Privacy Breach
Implementation, Identification and Containment
* Determine whether a privacy breach has occurred
* Identify the personal health information compromised
* Notify senior management of the privacy breach
* Implement containment measures to ensure personal health information is protected from further theft, loss or unauthorized use or disclosure, for example:
o Ensure no copies of the records have been made
o Ensure the records are either retrieved or securely destroyed
o Obtain confirmation that the records have been securely destroyed
Notification
*
PHIPA requires individuals to be notified at the first reasonable opportunity if their personal health information is stolen, lost or accessed by unauthorized persons
* Consider best means of notifying – if in doubt, consult with IPC
* The notification should at minimum advise individuals of:
o Details of the breach
o Steps taken to address the privacy breach, immediate and long term
o The type of personal health information in issue
o HIC Contact information
o IPC contact information in the event they wish to file a complaint
Investigation and Remediation
* Conduct an investigation in order to:
o Determine whether the breach has been effectively contained
o Ensure notification has been provided to affected individuals
o Review the circumstances surrounding the privacy breach
o Review the adequacy of existing policies and procedures
o Develop recommendations to prevent similar future breaches
* Document the investigation and recommendations
* Implement the recommendations to prevent similar breaches in the future
* Work with IPC on any additional investigation or action
How to Contact Us
Information and Privacy Commissioner of Ontario 2 Bloor Street East, Suite 1400 Toronto, Ontario, Canada M4W 1A8
www.ipc.on.ca
Phone: (416) 326-3333 / 1-800-387-0073 TDD/TTY: 416-325-7539
firstname.lastname@example.org
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GOLDEN RAIN FOUNDATION OF WALNUT CREEK BYLAWS
ARTICLE I GENERAL PURPOSES AND OFFICES
Section 1. General Purpose
This Corporation shall be conducted as a nonprofit mutual benefit corporation.
The following Bylaws shall be the rules and regulations of the Golden Rain Foundation of Walnut Creek, except as otherwise may be provided by statute or its said Articles of Incorporation.
Section 2. Offices
The principal office for the transaction of the business of this Corporation is hereby fixed and located at 1001 Golden Rain Road, Walnut Creek, Contra Costa County, California. The Board of Directors is hereby granted full power and authority to change said principal office from one location to another in the City of Walnut Creek.
ARTICLE II MEMBERSHIP
Section 1. Definitions
As used herein:
a. FOUNDATION is the Golden Rain Foundation of Walnut Creek.
b. MANOR is any residential habitation originally intended as a one-family unit of housing in Rossmoor, Walnut Creek.
*c. MUTUAL is any corporation which owns and manages a cooperative housing project in Rossmoor, Walnut Creek (referred to in these Bylaws as a "cooperative mutual") or which manages a condominium project in Rossmoor, Walnut Creek (referred to in these Bylaws as a "condominium mutual") or which manages a planned development project in Rossmoor, Walnut Creek (referred to in these Bylaws as a "planned development mutual").
Golden Rain Foundation
*d. MEMBER is one or more natural persons residing in a single manor, one of whom must be at least 55 years of age; having either a fee simple ownership interest in a condominium or planned development or being a shareholder in a cooperative or, in the alternative, being the designated occupant identified by the owner or shareholder.
*e. DESIGNATED OCCUPANT is any person residing in a cooperative mutual or a condominium mutual or a planned development mutual who has been designated by the owner or shareholder of that manor as an approved occupant in accordance with the terms and conditions imposed by that Mutual.
f. MEMBERSHIP refers to the rights a member has pursuant to the Articles of Incorporation, the Bylaws, and Regulations of this Foundation.
Section 2. Classification
There shall be one class of members. Each member shall be entitled to exercise all the rights and privileges of the Foundation, including, but not limited to, voting and holding office as a director, subject to the limitations contained in the Articles of Incorporation, the Bylaws and the Rules of the Foundation.
Section 3. Membership Application
Applications for membership shall be in such form as shall be prescribed by the Board of Directors and shall be made concurrently with application for membership in a Mutual; provided, however, that an application for membership of a person who is a designated occupant shall be filed by that person concurrently with the owner's designation of such person.
*Section 4. Membership Fees
The Board of Directors shall, from time to time, fix and determine amounts to be paid as membership fees and membership transfer fees by each member.
Section 5. Transfer of Membership
A membership can be transferred only:
a. Upon the transfer by a member of a Mutual of the membership in the Mutual to which the Foundation membership is appurtenant; or
b. Upon a change in designation of occupant by the owner of a condominium or shareholder of a cooperative manor.
The membership must be transferred to the transferee of the Mutual membership or to the new designated occupant of the condominium or cooperative manor. Any attempt to make a transfer other than as permitted shall be void and will not be reflected on the books and records of the Foundation. In the event the owner or transferor of any membership in a
*Effective 9/3/02 *Amended 5/13/02
Mutual should fail or refuse to transfer the appurtenant membership in the Foundation to the transferee of such membership in the Mutual, or should any designated occupant fail or refuse to so transfer upon a termination of occupancy, the Foundation shall have the right to record the transfer from the books of the Foundation and issue a new membership certificate to the transferee or to the newly designated occupant, and thereupon the old certificate shall be null and void as though it had been surrendered.
In the event a Mutual exercises an option to purchase a membership upon the death or departure of a member, it shall have an option to purchase the appurtenant membership in the Foundation on the same terms and conditions and at an amount equal to the market value thereof, minus any amounts due by the member to the Foundation.
Section 6. Termination of Membership
In the event a Mutual, pursuant to its Bylaws, terminates the rights of a member and repurchases or effects the sale of the Mutual membership, the appurtenant rights as a member of the Foundation shall automatically terminate, and the Mutual shall have the right, at its option, either to repurchase at market value or effect a sale of the membership in the Foundation to the purchaser of the membership in the Mutual to which it is appurtenant at a price acceptable to the Mutual. In the event the holder of a security interest in a membership certificate or a manor forecloses, exercises a power of sale, or otherwise realizes upon said security interest, such holder may effect a sale of the Foundation membership to the purchaser of the Mutual membership when approved by that Mutual and the Foundation.
The member whose membership has been terminated shall promptly return to the Foundation the membership certificate endorsed in such manner as may be required by the Foundation and any other identification issued. If the member fails to do so, that membership certificate shall be null and void as though it had been surrendered, and the Foundation shall have the right to issue new evidence of membership as the circumstances require.
The member whose membership has been terminated shall be entitled to receive the market value of the membership, or the sales price thereof, if sold to another purchaser, less any amounts due the Foundation and any sales expense incurred by the Mutual.
The procedures, including hearing and notice, utilized by a Mutual in connection with termination of membership shall constitute the procedures of the Foundation with respect to termination of membership in it.
Section 7. Voting Rights of Members
The membership for each manor shall be entitled to one vote in each election, referendum or initiative conducted by the Foundation, even though it stands in more than one name. If more than one of the persons in whose names a membership stands attempt to exercise any right or privilege of such membership contrary to or inconsistent with the act of another
*Effective 9/3/02 *Amended 5/13/02
such person, then the membership shall not be deemed to have exercised the right or privilege at all.
In an election for Foundation directors, only memberships in the districts to be represented shall be entitled to vote. In any other matter qualified for balloting, all memberships shall be entitled to vote.
Section 8. Voting Rights of F.H.A. and Mortgagees
In the event that any of the property of a cooperative mutual is acquired by the Federal Housing Commissioner/Federal Housing Administration (herewith referred to as FHA) or a mortgagee holding an FHA-insured mortgage on said property, or by a successor in interest to the FHA, or said mortgagee, said party shall automatically become entitled to cast the vote of each and every member of the Mutual property acquired.
Section 9. Representation of a Membership
Whenever the presence, vote, signature or consent or other action of a membership is required in the conduct or regulation of the affairs of the Foundation, it shall be deemed to be represented when any one of its owners of record or designated occupants is present or is recorded as voting or giving consent or otherwise acting.
Section 10. Petitions
Any member may sign a petition for nomination of a candidate or for consideration of an issue or an amendment to the Bylaws in an election, but only one signature per membership shall be counted in determining the petition's eligibility or the number of signatures it contains.
Section 11. Ballots
Any member anticipating absence from the community at the time of an election or balloting may request a ballot from the Secretary in writing on such form as the Board of Directors from time to time may specify. The ballot and other election material shall then be sent to the address designated by the member who may then vote by mail. Such vote will be counted if it is received by the Secretary within the time limit established for balloting, provided no other ballot representing the same membership has been previously received.
ARTICLE III MEETING OF MEMBERS
Section 1. Place of Meetings
All meetings of the members shall be held at the principal office of the Foundation or any other place reasonably accessible to the members in the County of Contra Costa, California, which may be designated in the required notice to members.
Section 2. Annual Meeting
An annual meeting of members shall be held on the second Monday in May of each year; provided, however, that if such day shall fall upon a legal holiday, then such annual meeting shall be held on the next Monday which is not a legal holiday.
Section 3. Special Meeting
A special meeting of members for any purpose or purposes whatsoever may be called at any time by the President, or by the Board of Directors, or by written request to the Secretary signed by members representing at least five percent (5%) of the memberships, which request shall specify the purpose (or purposes) of the meeting. Upon such request, the Secretary shall forthwith cause notice to be given to the members entitled to vote that a meeting will be held at a time fixed by the Board, which time must be not less than thirtyfive (35) nor more than ninety (90) days after receipt of the request. If the notice is not given within twenty (20) days after receipt of the request, the members requesting the meeting may give the notice.
Section 4. Notices of Meetings
The Secretary shall give notice of each annual or special meeting of members by:
a. Sending a copy of a written notice to each member at that member=s address appearing on books of the Foundation, or other address supplied by the member for the purpose of notices. Such notice shall be sent not less than ten (10) nor more than ninety (90) days before the meeting date if sent by first-class, registered or certified mail; otherwise, the notice shall be given not less than twenty (20) days before the meeting date. The notice shall specify the place, date and time of the meeting; or
b. Publication of the place, date, time and purpose of the meeting in three successive issues of the Rossmoor News (or any successor publication), with the third publication appearing not less than five (5) days before the meeting date. This method of giving notice may be used only if the Rossmoor News (or successor publication) is mailed or delivered to all members of the Foundation.
c. Each notice of an annual meeting shall state those matters which the Board at the time the notice is given intends to present for action.
d. Each notice of a special meeting shall clearly state the general nature of business to be transacted or issues to be considered.
e. In election of directors, ballots shall be sent by mail or hand delivery only to members in each district from which a director is to be elected. Notices in all matters other than elections of directors shall be sent to all members.
Section 5. Quorum
A quorum shall consist of at least twenty percent (20%) of the membership and is a requisite for the transaction of Foundation business. Any member who has cast a ballot prior to the meeting in accordance with procedure approved by the Board of Directors shall be deemed present at that particular annual or special meeting for the purpose of establishing a quorum.
The members present at a duly called or held meeting, at which a quorum is present, may continue to do business until adjournment, notwithstanding the withdrawal of enough members to leave less than a quorum, but any action taken (other than adjournment) must be approved by at least a majority of the members required to constitute a quorum. Where the election or voting on an issue is by ballot procedure, approval of the results at an annual or special meeting is not required; provided, however, the results of the balloting shall be officially declared in the presence of members attending that meeting. Notwithstanding any other provision contained in this Article III with respect to a quorum at any meeting, whether regular, special, adjourned or otherwise, no quorum transaction of any business shall exist without the presence of the party(ies) exercising the voting rights of the members pursuant to Section 9 of Article III hereof.
Section 6. Record of Notice
When notice of a meeting has been given as prescribed in Section 4 of this Article III, an entry shall be made in the Foundation records by the Secretary certifying that notice has been duly given. Such entry shall be conclusive and incontrovertible evidence that notice of such meeting was given as required by law and the Bylaws.
Section 7. Adjourned Meetings
If any meeting of members cannot be organized because a quorum has not attended, the members who are present may, except as otherwise provided by law, adjourn the meeting to a time not less than forty-eight (48) hours from the time the original meeting was called, at which subsequent meeting the quorum requirement shall be ten percent (10%).
Section 8. Majority Vote
The vote of the majority of members present in person at a meeting and those members casting ballots previously (subject to limitation of one vote per membership), reported at any meeting as authorized herein, shall decide any question brought before such meeting and be binding on all members of the Foundation, unless the question is one upon which by express provision of law of the State of California or the Articles of Incorporation or these Bylaws a different vote is required, in which case such express provision shall govern and control.
No member shall be eligible to vote who is shown on the books of management accounts of the Foundation to be more than ninety (90) days delinquent in payments due the Foundation or a Mutual.
Section 9. Order of Business
The order of business at each annual meeting of members shall be:
a. Proof of notice of meeting or waiver of notice
b. Quorum report
c. Approval of minutes of preceding annual or special meeting
d. President's report
e. Report of election, followed by induction of any new directors
f. Any other matters qualified by membership or by the Board of Directors for presentation or discussion.
The agenda for any special meeting shall be limited to the item or items specified in the notice of meeting. If present, a representative of the FHA shall be given an opportunity to address any annual or special meeting.
Section 10. Record Date
a. Determined by Board of Directors
For the purpose of determining which members are entitled to receive notice of any meeting or to vote, the Board of Directors may fix in advance a "record date" which shall not be more than sixty (60) nor fewer than ten (10) days before the date of such meeting. Only members of record on the date so fixed are entitled to notice or to vote, as the case may be, notwithstanding any transfer of any membership on the books of the Foundation after the record date, except as otherwise provided in the Articles of Incorporation, by agreement, or in the California Nonprofit Corporation Law.
b. Failure of Board to Determine Date
i. Record Date for Notices or Voting
Unless fixed by the Board of Directors, the record date for determining those members entitled to receive notice of or to vote at a meeting of members shall be the next business day preceding the day on which notice is given or, if notice is waived, the next business day preceding the day on which the meeting is held.
ii. "Record date" means as of close of business. For purposes of this paragraph (b), a person holding membership as of the close of business on the record date shall be deemed the member of record.
DIRECTORS
Section 1. Powers
a. Except as otherwise herein provided, the business affairs of the Foundation shall be carried on and conducted by the Board of Directors. All corporate powers shall be exercised by and through the Board of Directors. At the annual meeting of members each year, the Board of Directors shall make a written report of its actions and proceedings during the preceding year, and shall make such recommendations regarding future operations as they may deem advisable.
*b. The Foundation shall not expend or obligate more than $750,000 for any Capital Project without first obtaining an affirmative vote of a majority of the ballots cast by the Members. 1
As used in this section, "Capital Project" shall mean the purchase or construction of, addition to, or change in form or function of any single long-term asset. Long-term asset shall mean land, land improvement, or structure held or to be held for the benefit of Members, irrespective of the manner in which held, whether by the Foundation, in trust or by any other legal entity controlled by the Foundation. Land improvements shall include but not be limited to streets, parks and golf courses. A Capital Project shall not be divided to avoid this section.
Maintaining existing land, land improvements, and structures in their original form and function shall be excluded from the definition of Capital Project.
Section 2. Number, Qualification and Term of Office
*a. One director shall be elected from each district shown on Exhibit "A" hereto. Each such director shall be a member in good standing of a Mutual within the district from which elected and must reside in said district. No director when taking office or thereafter while serving as a Foundation director shall be a director of any Mutual. A member may be elected as a director no more than twice.
1 The Amendments adopted in 1978 and 2002 [Bylaw Article IV, Section 1(b)] which require the approval of the members of the Foundation before it can incur expenses for a Capital Project in the amounts of, respectively, $250,000 and $750,000 were found by the Contra Costa Superior Court to be invalid in re TRUST OF GOLDEN RAIN FOUNDATION, Case No. MSP03-00678 (4/10/2003), and SOLLOWAY vs. GOLDEN RAIN FOUNDATION, Case No. MSC03-00971 (4/24/2003).
*Effective 9/3/02 *Amended 5/13/02
b. Additional election districts may be designated and existing districts may be modified, at the discretion of the Board of Directors. If modification of the boundaries of an existing district or districts results in creation of a district in which no director resides, the office of director for such district shall be filled by nomination and election, as hereinafter provided.
If modification results in one or more directors remaining in a modified district, such directors shall continue to serve the modified district for the balance of the term for which such directors were elected.
c. The term of office of any director elected from a district in addition to districts shown in Exhibit "A" shall be three (3) years; provided, however, that if, as a result of designation of additional election districts or modification of existing election districts the terms of more than one-third (1/3) plus one of the total number of directors of the Foundation would expire at an annual meeting, the directors declared elected at the annual meeting coincident with or immediately succeeding such designation or modification (other than those elected to complete an unexpired term pursuant to Section 3) shall draw lots promptly after their election to determine the length of their terms so that after such drawing, the terms of no more than one-third (1/3) plus one of the total number of directors of the Foundation shall expire at any annual meeting. The terms for which such directors shall draw shall be one year, two years or three years, and the distribution of such terms shall be that necessary to achieve terms as provided herein.
At the expiration of the term of office of each respective director, a nominee (who must reside in the district from which elected) shall be elected to serve a term of three (3) years.
d. Directors shall be declared elected and shall be installed at the Annual Meeting of Members.
e. The Secretary shall cause to be published in the Rossmoor News (or any successor publication) on the second publication date in February of each year a notice describing the election districts in which vacancies will be occurring and stating that petitions nominating persons to be elected as directors to fill such vacancies will be received by the Secretary until 4:00 p.m. on a date to be established by the Board annually that is not less than fifty (50) nor more than one hundred twenty (120) days before the directors are to be elected. No nominations for the Board can be made after the date set for the close of nominations.
f. Each nominating petition, to receive consideration, must bear signatures of members representing at least ten percent (10%) of the memberships in the election district wherein the nominee resides and must be accompanied by a statement of three hundred (300) words or less setting forth the nominee's background and qualifications and views on issues which the nominee expects will be involved in the election.
g. In the event any period for nominating directors expires with no nominations for a position which is to be filled, the Board shall immediately designate a committee
*Effective 9/3/02 *Amended 5/13/02
composed of three (3) members who reside in the district from which the director is to be elected to act as an Emergency Nominating Committee. That committee shall meet forthwith and select one or more nominees, obtaining assurance of each nominee's willingness to serve. Upon presentation of the name or names to the Secretary, the committee shall cease to exist.
*h. Election of directors shall be within each district from which a director is to be chosen and shall be by secret ballot. The Secretary shall send a ballot and a copy of each candidate's statement to each membership situated within the district on the date ballots are sent. With each ballot shall be a notice cautioning that only one vote per membership will be accepted. Ballots shall be sent not less than ten (10) calendar days nor more than ninety (90) calendar days prior to the date of election. To be counted, ballots shall be received by an independent agency designated by the Board and no later than the date and time stated in the ballot. A quorum for the purpose of a vote on a director shall consist of at least twenty percent (20%) of the membership in the district.
i. Proper distribution, receipt and counting of ballots is a responsibility of the Secretary. Ballot counting shall be observed and certified by either a certified public accountant or by some other independent and competent person or persons designated by the Board of Directors. The Board shall prescribe procedures as it deems necessary to assure integrity and secrecy of balloting and compliance with the limitation of one vote per membership.
j. A candidate in each election district receiving a plurality of votes cast in that district shall be certified as elected.
k. If after the close of nominations the number of candidates nominated for the Board in the district is not more than the number of directors to be elected for the district, the Board may, without further action, declare that those nominated and qualified to be elected have been elected.
Section 3. Vacancies and Removal of Directors
A vacancy or vacancies in the Board of Directors shall be deemed to exist on the occurrence of the following:
a. Events Causing Vacancy
i. The death or resignation of any director;
ii. The declaration by resolution of the Board of Directors of a vacancy of a director who has become more than thirty (30) days delinquent in any payments due the Foundation or who, without good cause, does not attend three (3) consecutive Board meetings (unless said three meetings are held within a one hundred [100] day period), or who has been declared of unsound mind by order of court or convicted of a felony or has been found by final order or judgment of any court to
have breached a duty under Section 7230 and following of the California Nonprofit Corporation Law;
iii. The vote of the members to remove a director;
iv. The increase of the authorized number of directors; or
v. The failure of the members at any meeting of members at which any director or directors are to be elected to elect the number of directors to be elected at such meeting.
b. Removal by Members
A petition for removal of a director must bear signatures representing not less than one-third (1/3) of the memberships in the district then represented by that director. A statement of the grounds for removal, if any, shall accompany any such petition and a copy of that statement shall accompany each notice of election. Any director whose removal is being considered shall be given an opportunity to present a statement or rebuttal which must accompany the notice of election. Upon receipt of a valid petition, the Board of Directors shall call a special district election to consider the removal of a director. Any director may be removed with or without cause by votes which represent a majority of the memberships in the district from which that director was elected.
c. Resignation
Any director may resign, which resignation shall be effective on giving written notice to the President, the Secretary or the Board of Directors, unless the notice specifies a later time for the resignation to become effective.
d. Vacancies
Vacancies in the Board of Directors caused by any reason other than the removal of a director by a vote of the membership shall be filled by vote of the majority of the remaining directors, even though they may constitute less than a quorum; and each such person so selected shall be a director until a successor is elected by the membership of the district at the next regular election date to serve out the unexpired portion of the term. Any director so elected by the Board must reside in the same district as the predecessor. If a director moves from his elected district to another district during his term, he shall continue to serve in the district for which he was elected until the next regular election date, at which time the membership of the district will elect the successor to serve out the unexpired portion of the term.
*Section 4. Meetings and Access
a. Meetings
i. Regular meetings of the Board of Directors shall be held as determined by a majority of the directors.
ii. Special meetings may be called by the President or upon written request of a majority of the directors, due notice having been given in writing at least four (4) days in advance of such meeting to all directors.
iii. An emergency meeting of the Board of Directors may be called by the President of the Foundation or by any two directors if there are circumstances that could not have been reasonably foreseen which require immediate attention and possible action by the Board of Directors, and which by necessity make it impracticable to provide notice.
iv. As used in this section, "meeting" shall mean any congregation of a majority of directors at the same time and place to hear, discuss, or deliberate upon any item of business scheduled to be heard or to be considered or acted upon by the Board of Directors, except those items that may be discussed in executive session.
v. Written minutes of the proceedings of meetings of the Board of Directors shall be prepared and maintained.
b. Access to Meetings and Minutes
i. All meetings of the Board of Directors shall be open to Members except when the Board of Directors adjourns to executive session.
ii. Any meeting of the Board of Directors can be held in executive session and shall be closed to consider litigation, matters relating to the formation of contract with third parties, Member discipline, or personnel matters. Any subject discussed in executive session shall be generally noted in the minutes of the Board of Directors.
iii. The Board of Directors shall permit any Member to speak at any meeting of the Board of Directors, except for meetings held in executive session. The Board of Directors may establish a reasonable time limit for all Members to speak to the Board of Directors.
iv. The minutes and minutes proposed for adoption, marked as to their draft status, or a summary of minutes of meetings of the Board of Directors, except meetings held in executive session, shall be made available to Members within 30 days after the meeting. Minutes, proposed minutes or summary minutes shall be distributed to any Member upon request.
Section 5. Place of Meetings
All meetings of the Board of Directors shall be held at the principal office of the Foundation or at any other place in the City of Walnut Creek, California, as shall be determined by a majority of the directors.
Section 6. Quorum
A majority of the authorized number of directors shall be necessary to constitute a quorum for transaction of business. Every act or decision done or made by a majority of the directors present at a meeting duly held at which a quorum is present shall be regarded as the act of the Board of Directors unless a greater number be required by law or by the Articles of Incorporation.
Section 7. Fees and Compensation
Directors shall receive no compensation for their services, but may receive such reimbursement for expenses as may be fixed by resolution of the Board.
ARTICLE V OFFICERS
**Section 1. Officers
The officers of the Foundation shall be a President, a Vice President, a Chief Executive Officer, a Secretary and a Treasurer, all of whom shall be members of the Board of Directors, except the Chief Executive Officer who shall serve as an ex-officio member thereof without vote. The Chief Executive Officer shall not be a member of the Foundation. The Foundation may also have such other officers as may be appointed by the Board of Directors.
Section 2. Election
The officers shall be chosen annually at the organization meeting by the Board of Directors and each shall hold office until resignation, removal or is otherwise disqualified to serve, and until a successor shall be elected and qualified.
Section 3. Removal and Resignation
Any officer may resign or may be removed with or without cause by a majority vote of the Board of Directors at any time. Vacancies caused by death, resignation or removal of any officer may be filled by appointment by the Board of Directors or by the President until such appointment by the Board of Directors.
Section 4. President
The President shall preside at all meetings of the members of the Foundation and shall perform such other duties as ordinarily pertain to such office.
**Amended by implication via amendment to Article V, Section 8 Section 7.
*Effective 9/3/02 *Amended 5/13/02
Section 5. Vice President
The Vice President shall, in the absence or disability of the President, perform all the duties of the President and, when so acting, shall have the powers of and be subject to the restrictions upon the President.
Section 6. Secretary
The Secretary shall keep at the principal office of the Foundation a book of minutes of all meetings of directors and members, with the time and place of holding, how called or authorized, the notice thereof given, the names of those present at directors= meetings, the number of members present or represented at members= meetings, and the proceedings thereof. The Secretary shall keep at the principal office of the Foundation a register showing the names and addresses of the members.
Section 7. Treasurer
The Treasurer shall keep and maintain or cause to be kept or maintained, adequate and correct books of account showing the receipts and disbursements of the Foundation and an account of its cash and other assets. The Treasurer shall deposit or cause to be deposited all monies of the Foundation, with such depositories as are designated by the Board of Directors and shall disburse or cause to be disbursed the funds of the Foundation as may be ordered by the Board of Directors and shall render to the President or the Board of Directors upon request statements of the financial condition of the Foundation.
*Section 8. Chief Executive Officer
Subject to the control of the Board of Directors and the President, the Chief Executive Officer shall be the executive officer of the Foundation and shall have general supervision, direction and control of the affairs of the Foundation.
ARTICLE VI COMMITTEES
The Board of Directors, by resolution adopted by a majority of the number of directors then in office, provided a quorum is present, may appoint such standing or special committees as may be deemed necessary for the administration of the affairs of the Foundation.
ARTICLE VII MISCELLANEOUS
Section 1. Execution of Documents
The Board of Directors may authorize any officer or officers, agent or agents, to enter into any contract or execute any instrument in the name of and on behalf of the Foundation, and such authority may be general or continued to specific instances; and, unless so authorized
*Effective 9/3/02 *Amended 5/13/02
by the Board of Directors, no officer, agent or other person shall have any power or authority to bind the Foundation by any contract or engagement or to pledge its credit or to render it liable for any purpose or to any amount.
Section 2. Inspection of Bylaws
The Foundation shall keep in its principal office the original or a copy of its Articles of Incorporation and these Bylaws, as amended, or otherwise altered to date, certified by the Secretary, which shall be open to inspection by the members at all reasonable times during office hours.
Section 3. Inspection of Records
The membership register, the books of accounts and minutes of proceedings of the members and directors, including committee meetings, shall be open to inspection upon demand of any member at any reasonable time during office hours and for a purpose reasonably related to the member's interest.
*Section 4. Annual Report
The Board of Directors shall cause an annual financial report to be prepared and annually shall notify each Member of the Member's right to receive it.
Section 5. Construction and Definitions
Unless the context otherwise requires, the general provisions, rules of construction and definitions contained in the California Nonprofit Corporation Law shall govern the construction of these Bylaws.
Section 6. Rules of Order
The rules contained in Robert's Rules of Order, Newly Revised, shall govern all members' meetings and directors' meetings of the Foundation except in instances of conflict between said Rules of Order and the Articles or Bylaws of the Foundation or provisions of law.
Section 7. Fidelity Bonds
The Board of Directors shall require that all officers and employees of the Foundation handling or responsible for Foundation funds shall furnish adequate fidelity bonds. The premiums on such bonds shall be paid by the Foundation.
Section 8. Number and Gender
Number and gender as used in these Bylaws shall extend to and include both singular and plural and all genders as the context and construction require.
Section 9. Election Procedures
The Board of Directors shall prescribe and approve all details of election procedures which are not specified in these Bylaws and shall insure that adequate staffing is provided in each and every election to assure compliance with approved procedures. The Board shall cause to be prepared and updated as appropriate a written Manual of Election Procedures, copies of which shall be available to all persons directly involved in the conduct of elections. The President, with Board concurrence, may at any time appoint one or more members to act as advisors and observers of nomination and election procedures.
*Section 10. Disclosure of Executive Employee Compensation
a. The amount of Compensation provided to an Executive Employee by the Foundation shall be disclosed to the Members.
b. A brief description of the current pension or retirement plan applicable to the Executive Employees shall be disclosed to the Members, including, but not limited to, the formula for determining the benefits to be paid under the plan.
c. The terms and conditions of any employment contract existing between the Foundation and an Executive Employee shall be disclosed to the Members, including, but not limited to, any severance or similar payment which will be made in the event of resignation, retirement or other termination of employment of such Executive Employee.
d. Changes in Compensation made during the fiscal year shall be disclosed to the Members.
e. As used in this section, "Executive Employee" shall mean:
**i. All individuals serving as the Foundation's Chief Executive Officer during the last completed fiscal year regardless of the amount of Compensation paid, and
**ii. The Foundation's four most highly compensated employees during the last completed fiscal year other than the Chief Executive Officer
f. As used in this section, "Compensation" shall mean salary, bonuses, and all fringe or other benefits, paid to or for the Executive Employee, or given to the Executive Employee, during the last completed fiscal year. If furnished rather than paid to the Executive Employee, then the Compensation benefit shall be described.
g. Time and Manner of Disclosure
i. The disclosure required to be made under subsections a, b, and c of this section shall be made within 60 days after the effective date of this section.
**Amended by implication via amendment to Article V, Section 8
*Effective 9/3/02 *Amended 5/13/02
ii. Thereafter, the disclosures required to be made under subsections a and b of this section, shall be made within 30 days after the end of each fiscal year.
iii. With regard to employment contracts entered into after the effective date of this section, the disclosures required to be made under subsection c of this section shall be made within 30 days after the contract has been entered into between the Board of Directors and the Executive Employee.
iv. The disclosure required to be made under subsection d of this section shall be made within 30 days after the Board of Directors approves the change.
v. The disclosures required by this section may be made by publication of the required information in the Rossmoor News.
h. Nothing in this section shall prohibit the Board of Directors from disclosing the Compensation provided to any Foundation employee.
i. This section shall supersede any other provision to the contrary in these Bylaws.
ARTICLE VIII AMENDMENTS
Section 1.
These Bylaws may be amended at any annual or special meeting by the written assent of a majority of the memberships of record casting ballots by mail or by hand delivery to the Administration Office in the envelope provided; provided further, that no amendment shall become effective unless and until it has received the written approval of the Federal Housing Administration. Amendments may be proposed by the Board of Directors or by petition signed by at least ten percent (10%) of the memberships. Proposed amendments must be submitted to the Secretary at least ninety (90) days prior to the annual meeting or at least forty-five (45) days prior to a special meeting, as the case may be, and notice thereof shall be published forthwith in The Rossmoor News (or other newspaper in the Rossmoor community succeeding The Rossmoor News).
|
IN THE WORKERS' COMPENSATION COURT OF THE STATE OF MONTANA 2007 MTWCC 60
WCC No. 2006-1651
BOBBY DRIGGERS
Petitioner vs.
LIBERTY NORTHWEST INSURANCE CORPORATION
Respondent/Insurer.
ORDER GRANTING PETITIONER'S MOTION FOR SUMMARY JUDGMENT AND DENYING RESPONDENT'S MOTION FOR SUMMARY JUDGMENT
Appealed to Montana Supreme Court 01/28/2008; Appeal Dismissed 03/14/08
Summary: Petitioner moved this Court for summary judgment, arguing that he was injured in the course and scope of his employment because he was injured while driving to work in a vehicle furnished by his employer and for which the employer paid for gas, oil, maintenance, and insurance. Respondent opposed the motion and cross-motioned for summary judgment, contending that Petitioner failed to satisfy both parts of the two-part test set forth at § 39-71-407(3)(a)(i), MCA. Petitioner further requested an award of attorney fees, costs, and a penalty.
Held: Petitioner's motion for summary judgment is granted and Respondent's crossmotion for summary judgment is denied. Respondent is correct that both parts of the twopart test set forth at § 39-71-407(3)(a)(i), MCA, must be satisfied for Petitioner's injury to be compensable. Petitioner satisfies the first part of the test because he was injured while driving a vehicle furnished by his employer. Petitioner satisfies the second part of the test, that the travel was necessitated by and on behalf of the employer as an integral part or condition of his employment, based upon the well-established case law in Montana regarding the exceptions to the going and coming rule. This Court fails to appreciate any notable distinctions between the present case and the cases of McMillen, Ellingson, and Gordon, which establish that an employee is usually entitled to compensation when injured during travel to or from his employment where he receives a specific allowance to get to and from his job. To the extent that there is any distinction between the present case and the Montana Supreme Court's decisions in McMillen , Ellingson , and Gordon , it may be only that the incident in this case is even more squarely within the scope of the exception to the going and coming rule. Therefore, the Court also finds Respondent's denial of Petitioner's claim unreasonable and he is entitled to attorney fees, costs, and a penalty.
Topics:
Constitutions, Statutes, Regulations, and Rules: Montana Code Annotated: 39-71-407. Where Petitioner was injured while driving to work in a vehicle furnished by his employer and for which the employer paid for gas, oil, maintenance, and insurance, the Court held Petitioner was injured in the course and scope of his employment based on the two-part test set forth at § 39-71-407(3)(a)(I), MCA. Petitioner satisfies the first part of the test because he was injured while driving a vehicle furnished by his employer. Petitioner satisfies that second part of the test, that the travel was necessitated by and on behalf of the employer as an integral part or condition of his employment, based upon the well-established case law in Montana regarding the exceptions of the going and coming rule.
Employment: Course and Scope: Coming and Going. Where Petitioner was injured while driving to work in a vehicle furnished by his employer and for which the employer paid for gas, oil, maintenance, and insurance, the Court held Petitioner was injured in the course and scope of his employment based on the two-part test set forth at § 39-71-407(3)(a)(I), MCA. Petitioner satisfies the first part of the test because he was injured while driving a vehicle furnished by his employer. Petitioner satisfies that second part of the test, that the travel was necessitated by and on behalf of the employer as an integral part or condition of his employment, based upon the well-established case law in Montana regarding the exceptions of the going and coming rule.
Attorney fees: Reasonableness of Insurer. Where the Court failed to appreciate any notable distinctions between the present case involving an employee driving an employer furnished vehicle to work and the cases of McMillen, Ellison, and Gordon, which establish that an employee is usually entitled to compensation when injured during travel to or from his employment where he receives a specific allowance to get to and from his job, to the extent there is any distinction between the present case and the well-established case law, it may be only that the incident in the present case is even more squarely within the scope of the exception to the going and coming rule. Therefore, the Court finds Respondents denial of Petitioner's claim unreasonable and he is entitled to attorney fees, costs, and a penalty.
Penalties: Insurers. Where the Court failed to appreciate any notable distinctions between the present case involving an employee driving an employer furnished vehicle to work and the cases of McMillen, Ellison, and Gordon, which establish that an employee is usually entitled to compensation when injured during travel to or from his employment where he receives a specific allowance to get to and from his job, to the extent there is any distinction between the present case and the well-established case law, it may be only that the incident in the present case is even more squarely within the scope of the exception to the going and coming rule. Therefore, the Court finds Respondents denial of Petitioner's claim unreasonable and he is entitled to attorney fees, costs, and a penalty.
¶ 1 Petitioner Bobby Driggers moved this Court for summary judgment, arguing that he was injured in the course and scope of his employment because he was injured while driving to work in a vehicle furnished by his employer and for which the employer paid for gas, oil, maintenance, and insurance. Respondent Liberty Northwest Insurance Corporation opposed Petitioner's motion and cross-motioned for summary judgment, contending that Petitioner has failed to satisfy both parts of the two-part test set forth at § 39-71-407(3)(a)(i), MCA. Petitioner further requests an award of attorney fees, costs, and a penalty.
Facts 1
¶ 2 Petitioner is a registered nurse and a certified correctional healthcare professional.
¶ 3 At the times relevant to this case, Petitioner was employed by Flathead County as a medical officer in the Flathead County Sheriff's Department.
¶ 4 Petitioner's main job duties were taking care of the medical needs of inmates incarcerated in the Flathead County Detention Center and in the Flathead County Juvenile Detention Center, including passing out medications to inmates, ensuring that the detention centers met sanitary standards, and taking DNA samples.
1 The Facts originate in Petitioner's Brief in Support of Motion for Summary Judgment. Respondent stipulated to the accuracy of Petitioner's Statement of Uncontroverted Facts but objected to the facts set forth at ¶¶ 12-13 as irrelevant. None of the facts set forth in these two paragraphs bear on my disposition of these motions.
¶ 5 Petitioner started his work shifts between 9:00 and 9:30 a.m., and usually worked more than eight hours in a single shift.
¶ 6 Petitioner regularly worked Monday through Friday, but was on call when he was not working his regular hours. At times he was called in on weekends and evenings.
¶ 7 Flathead County provided Petitioner with a cell phone, in part so he could be contacted when he was not working his regular shift.
¶ 8 Flathead County provided Petitioner with a vehicle to use. Flathead County paid for the gas and oil used in the vehicle, maintenance, and liability insurance.
¶ 9 Petitioner understood that he could not use the vehicle for personal use.
¶ 10 At the time of the accident Petitioner lived at 535 West Seventh, Whitefish, Montana.
¶ 11 Petitioner used the vehicle to drive to and from work. To go to work, Petitioner drove from his home in Whitefish to the Flathead County Detention Center, which is located at 920 South Main in Kalispell, via U.S. Highway 93. He generally took the same route home. Petitioner's workplace was located approximately 15 miles from his home.
¶ 12 While going to and from work, Petitioner oftentimes ran errands for work, including driving to Stoick's Drugstore to pick up medications for inmates, driving to the Flathead County Landfill to dispose of needles that had been used at the detention centers, and driving to Kmart to pick up supplies.
¶ 13 Petitioner also drove the vehicle to Kalispell Regional Medical Center, which is located on the north side of Kalispell, and to North Valley Hospital, which is located in Whitefish, to speak with Dr. James Dusing, who serves as the physician for the detention centers, and other physicians. Petitioner would also stop at the hospitals for labs.
¶ 14 Petitioner had also stopped at accidents and "officers-in-need-of-assistance" calls while going to and from work in the vehicle.
¶ 15 On Friday, March 17, 2006, at 9:30 a.m., Petitioner was rear-ended while driving to work in the vehicle Flathead County provided to him. The accident occurred on U.S. Highway 93, near its intersection with Wyoming Street, in Kalispell.
¶ 16 Petitioner suffered injuries in the motor vehicle accident and, consequently, missed six weeks of work.
¶ 17 At the time of Petitioner's motor vehicle accident, Flathead County was enrolled under Plan II of the Workers' Compensation Act with Respondent as its workers' compensation insurer.
¶ 18 Petitioner timely notified his employer of the accident, and timely filed a claim for benefits.
¶ 19 Respondent has denied liability on the grounds that Petitioner's injuries did not arise out of the course and scope of his employment with Flathead County.
ANALYSIS AND DECISION
¶ 20 This case is governed by the 2005 version of the Montana Workers' Compensation Act since that was the law in effect at the time of Petitioner's injury. 2
¶ 21 For summary judgment to be granted, the moving party must establish that no genuine issues of material fact exist and that the moving party is entitled to judgment as a matter of law. 3 The material facts necessary for disposition of this case are undisputed. Accordingly, this case is susceptible to summary disposition.
¶ 22 The central issue in this case is whether Petitioner's injury, sustained while traveling to work in a vehicle provided by his employer, falls within an exception to the going and coming rule. If it does fall within such an exception, then Petitioner's injury is compensable.
¶ 23 The statute which determines the outcome of this dispute is § 39-71-407, MCA. Specifically, this dispute centers around the exception to the going and coming rule codified at § 39-71-407(3)(a)(i), MCA, which reads, in pertinent part:
(3)(a) An employee who suffers an injury or dies while traveling is not covered by this chapter unless:
(i) the employer furnishes the transportation or the employee receives reimbursement from the employer for costs of travel, gas, oil, or
2 Buckman v. Montana Deaconess Hosp., 224 Mont. 318, 321, 730 P.2d 380, 382 (1986).
3 ARM 24.5.329; Farmers Union Mut. Ins. Co. v. Horton, 2003 MT 79, ¶ 10, 315 Mont. 43, 67 P.3d 285.
lodging as a part of the employee's benefits or employment agreement and the travel is necessitated by and on behalf of the employer as an integral part or condition of the employment . . . .
¶ 24 Respondent argues that this statute effectively sets forth a two-part test, both of which must be satisfied in order for Petitioner's injury to fall within an exception to the going and coming rule. I agree. For Petitioner's injury to fall within this exception, it is not enough that his employer furnished the transportation in which he was traveling at the time of his injury or that he was reimbursed for his travel, gas, and oil as a part of his employment agreement. If that were so, there likely would be no dispute here since the parties agree that Flathead County provided Petitioner with the vehicle he was driving at the time of his injury and that Flathead County paid for the gas used in the vehicle, maintenance of the vehicle, and liability insurance. Rather, the dispute in this case centers around whether Petitioner's travel to and from work satisfies the second part of the test – that the travel was necessitated by and on behalf of the employer as an integral part or condition of Petitioner's employment.
¶ 25 In determining whether travel to or from work satisfies the second part of the test, there are several cases which are determinative of this issue.
¶ 26 In McMillen v. Arthur G. McKee & Co., 4 two brothers were each paid four dollars per day as a "travel allowance" to travel to and from their job. 5 While driving to work, the brothers were seriously injured in a car accident. 6 The Montana Supreme Court found their injuries were compensable because of the specific allowance they received to travel to and from their job. 7 In doing so, the Supreme Court noted that its decision was "consistent with the majority rule in the United States that a workman is usually entitled to compensation when injured during travel to or from his employment where he receives a specific allowance to get to and from his job." 8 The Supreme Court went on to cite with approval, Professor Larsen's treatise on workers' compensation that, "in the majority of cases involving a deliberate and substantial payment for the expense of travel, or the provision
4 McMillen, 166 Mont. 400, 533 P.2d 1095 (1975).
5 McMillen, 166 Mont. at 402, 533 P.2d at 1096.
6 McMillen, 166 Mont. at 402-403, 533 P.2d at 1096.
7 McMillen, 166 Mont. at 407, 533 P.2d at 1098.
8 McMillen, 166 Mont. at 406, 533 P.2d at 1098.
of an automobile under the employee's control, the journey is held to be in the course of employment." 9
¶ 27 Although the McMillen Court specifically noted that it was limiting its decision to the facts of the case before it, 10 the Supreme Court noted in Ellingson v. Crick Co. 11 that, in McMillen, it had:
adopted the general rule that:
' * * * a workman is usually entitled to compensation when injured during travel to or from his employment where he receives a specific allowance to get to and from his job.' 12
Following this general rule, the Supreme Court in Ellingson held that the claimant was in the course and scope of his employment when he was injured driving his own vehicle to work because he had received a five-dollar-per-day "travel allowance." 13
¶ 28 Finally, in Gordon v. H.C. Smith Construction Co., 14 a worker was killed when traveling from work in his personal vehicle. 15 Even though he had stopped at a bar for approximately four hours before the accident occurred and was not headed in the direction of his lodging at the time of his accident, the Supreme Court ruled that the incident was in the course and scope of his employment because his employer had paid a subsistence allowance and he was traveling from the job site at the time of his accident. 16 Again, the Supreme Court cited with approval, the language from Larsen that, "in the majority of cases involving a deliberate and substantial payment for the expense of travel, or the provision of an automobile under the employee's control, the journey is held to be in the course of
9
Id.
10 McMillen, 166 Mont. at 407, 533 P.2d at 1098.
11 Ellingson, 166 Mont. 431, 533 P.2d 1100 (1975).
12 Ellingson, 166 Mont. at 433, 533 P.2d at 1101.
13 Ellingson, 166 Mont. at 432, 434, 533 P.2d at 1101, 1102.
14 Gordon, 188 Mont. 166, 612 P.2d 668 (1980).
15 Gordon, 188 Mont. at 168, 612 P.2d at 669.
16 Gordon, 188 Mont at 171-72, 612 P.2d at 671.
employment." 17 The Supreme Court went on to hold that, "The language of Montana cases is clear that travel to and from work is covered and that injuries sustained en route are compensable." 18
¶ 29 I fail to appreciate any notable distinctions between the three Supreme Court precedents set forth above and the case at bar. All three cases involved injuries or deaths which occurred traveling either to or from work. In all three cases, the Supreme Court found the workers to be within the course and scope of their employments because the employer paid, at least to some degree, for the employee's travel to and from work. To the extent that there is any distinction at all, it may be only that the incident in this case is even more squarely within the scope of the exception to the going and coming rule because, in this case, Petitioner's employer not only furnished him with the car, but also paid for gas, oil, maintenance, and liability insurance. Moreover, unlike the facts in Gordon, it is an undisputed fact that Petitioner was driving to work at the time of his injury and was not on any kind of personal deviation.
¶ 30 In addressing these precedents, Respondent argues only that:
There is no need to dwell on the three Montana Supreme Court decisions cited by [Petitioner], McMillen, Ellingson, and Gordon, because in each, the Court found the claimant was paid a travel allowance. That is the controlling fact in those cases and it is not in the instant case. Also they all predate the repeal of the liberal construction statute, MCA § 39-71-104 (1985) repealed Sec. 68, Ch. 464, L. 1987. 19
This argument is without merit.
¶ 31 Both the Montana Supreme Court and this Court have long recognized that the enactment of § 39-71-407, MCA, was a codification of the going and coming rule, and the exceptions to that rule, that had evolved in the case law prior to the statute's enactment – i.e., McMillen, Ellingson, and Gordon. 20
17 Gordon, 188 Mont. at 171, 612 P.2d at 670.
18 Gordon, 188 Mont. at 173, 612 P.2d at 671.
19 Respondent's Reply Brief in Support of its Motion for Summary Judgment at 2.
20 State Compensation Mut. Ins. Fund v. James, 257 Mont. 348, 350, 849 P.2d 187, 188-89 (1993); Heath v. MMIA, 1997 MTWCC 52; Bentz v. Liberty Northwest, 2002 MT 221, ¶ 13, 311 Mont. 361, 57 P.3d 832 (citing, State Compensation Mut. Ins. Fund v. James, 257 Mont. 348, 350, 849 P.2d 187, 188-89 (1993)).
¶ 32 In Heath v. MMIA, this Court noted that, "In State Compensation Mut. Ins. Fund v. James, 257 Mont. 348, 849 P.2d 187 (1993), the Supreme Court construed [§ 39-71-407, MCA] as codifying existing law, both as to the exceptions adopted in prior Court decisions and the general rule that coverage exists only where the travel is in the course and scope of employment." 21
¶ 33 Most recently, the Supreme Court reiterated this view in Bentz v. Liberty Northwest, when it stated:
The Montana Legislature adopted the travel provisions at § 39-71407(3), MCA (1999), of the Workers' Compensation Act in 1987, recognizing this "going and coming" rule and the exceptions to the rule which had evolved over the years. 22
¶ 34 Among the exceptions to the going and coming rule which were codified in 1987 is the two-part test now found at § 39-71-407(3)(a)(i), MCA. The first part of that test is whether "the employer furnishes the transportation or the employee receives reimbursement from the employer for costs of travel, gas, oil, or lodging . . . ." 23 Either the furnishing of transportation or the reimbursement from the employer for the cost of travel, gas, or oil will suffice to satisfy the first part of the test set forth in the statute. Indeed, as I noted above, this issue is not in dispute since the parties agree that Petitioner's employer provided him with the car and paid for gas, oil, and maintenance of the vehicle. Respondent's reliance on the payment of a travel allowance as a distinguishing factor, therefore, is misplaced.
¶ 35 As far as Respondent's argument that the precedential value of these cases is abrogated by the repeal of the liberal construction statute, other than noting that the cases predate the statute's repeal, Respondent fails to explain how the liberal construction statute may have, in any way, impacted the outcome of these decisions. Indeed, when one considers what the liberal construction statute actually required, it does not logically follow that its 1987 repeal would have any impact on the outcome of any of these cases.
¶ 36 The statute which Respondent cites, § 39-71-104, MCA (1985), stated as follows:
21 Heath v. MMIA, 1997 MTWCC 52 at 4 (emphasis added).
22 Bentz v. Liberty Northwest, 2002 MT 221, ¶ 13, 311 Mont. 361, 57 P.3d 832 (emphasis added) (citing, State Compensation Mut. Ins. Fund v. James, 257 Mont. 348, 350, 849 P.2d 187, 188-89 (1993)).
23 § 39-71-407(3)(a)(i), MCA (emphasis added).
39-71-104. Court to give liberal construction to chapter. Whenever this chapter or any part or section thereof is interpreted by a court, it shall be liberally construed by such court.
¶ 37 As discussed above, the going and coming rule, and the exceptions to that rule, were codified in 1987 – the same year that the liberal construction statute was repealed. The cases which predated the codification of the going and coming rule could not have been construing a nonexistent statute – liberally or otherwise. Therefore, the liberal construction statute was irrelevant to their determination. The subsequent repeal of the statute is likewise irrelevant.
¶ 38 It also bears noting that, of the three cases at issue, the two most recent – Ellingson and Gordon – do not even mention the liberal construction statute in any way. As for McMillen, the only mention of the liberal construction statute is contained in a quotation from a different case 24 and in the Supreme Court's rejection of a constitutional challenge to the attorney fees and costs statute. 25
¶ 39 Finally, I find it persuasive that in Borglum v. Hartford Ins. Co. of the Midwest 26 – one of the cases principally relied upon by Respondent – this Court found that an employee who was killed while driving to work was in the course and scope of his employment because he was reimbursed $20 per day for his travel. 27 In interpreting the same statute 28 at issue in this case, this Court relied exclusively on McMillen, Ellingson, and Gordon in reaching its decision even though this Court was obviously aware that these cases predated the enactment of § 39-71-407, MCA. 29
¶ 40 Respondent argues that, "The result of accepting [Petitioner's] argument is that the going and coming rule will be abolished." 30 On the contrary, this Order simply applies the
24 McMillen, 166 Mont. at 405, 533 P.2d at 1097.
25 McMillen, 166 Mont. at 408, 533 P.2d at 1099.
26 Borglum, 2002 MTWCC 16.
27 Borglum, ¶ 10.
28 Although Borglum involved the interpretation of the 1999 version of § 39-71-407(3)(a)(i), MCA, the 2005 version of this statute is substantively identical.
29 Borglum, ¶ 7. See, also, Heath v. MMIA, 1997 MTWCC 52.
30 Liberty's Brief in Opposition to Petitioner's Motion for Summary Judgment and Liberty's Motion for Summary Judgment and Supporting Brief at 6.
well-established general rule that "a workman is usually entitled to compensation when injured during travel to or from his employment where he receives a specific allowance to get to and from his job." 31 This is a rule that has been in existence for more than thirty years and which both the Montana Supreme Court and this Court have long recognized was codified by the Legislature in 1987. 32
¶ 41 Petitioner has satisfied both parts of the test set forth at § 39-71-407(3)(a)(i), MCA. Accordingly, I conclude that the incident in question falls within the exception to the going and coming rule and his injuries are compensable. Petitioner's motion for summary judgment, therefore, is granted and Respondent's cross-motion for summary judgment is denied.
ATTORNEY FEES, COSTS, AND PENALTY
¶ 42 Petitioner has requested an award of attorney fees and costs pursuant to § 39-71611, MCA, and a penalty pursuant to § 39-71-2907, MCA. Petitioner notes that the issue before this Court has been decided multiple times by both this Court and the Supreme Court and that Respondent cannot reconcile its denial of benefits to these previous decisions. Respondent characterizes this case as a case of first impression and argues that its denial of the claim was therefore not unreasonable. Specifically, Respondent notes that, "This is the first case in which a Montana court has been asked to find that an injury going to and from work in a company vehicle is per se compensable . . . ." 33 I am not persuaded by Respondent's argument.
¶ 43 As discussed above at length, it has been the well-established general rule that a worker is usually entitled to compensation when injured during travel to or from his employment where he receives a specific allowance to get to and from his job. To the extent that Respondent seeks to hang its proverbial hat on the company vehicle as the distinguishing feature that makes this a case of first impression, I find this distinction unpersuasive.
¶ 44 In explaining its rationale for applying this exception to the going and coming rule, the Supreme Court cited, on multiple occasions, the language from Professor Larsen that, "in the majority of cases involving a deliberate and substantial payment for the expense of
31 See, McMillen and Ellingson, supra.
32 State Compensation Mut. Ins. Fund v. James, supra.; Heath v. MMIA, supra.; Bentz v. Liberty Northwest, supra. (citing, State Compensation Mut. Ins. Fund v. James, 257 Mont. 348, 350, 849 P.2d 187, 188-89 (1993)).
33 Respondent's Reply Brief in Support of Its Motion for Summary Judgment at 3.
travel, or the provision of an automobile under the employee's control, the journey is held to be in the course of employment." 34 More compelling, § 39-71-407(3)(a)(i), MCA, itself states that if the employer furnishes the transportation, this satisfies the first part of the test to exclude an injury from the going and coming rule.
¶ 45 The Supreme Court has stated that "as a general rule, where a court of competent jurisdiction has clearly decided an issue regarding compensability in advance of an insurer's decision to contest compensability, the clear applicability of the earlier decision constitutes substantial evidence supporting a finding by the Workers' Compensation Court that the contest over compensability is unreasonable." 35 As I noted above, to the extent that there is any distinction between this case and the Supreme Court's decisions in McMillen, Ellingson, and Gordon, it may be only that the incident in this case is even more squarely within the scope of the exception to the going and coming rule. I therefore find Respondent's denial of Petitioner's claim to be unreasonable.
¶ 46 Pursuant to § 39-71-611(1), MCA, an insurer shall pay reasonable costs and attorney fees if it denies liability for a claim for compensation, the claim is later adjudged compensable by this Court, and in the case of attorney fees, this Court determines that the insurer's actions in denying liability were unreasonable. Having adjudged Petitioner's claim compensable and determined Respondent's denial of Petitioner's claim unreasonable, Petitioner is entitled to his attorney fees and costs.
¶ 47 With regard to a penalty, where either the material facts or the law applicable to a case is reasonably debatable, the parties are entitled to present the case to this Court and no penalty shall attach to that presentation. 36 In this case, the material facts are undisputed and I find there is no reasonable debate regarding the applicable law. I have found Respondent's denial of Petitioner's claim unreasonable. Accordingly, Petitioner is entitled to a penalty award of 20% of the full amount of benefits due pursuant to § 39-712907, MCA.
ORDER AND JUDGMENT
¶ 48 Petitioner's motion for summary judgment is GRANTED.
34 McMillen, 166 Mont. at 406, 533 P.2d at 1098 (emphasis added); Gordon, 188 Mont. at 171, 612 P.2d at 670 (emphasis added).
35 Marcott v. Louisiana Pacific Corp., 275 Mont. 197, 205, 911 P.2d 1129, 1134 (1996).
36
Briney v. Pac. Employers Ins. Co., 1997 MTWCC 55.
¶ 49 Respondent's cross-motion for summary judgment is DENIED.
¶ 50 Petitioner's request for costs, attorney fees, and a penalty is GRANTED.
¶ 51 Pursuant to ARM 24.5.348(2), this Order and Judgment is certified as final and, for purposes of appeal, shall be considered as a notice of entry of judgment.
¶ 52 Any party to this dispute may have twenty days in which to request reconsideration of this Order and Judgment.
DATED in Helena, Montana, this 31 st day of December, 2007.
(SEAL)
/s/ JAMES JEREMIAH SHEA
JUDGE
c: David M. Sandler
Larry W. Jones
Submitted: October 30, 2006
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WHATCOM CONSERVATION DISTRICT Public Meeting Minutes
August 10, 2011
I. Time and Place of Meeting.
A regular meeting of the Board of Supervisors of the Whatcom Conservation District (WCD) was held at the Ag Service Center, 6975 Hannegan Rd, Lynden, Washington on August 10, 2011, at 7:00 p.m.
II. Attendance and Quorum.
The following Supervisors, being a quorum of the Board, were present:
Joe Heller Larry Davis
Terry Lenssen Dick Yoder
Also in attendance were:
George Boggs, Executive Director
Dawn Bekenyi, Admin. Assistant
Alex Hall, NRCS staff
Stu Trefry, WSCC
III. Meeting Called to Order.
Joe Heller, Chair, called the meeting to order at 7:00 p.m.
IV. Approval of Minutes of Previous Meeting.
Dick Yoder moved that the minutes of the July 7, 2011 Board meeting be approved as mailed. Larry Davis seconded the motion. The motion passed.
V. Financial Report.
The financial report was mailed to the Board with their draft minutes from the July meeting.
Dawn Bekenyi, Administrative Assistant, presented the financial report. There were no questions.
Larry Davis moved to approve the Financial Report. Dick Yoder seconded the motion. The motion passed. Upon motion made and duly seconded, the Treasurer's Report was approved.
Accounts Payable –
A copy of District invoices and incurred expenses, as listed in the Accounts Payable Report, were reviewed and approved. The Board further authorizes the payment of District expenses incurred subject to their review and approval at the next Board meeting.
The following voucher/warrants are approved for payment:
July 2011 - balance
Voucher (check) numbers 18722
through 18795
and totaling 121,049.21
Payroll check numbers: 18796
through 18807
and totaling 26,033.76
August 2011
Voucher (check) numbers 18808
through 18823
and totaling 27,269.89
Payroll check numbers: 18824
through 18835
and totaling 25,766.42
Moved by Larry Davis. Dick Yoder seconded the motion. The motion passed.
VI. Action Items.
A. Approval of Contracts.
Conservation Reserve Enhancement Program (CREP) Contracts –
The Conservation Reserve Enhancement Program (CREP) is a joint federal and state program to enhance fish habitat and protect water quality. The U.S. Department of Agriculture (USDA) Farm Service Agency (FSA) is the administrative lead. A District resource specialist (Wayne Chaudiere or Emily Hirsch) works with a landowner to develop a conservation plan that includes practices meeting the landowner's needs. It is reviewed for technical sufficiency by the Natural Resources Conservation Service representative (Alex) and George. The landowner signs the plan and it is passed on to FSA. The FSA County Oversight Committee (COC) approves all CREP plans. The current District policy is that once FSA approves the Federal Contract and CREP plan, then the CREP maintenance contract is brought to the Board for its approval. Absent unusual circumstances, the Board approves the standard-language maintenance agreement prescribed by the State Conservation Commission.
There were nine CREP maintenance contracts submitted for Board approval.
Dick Yoder moved to ratify the CREP maintenance contracts for:
1. Dale & Sara Andert (10-04-CS:11-12)
2. Clint & Karen Avery (10-04-CS:11-05)
3. Dave & Maggie Grantham (10-04-CS:11-15)
4. Karen Heggem & Roger Almskaar (10-04-CS:11-01)
5. Janet Kilmer (10-04-CS:11-03)
6. Tim & Kristina McHugh (10-04-CS:11-18)
7. Robert Paulson (10-04-CS:11-19)
8. Addie Pobst (01-04-CS:11-02)
9. Terrell Creek Conservation Easement 1 LLC (10-04-CS:11-21)
Larry Davis seconded the motion. The motion passed.
B. Washington Association of Conservation District (WACD) Awards.
Joe suggested that Todd Rightmire would be a good candidate for the Teacher of the Year award. He will look into what it takes to nominate him.
C. Budget.
Now that the grant awards were determined, the budget was presented to the Board and reviewed.
Dick Yoder moved to approve the 2011-2012 District budget as presented. Terry Lenssen seconded the motion. The motion passed.
VII. Other Business.
A. Supervisor Reports.
Larry Davis–
National Association of Conservation Districts (NACD) Policy Task Force – The National Association of Conservation Districts (NACD) Policy Task Force has had their second conference call. The task force made a decision on the template to use to review the policy book. The review will be in two phases. The first phase is to determine if the most currently adopted language needs to be changed. The second phase will be to rewrite the language if changes are necessary. Are they still pertinent? The goal is to simplify and make the policies more understandable. The task force will also work on a definition of terms. The next teleconference is scheduled for August 17, 2011. Then the task force will review the portions of the policy book that they were assigned.
Washington Association of Conservation Districts (WACD) – Larry was asked to be on two committees, the WSCC Administrative Efficiencies Task Force and WACD 2012 Budget Committee. Larry was also asked to facilitate one of the breakout sessions at the WACD Annual Meeting in December. There is still some question as to whether Larry has been appointed to take over as NW Area Director for Karen Krug.
Terry Lenssen – Feed is a big issue this year due to weather issues in feed growing areas.
Dick Yoder – Dick reported that they had just completed their first cutting of grass last week. The second cutting has happened on some fields and looks good. He turned his cows out into the pasture for the first time this year on August 9.
Joe Heller – Joe attended the Washington Conservation Commission meeting in Wenatchee with George. It was successful to attend since CREP technical assistance and livestock technical assistance funding were determined at this meeting. The District did well with the technical funding allocations for both CREP and livestock. There are more reporting requirements with these funds.
John Larson accepted a position as NACD CEO in Washington, DC.
B. Alex Hall, Natural Resources Conservation Service (NRCS).
Environmental Quality Incentive Program (EQIP) – The sign-up deadline has been moved. It is now open ended. The reason is to move to a national payment schedule.
Whatcom County has ninety EQIP practices left to install. Staff are doing status reviews on projects.
Integrated Pest Management (IPM) – Alex attended Integrated Pest Management training in Spokane. The desire is to do more mitigation and less pest management risk assessment. IPM is not an acceptable practice for organic producers since there is no resource concern to fix due to no spreading of chemicals. Mitigation techniques include elimination of chemicals. NRCS will recommend that producers speak with a licensed technician regarding chemical application recommendations. No recommendations can be given without a license.
Cultural Resources Specialist – The Cultural Resources specialist is scheduled to complete the EQIP practice inspections on August 22, 2011.
Conservation Stewardship Program (CSP) – There are no more funds available for 2011, so there will not be a second round at this time. Alex anticipates a 2012 sign-up for the program.
NRCS State Office – The state budget request process is different this year. Input from local teams and a resource assessment will be done. There is hope that this will favorably impact funding for the Northwest Team.
Alex said that there is no news regarding any cuts to programs. Programs are moving forward with the same funding as last year. NRCS is recognized nationally for getting practices done with high performance.
C. George Boggs, Executive Director.
Washington Conservation Commission Meeting–
Joe reported that he signed the letter to Director Sturdevant and brought copies to the Commission meeting.
CREP - George reported that the Commission meeting was productive. The Conservation Commission Board does respect the advice of their staff. They had confidence and adopted Carol's recommendation for CREP Technical Assistance allocations. There is a shortfall in
funding for CREP maintenance this year. District staff will go into the fall inspections and look at where cuts can be made, but not short the project. Dick suggested that this would be a good time to introduce the sheep and goats for flash grazing maintenance.
George reported the Conservation Commission advised that additional projects could not be added without acquiring funding for them. District staff feels that we can get 20 new projects for spring 2012 approval or 2013 planting. The cost would be approximately $121,000 for cost-share of installation and maintenance. George advised that the Farm Service Agency suggested that if we stop enrolling people that the CREP program may be downsized and potentially eliminated.
Stu discussed the current budget. He expressed that state legislators should be aware of the contractual obligation towards those enrolled in the CREP program. Districts should show that CREP is an effective program and show our progress. The key to the continued success of the program is to find other sources of funding for it. Some potential sources for funding to explore were discussed.
There was continued discussion regarding enrolling new CREP participants without firm funding. The Board was not agreeable to pay for the projects out of their limited funds in savings. It was suggested to advise new enrollees that there is no guarantee of state cost-share or maintenance for their project. There was discussion regarding legislative impact and how the program is explained to the policy makers. The CREP program has a lot of "bang for the buck" compared with other restoration programs. The potential to defer the projects until the next year was also discussed. Staff will continue to recruit participation in the CREP program.
Livestock – Funding for the livestock program for the state was cut in half from the last biennium. These funds are used for both technical assistance and cost-share. The Conservation Commission asked Debbie Becker, WSCC staff, what she would recommend to allocate the available funds. She suggested that staff can get cost-share funds from other sources if the technical assistance is available.
Each District submitted a workload showing their landowners that need technical assistance based on referrals from the Departments of Ag or Ecology, new operations, etc. The Conservation Commission decided to fund Districts based on their workload spreadsheet. George explained that the list for Whatcom has over 120 producers. Staff have met to discuss the workload and timeline of 18 months set by the Commission. There are other projects that need to be completed during this time as well. George advised the board that it would be helpful to have administrative help for the livestock team.
Dick Yoder moved to hire a livestock technician at entry level to assist with the livestock planning workload. Larry Davis seconded the motion. The motion passed.
The livestock team will review the current farm plan template to see if we can make it a more concise and useful tool. Staff will review independently and meet to decide changes.
George sought confirmation on how to handle producers that do not want to work with the Conservation District. He suggested that staff will offer assistance to those on the workload list. If the planning process stalls or the producer is non-responsive, staff will document that in their files with a letter to the producer that we are no longer dealing with the issue at this time and then they will move on to the next producer. The Board expressed that they desire the letter to use charitable language asking the producer to decide if they would like to work with District staff that their time is valuable - prior to closing the issue.
Public Records Request – George reported that the District received a public records request from Shuksan Golf Course's attorney for all CREP projects on Ten mile Creek. He advised the Board on how it should proceeded with the response.
Farm Energy Grant – Washington State University (WSU) is applying for a grant to partner with districts to conduct audits for dairies on farm energy. Whatcom was invited to participate. George explained the program.
Dick Yoder moved to sign a letter of approval for participation in the Farm Energy Program. Terry Lenssen seconded the motion. The motion passed.
Flood Plain Managers Meeting – George will be attending the Flood Plain Managers meeting in Puyallup. Whatcom County sent out an RFP for gravel removal in the Nooksack River. The process is slowly moving along.
National Association of Conservation Districts (NACD) Total Maximum Daily Load (TMDL) Task Force – George is on the NACD TMDL Task Force. They had their first teleconference. Groups are suing EPA over TMDL nutrient values. George noted that EPA does not have jurisdiction over non-point source pollution. EPA only has jurisdiction when there is a discharge to waters of the US. George suggested that the best approach is to deliver a program of stewardship, not argue the technical merits of numeric nutrient criteria. A technical argument would need scientists and attorneys to debate. It is a much more powerful message to rally around a reasonable expectation coupled with what a farmer can affordably do. Districts are all about stewardship. That is what they should lead with as the best alternative. If farmers could be inspired to implement four or five core practices significant positive environmental results could be attained.
Meetings – Stu Trefry reported that the WACD Northwest Area Meeting is scheduled for October 13, 2011 in Coupeville.
Washington State Conservation Commission's September meeting will be in Walla Walla.
VIII. Record of Board Actions.
11-53 Dick Yoder moved that the minutes of the July 7, 2011 Board meeting be approved as mailed. Larry Davis seconded the motion. The motion passed.
11-54 Larry Davis moved to approve the Financial Report. Dick Yoder seconded the motion. The motion passed. Upon motion made and duly seconded, the Treasurer's Report was approved.
11-55
The following voucher/warrants are approved for payment:
July 2011 - balance
Voucher (check) numbers 18722
through 18795
and totaling 121,049.21
Payroll check numbers: 18796
through 18807
and totaling 26,033.76
August 2011
Voucher (check) numbers 18808
through 18823
and totaling 27,269.89
Payroll check numbers: 18824
through 18835
and totaling 25,766.42
Moved by Larry Davis. Dick Yoder seconded the motion. The motion passed.
11-56 Dick Yoder moved to ratify the CREP maintenance contracts for:
1. Dale & Sara Andert (10-04-CS:11-12)
2. Clint & Karen Avery (10-04-CS:11-05)
3. Dave & Maggie Grantham (10-04-CS:11-15)
4. Karen Heggem & Roger Almskaar (10-04-CS:11-01)
5. Janet Kilmer (10-04-CS:11-03)
6. Tim & Kristina McHugh (10-04-CS:11-18)
7. Robert Paulson (10-04-CS:11-19)
8. Addie Pobst (01-04-CS:11-02)
9. Terrell Creek Conservation Easement 1 LLC (10-04-CS:11-21) Larry Davis seconded the motion. The motion passed.
11-57 Dick Yoder moved to approve the 2011-2012 District budget as presented. Terry Lenssen seconded the motion. The motion passed.
11-58 Dick Yoder moved to hire a livestock technician at entry level to assist with the livestock planning workload. Larry Davis seconded the motion. The motion passed.
11-59 Dick Yoder moved to sign a letter of approval for participation in the Farm Energy Program. Terry Lenssen seconded the motion. The motion passed.
IX. Adjournment.
There being no further business before the meeting, Dick Yoder moved to adjourn the meeting at 9:00 p.m. Larry Davis seconded the motion. The motion passed.
The meeting, on motion duly made, seconded and carried, adjourned at 9:00 p.m.
Dated: September 27, 2011
_______________________________
Dawn Bekenyi, Administrative Assistant
Approved: __________________________
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COVENANT PRESBYTERIAN CHURCH
8451 East Brainerd Road Chattanooga, TN 37421
(423) 899-5377 www.covenantchattanooga.org
RETURN SERVICE REQUESTED
(Continued from front page)
further the work of His church and the extension of His Kingdom.
And speaking about one's circumstances — always remember that Paul instructed Timothy to pray for his governing officials (including Nero!) so that "we may live peaceful and quiet lives in all godliness and holiness" (1 Tim 2.2).
The world is a scary place. But by being continuously in communication with our Lord, confident that God still sits upon His throne, assured of His love, and knowing that He hears our prayers, we find the supernatural ability to be joyful always, giving thanks in all the circumstances of our life.
Pray for your nation and its leaders. Pray without ceasing. Pray for the prosperity of our people, for the sake of God's glory and the spread of His Gospel. And pray that God would bless us with the gift of being allowed to live peaceful and quiet lives in all godliness and holiness.
Pastor Caines
«Name»
«Address 1»
«Address 3»
NURSERY SCHEDULE
November 8
9:30 Infants: S Forrester, G Brown Creepers/Toddlers: L & M Hobbs Toddlers: S Gaither, L Caldwell, L Rogers
SS Infants: A Eaton, B Parker Creepers: M & M Ferrel Toddlers: R & P Lyons
6 PM Combined: C Wilkie & A Gaines
November 15
9:30 Infants: E McEachern, S Schreiner Creepers/Toddlers: D, O, & MA Tawzer Toddlers: T & M Schreiner, E Reynolds
SS Infants: A & J West Creepers: D & J Gaines Toddlers: M Arbuckle, S Spalding
6 PM Combined: Martof Family
Please note: If you are unable to find a replacement for your nursery duty, call Laura Spotts at 423.892.6475.
NON-PROFIT
U.S. Postage
PAID
Chattanooga, TN
Permit No. 491
THE NEWSLETTER
Vol. 22, No. 43
Covenant Presbyterian Church
November 4, 2009
From the Senior Pastor . . .
Are you praying for our nation and its leadership? In 1 Thessalonians 5.17, we are instructed to pray without ceasing.
prophet Jeremiah, the Lord speaks to them, telling them to "build house and settle down, [to] plant gardens and eat what they produce, [to] marry and have sons and daughters, [to] increase in numbers, and [to] seek the peace and prosperity of the city to which [I] have carried [you]" (Jer 29.5-7).
In fact, how can we pray without ceasing, no matter how long our list of praises, thanksgiving and petitions may be?
Pray without ceasing for our nation and its leadership? Is that even possible? How can we pray without ceasing for our nation when we have so many other things to pray about?
Clearly, Paul is addressing our attitudes.
In 1 Thessalonians 5.17, he calls upon the members of the church at Thessalonica to be joyful always.
It's all a matter of perspective ("the understanding of the relative importance of things"). We either believe and know that the triune God still sits upon His throne . . . or we don't.
In verse eighteen, he tells them to give thanks in all circumstances. And then, at the end of verse eighteen, he reminds them that being joyful always, praying without ceasing, and giving thanks in all circumstances is God's will for those who by grace through faith are in Christ Jesus.
If we don't, the world is a scary place. If we do, the world is still a scary place, but we know the Lord is holding our world in His Hands, and is working all things together to accomplish His good and perfect purposes.
In the sixth century B.C., the children of Judah found themselves exiled in Babylon. Through the
In verse eleven, He gives them this word of encouragement: "I know the plans I have for you, plans to prosper you and not to harm you, plans to give you hope and a future." And then, stunningly, in verse nineteen He reminds them that these are His plans for them despite the fact that in the past they have chosen not to listen to Him.
He then instructs them to "pray for [the nation in which they live], because if it prospers, [they] too will prosper" (29.7).
While direct parallels cannot be drawn between Judah's situation in Babylon and our circumstances, these biblical principles remain rock-solid:
* God disciplines those He loves
* God still sits upon His throne, and He is disciplining us;
* Nothing can ever separate us from His love
That's tricky — praying for your nation to prosper so you might prosper. It's not selfinterest that motivates such prayers. It's the glory of God.
* We are to pray for our nation, asking God to prosper her, for if she prospers, we will prosper.
(Continued on back page) The prosperity of His people is one means God uses to testify to His greatness. And it is one means He uses to
MUSIC MINISTRY Sunday Worship
This Sunday our worship will focus on our UNCHANGING God. We will sing Our God, Our Help in Ages Past (p. 30 TH).
GRATITUDE
Gordon & June Fleming
On behalf of Joan and our grandsons, we wish to express our sincere thanks to each of you, for your prayers, compassion and acts of kindness. Even though Coleman lost his long struggle with cancer, we saw Christ truly glorified, as his faith was an encouragement to many. We are indeed grateful to our Covenant family for your love.
YOUTH & FAMILY Points to Ponder
* 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.
* Youth are meeting this Sunday evening at 6 PM with Pastor Caines speaking.
* Turkey Bowl II (Youth vs. Adults Flag Football) is on November 28 from 10:30 AM— 12:30 PM.
ARISE! CRY OUT!
Moms In Touch International is hosting a historic prayer event, inviting Christian women from around the world Arise! Cry Out! for the generations. The event is scheduled for November 14 from 9 AM for 1 PM at 100 Tremont Street in Chattanooga. Register at www.MomsInTouch.org.
HELP NEEDED
Volunteers are needed in the nursery for the Missions Conference on Friday from 6:30-8:30 PM and Saturday from 8:30-10:30 AM. Help is also needed for the Thanksgiving service on November 25 and for the WM Christmas Dinner (guys only) on December 10 from 6:00-9:00 PM. See Heather Harris if you are able to help.
A
2nd Annual
MERICAN
/J
APANESE
HANKSGIVING
T
This is an outreach effort to Japanese families who have re-located to the Chattanooga area. We are looking for people who would like to share a special Thanksgiving like no other! Help is needed in the following areas: setting up on Wednesday night, serving and fellowshipping with the Japanese families, and clean-up. The celebration is on Thanksgiving Day from 11:00 AM until 2:00 PM. All family members are welcome! If you are interested, please contact Carol Beatty.
THANKSGIVING POUNDING 2009
It is time to begin our annual collection of nonperishable food items to share with those in need. Sign-up sheets are in the lobby and adult Sunday School classes and a collection box is outside of Mark Wilson's office. If you know of anyone in need, please contact the church office. As a church body, we are abundantly blessed. May God use us to bless others in His name.
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), Charlie & Amie Brown (Wycliffe PNG), Jay Fowler (FCA East TN) and Lucy Wycoff (Sage Center, North GA). Look for more information to come!
NEAR...AND FAR Missions Conference November 13-15
KINGDOM SEEKERS
Beginning November 8, this Sunday School class will start a series on the topic of marriage. This class will be facilitated by Jon Harris and will be using John Piper's This Momentary Marriage as it's primary reference.
For Your Information...
PRAY FOR OUR COLLEGE STUDENTS:
MEN'S MINISTRY
* Scott Toombs — GA Tech
* Carter Whittier — Lee University
Please note that the Men's Breakfast for December has been changed from December 5 to December 12. General B.B. Bell will be speaking on "My Journey across the Big River."
* Brittne Canada — Northwestern Tech
OPERATION CHRISTMAS CHILD
fill a shoe box for a specific sex/age child (2 -4, 5-9, 10-14). Collection point is the Ladies SS classroom across from the Coke Machine.
Operation Christmas Child (OCC) project collects shoe boxes filled with small gifts to deliver to needy children around the world at Christmastime. This is a wonderful opportunity for us to share the love of Jesus. Brochures about OCC will be in the bulletin and the lobby this Sunday. These include stickers to be placed on the boxes marking age and sex of the child. You can participate several ways:
donate items for shoe boxes and empty shoe boxes. Sample items: soap, toothbrush, toothpaste, washcloths, small toys, combs, socks, school supplies, hard candy (no chocolate - it melts), etc.
wrap and stuff boxes on Saturday, Nov. 21, 9 AM -12:30 PM in the Perseverer's SS classroom. November 21 is the deadline.
donate money - OCC requests $7 for shipping per box. Make checks payable to Samaritan's Purse, and put OCC on memo line. Drop in offering plate no later than November 15.
MEN'S BREAKFAST
All men are invited to the Men's Breakfast, Saturday, November 7th, at 8:30 AM. Lee Atchley & Rick Meador will speak on Discipleship through Coaching. Join us for a great time of fellowship, food, discussion, and prayer.
WEDNESDAY NIGHT CLEAN-UP
The following Shepherding groups have cleanup duty for the month of November: J. Gaither, K. Brown and Grant. Please contact your Shepherding Elder to let him know when you can help.
CLOTHES SWAP
Amy Wooten will host a clothing exchange at her home on November 5th at 7 PM. Bring any clothes that you, your husband, or your kids have outgrown and we'll swap them for clothes that fit! Any clothes left after the 'swapping' is over will be donated to charity. For more information, contact Amy Wooten or Sarah Wade.
LOOKING AHEAD AT CPC
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St. Joseph Preschool/Pre-K
6130 W. St. Joe Road Evansville, IN 47720 (812) 963-3335
2017-2018 Handbook
Program Philosophy
St. Joseph Preschool and Pre-K programs are developmental programs that encourage the growth of the whole child. The primary goal is to help young children develop socially, emotionally, cognitively, physically, and spiritually.
Social/Emotional: Children will develop a positive self-concept and genuine concern for others.
Cognitive: Children will be able to acquire skills that lead to life long learning.
Physical: Children will acquire basic gross motor and fine motor skills.
Spiritually: Children will learn to follow Jesus’ example in learning to get along with others and to remember that God’s love is everlasting.
Children learn best from direct interactions with their environment where each child receives adequate amounts of structure time, individual time, and group time. The children will participate in a well-balanced atmosphere that allows for adequate freedom and choice. By structuring the classroom with appropriate learning materials, and providing choice and incorporating many teaching strategies in a safe and nurturing environment, children will have the opportunity to gain a sense of autonomy, confidence, and self-esteem.
Admissions Policy
While admissions are based on a first come first served basis, parish members will be given priority. Students enrolling for the Pre-K program and have completed the Preschool program will also be given priority.
Available Programs and Tuition
Tuition fees are based on the number of weeks the program is offered, regardless of the number of classes per week. Since our expenses are fixed, no refunds or credits will be given for your child's sickness, snow days, or family vacations. Tuition payments may be made monthly or paid in full at the beginning of the year. Statements will be sent home each month.
Childcare payments are due at the beginning of each week. Please make checks payable to St. Joseph School. If unpaid balances become excessive, the child will not be allowed at childcare. The child will be allowed to return to daycare upon settlement of fees.
Pre-School Program: For children who are 3 years old on or before August 1 and who are potty trained
Tuesdays and Thursdays Morning class 7:15 am – 10:30 am Afternoon class 11:15 am - 2:05 pm Tuition: $800/year
Childcare options for Preschool:
- Available before/after class and all day M-W-F
6:45 am – 2:05 pm
2 days (T-Th only) $28/week
5 days (M-F)
$100/week
Childcare is also available from 2:05-5:30pm. The cost is $7/day per child.
Pre-Kindergarten Program: For children who are 4 years old on or before August 1
Mondays, Wednesdays, Fridays Morning class 7:15 am – 10:30 am Afternoon class 11:15 am - 2:05 pm Tuition: $1100/year
Childcare options for Pre-K:
- Available before/after class and all day T-Th
6:45 am – 2:05 pm
3 days (M-W-F) $42/week
5 days (M-F)
$90/week
Childcare is also available from 2:05-5:30pm. The cost is $7/day per child.
Birthday Celebrations
Student birthdays are recognized in the classroom in a variety of ways. Because food allergies may be present in the classroom, students may only bring birthday treat bags for the class with non-edible items. To protect the feelings of the students, we ask that treat bags, invitations, etc. be given to all students if they are distributed at school.
Cafeteria/Food Services
Delicious and nutritious lunches are served in our school cafeteria. Milk is included with the lunch. A basic meal is prepared each day with several menu choices. School lunches are prepared by professional cooks working in cooperation with a registered dietician. Students are encouraged to take advantage of this service. The menu for the school lunches are determined by our cooks. The menu is distributed through the red folders and posted on Sycamore so parents and students can decide whether they will purchase a lunch or bring their own. The lunch menu is also available in the rooms and cafeteria.
Students will have an opportunity to purchase a drink in the cafeteria for $.50 during morning breaks. They will have an option of white milk, water, or a 100% juice product. If your child would like to eat lunch at school, the cost is $2.85. Peanut butter & jelly sandwiches are an option for lunch on Mondays and Fridays. If your child wishes to have PB&J, please mark it on the sign-in sheet. Lunch money is to be turned in on Monday mornings. The money must be in a sealed envelope marked "Lunch Money" with the student's first and last name, grade and the amount of money enclosed. Each student has a lunch account. The money is then deposited into their account and as they purchase food items the cost is deducted from their account. Adult lunches can be purchased for $3.45. If you plan to eat lunch with your child, please make reservations with the school by 8:00 a.m.
For complete Procedures for Student Lunch/Meal Accounts, see the K-8 Student Handbook posted online. Application forms for free and reduced lunches are available in the school office.
Classroom Discipline Policy
Appropriate measures will be used to address misbehaviors in the classroom. If a student's behavior becomes a problem or issue, the teacher will communicate such concerns to the parents in a timely fashion.
Closings due to Weather Conditions
- If Evansville Vanderburgh public schools are closed, St. Joseph Preschool/Pre-K/Childcare will be closed.
- If Evansville Vanderburgh public schools are on a 1 hour delay, St. Joseph Preschool/PreK/Childcare will be on a 1 hour delay. Childcare will be available starting at 7:45 a.m.
- If Evansville Vanderburgh public schools are on a two hour delay, St. Joseph AM classes for Preschool and Pre-K will be closed, but childcare will be available starting at 8:45 a.m.
Clothing
Please dress your child in something that is comfortable, easy for him/her to manage, and is washable. Tennis shoes and socks are required; flip-flop type shoes are not permitted. Remember that children learn through play (and play gets messy). The children will participate in activities that involve cutting, pasting, painting, clay, play dough, sand, water, and outdoor play. Please label all extra clothing such as hats, gloves, coats, and spare clothing.
Drop-Off Procedures
Morning:
The childcare room will open at 6:45 a.m. each day. The classroom will open at 7:10 a.m. Parents are asked to walk their children to the classroom or childcare room each day and to sign them in. Children who arrive for the morning class before 7:10 a.m. are to be dropped off at the childcare room.
When dropping off please enter the drive by the cemetery off St. Joe Road and exit to St. Wendel Road toward the Mini-Mart. Only door #3 (gym) will be open for morning drop off. You may park in the spaces across from door #3, but never in the spaces next to the building. Extra care should be taken as parents and students cross the line of traffic.
Afternoon:
Please enter the drive by the cemetery off St. Joe Road and park in the spaces by the black, preschool fence. Please note that lunch recesses will be occurring at these times and you will need to leave by way of the cemetery road. If you must drop your child off a few minutes before 11:15, then you should come to the front doors of school. Someone will buzz you in; after which, you may go down the stairs, through the cafeteria and leave your child with the preschool teacher or childcare provider. They will be in the cafeteria supervising the preschoolers at lunch.
Lunch is also offered for afternoon students; however, you must call the school by 8am if you wish to purchase a lunch. If you would like to bring your child for lunch, please bring them to the cafeteria by 10:45am.
Emergency Drills
The school and preschool program is prepared for a variety of emergency situations. Fire drills are conducted once a month and severe weather/earthquake drills are conducted periodically. Detailed escape plans are posted near the door of each classroom. A detailed emergency plan is available in the school office. An emergency bag is provided in each classroom.
Emergency Information
In case of an emergency, each student is required to have on file at the school office the following information:
1. Parent(s) or guardian(s) names
2. Complete and up-to-date addresses and email addresses
3. Home phone numbers and parents' work numbers
4. Emergency phone numbers of a friend or relative
5. Physician's name and phone number
6. Medical alert information
7. Hospital choice
It is the responsibility of the parents to notify the school and teacher if you have any changes to the above information.
Evaluation Reports
The three year old class will have an evaluation report in January and again in May. The four and five year olds will have one in November and April. This is not a report card, and should not be viewed as such. This will show you what your child is working on and what we will be working on in the future. The four and five year olds evaluation will be more extensive to prepare them for Kindergarten. The most important thing you can do to assure your child's success in future grades is to read to them and support your school in reading programs. It is never too early to start reading.
Field Trips
Field trips to special events and to nearby points of interest are scheduled by classroom teachers and staff. These trips are designed to supplement classroom learning and to introduce the students to resources available in the community. Parents will receive notices of field trips well before the scheduled trip date and will be required to sign a permission form. No student will be allowed to travel on a school sponsored trip without an original signed permission slip. Written forms or verbal authorization will not be accepted, you will be called to pick up your child while the class is on the trip. Often parent chaperones are necessary to provide adequate supervision. On other occasions, parents are invited to join as guests, and may be required to ride in their own vehicles due to limited seating on the bus. Please check each form before making plans.
Please note: For the 2017-2018 school year, only a fall field trip will be possible. Starting January 1, 2018, Indiana law mandates that all preschool riders be required to be transported in an appropriate child safety restraint system. The busses utilized by St. Joseph School for field trips are not equipped at this time to satisfy the mandate.
Food Allergies
St. Joseph School recognizes that life threatening food allergies are an important condition affecting many school children. In order to minimize the incidence of life threatening allergic reactions, St. Joseph School will maintain a system-wide procedure for addressing life threatening allergic reactions and maintain an Emergency Action Plan for any student(s) whose parent/guardian, and physicians have informed the school in writing that the student(s) has a potentially life threatening allergy.
Training:
In order to minimize the incidence of life threatening allergic reactions, St. Joseph School will provide training and education for all school staff members. In conjunction with the student's parent/guardian and primary care provider and/or allergist, the school will maintain an Emergency Action Plan for any student identified with a potentially life-threatening allergy.
The training will be provided to ALL school employees and will include (but not be limited to):
- A description/definition of severe allergies and a discussion of the most common food, medication, latex and stinging insect allergies.
- The correct use of an epinephrine auto-injector (EpiPen).
- The signs and symptoms of anaphylaxis.
- Specific steps to follow in the event of an emergency.
- Location of emergency EpiPen.
- Activating Emergency Medical Response - Dial 911.
- Policy and procedure will be reviewed at the beginning of every school year.
Notifications:
The school office will be responsible for notifying classroom teachers about the nature of the life threatening allergies faced by students. This notification will include an explanation of the severity of the health threat, a description of the signs and symptoms to be aware of and what allergen (food, materials, etc.) to avoid.
Classrooms:
St. Joseph School is working to reduce allergens in our school; however, parents must be aware that no environment will be 100% allergen-free.
- In an effort to promote a healthy and safe environment for all students, no snacks will be served during the day. Milk or juice is an option for the morning students.
- Teachers must be familiar with the Emergency Action Plan of students in their classes and respond to emergencies as per the emergency protocol documented in the Emergency Action Plan.
- In the event of a suspected allergic reaction (where there is no known allergic history), the principal will be notified and the school's Emergency Response Plan activated. The emergency medical services will be called immediately.
- All teachers will be educated about the risk of food allergies.
- Information will be kept about students' food allergies in the classroom and in the substitute emergency folder, accessible by teachers, substitutes or other responsible adults.
- A parent or guardian of a student with food allergies is responsible for providing all food for his/her own child.
- Proper hand cleaning techniques will be taught and encouraged before and after the handling/consumption of food.
- Tables will be washed with soap and water following any food related events held in the classroom.
School Field Trips:
- A cell phone or other communication device must be available on the trip for emergency calls.
- Medications including an EpiPen® and a copy of the student's Emergency Health Care Plan must accompany the student.
- The adult carrying the EpiPen® will be identified and introduced to the student as well as the other chaperones.
Fundraising
Fundraising is a vital and necessary source for our school. Classroom and club fundraising projects must be approved by the principal. Parental and student support is necessary for each project's success. Families are encouraged to read promotional information carefully and follow directions concerning turn-in dates, methods of payment, and return procedures.
Immunization recommendations for students ages 3 to 5:
3 Hep B (Hepatitis B)
4 DTaP (Diphtheria, Tetanus & Pertussis)
3 Polio (Inactivated Polio)
1 MMR (Measles, Mumps & Rubella)
1 Varicella
Insurance
It is to be understood and acknowledged by parent(s) and guardian(s) that neither the school, the principal, teachers, nor the Catholic Diocese of Evansville will be the insurer of a student's health and safety while the student is at school or engaged in school-supervised activities, including sports. It is the parent's or guardian's obligation to provide such insurance as they deem necessary to protect themselves and their students against the costs or other adverse effects of sickness or injury.
Lunch
If your child is enrolled in an all day program they may bring their lunch in a lunch box that is able to keep food at a cool temperature. No food items will be able to be heated up, so please pack cool items only. Soft drinks are not allowed in any lunches.
Medication
All medications must be given to and picked up from the school office. Medicine will be administered if this is the only time it can be given and the provided medication:
* has been ordered by a physician and the parent has given written consent.
* is in the original container with the pharmacy label, and the physician's name.
* has the child's name, date filled, and directions for use on the bottle.
Pick-Up Procedures
Morning:
If your child isn't staying for daycare, you will need to line your vehicle up along the concrete sidewalk by the black preschool fence. Please enter the drive by the cemetery off St. Joe Road and exit to St. Wendel Road toward the Mini-Mart. (Please be mindful that students will be entering the playground areas beginning at 10:45am. Extreme caution is advised! )
Afternoon:
If your child is being picked up from the afternoon class, parents will need to enter the drive by the cemetery off St. Joe Road and line up with the other cars. You may retrieve your child from the sidewalk once the children have exited the building.
Sick Policy
A child should not be in attendance if they have any of the following symptoms listed below, or have had them in the past 24 hours:
-Fever of 100 degrees or more
-Vomiting
-Diarrhea
-Unexplained skin rash
-Chills
-Anything contagious (strep throat, pink eye, chicken pox, head lice, or etc.)
-Sore red throat
-Earache
-Stomachache or nausea
-Swollen glands
Should your child become ill or develop a fever during school hours, you will be called to come pick them up.
Lice
St. Joseph School follows the guidelines set forth by both the American Academy of Pediatrics (AAP) and the National Association of School Nurses (NASN) regarding head lice. Students diagnosed with live head lice will not be sent home early from school; they can go home at the end of the day, be treated, and return to class after appropriate treatment has begun. Nits may persist after treatment, but successful treatment should kill crawling lice.
Head lice can be a nuisance but they have not been shown to spread disease. Personal hygiene or cleanliness in the home or school has nothing to do with getting head lice.
Student Records & Release of Records
Academic records, health records, and test scores are recorded for each student. Parents may call the school and request an appointment with the teacher to review their child's records. Information included in these records may not be released without written parental consent.
Student Services
Many testing and evaluation services are available to our students. This includes speech therapy and learning disability services provided through the EVSC. A Youth First Counselor is also available.
Sycamore©
All families will be given access to Sycamore, the school's information system. On this site, parents can view lunch and daycare accounts, as well as have access to pertinent school information, such as the weekly Red Folder News and the school's calendar.
Visitors
Parents are welcomed and encouraged to visit at anytime. We ask that you use the main entrance of the school between the hours of 7:15 am and 3:00 pm. All visitors are required to report to the school office upon entering and leaving the building.
Withdrawals
If a decision is made to withdraw your child from the program during the school year, the parents should notify the principal as soon as possible. Teachers and staff will summarize the child's progress and prepare the child's records, which will be forwarded to a new school or program. Parents should make sure all school materials are returned. Any outstanding fees will be required to be paid in full before releasing student records.
Right To Amend
St. Joseph School reserves the right to amend this Handbook at any time. Notice of amendments will be sent to parents via the Red Folder News or through e-mail communication.
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Round 1
VHSL Regular Season 2013 Part 2 of 2
First Period, Fifteen Tossups
1. The output of this technique is calculated from three vectors that form Einthoven's triangle. Common the absence of distinct P waves. The time between QRS complexes measured using this technique gives the
versions of this technique have three, five, or twelve leads. Fibrillation is diagnosed using this technique by heart rate. For 10 points, name this technique that measures the electrical activity of the heart.
"echocardiogram"]
ANSWER: electrocardiography
[or electrocardiogram
; or ECG; orEKG; do not accept
003-12-71-01101
2. This poet wrote about "great wings beating still above the staggering girl" in his poem "Leda and the Swan." Another poem of his talks about how "a terrible beauty is born." He described how "the ceremony of innocence is drowned" in a poem noting, "things fall apart; the center cannot hold." This poet of "Easter, 1916" wrote about a place that is "no country for old men" in "Sailing to Byzantium." For 10 points, name this Irish poet of "The Second Coming."
ANSWER: William ButlerYeats
186-12-71-01102
3. The movement of one of these shapes along a line generates the solution to the brachistochrone problem. These shapes have an eccentricity of 0, and rotating one of these about an outside axis yields a torus. Chords are line segments within, and secants are lines through, two points on this shape, whose "unit" type is graphed by "x squared plus y squared equals 1". For 10 points, name this shape whose points are all equidistant from the center, which have a radius and a circumference. ANSWER: circles
104-12-71-01103
4. During the Democratic primary for this election, Ted Kennedy responded incoherently to Roger Mudd's question, "Why do you want to be president?" The victor in this election asked "Are you better off than you were four years ago?" and was accused of "voodoo economics" by his running mate. In this election, the incumbent lost by 440 electoral votes due to high inflation and not resolving the Iran Hostage Crisis. For 10 points, name this presidential election in which Ronald Reagan defeated Jimmy Carter. ANSWER: Election of 1980
080-12-71-01104
5. This man's company built the "New Street Works' in Chelmsford, England. At the time of the Titanic disaster, this man's company employed David Sarnoff, and Britain's postmaster general said lives were saved through this man and his invention. He shared the Nobel Prize with Karl Ferdinand Braun. This man built a station in Massachusetts that allowed Teddy Roosevelt to congratulate Edward VII in the United Kingdom. For 10 points, name this Italian inventor credited with developing long distance wireless radio transmission.
052-12-71-01105
ANSWER: Guglielmo Marconi
6. This politician humorously claimed in a September radio interview that he ran a Minnesota marathon in under three hours, and defeated Jeffrey Thomas four times in defending his congressional seat. He became the chairman of the House Budget Committee in 2011, and he is a representative from Wisconsin. For 10 points, identify this politician who was chosen as Mitt Romney's running mate in 2012. ANSWER: Paul Davis Ryan
189-12-71-01106
7. This language features a characteristic loss of the intervocalic "l" and "n." Unlike other languages in its family, this language features the future subjunctive mood. In this tongue, five of the days of the week are appended with the word "feira." This language is conflated with Asian languages in kristang, and with Spanish, Dutch, and English in Papamiento, while it is closely related to Galician. For 10 points, name this language spoken in Mozambique, Angola, Brazil, and its namesake Iberian country. ANSWER: Portuguese
192-12-71-01107
8. One work described this art form's origin from Dionysian raw impulses channeled through ordered Apollonian beauty, and was the first by Friedrich Nietzsche. This form includes peripateia, or reversal, and characters with a hamartia, sometimes called this form's namesake "flaw", according to Aristotle's Poetics . For 10 points, name this catharsis-inducing type of drama exemplified by Socrates' Antigone, identified by the deaths of characters and their unhappy endings.
ANSWER: tragedy [prompt drama or theater]
104-12-71-01108
9. Exposed remnants of this region can be seen at the "Tablelands" region in Canada. Its lower boundary is marked by the "D double-prime" layer, which also contains a seismic velocity discontinuity named for Beno Gutenberg. The upper portion of this layer includes the viscous asthenosphere, and it is separated from the layer above it by the Mohorovicic (mo-ho-ree-vick) discontinuity. Its namesake plumes lead to "hot spot volcanism." For 10 points, name this layer of the earth between the crust and the outer core. ANSWER: the mantle [or lithosphere until "lower boundary"]
052-12-71-01109
10. One character in this novel causes Mrs. Phelps to burst into tears when he recites "Dover Beach." The protagonist's wife Mildred wants to buy a fourth wall-sized television. The protagonist of this novel is told he represents a copy of the Book of Ecclesiastes by Granger. Professor Faber helps the protagonist of this novel escape the Mechanical Hound after he kills Captain Beatty. For 10 points, name this Ray Bradbury novel about Guy Montag which is titled for the temperature at which books burn.
ANSWER: Fahrenheit 451
186-12-71-01110
11. In one play by this author, the wife of Sam Evans has an affair with the scientist Ned Darrell. This author also wrote a play where the title character, a former Pullman factory worker, clashes with Henry Smithers and is killed by a silver bullet. This author of Strange Interlude and The Emperor Jones also wrote a play depicting the denizens of Harry Hope's bar and another play focusing on the Tyrone family. For 10 points, name this American playwright of The Iceman Cometh and Long Day's Journey into Night. ANSWER: Eugene O'Neill [or Eugene Gladstone O'Neill]
186-12-71-01111
12. This man was scandalized by his affair with Maria Reynolds. He was the only man from New York to sign the Constitution, and he later authorized the excise tax that led to the Whiskey Rebellion. Under the name "Publius," this author of the Report on Manufactures wrote the Federalist Papers with Madison and Jay. This man was killed in Weehawken after he supported Thomas Jefferson as the lesser of two evils. For 10 points, name this first Secretary of the Treasury, a man who was killed by Aaron Burr in a duel.
ANSWER: Alexander Hamilton
192-12-71-01112
13. Before the 1965 Southern Cathedrals' Festival, this composer was commissioned to create the choral work Chichester Psalms. Dedicating his Kaddish Symphony to the assassinated John F. Kennedy, this man was noted for his televised Young People's Concerts. The music director for the New York Philharmonic for almost all of the 1960ss, this man composed the music to a work about the street gangs the Jets and the Sharks. For 10 points, name this composer who collaborated with Stephen Sondheim on West Side Story. ANSWER: Leonard Bernstein
052-12-71-01113
14. This man's true identity was revealed by his brother David, and he was the subject of a forensic sketch showing him wearing a hoodie and dark sunglasses. This man wrote the essay "Industrial Society and Its Future," which heavily criticized technology and demanded that a newspaper publish the so-called "manifesto." This man was finally captured while in a cabin outside Lincoln, Montana. For 10 points, give the nickname or real name of the terrorist who mailed numerous home-made explosives before his arrest in 1996.
ANSWER: Unabomber [or Theodore Kaczynski]
052-12-71-01114
15. This structure is the form in which local variables, function parameters and other non-explicitly allocated data are stored in memory. The call one of these structures contains frames that control program flow; a common debugging method "traces" that one. A depth-first search uses this structure, unlike a breadth-first search. The operations push and pop operate on this data structure. For 10 points, identify this last-in first-out data structure.
066-12-71-01115
ANSWER: stack
1A. I and the Village is housed in which New York museum that focuses mainly on 20th and 21st century works?
ANSWER: Museum of Modern Art [or MoMA]
Yerma
1B. What 20th-century Spanish playwright wrote and
The House of Bernarda Alba?
ANSWER: Federico GarciaLorca[or Federico del Sagrado Corazon de Jesus GarciaLorca]
2A. Which 90s sitcom starring Tim Allen as Tim "The Toolman" Taylor also included characters such as Al Borland and Wilson?
ANSWER: Home Improvement
2B. Which NFL coach was fined $50,000 for grabbing a replacement referee's arm after Baltimore defeated his New England Patriots?
ANSWER: William Stephen "Bill" Belichick
3A. At what World War II battle did Anthony McAuliffe respond "Nuts!" to a request to surrender Bastogne?
ANSWER: Battle of the Bulge [or the Battle of the Ardennes]
3B. This is a 20-second calculation question. Find the probability, expressed as a decimal or a fraction, of rolling one six-sided die and getting an even number three times in a row.
ANSWER: 1/8 [or 0.125]
4A. This is a 20-second calculation question. Find the sine of 120 degrees.
ANSWER: square root of three, divided by two [or radical three over two; or root three over two; or radical three divided by two]
4B. Which equation from electrochemistry, which gives the voltage of a galvanic cell, can also be generalized into a form which gives the equilibrium potential for a cell membrane?
ANSWER:
Nernst equation
5A. What French existentialist defined the "bad faith" principle in his Being and Nothingness?
ANSWER: Jean-Paul Sartre
5B. In what phenomenon from special relativity does an observer find that a moving clock ticks more slowly than a stationary one?
ANSWER: time dilation
6A. What British poet condemned censorship in Areopagitica and depicted the fall of man in Paradise Lost?
ANSWER: John Milton
6B. What chemical quantity is found by subtracting the product of entropy and temperature from a substance's enthalpy?
ANSWER: Gibbs free energy
7A. This is a 30-second calculation question. How many real solutions does the equation "x cubed plus x squared plus x equals zero" have?
ANSWER: one
7B. This is a 30-second calculation question. A gardener transfers water from a cylindrical vase with a height of ten feet, eight inches and base radius of one foot into a perfectly spherical vase. Assuming none of the water spills and there is no empty space in the vase it sits in, what is the radius of the spherical vase?
ANSWER: two feet
8A. What king suffered from porphyria late in his reign, years after leading Britain through the American Revolution?
ANSWER: George III of Great Britain [or Georg Wilhelm Friedrich; prompt on George]
8B. Matrix multiplication does not possess what property which, for an operation star, allows that a star b equals b star a?
ANSWER: commutativity [or commutation; or commutative property]
9A. What Egyptian god of storms killed his brother Osiris?
ANSWER: Set
9B. Which body of water, which is the largest lake by surface area in Africa, is the source of the White Nile?
ANSWER: Lake Victoria
10A. What symphony's dedication was changed to "to the memory of a great man" after its composer Beethoven became disgusted with Napoleon's actions?
ANSWER: Eroica Symphony [or Beethoven's Third Symphony]
10B. Name the peninsula which was ruled at different times by the Silla and Choson dynasties. ANSWER: Korean peninsula [or Hangook bando]
Round 1
VHSL Regular Season 2013 Part 2 of 2
Third Period, Fifteen Tossups
1. One architectural landmark in this city has a circular hole in its so-called "Chippendale roof" and was bought by Sony from AT&T. The Circle Line ferry operates in this city, which contains a neighborhood abbreviates the descriptor "south of Houston Street" and two divisions connected by the long Verazzano-Narrows bridge. SoHo and TriBeCa are neighborhoods in this city of 8 million people. For 10 points, name this city made of five boroughs, the home of the Empire State Building. ANSWER: New York City
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2. This phenomenon appears to move via "saltatory conduction" between nodes of Ranvier (RAHN-vee-AY). Its generation is modeled by Hodgkin-Huxley kinetics, which includes overshoot due to permeability of the cell membrane to sodium ions at its peak. Another of them cannot occur during a neuron's absolute refractory period. For 10 points, name this all-or-nothing response of a neuron to a depolarization.
ANSWER: action potential
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3. This multinational region is home to the Cataglyphis ant, which can zoom in a straight line back to its nest by sensing the sun's angle. Opposite sides of this region are home to the Grand Ergs and the sinkhole-like Qattara depression.The nomadic Tuaregs trade across this region, whose western part is bounded by the Atlas mountains to the north and the grasslands of the Sahel to its south. For 10 points, name this North African desert, the world's largest.
ANSWER: SaharaDesert
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4. The inverse of this SI unit is the unit of the Rydberg constant, the wavenumber, and the power of a lens as measured in diopters. From 1960 to 1983 the value of this unit was determined by krypton-86 radiation; since then, it has been defined in terms of the speed of light. Units that are powers of ten of this SI unit include the angstrom and the micron. For 10 points, name this SI unit of length.
ANSWER: meter
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5. This character carries a Bible with a romantic message in it for Sophia Grangerford. He travels to Jackson Island after using a dead pig's blood to make his alcoholic Pap think he is dead. This boy is taken in by two conmen who pose as a duke and a dauphin while traveling with the black slave Jim on a raft down the Mississippi River. For 10 points, name this Missourian boy created by Mark Twain, the rascally friend of Tom Sawyer.
ANSWER: Huck Finn [or Huckleberry Finn; or Huckleberry Finn]
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6. This figure is told by a man in a field that the people he is seeking have moved to Dothan from Shechem. This man avoided being killed by an intercession by Reuben. While in prison, this man met a baker and a butler, and the butler later helped this man by having him interpret another man's dream of seven lean cows eating seven fat cows. For 10 points, name this powerful servant under the Pharaoh who caused jealousy among his brothers by receiving a coat of many colors.
ANSWER: Joseph
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7. In one of this author's works, Mary Pereira becomes a nurse for a wealthy family whose child she switched at birth. In another of his novels, Saladin Chamcha and Gibreel Farishta fall out of a hijacked plane. This man wrote about Saleem Sinai and other magical children born in the hour of India's independence in the novel Midnight's Children. Another of his books contains controversial passages about Mohammad and the birth of Islam. For 10 points, name this Indian writer put under a fatwa for writing The Satanic Verses.
ANSWER: Salman Rushdie [or Ahmed Salman Rushdie]
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8. Einstein found that the coefficient describing this process is equal to Boltzmann's constant times temperature divided by the drag coefficient. That coefficient is proportional to the mean square displacement during Brownian motion, which drives this process. This process is characterized by Fick's First Law, which states that solute flux is proportional to the concentration gradient. For 10 points, name this process by which solute flows from areas of high to low concentration.
ANSWER: diffusion
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9. Pablo Picasso painted a series of 58 reinterpretations of this work, the basis for John Singer Sargent's The Daughters of Edward Darley Boit. In this painting, a mirror on the back wall reflects King Philip IV and his queen, and the artist himself is wearing the red cross of the Order of Santiago while working. Two dwarves, a mastiff, and the title characters surround the Infanta Margarita in this painting. For 10 points, name this Diego Velazquez painting set in the court of Spain.
ANSWER: Las Meninas [or The Maids of Honour]
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10. This man's theories were interpreted by John Hicks's IS/LM model. He argued that employers might not be able to alter "sticky wages" and popularized the "paradox of thrift." He predicted that punishing debts would have bad effects on Germany after Versailles in The Economic Consequences of the Peace. For 10 points, name this British economist whose General Theory of Employment, Interest, and Money advocated increased government spending to end recessions.
ANSWER: John Maynard Keynes, 1st Baron Keynes [or Lord Keynes]
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11. While serving as Lieutenant Governor of his state, this politician was elected to the Senate to replace the ailing Paul Tsongas (ZONG-as). This man is married to a woman of Portuguese descent who was once married to the heir of the H.J. Heinz Company. This man's presidential campaign was hurt by the activities of "Swift Boat Veterans for Truth," and his running mate in that election was John Edwards. For 10 points, name this senior Senator from Massachusetts who lost the 2004 presidential election to George W. Bush. ANSWER: John Forbes Kerry
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12. This phenomenon occurs at high Reynolds numbers and is characterized by pressure drops proportional to the square of the flow rate. Poiseuille's (pwah-SOOL's) Law does not hold for fluids undergoing this phenomenon, which is characterized by a bulk velocity not parallel to "swirls" or "eddies" in the fluid. For 10 points, name this most common type of fluid flow, which is contrasted with laminar flow and responsible for bumpy airplane rides.
ANSWER: turbulence [or turbulent flow]
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13. This poet was inspired by Johann Heinrich Voss's epic Luise to write his own epic, Hermann and Dorothea. His novels include the bildungsroman Wilhelm Meister's Apprenticeship and another mostly consisting of a series of letters written by an artist driven to suicide by his love for Lotte (LAH-tuh). He is most famous for a lengthy drama published in two parts about an ambitious scholar who makes a deal with Mephistopheles. For 10 points, name this German author of The Sorrows of Young Werther (VAIR-ter) and Faust.
ANSWER: Johann Wolfgang von Goethe (GURR-tuh)
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14. In one of this band's songs, the singer declares, "I read dead Russian authors volumes at a time" and repeatedly asks, "How'd you like to be alone and drowning?" Another song by this band addresses "the angry boy, a bit too insane, icing over a secret pain." This band recorded "Narcolepsy" as well as a more popular song with a chorus beginning, "I want something else to get me through this." For 10 points, name this alternative rock band prominent in the 1990s whose songs include "Semi-Charmed Life" and "Jumper."
ANSWER: Third Eye Blind
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15. The current prime minister of this nation asked for "a little breathing room" from Germany in July 2012. A right-wing party in this nation named Golden Dawn is staunchly anti-immigrant. May 2012 Elections in this country saw losses for the Pasok and New Democracy parties and gains for the Syriza Party. In June 2012, a new Parliament rose in this nation led by Antonis Samaras. France and Germany have bailed out this nation in exchange for austerity measures imposed on it. For 10 points, name this European country which has seen protests in this Athens.
ANSWER: Greece [or Hellenic Republic]
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Round 1
VHSL Regular Season 2013 Part 2 of 2
Tiebreaker Questions
1. This transition metal is found in Fehling's solution, used to test for the presence of monosaccharides. This metal has the unusual valence electron configuration of three d ten four s one. Weathering of this metal produces verdigris. Brass is an alloy of zinc and this metal, while bronze refers to any alloy of this metal, usually involving tin. For 10 points, name this metal whose high conductivity makes it ideal in electrical wires, and which has atomic number 29.
ANSWER: copper [or Cu]
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2. This man was accused of violating eighteen of the nineteen rules of literary art in an essay on his "literary offenses" by Mark Twain. He wrote about a failed raid by Tom Hutter and "Hurry Harry" March in The Deerslayer, and he included the siege of Fort William Henry in a novel set during the French and Indian War titled for Uncas's father, Chingachgook. For 10 points, name this American whose Leatherstocking Tales, all featuring the Indian-raised white man Natty Bumppo, include The Last of the Mohicans.
ANSWER: James Fenimore Cooper
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3. This ruler was nicknamed "David" by an Englishman at his court who created the first Western European script with spacing and lower-case letters. That Englishman, Alcuin of York, advised this man to restore Pope Leo III, who crowned this man on Christmas Day. Einhard wrote a biography of this son of Pepin the Short. This ruler had his capital at Aachen and ruled both Saxony and Northern Italy in addition to France. For 10 points, name this Carolingian king who was made "Emperor of the Romans" in 800 CE. ANSWER: Charlemagne [or Charles I; or Charles the Great; or Charles le Grand; or Carolus Magnus ; or Karl der Grosse; prompt on Charles]
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4. The concentration of a C peptide formed during synthesis of this molecule is often used to estimate the level of this hormone's secretion. Unlike a molecule produced by alpha cells, secretion of this hormone is inhibited by the sympathetic nervous system. It is produced by beta cells in the islets of Langerhans in response to high plasma glucose levels. For 10 points, name this hormone that is at abnormally low levels in individuals with Type I diabetes.
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5.
00--20-01136
Name this color of most aqueous copper solutions, which names a "shift" in which the wavelength decreases via the Doppler effect.
ANSWER: blue
This is a 30-second calculation question. Find the square of the quantity "four x squared plus three z," close quantity.
ANSWER: 16x 4 + 24x 2 z + 9z 2 [accept equivalents which have the correct terms in a different order]
VHSL Regular Season 2013 Part 2 of 2 1 Page 9 of 9
ANSWER: insulin
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Blueprint for Accelerating Progress in Childhood Obesity Prevention in Chicago: The Next Decade
Executive Summary
The nation's childhood obesity rate has more than tripled over the past 30 years, and the impact of this epidemic on Chicago children has been especially severe. (1) Chicago's obesity rate for young children starting school in 2008 was 22%, more than twice the national average. The rate of obesity among Chicago children starting sixth grade was 28%, or nearly one and a half times the national average. (2) In some Chicago neighborhoods, primarily those with average household incomes lower than the citywide average and a majority of African American or Hispanic residents, closer to half of the children are overweight or obese; and in some neighborhoods, even more. (3) (4)
Children burdened with obesity endure negative physical, emotional, and social consequences, including type 2 diabetes, depression, and bullying. Children who are obese are more likely to be obese as adults and as a result at a higher risk for heart disease, certain cancers, and premature death. Researchers predict that today's youth may be the first generation to have shorter life spans than their parents. (1) (5) An investment in prevention is therefore an investment in our future.
Ten years ago, the Consortium to Lower Obesity in Chicago Children (CLOCC) formed in response to a growing body of evidence documenting the significant increase in childhood obesity and its grave consequences. Since then, CLOCC has
energetically pursued its mission to confront the childhood obesity epidemic by promoting healthy and active lifestyles for children throughout the Chicago metropolitan area and by fostering and facilitating connections between childhood obesity prevention researchers; public health advocates and practitioners; and the children, families, and communities of Chicagoland.
Today, CLOCC is comprised of more than 3,000 individuals representing over 1,200 organizations working on childhood obesity prevention in Chicago, across Illinois, throughout the nation, and beyond. Working together, CLOCC staff and partners have implemented numerous programs, projects, and policy initiatives to increase individual and family knowledge about healthy lifestyles; strengthen organizational and institutional practices to support healthy eating and physical activity; and improve environments so that healthy food and physical activity are widely available where people, and especially children, live, work, learn, and play. As a result, Chicago achieved a statistically significant decrease in obesity among children entering school, from 24% to 22%, over five years. (2)
While this reduction is encouraging, more work remains to be done – the burden of obesity and its associated negative outcomes on our city's youth are still far too great. So, as we celebrated our first decade in 2012, we also set out to envision the
future. To craft a blueprint for accelerating progress in the next decade of childhood obesity prevention in Chicago, CLOCC engaged national experts, its leaders and staff, and its many partners to review and recommend the most promising evidencebased strategies. The culmination of this six-month effort is the Blueprint for Accelerating Progress in Childhood Obesity Prevention in Chicago: The Next Decade, which we share to provide some focus for the decade ahead.
Guiding Principles
There are several guiding principles that provide the foundation and framework for the blueprint and recommendations. First, childhood obesity prevention requires a social-ecological and multisectoral approach. Second, community-based strategies must be grounded in and guided by community realities, desires, and assets with active community engagement in their development. Third, decision making must be based on evidence. Lastly, special attention must be paid not only to disparities in obesity rates and the consequences of obesity across communities, but also to the inequities that result in higher concentrations of obesity and its consequences in low-income communities and communities of color.
Social Ecology
CLOCC and its partners understand that individuals and families who are educated and motivated to live healthy, active lives can only succeed if they have access to environmental supports for a healthy lifestyle. For example, fresh produce and other healthy foods and beverages must be accessible and affordable, and the streets, sidewalks, and parks must be safe for active transportation and play.
To prevent and reduce childhood obesity in Chicago effectively and significantly, the complex network of settings and systems that affect the options and opportunities available to families must support health. Therefore, all levels (individual, family, institution, community, and society) and all sectors of our community (including government, school, healthcare, academia, youth development, and industry) must contribute to the solution. Many of the recommendations put forth in the blueprint can or must be supported by policy changes at the city, state, or federal levels.
Community Engagement
An underlying premise of the blueprint is that members of Chicago's communities of geography (i.e., neighborhoods) and identity (such those based
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on gender, racial and ethnic groups, community of faith, or sexual orientation) must be involved in the development, implementation, and evaluation of the interventions designed to address childhood obesity. People and organizations that represent these diverse communities are the best sources of information about opportunities as well as their strengths and challenges. They can also provide valuable insight about effective methods for involving other members of their communities.
There are communities of practice such as educators, advocates, clinicians, government officials, and others who have a professional interest in preventing childhood obesity. These communities must be engaged too, as they can provide expertise and best practices from their specific focus areas as well access to resources – such as financial resources or institutional authority – that might otherwise be unavailable to communities of geography and identity yet are critical for accelerating progress.
Finally, it is essential to involve the children of Chicago, their families, and others who take care of them. Without their support, commitment, buy-in, and active involvement, the strategies identified in this blueprint will not succeed.
Given that no one organization is likely to have expertise in health education, environmental change, institutional decision making, and policy change at the local, state, and federal levels, community coalitions such as CLOCC – comprised of representatives of diverse communities of geography, identity, and practice – are essential to the application of a social-ecological approach to obesity prevention.
Evidence-Based Decision Making
When resources are scarce and need is high, decision makers need to focus on things that are most likely to achieve the desired outcomes and supported by substantial research evidence. Whether those decision makers are children, parents, institutional leaders, or elected officials, they need to know that they are putting their time, energy, or money into things that will work.
Research focused on obesity prevention strategies, however, faces certain limitations. For example, we cannot easily manipulate the amount of physical activity or number of calories a person gets throughout their day or week, and it is even harder to manipulate the environmental exposures (say, to certain kinds of foods or spaces for physical
activity) people experience because they transition through multiple settings all day long (e.g., home, neighborhood, work, and leisure environments).
As such, evidence-based decision making for obesity prevention (especially the kind of multisector, multi-level approaches recommended in the blueprint) requires an alternative framework for thinking about "evidence" - we reviewed the available research, but also examined the local progress and current momentum in each focus area (which speaks to sustainability, local feasibility, and acceptability), and considered equity and unintended consequences in making our final selections.
Health Equity
Chicago not only experiences high childhood obesity prevalence overall, but it also experiences disparities in health and obesity. Studies have shown that communities of color and lower-income communities have higher rates of childhood obesity than communities that are predominantly Caucasian or that have higher income levels. Not coincidentally, communities with higher rates of obesity also experience inequities in the ability of the surrounding environment to promote healthy, active lifestyles. For example, researchers have identified disparities in access to healthy food and beverages as well as parks and open space across Chicago neighborhoods. Paying attention to these underlying health inequities can help to address Chicago's obesity disparities. When implementing the policy, systems, and environmental changes identified in the blueprint, we must ensure that their benefits accrue to all communities in Chicago, especially those experiencing health disparities.
Organization of the Blueprint
The strategies and steps CLOCC recommends for the next decade are grouped into six focus areas in which change is likely to have a positive impact on childhood obesity: food and beverage access, physical activity and the built environment, schools, early childhood, the business sector and industry practices, and health promotion and public education. In each focus area, we present broad goals, supporting objectives, important strategies, and (where possible) specific tactics, grounded in national evidence and local experience, that set the course for intervention in the focus area. (We refer readers to the full blueprint for a more developed discussion of the evidence that supports these recommendations as well as the opportunities and momentum found in the local Chicago context.)
The recommendations outlined in the following sections make up a blueprint for accelerating childhood obesity prevention in Chicago over the next decade. CLOCC will use it to guide our work, and we hope others in Chicago and beyond will find it helpful as they design and implement their own activities so together we can accelerate progress in childhood obesity prevention and further reduce the burden of obesity on children over the next decade.
References
1. Institute of Medicine. Accelerating Progress in Obesity Prevention: Solving the Weight of the Nation. 2012. http://www.iom.edu/Reports/2012/ Accelerating-Progress-in-Obesity-Prevention.aspx.
2. CLOCC. Data show rates of obesity for Chicago children at school entry fell from 2003 to 2008 while still double the national average. March 16, 2010. http://www.clocc.net/news/CLOCC_Data_R_ FINAL.pdf.
3. CLOCC. Englewood Community Nutrition & Physical Activity Survey. 2010. http://www.clocc. net/coc/project/coop-eng/Englewood_Full_Data_ Report.pdf.
4. CLOCC. Pilsen Community Nutrition and Acitivity Survey. 2010. http://www.clocc.net/coc/project/ coop-pilsen/Pilsen_Full_Data_Report.pdf.
5. Trust for America's Health. F as in Fat: How Obesity Threatens America's Future 2012. 2012. http://www.healthyamericans.org/assets/files/ TFAH2012FasInFatfinal.pdf.
Six Focus Areas
* Food and Beverage Access
* Physical Activity and the Built Environment
* Schools
* Early Childhood
* Business Sector and Industry Practices
* Health Promotion and Public Education
Recommendations for the Next Decade
Food and Beverage Access
Goal 1
Make healthy foods and beverages easily accessible to all children where they live, learn, and play.
Objective 1-1:
Increase local healthy food production.
* Strategy a: Expand urban farming and agriculture.
* Strategy b: Expand community gardening.
Objective 1-2:
Increase the sale of healthy food and beverages.
* Strategy a: Expand availability of healthy food and beverages in existing retail establishments (e.g., corner stores, restaurants, cultural institutions, sport and entertainment venues).
* Strategy b: Encourage new healthy food and beverage retail.
– Tactic: Promote the City of Chicago's produce merchant license.
– Tactic: Promote the availability of food financing options (e.g., Illinois Fresh Food Fund).
Objective 1-3:
Increase the availability of healthy food and beverages in the emergency food system.
* Strategy a: Ensure that food and beverages made available through government-funded food assistance programs meet the Dietary Guidelines for Americans (www.cnpp.usda.gov/ dietaryguidelines.htm).
* Strategy b: Work with food pantries and emergency meal programs to stock and deliver healthy foods and beverages.
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* Strategy c: Create, expand, and promote linkages between supplemental food programs (e.g., SNAP) and local food and beverage retail to ensure that Chicagoans who receive public food assistance can take advantage of farmers' markets, produce carts, and other healthy food and beverage retail.
Goal 2
Create a culture of demand for healthy foods and beverages through widely visible public health campaigns.
Objective 2-1:
Disseminate evidence-based health messages to educate children and families about the importance of a healthy diet through popular media, outdoor advertising space, and in public buildings.
* Strategy a: Disseminate CLOCC's 5-4-3-2-1 Go! ® message and complementary messages that promote consumption of healthy food and beverages.
* Strategy b: Post consistent nutrition messages in food pantries and other emergency food distribution locations to educate program participants.
* Strategy c: Inform community residents of the availability of farmers' markets, community gardens, and mobile food vending.
Objective 2-2 :
Restrict advertising/marketing of high-calorie, lownutrition foods and sugar-sweetened beverages, especially to children.
* Strategy a: Educate Chicago decision makers (e.g., elected officials, institutional leaders, parents) about the diverse approaches to advertising used by food and beverage marketers (e.g., logo placement, online games, toys, and cartoon character use).
* Strategy b: Support national and local strategies to limit food marketing to children.
Goal 3
Reduce the availability of and access to caloriedense and nutrient-poor food and beverages in Chicago communities and institutions.
Objective 3-1:
Work with food retail establishments to decrease the amount of calorie-dense and nutrient-poor food and beverages available for purchase.
Objective 3-2:
Use a combination of incentives and disincentives to restrict unhealthy foods and beverages sold in public venues.
* Strategy a: Eliminate all high-calorie, low nutrition snacks and sugar-sweetened beverages from vending machines.
* Strategy b: Provide financial incentives to businesses that sell a greater amount of healthy foods and beverages than unhealthy foods and beverages.
Objective 3-3:
Achieve greater balance in pricing of healthy vs. unhealthy food and beverages.
* Strategy a: Implement dollar-matching programs (e.g., "double value coupons") for consumers that participate in federal nutrition assistance programs including SNAP and WIC to increase affordability of healthy foods.
* Strategy b: Adjust pricing in vending machines, restaurants, and food retail establishments to make healthy foods and beverages cheaper and unhealthy foods and beverages more expensive.
Physical Activity and the Built Environment
Goal 1
Ensure that children participate in physical activity programming where they live, learn, and play.
Objective 1-1:
Expand existing city-wide physical activity strategies.
* Strategy a: Implement or expand physical activity opportunities for children in childcare and school.
* Strategy b: Improve access (availability, affordability) to formal physical activity programs at community institutions (e.g., YMCAs, Chicago Park District facilities, gyms and fitness centers).
* Strategy c: Support and expand organized programs that make temporary use of the public way for organized physical activity (e.g., CDPH's Play Streets, Chicago's Open Streets, LISC's B-Ball on the Block).
Objective 1-2:
Increase community awareness of availability and importance of physical activity opportunities.
* Strategy a: Educate children and adults who care for them about the importance of physical activity.
* Strategy b: Promote the availability of communitybased programs that deliver culturally- and community-appropriate physical activity and strengthen children's physical activity skills.
Goal 2
Create, expand, or improve community environments where children can be physically active.
Objective 2-1:
Ensure that city streets and sidewalks support walking, biking, and other forms of physical activity for leisure and transportation.
* Strategy a: Gather and share data about barriers to walking and biking in neighborhoods with community organizations and government agencies.
– Tactic: Train and support communitybased organizations to implement CLOCC's Neighborhood Walkability Initiative.
– Tactic:
Support street/sidewalk environmental change approaches.
* Strategy b: Implement Chicago's Complete Streets policies and practices.
* Strategy c: Implement the components of the Chicago Department of Transportation and Chicago Park District's Make Way for Play.
* Strategy d: Adopt and/or implement city policies regarding land use, zoning, community development and more to incorporate infrastructure and other environmental improvements that accommodate physical activity.
Objective 2-2:
Increase or improve the use of public space for physical activity.
* Strategy a: Make school grounds available for public use after school hours.
* Strategy b: Convert available space (e.g., empty lots) to physical activity spaces (e.g., walking paths, skate parks, playing fields, community gardens).
Objective 2-3:
Ensure the safety of existing and/or new physical activity environments.
* Strategy a: Strengthen crime prevention in community spaces and during times when children are more likely to be outside and active.
* Strategy b: Increase traffic enforcement on major streets and intersections to calm traffic and reduce pedestrian-vehicle crashes.
* Strategy c: Ensure and monitor the safety of playground equipment in schools and parks.
Objective 2-4:
Enhance the aesthetics of community environments.
* Strategy a: Incorporate artwork into public places and other parts of the community.
* Strategy b: Require landscaping in public places.
* Strategy c: Establish culturally acceptable standards for aesthetics of major street development.
* Strategy d: Promote property maintenance through neighborhood planning and neighborhood groups.
Schools
Goal 1
Ensure all schools in Chicago support healthy eating and physical activity for students.
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Objective 1-1:
Advocate for and support implementation of comprehensive school wellness policies that include strong nutrition standards for school meals and competitive foods, ensure opportunities for physical activity and adequate minutes of quality physical education, and integrate nutrition education into core curricula.
* Strategy a: Assist schools with wellness policy implementation strategies to ensure policies are implemented at the neighborhood-school level.
* Strategy b: Create school wellness teams to support wellness policy implementation.
Objective 1-2:
Build and increase capacity of various stakeholders including community-based organizations and food and fitness providers to support neighborhood-level schools in creating healthy environments.
* Strategy a: Provide technical assistance, training, funding and other support to organizations that implement strategies to improve school environments.
* Strategy b: Convene organizations that support schools and/or provide food and activity services and programming to build relationships and collaborations.
Objective 1-3:
Identify strategies by which schools can serve as a hub for students, families, and the broader community to access healthy foods and opportunities for physical activity.
* Strategy a: Implement, as needed, joint-use agreements between schools and parks that foster community use of school playgrounds.
* Strategy b: Expand the use of school property for school and community gardens.
* Strategy c: Offer programming at schools for parents and community residents that promotes healthy lifestyles.
* Strategy d: Promote experiential learning opportunities for students and healthy food marketing to enrich the school food environment through programs such as salad bars, school gardens, farm-to-school, taste test opportunities, 'food-of-the month' strategies, and healthpromoting murals, posters, and bulletin boards throughout the school.
Objective 1-4:
Increase capacity of school staff to implement physical activity and nutrition education strategies, advocate for healthy school environments, and implement environmental change strategies.
* Strategy a: Provide professional development opportunities for teachers, administrators, and other school personnel on strategies to promote healthy and physical activity in schools. For teacher audiences, align with curricula grade level goals and common core standards.
* Strategy b: Provide financial support to schools to implement environmental changes (e.g., add student fitness centers, paint health-promoting murals in dining areas, install or improve school playgrounds).
Objective 1-5:
Implement worksite wellness initiatives at schools to promote and support healthy behaviors for staff (lactation support, access to healthy food, physical activity opportunities) to increase their ability to serve as role models for students.
Goal 2
Improve the food and physical activity environment around schools.
Objective 2-1:
Work with food retailers on or near school premises to increase access to healthy food options and decrease access to unhealthy food options.
* Strategy a: Implement food access initiative specifically around schools.
Objective 2-2:
Implement complete streets recommendations around schools.
Objective 2-3:
Create community coalitions with schools, the police department, and community-based organizations to create a safe environment for children to walk to and from school.
Early Childhood
Goal 1
Ensure the health of women before and during pregnancy.*
Objective 1-1:
Encourage good nutrition, physical activity, and healthy weight and weight gain for women before and during pregnancy.
Objective 1-2:
Eliminate (or prevent) fetal exposure to tobacco and environmental toxins.
Goal 2
Promote the consumption of nutritious foods for 0-5 year olds.
Objective 2-1:
Encourage breastfeeding.
* Strategy a: Support obstetricians, gynecologists, and pediatricians to discuss breastfeeding with mothers and families.
* Strategy b: Support hospitals with labor and delivery units to promote successful initiation of breastfeeding.– Tactic: Implement the Baby Friendly Hospital Initiative (BFHI).
– Tactic: Support adoption of 10 Steps to Successful Breastfeeding (from BFHI) for hospitals that cannot commit to the BFHI.
* We include broad goals and objectives for ensuring that women are healthy leading up to and during pregnancy based on factors found to influence weight in early childhood. We do not, however, list specific strategies and tactics. Interested readers should refer to the U.S. Department of Health and Human Services' www.womenshealth.gov section on pregnancy.
* Strategy c: Improve community environments to support breastfeeding women.
– Tactic: Ensure that Chicago communities adhere to the State of Illinois 2004 Right to Breastfeed Act.
– Tactic: Ensure that Chicago workplaces adhere to the State of Illinois 2001 Nursing Mothers in the Workplace Act.
– Tactic: Implement a breastfeeding friendly business initiative in which local businesses are designated as a breastfeeding-friendly location.
* Strategy d: Support breastfeeding mothers to encourage and facilitate breastfeeding.
Objective 2-2:
Support healthy nutrition for 0-5 year olds at home and in the family.
* Strategy a: Develop education program(s) to educate mothers and families of infants (or expectant families) about proper nutrition from 0-5.
* Strategy b: Build capacity of organizations/ institutions serving families of 0-5 year olds (or expectant families) to train/educate families about proper infant/toddler nutrition.
Objective 2-3:
Ensure proper nutrition in childcare settings.
* Strategy a: Provide support through policy and environmental change in childcare centers and homes that enable breastfeeding mothers to supply breast milk to their infants/toddlers.
– Tactic: Train staff and provide equipment for breast milk storage.
– Tactic: Provide adequate space in childcare settings for women to breastfeed their infants/ toddlers.
* Strategy b: Ensure nutritious meals and snacks for children in childcare, following the ageappropriate Dietary Guidelines for Americans and USDA MyPlate recommendations.
– Tactic: Provide training for childcare providers on national nutrition guidelines and on Chicago standards for food and beverage in childcare.
– Tactic: Ensure that childcare centers have access to foods and beverages (through on-site preparation, off-site vendors, or community food and beverage retail) that enable them to meet national and Chicago guidelines and standards for food and beverage in childcare.
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– Tactic: Train and support childcare providers to include age-appropriate nutrition lessons into regular curriculum, including on-site gardens or linkages to community gardens to educate young children about where food comes from.
– Tactic: Engage parents and families of children in childcare through education about healthy nutrition practices and informing them about food and beverage policies in childcare settings (including policies about food and beverage from home).
* Strategy c: Limit children's exposure to food marketing while in childcare through screen time standards and limits and by following laws and regulations pertaining to advertising in educational settings.
Goal 3
Promote physical activity in 0-5 year olds (ensure all children 0-5 learn developmentally appropriate fine and gross motor skills to help them lead a physically active life).
Objective 3-1:
Support physical activity for 0-5 year olds at home and in the family.
* Strategy a: Develop education program(s) to educate mothers and families of infants (or expectant families) about age-appropriate physical activity and motor skills development for 0-5 year olds.
* Strategy b: Build capacity of organizations/ institutions serving families of 0-5 year olds (or expectant families) to provide to children or educate families about proper infant/toddler physical activity and motor skill development.
* Strategy c: Promote and link families to programs and services that engage children in age-appropriate physical activity (including community-based organizations, city parks and playgrounds, and cultural institutions).
Objective 3-2:
Ensure age-appropriate physical activity in childcare settings.
* Strategy a: Ensure childcare environments contain sufficient and age-appropriate space and equipment for indoor and outdoor physical activity.
– Tactic: Ensure effective implementation of established standards pertaining to physical activity space and equipment for childcare settings.
Business Sector and Industry Practices
– Tactic: Provide financial or in-kind support to childcare settings to ensure they have sufficient space and equipment for age-appropriate physical activity on-site.
– Tactic: Promote the use of community space for physical age-appropriate physical activity (e.g., parks, playgrounds, cultural institutions) by children in childcare during the childcare day and under the supervision of childcare providers.
* Strategy b: Ensure the implementation of established guidelines and standards for ageappropriate physical activity (structured and unstructured) during the childcare day.
– Tactic: Train staff on national, state, and local standards that meet evidence-based and bestpractice recommendations for age-appropriate physical activity.
– Tactic: Provide toolkits, curricula, and easy-tofollow instructions for age-appropriate games and physical activity to increase provider confidence and capacity to lead physical activity for children in childcare.
Objective 3-3:
Ensure that community environments support ageappropriate physical activity for children under the age of five.
* Strategy a: Ensure that street/sidewalk infrastructure can accommodate 0-5 year olds (with specific attention to visibility and pedestrian crosswalk countdown timers).
* Strategy b: Ensure that public space accommodates activity among 0-5 year old (e.g., parks, playgrounds, cultural institutions).
* Strategy c: Ensure safe walking routes between childcare settings and nearby community resources for field trips, physical activity, and healthy eating.
– Tactic: Implement CLOCC's Neighborhood Walkability Initiative with childcare providers and parents of children in childcare.
Goal 1
Implement activities in the workplace that support childhood obesity prevention.
Objective 1-1:
Encourage companies to provide programs and services to improve the health and wellness of the children of their employees.
* Strategy a: Offer workplace training/education/ coaching for employees with children to help them create healthy families.
* Strategy b: Provide health and wellness benefits to employees with children including education, support, and incentives for developing healthier lifestyles.
Objective 1-2:
Support employees to serve as role models of healthy eating and physical activity for children.
* Strategy a: Ensure that all workplace vending options contain exclusively healthy food and beverage options.
* Strategy b: Provide healthy food and beverages in employee cafeterias and dining rooms.
* Strategy c: Provide healthy food and beverages at all meetings and events.
* Strategy d: Provide workplace athletic facilities or financial support for employee use of external athletic facilities and classes.
Objective 1-3:
Support healthy eating and physical activity for the children of employees.
* Strategy a: Offer healthy foods and beverages at all events where employees' children are present (e.g., company vacations and/or business trips, parties, picnics).
* Strategy b: Make workplace athletic facilities available to employees' children after work/ on weekends and/or provide financial support to children of employees for external athletic facilities and classes.
* Strategy c: Provide incentives for employees to support their children's physical activities.
– Tactic: Provide options to take time off for coaching children's school or recreational sports teams, travel to children's athletic events, or participate in other opportunities that support children's physical activity.
– Tactic: Provide discounts and incentives through insurance plans for children's participation in physical activities.
* Strategy d: Provide physical activity options for all ages and physical abilities as part of planned recreation at all company events and outings.
Goal 2
Align business activities and funding in the community with childhood obesity prevention.
Objective 2-1:
Invest in and support childhood obesity prevention organizations.
* Strategy a: Create opportunities for employees to volunteer with organizations that promote healthy lifestyles for children.
* Strategy b: Focus corporate giving/social responsibility activities toward organizations that support healthy lifestyles, physical activity, healthy food access, and/or safe community activity environments for children.
Objective 2-2:
Invest in and support access to safe opportunities for physical activity in communities.
* Strategy a: Provide community access to worksite exercise spaces after work hours.
* Strategy b: Provide financial and other resources to communities to build physical activity spaces (e.g., parks, playgrounds, pedestrian and bicyclistfriendly sidewalks and streets).
Objective 2-3:
Invest in and support access to healthy food in communities.
10
* Strategy a: Provide financial and/or volunteer support to healthy food and beverage retail establishments (including corner stores, farmers' markets, mobile produce vendors).
* Strategy b: Provide financial and/or volunteer support to emergency food distribution programs that set effective healthy food and beverage policy.
* Strategy c: Invest in the development of technologies that support improved access to and purchasing of healthy food.
* Strategy d: Support local healthy food and beverage production by purchasing locally produced healthy food and beverages for workplace food and beverage needs.
Goal 3
Align company products and services with childhood obesity prevention.
Objective 3-1:
Improve the nutritional content of food and beverage products.
* Strategy a: Align nutritional content of foods and beverages with Dietary Guidelines for Americans.
* Strategy b: Participate in federal, state, or local programs to transition industry regulations and products to meet Dietary Guidelines for Americans.
Objective 3-2:
Increase the sale of healthy food and beverage options.
* Strategy a: Market only healthy food and beverage products to children under age 18 in all mediums.
* Strategy b: Increase marketing of healthy products in popular media, social media, and at points where consumers make purchasing decisions to increase demand.
* Strategy c: Structure product pricing to offer healthy products at prices that are similar to or lower than those of less healthy options.
Objective 3-3:
Develop and implement business strategies and approaches to supporting physical activity.
* Strategy a: Create new products and/or services that support and facilitate physical activity.
* Strategy b: Expand the development of games and toys marketed to children under 18 that increase physical activity (e.g., exer-gaming).
Objective 3-4:
Increase the availability of goods and services that promote physical activity.
* Strategy a: Increase the marketing of active lifestyle products and services to children under age 18.
* Strategy b: Expand availability of safety equipment (e.g., bicycle helmets, protective footwear, and clothing) to children in communities experiencing disparities in obesity and physical activity, especially if such equipment is required by law or institutional policy.
Goal 4
Support activities that reduce or eliminate marketing of unhealthy products to children under 18 years of age.
Objective 4-1:
Standardize and monitor compliance with policies established to govern food marketed to children under 18.
* Strategy a: Identify industry practices in the State of Illinois and City of Chicago related to foods marketed to children and identify opportunities to align these practices with obesity prevention approaches through state and local authority (e.g., action by the Illinois Attorney General, policies established by state and local authorities).
* Strategy b: Enforce the elimination of marketing of unhealthy foods at any time on school property, school sponsored or affiliated events, or in school materials including websites, social media, publications, and childcare environments.
– Tactic: Eliminate the use of company logos, characters, and mascots associated with unhealthy food products.
– Tactic: Remove food and beverage company logos from the outside of all vending machines.
Objective 4-2:
Support the establishment and implementation of approaches to inform consumers of nutritional composition of foods and beverages sold and served in Chicago.
* Strategy a: Monitor and ensure the implementation of new menu labeling regulations established under the Affordable Care Act.
* Strategy b: Support local innovation to improve menu labeling practices as allowable by local, state, and federal law.
Health Promotion and Public Education
Goal 1
Employ public education efforts to improve individual nutrition and physical activity behaviors.
Objective 1-1:
Improve message environments by promoting healthy foods and beverages in high visibility locations where children and their caregivers are most likely to encounter them.
* Strategy a: Disseminate 5-4-3-2-1 Go! and complementary messages using methods that are focused to reach audiences that experience disparities in obesity and health, communicate clear behavior change goals, and are linked to environmental change.
* Strategy b: Include nutrition education messages at points-of-purchase (i.e., where consumers make actual purchasing decisions) to promote healthy food and beverage consumption.
* Strategy c: Integrate social marketing as an element of environmental change to raise awareness and create consumer demand for healthy food and physical activity resources while also improving the aesthetics of community environments (e.g., include murals that promote healthy behaviors in neighborhood beautification projects).
Objective 1-2:
Create a regional message environment to promote clarity and consistency of health promotion and public education for nutrition, physical activity, and screen time for children.
* Strategy a: Disseminate evidence-based health messages in key sectors across the region (e.g., beyond Chicago to Cook and other counties) to
11
increase exposure among children and caregivers who travel frequently across city boundaries into suburbs and outlying areas.
* Strategy b: Develop media partnerships in regional media markets (which extend beyond city and county boundaries) to shape public discourse about healthy eating and active lifestyles.
Objective 1-3:
Provide training and technical assistance to build capacity for health education in key settings where children spend their time.
* Strategy a: Train and support health care providers to offer pediatric patients and their caregivers counseling and supporting materials on healthy lifestyles and healthy weight.
* Strategy b: Train and support early childhood, elementary, and secondary education professionals to engage in health promotion using evidence-based nutrition and physical activity curricula.
* Strategy c: Train and support community health workers who provide culturally and linguistically appropriate community and in-home education to integrate obesity prevention education into their services.
Goal 2
Implement public education campaigns that build public support for environmental change.
Objective 2-1:
Use mass media campaigns and other messaging approaches to mobilize communities around health priorities for obesity prevention with clear environmental change goals.
* Strategy a: Implement campaigns that include a clear call to action with opportunities to engage in community and city-level advocacy for environmental change.
* Strategy b: Build capacity of local leadership to communicate about the importance of healthy food and the physical activity environment.
* Strategy c: Build capacity of youth's role as advocates in their communities.
Goal 3
Implement health education programs specifically designed to reach individuals in communities experiencing high levels of obesity.
Objective 3-1:
Provide programming to build health literacy, knowledge, and skills around healthy eating and physical activity in communities experiencing high levels of obesity.
* Strategy a: Implement programs that are theorydriven and evidence-based, including those that are family-centered, involve experiential learning, and build self-efficacy around targeted behaviors (e.g., cooking/nutrition programs, gardening education, grocery store tours).
* Strategy b: Expand opportunities for healthy lifestyle education in the Women, Infants, and Children program (WIC); the Supplemental Nutrition Assistance Program (SNAP); and other aspects of the emergency food systems to reach the most vulnerable populations.
* Strategy c: Provide education about preparing nutritious meals on a limited budget for families experiencing food insecurity.
Objective 3-2:
Expand supportive environments and networks of social support for healthy eating and physical activity in the community setting.
* Strategy a: Align organizational policies and practices to support health promotion messaging and enable staff to model healthy behaviors for program participants.
* Strategy b: Implement health education programs in important community settings (e.g., faith-based institutions, workplaces, schools) so members of existing social networks can support each other's effort to adopt healthy behaviors.
Consortium to Lower Obesity in Chicago Children (CLOCC) 225 E. Chicago Ave., Box 157 Chicago, IL 60611 312-227-7100 www.clocc.net
Copyright © 2012 Ann & Robert H. Lurie Children's Hospital of Chicago
All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form by any means, electronic, mechanical, photocopy, recording, or otherwise, without the prior written consent of the Consortium to Lower Obesity in Chicago Children.
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THE INFLUENCE OF THE TOOL POINT ANGLE AND FEED RATE ON THE DELAMINATION AT DRILLING OF PRE-LAMINATED PARTICLEBOARD
Mihai ISPAS
Address: B-dul Eroilor nr. 29, 500036 Brasov, Romania
Prof.dr.eng. – Transilvania University of Brasov – Faculty of Wood Engineering
E-mail: email@example.com
Lidia GURĂU
Assoc.Prof.dr.eng. – Transilvania University of Brasov – Faculty of Wood Engineering Address: B-dul Eroilor nr. 29, 500036 Brasov, Romania
E-mail: firstname.lastname@example.org
Sergiu RĂCĂŞAN
Address: B-dul Eroilor nr. 29, 500036 Brasov, Romania
Assist.dr.eng. – Transilvania University of Brasov – Faculty of Wood Engineering
E-mail: email@example.com
Abstract:
Pre-laminated particleboard is a wood based composite extensively used in the furniture industry. Drilling is the most common machining process which prepares the panels for joining using twist/helical drills in the absolute majority of cases. The point angle of the drill bit and the feed speed during drilling play a major role in gaining a good surface quality and minimizing the delamination tendency of the pre-laminated particleboard. The objective of this study was to measure and analyze the influence of the two above-mentioned factors on the processing quality, evaluated by de size of delaminations, both, at the entrance side and the exit side of the drill bit. To assess the defect, two parameters were used: the delamination factor and the effective area of delamination. The results showed that, in general, the combination of small point angle with low feed rate minimizes the delamination of pre-laminated particleboard panels at drilling.
Key words: drilling; particleboard; delamination.
INTRODUCTION
The operation of free drilling, which is common for on-line processes, raises a surface defect noticed, at the pre-laminated particleboards, to occur around the drilled holes. Delamination is a processing defect which consists of a local detachment of the coating layer engaging chips/particles pull-offs from the particleboard surface. This phenomenon can occur during drilling at the entrance side as well as at the exit side (for drilled through holes). Its magnitude depends on the processing parameters and can be used as an indicator of the drilling quality (Davim et al. 2008).
Drilling is one of the most usual and frequent type of processing in the wood industry with the most common application in the furniture industry. This has developed along years into a massive production of cases made of doweled joint panels, where the main raw material is particleboard and mainly pre-laminated (according to FAOSTAT, the worldwide particleboards production in 2014 was of app. 110.5 mil.m 3 , more than app. 106.3 mil.m 3 in 2013 and app. 97.1 mil.m 3 in 2012).
Some long ago, Radu (1967), in his extensive study on drilling with twist drills, referred to the quality of drilling the particleboards in terms of visual qualifications of the surface in the neighbourhood of the processed holes. Parameters, as tool feed speed and tool geometry, were amongst the ones investigated, but the qualifications were limited to subjective qualitative assessments as: "good", "weak", "slight increase", "slight decrease".
More recently, the delamination caused by drilling the wood based panels, especially medium density fiberboards (MDF), was quantitatively assessed by using a parameter called delamination factor, Fd. Hence, Davim et al. (2008) investigated the relationships and parametric interaction between the feed rate and the cutting speed on the Fd at entry and exit side of the holes in drilling the MDF. Two types of MDF panels, melamine coated and veneered, were tested using cemented carbide (K20) drills. The Fd decreased with the increase of the cutting speed and increased with the feed rate for both materials. Palanikumar et al. (2009), Prakash et al. (2009) studied the performance characteristics given by Fd in drilling operations of MDF boards using carbide tools. The machining parameters considered were: the spindle speed, the feed rate and the drill diameter. They found that Fd decreases with the increase of the cutting speed and increases with the feed rate and drill diameter.
Prakash and Palanikumar (2011) investigated the influence, at MDF, of the spindle speed, feed rate and drill diameter on the surface roughness of the processed hole. The experimental result revealed that the most significant drilling parameter for the surface roughness was the feed rate followed by the cutting speed.
Studies on the processing PB with flat drills by Ispas et al. (2014) have showed that, in general, the combination of small tip angle with low feed rate minimizes the delamination of prelaminated particleboard panels at drilling.
Regarding the drilling of particleboards, Valarmathi et al. (2013) advanced the idea that the thrust force developed during cutting play a major role in gaining a good surface quality and minimizing the delamination tendency. They studied the influence of the spindle speed, feed rate and point angle upon the thrust force. However, the drills they used had a geometry more specific to metals rather than for wood based materials (a tip angle 2κr ≥ 100°) and the same was true for the processing parameters (feed speeds vf = 75 - 225mm/min). These experiments led to the same conclusions as with previous researchers concerning the trends for the delamination factor.
In conclusion, most of research on delamination of wood based materials focussed mainly on MDF and less to the drilling of pre-laminated particleboards. Therefore, this paper is aiming to study the delamination defect which occurs when drilling pre-laminated particleboards, but compared to other studies, this study employs tools and cutting parameters used in the woodworking industry.
OBJECTIVES
The objective of this study is to evaluate the influence of the tool point angle and feed speed on the drilling quality of the pre-laminated particleboard. The processing quality was evaluated by de size of delamination measured, both, at the entrance and exit sides of the drilled holes. In order to evaluate the delamination damage occurred during drilling, two parameters were involved: the delamination factor, which was used by previous researchers, but also, the effective delamination area measured with an image analysis method, called ImageJ.
METHOD, MATERIALS AND EQUIPMENT
Forty square samples, 80 mm side, were cut from a single pre-laminated particleboard, 18 mm thick. They were divided into four groups of ten specimens each. Each specimen was drilled with five different drills (T30, T60, T90, T120, respectively TLS) (Fig. 2). Each group was processed with a different feed speed so that the tooth bite, fz, was different, having the following values: 0.1, 0.3, 0.5 and 0.7mm. The rotation speed, n, was kept the same for all five types of drills, namely 3000rpm. This led to four feed speed values, vf: 0.6, 1.8, 3.0 and 4.2m/min.
For the experiments, four twist (helical) drill bits with the point angle, 2κr, of 30°, 60°, 90°, 120° and one lip and spur drill bit, all having a cutting diameter of 10mm, were used (Fig.1). The clearance angle of all drills was the same α = 20°. The symbols used for those drills were tip angle related; T30, T60, T90, T120, respectively TLS for the lip and spur drill.
The five types of drills used for processing pre-laminated particleboard: four twist drill bits with the tip angle, 2κ r , of 30°, 60°, 90°, 120° and one lip and spur drill bit (TLS)
For drilling, a CNC type ISEL GFV/GFY was used, which allowed the exact set-up of the drills rotation speed and of their feed speeds.
After drilling, each hole diameter was measured with an electronic calliper, with a 0.01mm precision, on two perpendicular directions and a mean diameter was calculated for both hole sides (entrance and exit), as can be seen in Fig. 3a. All drilled specimens were then scanned on both sides and received codes, IN, for entrance side (Fig. 2a) respectively OUT, for exit side (Fig. 2b).
Fig. 2.
The scanned images were used to evaluate the delaminations that occurred around each hole, on both sides. Two methods were used for this purpose and they are presented as follows:
■ the delamination was evaluated by the delamination factor Fd , given in [ 1], where Dmax is the diameter of the circle circumscribed to the defect, while D is the mean hole diameter given by caliper measurements D1 and D2 (Fig. 3a)
■ the second method used an image processing software, ImageJ
(http://en.wikipedia.org/wiki/ImageJ), to measure exactly the area with delamination, S, the white area in Fig. 3b.
Evaluation of the particleboard delamination caused by drilling: a- by the delamination factor Fd.; b- by the ImageJ image processing software
b
Compared to the delamination factor, which approximates the zone with defect by taking into consideration the maximum diameter of a circle that circumscribes the defect, the second method is more precise, because it identifies exactly the damage around the holes. The method was previously
used for wood species identification and the working principle was described in detail by Gurau et al. (2010). The software is able to detect image features, to select their contour and to return a mask image where only the items of interest are kept. In this study, they were holes with delamination surrounding them (blue areas in Fig. 4b). Further, numerical data measuring their area was acquired in a spreadsheet.
a
c
Exit side of a pre-laminated particleboard specimen drilled with five different tool geometries and 0.7 mm tooth bite: a- specimen scanned image; b- ImageJ detection of drilled areas including delaminations; c- contour detection of drilled holes with delaminations
The delaminated area was calculated for each hole as the difference between the hole area with defect measured with ImageJ and the processed hole area, calculated with the mean diameter D obtained from two calliper measurements D1 and D2 taken on perpendicular directions.
RESULTS AND DISCUSSION
The mean values, standard deviation and coefficients of variation were calculated for both defect assessment parameters: the delamination factor Fd (Table 1 and Table 2) and the effective delamination area S (Table 3 and Table 4).
Table 1
The mean values, standard deviations and coefficients of variation for the delamination factor Fd , at the entrance side of the specimens, for various feed rates and drill geometries
| IN | f = 0.1mm z | | | | | f = 0.3mm z | | | | | f = 0.5mm z | | | | | | | | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| | mean | | SD | | cvar (%) | mean | | SD | | cvar (%) | mean | | SD | | cvar (%) | mean | | SD | |
| T30 | | 1.10 | | 0.04 | 4.00 | | 1.20 | | 0.04 | 3.49 | | 1.24 | | 0.03 | 2.18 | | 1.25 | | 0.06 |
| T60 | | 1.14 | | 0.04 | 3.14 | | 1.22 | | 0.04 | 3.56 | | 1.27 | | 0.07 | 5.74 | | 1.28 | | 0.05 |
| T90 | | 1.11 | | 0.04 | 3.65 | | 1.22 | | 0.05 | 3.91 | | 1.25 | | 0.05 | 4.31 | | 1.30 | | 0.04 |
| T120 | | 1.09 | | 0.02 | 2.19 | | 1.26 | | 0.06 | 4.44 | | 1.28 | | 0.06 | 4.35 | | 1.32 | | 0.06 |
| TLS | | 1.14 | | 0.06 | 4.88 | | 1.31 | | 0.05 | 3.53 | | 1.34 | | 0.04 | 3.33 | | 1.35 | | 0.04 |
Table 2
The mean values, standard deviations and coefficients of variation for the delamination factor Fd , at the exit side of the specimens, for various feed rates and drill geometries
| OUT | f = 0.1mm z | | | | | f = 0.3mm z | | | | | f = 0.5mm z | | | | | | | | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| | mean | | SD | | cvar (%) | mean | | SD | | cvar (%) | mean | | SD | | cvar (%) | mean | | SD | |
| T30 | | 1.01 | | 0.02 | 1.75 | | 1.02 | | 0.03 | 2.95 | | 1.05 | | 0.08 | 7.68 | | 1.08 | | 0.05 |
| T60 | | 1.00 | | 0.03 | 3.01 | | 1.02 | | 0.04 | 3.68 | | 1.10 | | 0.09 | 8.43 | | 1.10 | | 0.08 |
| T90 | | 1.01 | | 0.02 | 2.20 | | 1.01 | | 0.03 | 2.47 | | 1.07 | | 0.06 | 5.55 | | 1.07 | | 0.05 |
| T120 | | 1.07 | | 0.10 | 8.91 | | 1.11 | | 0.11 | 10.06 | | 1.06 | | 0.09 | 8.91 | | 1.08 | | 0.07 |
| | | 1.70 | | 0.12 | | | 1.82 | | 0.17 | | | 1.78 | | 0.27 | | | 1.70 | | 0.22 |
Table 3 The mean values, standard deviations and coefficients of variation for the effective delamination area S, at the entrance side of the specimens, for various feed rates and drill geometries
| IN | f = 0.1mm z | | | | | f = 0.3mm z | | | | | f = 0.5mm z | | | | | | | | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| | mean | | SD | | cvar (%) | mean | | SD | | cvar (%) | mean | | SD | | cvar (%) | mean | | SD | |
| T30 | | 4.41 | | 1.26 | 28.48 | | 7.11 | | 2.93 | 41.21 | | 9.95 | | 1.84 | 18.45 | | 10.70 | | 2.09 |
| T60 | | 5.41 | | 1.06 | 19.62 | | 7.81 | | 1.92 | 24.58 | | 11.54 | | 3.65 | 31.64 | | 14.99 | | 3.43 |
| T90 | | 3.63 | | 0.57 | 15.66 | | 6.93 | | 2.43 | 35.12 | | 10.20 | | 3.13 | 30.70 | | 13.37 | | 2.01 |
| T120 | | 2.22 | | 0.91 | 40.88 | | 9.42 | | 2.77 | 29.41 | | 13.18 | | 3.71 | 28.18 | | 15.68 | | 3.23 |
| TLS | | 3.75 | | 1.05 | 28.08 | | 12.68 | | 4.61 | 36.39 | | 17.38 | | 2.75 | 15.85 | | 22.83 | | 4.01 |
Table 4
The mean values, standard deviations and coefficients of variation for the effective delamination area S, at the exit side of the specimens, for various feed rates and drill geometries
| OUT | f = 0.1mm z | | | | | f = 0.3mm z | | | | | f = 0.5mm z | | | | | | | | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| | mean | | SD | | cvar (%) | mean | | SD | | cvar (%) | mean | | SD | | cvar (%) | mean | | SD | |
| T30 | | 1.04 | | 0.31 | 29.59 | | 1.98 | | 1.51 | 75.99 | | 1.77 | | 0.84 | 47.53 | | 1.37 | | 0.86 |
| T60 | | 1.05 | | 0.41 | 39.25 | | 1.77 | | 1.39 | 78.61 | | 1.55 | | 1.28 | 82.02 | | 1.32 | | 0.47 |
| T90 | | 1.26 | | 0.50 | 39.32 | | 1.68 | | 1.00 | 59.71 | | 1.38 | | 0.93 | 66.98 | | 1.51 | | 0.49 |
| T120 | | 1.41 | | 0.71 | 50.62 | | 2.47 | | 1.56 | 63.32 | | 1.65 | | 0.97 | 59.17 | | 2.40 | | 2.66 |
| TLS | | 60.28 | | 20.74 | 34.41 | | 96.12 | | 22.40 | 23.30 | | 74.91 | | 41.62 | 55.56 | | 69.21 | | 42.07 |
The variation of both type of delamination parameters with the tool feed speed and geometry is depicted in Fig. 5 and Fig. 6.
a
b
a
b
The variation of the effective delamination area with the tool feed speed and geometry (figures represent mean values): a - at the entrance side of the drilled specimens; b - at the exit side of the drilled specimens
By comparing the delamination expressed by both parameters, delamination factor and effective delamination area, it can be observed a relative similar trend, which means that delamination factor is a close non-dimensional approximation of the defect and its evolution with processing parameters. However, if an exact measure of the delamination area is requested, then the effective delamination area is advantageous because it can give a dimensional quantification.
Another thing that can be noticed is that whichever the side of the holes there was a general trend (stronger for the entrance side and much weaker for the exit side) of delamination increase with the increase of the tooth bite (feed rate), observed by both defect parameters and all drill geometries. This result is in agreement with other results from literature (Valarmathi et al. 2013; Ispas et al. 2014). The most sensitive to the variation of the feed rate was T120, where the delamination size almost doubled at the exit side and it was 7 times larger at the entrance side for a tooth bite of 0.7mm compared to 0.1mm.
Whatever the specimen (hole) side, the biggest delaminations occurred when drilling with lip and spur drill bit (TLS), regardless of the used feed speed (exception: delaminations on entrance side produced when drilling with fz = 0.1mm). At the same time, it can be seen that for the entrance side of the holes, the size of delaminations produced with this drill bit (TLS) was comparable to those produced by the other drills used. Not the same can be said about the delaminations on the exit side of holes. In this case, the effective delamination area produced by the TLS drill was, in some situations, more than 50 times larger that those produced by the other drills.
A very interesting thing, for all drills except TLS, the defect zone was larger at the entrance side of the drill compared to the exit side with the greatest amount for T60 (more than 11 times, at fz=0.7mm), followed by T90 (almost 9 times) and then by the other tool geometries T120 and T30 (almost 8 times). For the TLS drill, the effect is opposite: bigger delaminations at the exit side of the holes (more than 16 times at fz=0.1mm and increasingly smaller with the increasing of the feed speed).
Whatever the side of the holes the influence of the tool geometry on the delamination size did not have a clear trend. In general, T30, T60 and T90 gave similar processing quality, better than T120. TLS gave the worse quality by far. However, because of its elongated tip geometry, processing with T30 in case of thin boards is limited to manufacturing through holes rather than with limited depth (Fig. 7).
Therefore, considering the delamination occurred at the entrance side as well as at the exit side, a drill type T90 seems the best option for getting the best quality and for having the flexibility of choice for holes with or without limited depth. At the opposite, the drills types T120 and especially TLS seem to have worsened the drilling quality.
CONCLUSIONS
Generally, the delamination increased with the increase of the tooth bite (feed rate) for all drill geometries. The defect zone was larger at the entrance side of the drill compared to the exit side with the greatest amount for the lip and spur drill, followed by the other drills.
Free drilling is a common operation for pre-laminated particleboards in the furniture industry. The quality of this operation can be assessed by the delamination occurring around the hole. This paper examined this defect by means of two parameters: a non-dimensional one used also by other researchers, the delamination factor, and one measuring the effective area of defect with an image processing method. The influence of the feed rate (tooth bite) and tool geometry (tip angle) was assessed by the above quality parameters. Both parameters showed similar trend with the advantage of the latter for giving dimensional information about the defect area.
PRO LIGNO www.proligno.ro pp. 494-500
The results showed an increase in the delamination defect with the increase in the drill tip angle, but the influence wasn't very clear for the 30 ° , 60 ° and 90 ° tip angle.
Further studies may complete these results for various rotation speeds and other types of drills to optimise the process quality at drilling pre-laminated particleboards.
If delamination and flexibility of hole depth is considered, a helical drill with 90 ° tip angle gave the best quality. The lip and spur drill and the drill with the greatest tip angle, 120 ° , do not seem appropriate for processing pre-laminated particleboards.
REFERENCES
Davim JP, Clemente VC, Silva S (2008) Drilling investigation of MDF (medium density fibreboard). Journal of Materials Processing Technology 203:537–541. Issues 1–3
Gurau L, Timar MC, Cionca M, Olarescu A, Dumitrascu R (2010) An objective method to analyse some microscopic characteristics of two secondary beech wood resources. PRO Ligno 6(1):35-45.
Ispas M, Gurau L, Racasan S (2014) Study Regarding the Variation of the Thrust Force, Drilling Torque and Surface Delamination with the Feed per Tooth and Drill Tip Angle at Drilling Pre-laminated Particleboard. PRO Ligno 10(4):40-52.
Palanikumar K, Prakash S, Manoharan N (2009) Experimental Investigation and Analysis on Delamination in Drilling of Wood Composite Medium Density Fiber Boards. Materials and Manufacturing Processes 24, Issue 12
Prakash S, Palanikumar K (2011) Modeling for prediction of surface roughness in drilling MDF panels using response surface methodology, Journal of Composite Materials 45(16):1639-1646
Prakash S, Palanikumar K, Manoharan N (2009) Optimization of delamination factor in drilling medium-density fiberboards (MDF) using desirability-based approach. The International Journal of Advanced Manufacturing Technology 45:370-381. Issue 3-4
Radu A (1967) Contributions to the establishment of the optimal parameters for wood drill bits (in Romanian); PhD Thesis. Institutul Politehnic Braşov
Valarmathi TN, Palanikumar K, Latha B (2013) Measurement and analysis of thrust force in drilling of particleboard (PB) composite panels, Measurement 46:1220–1230. Issue 3
http://en.wikipedia.org/wiki/ImageJ http://faostat3.fao.org/browse/F/*/E
|
4. Reaction Kinetics
From GCSE you should be aware that reactions can occur at different rates. Explosions and combustion reactions being good examples of fast reactions. Rusting and fermentation are examples of slower reactions. You should also remember changing temperature, concentration and surface area of the reactants can change the rate of reaction. Rates of reaction are determined by doing experiments
The rate of reaction is defined as the change in concentration of a substance in unit time Its usual unit is mol dm -3 s -1
When a graph of concentration of reactant is plotted vs time, the gradient of the curve is the rate of reaction.
The initial rate is the rate at the start of the reaction where it is fastest
Reaction rates can be calculated from graphs of concentration of reactants or products vs time by drawing a tangent to the curve and calculating the gradient of the tangent. This can be done at several different points on the graph
Initial rate =
gradient of
tangent
concentration
Continuous vs initial rate data
When we follow one experiment over time recording the change in concentration we call it a continuous rate method.
Sometimes when doing multiple rate experiments varying something like concentration and temperature we just focus on the initial rate for each different experiment. We may still have to draw concentration vs time graphs to be able to calculate the initial rate but in some cases there are short cuts. We will meet some examples of these later.
The gradient represents the rate of reaction. The reaction is fastest at the start where the gradient is steepest. The rate drops as the reactants start to get used up and their concentration drops. The graph will eventual become horizontal and the gradient becomes zero which represents the reaction having stopped.
time
time
concentration
Techniques to investigate rates of reaction
There are several different methods for measuring reactions rates. We have to look at the properties of the reactants or products to find one that is easy to measure. Some reactions can be measured in several ways
Measurement of the change in volume of a gas
This works if there is a change in the number of moles of gas in the reaction. Using a gas syringe is a common way of following this. It works quite well for measuring continuous rate but a typical gas syringe only measures 100ml of gas so you don't want at reaction to produce more than this volume. Quantities of reactants need to be calculated carefully.
Measurement of change of mass
Alternatively if a reaction gives off a gaseous product then the mass of the whole reaction mixture could be monitored over time if the gas produced is allowed to escape. This method works better with heavy gases such as CO2 rather than light gases like hydrogen.
Titrating samples of reaction mixture with acid, alkali, sodium thiosulfate etc
For some substances the only way of measuring their concentration is by titrating them with another substance that reacts with it. Often this is used if a reactant or product has acid/base properties. A large volume of the reactants will be reacted and then at regular time intervals small samples are removed from the reaction mixture, quenched (which stops the reaction) and then titrated with a suitable reagent. The method can be quite time consuming and involves disrupting the reaction mixture during the reaction which is not ideal.
Quenching (which stops the reaction)- can be done by
* by dilution with water
* by cooling
* by adding a reagent that reacts with one of the reactants
The NaOH could be titrated with an acid
HCOOCH3(aq) + NaOH(aq) HCOONa(aq) + CH3OH(aq)
BrO
3 –
(aq) + 5Br–(aq) + 6H
+
(aq) 3Br
2
(aq) + 3H
2
O(l)
CH
3
COCH
3
(aq) + I
2
(aq) → CH
3
COCH
2
I(aq) + H
+
(aq) + I
–
(aq)
The H + could be titrated with an alkali
The I2 could be titrated with sodium thiosulfate
Colorimetry.
If one of the reactants or products is coloured then colorimetry can be used to measure the change in colour of the reacting mixtures. Colorimeters can measure the intensity of a colour in a solution. This method has the advantage that it does not disrupt the reaction mixture and it leads to a much quicker determination of concentration.
Measuring change in electrical conductivity
Measuring the conductivity of reaction mixture can be used if there is a change in the number of ions in the reaction mixture. The reaction on the right would increase in conductivity over time as the ionic products are produced.
Measurement of optical activity.
If there is a change in the optical activity through the reaction this could be followed in a polarimeter. See chapter 6.1.5. isomerism for more on optical activity and polarimeters
CH3CHBrCH3 (l) + OH − (aq) CH3CH(OH)CH3 (l) + Br − (aq)
Classic experiment: sodium thiosulfate and hydrochloric acid
In the experiment between sodium thiosulfate and hydrochloric acid we usually measure reaction rate as 1/time where the time is the time taken for a cross placed underneath the reaction mixture to disappear due to the cloudiness of the sulfur . Na2S2O3 + 2HCl 2NaCl + SO2 + S + H2O
This is an approximation for initial rate of reaction as it does not include the change in concentration term. We can use this because we can assume the amount of sulfur produced to block out the cross in each experiment is the same and constant so each time we do the experiment the same amount of sulfur is produced. The change in concentration of sulfur is therefore the same for each experiment so only the time taken to reach this concentration is relevant.
Comparing rate curves
Need to calculate/ compare initial moles of reactants to distinguish between different finishing volumes.
e.g. the amount of product is proportional to the moles of reactant
The higher the concentration/ temperature/ surface area the faster the rate (steeper the gradient)
Different volumes of the same initial concentrations will have the same initial rate (if other conditions are the same) but will end at different amounts
Measuring Reaction Rates
Mg + H 2 SO 4 MgSO 4 + H2
Magnesium reacts with sulfuric acid with the following reaction
The reaction rate can be following by measuring the volume of hydrogen gas given off over time.
b) Why would measuring the loss of mass in this reaction not be an appropriate method?
1. a) Draw a diagram of the apparatus used in this experiment (include reaction vessel and apparatus used to measure volume of gas.)
2. a) If a student wanted to investigate the effect of changing concentration on the reaction rate, list all the relevant variables that should be controlled.
3. It is best to clean the Mg ribbon used in this reaction to remove MgO coated on the surface of the magnesium. Why is this done?
b) How could temperature best be controlled on this reaction?
The following data were collected for the reaction between 50 cm 3 of 1M H 2 SO 4 and a 2cm length of magnesium (0.09g)
4. Plot a graph of volume against Time and draw a line of best fit
b) At what time has the reaction stopped?
5. a) Draw a tangent to the curve at time =30 and measure the gradient at this point and hence the reaction rate.
6. a) In this reaction would there be any magnesium left at the end of the reaction?
3
c) Explain in terms of the collision theory why the reaction rate will change if the concentration is increased.
b) How would the final volume of hydrogen and reaction rate at the start of this experiment vary if 50cm of 2M H 2 SO 4 were used?
7. The error in using a 50 cm 3 measuring cylinder is ± 1.0 cm 3 . Calculate the maximum percentage error in using this apparatus when measuring 50 cm 3 of solution.
Collision theory
Reactions can only occur when collisions take place between particles having sufficient energy. The energy is usually needed to break the relevant bonds in one or either of the reactant molecules.
When thinking about particles colliding we need to consider:
This minimum energy is called the Activation Energy which is defined as the minimum energy which particles need to collide to start a reaction.
* The frequency of the collisions between the particles
* The orientation of the molecules in the collision
* The energy of the collisions
Progress of Reaction
reactants
Activation
Energy:
E
A
∆H
Enthalpy
products
Temperature of gases
Increasing the temperature of a gas will make the gas particles have more energy. They will therefore travel faster and will collide more frequently. The particles will also collide with more energy which has a significant effect on the rate of reaction. The energy gaseous particles have at a certain temperature is not a simple matter. At any one fixed temperature the particles in a gas will have a wide range of energies. This range of energies can be illustrated by a distribution called the Maxwell-Boltzmann energy distribution
Maxwell Boltzmann Distribution
The Maxwell-Boltzmann energy distribution shows the spread of energies that molecules of a gas or liquid have at a particular temperature. It is not a symmetrical distribution. The particles have such a range of energies because in a sample of gas with many millions of particles there are constant collisions between particles. Often when there is a collision between two particles which bounce off each other, one particle may gain energy and speed up and the other particle must therefore lose this energy and slow down. This process results in there being a range of energies
The energy distribution should go through the origin because there are no molecules with no energy
The energy distribution should never meet the x axis, as there is no maximum energy for molecules
The mean energy of the particles is not at the peak of the curve
The area under the curve represents the total number of particles present
A few have low energies because collisions cause some particles to slow down
Only a few particles have energy greater than the E A
Most molecules have energies between the two extremes but the distribution is not symmetrical (normal)
E mp this is the most probable energy (not the same as mean energy)
E
A
Collision energy
Fraction of molecules
with energy
E
mp
The particles that collide with energy greater than the activation energy will react successfully. The ones that collide with energy less than the activation energy will just bounce off each other.
You might ponder how a reaction go to completion if few particles have energy greater than the activation energy. The particles can through collisions gain energy so eventually a lower energy could potentially gain energy greater than activation energy. The size of the activation energy is an important limiting factor here though. Chemical reactions with high activation energies will be slow reactions.
Increasing Temperature
As the temperature increases the distribution shifts towards having more molecules with higher energies
At higher temps both the Emp and mean energy shift to high energy values although the number of molecules with those energies decrease
The total area under the curve should remain constant because the total number of particles is constant
higher temperature
Lower temperature
E
A
Collision energy
Fraction of molecules
with energy
mean
At higher temperatures the molecules have a wider range of energies than at lower temperatures.
At higher temperatures the energy of the particles increases. They collide more frequently and more often with energy greater than the activation energy. More collisions will be successful and result in a reaction.
As the temperature increases, the Maxwell Boltzmann distribution shows that a significantly bigger proportion of particles have energy greater than the activation energy, so the frequency of successful collisions increases
Effect of Increasing Concentration and Increasing Pressure
At higher concentrations and pressures there are more particles per unit volume and so the particles collide with a greater frequency and there will be a higher frequency of effective collisions.
Note: If a question mentions a doubling of concentration/rate then make sure you mention double the number of particles per unit volume and double the frequency of effective collisions.
If concentration increases, the shape of the energy distribution curves do not change (i.e. the peak is at the same energy) so the Emp and mean energy do not change
They curves will be higher, and the area under the curves will be greater because there are more particles
More molecules have energy > EA (although not a greater proportion)
Higher concentration
E
A
Collision energy
Number of molecules
with energy
lower concentration
Effect of Increasing Surface area
Increasing the surface area of a solid reactant will significantly increase the reaction rate. This is why potatoes cook quicker when boiling if you cut them into smaller pieces. Powders have very high surface areas.
Increasing surface area will cause collisions to occur more frequently between the reactant particles leading to a higher frequency of effective collisions and this increases the rate of the reaction.
Effect of Catalysts
Definition: Catalysts increase reaction rates without getting used up.
Explanation: They do this by providing an alternative route or mechanism with a lower activation energy
A heterogeneous catalyst is in a different phase from the reactants
Heterogeneous catalysts are usually solids whereas the reactants are gaseous or in solution. The reaction occurs at the surface of the catalyst.
Comparison of the activation energies for an uncatalysed reaction and for the same reaction with a catalyst present.
Progress of Reaction
reactants
Activation
energy:
uncatalysed
∆H
E
A
catalysed
products
If the activation energy is lower, more particles will have energy > EA, so there will be a higher frequency of effective collisions. The reaction will be faster.
E
A
catalysed
Collision energy
Fraction of molecules
with energy
E
A
un catalysed
With a lower activation
energy more particles have
energy greater than the
activation energy
Rate Equations
The rate equation relates mathematically the rate of reaction to the concentration of the reactants.
For the following reaction, aA + bB products, the generalised rate equation is: r = k[A] m [B]
n
r is used as symbol for rate The unit of r is usually mol dm -3 s -1
m, n are called reaction orders Orders are usually integers 0,1,2
0 means the reaction is zero order with respect to that reactant 1 means first order
2 means second order
NOTE: the orders have nothing to do with the stoichiometric coefficients in the balanced equation. They are worked out experimentally
The total order for a reaction is worked out by adding all the individual orders together (m+n)
Calculating orders from initial rate data
For zero order: the concentration of A has no effect on the rate of reaction r = k[A] 0 = k
For first order: the rate of reaction is directly proportional to the concentration of A r = k[A] 1
For second order: the rate of reaction is proportional to the concentration of A squared r = k[A] 2
Graphs of initial rate against concentration show the different orders. The initial rate may have been calculated from taking gradients from concentration /time graphs
For a rate concentration graph to show the order of a particular reactant the concentration of that reactant must be varied whilst the concentrations of the other reactants should be kept constant.
Continuous rate experiments
Continuous rate data
This is data from one experiment where the concentration of one substance is followed throughout the experiment.
For this method to work the concentrations of the reactants not being followed must be in large excess in the experiment so their concentrations stay virtually constant and do not affect rate.
This data is processed by plotting the data and calculating successive half-lives.
The half-life of a first-order reaction is independent of the concentration and is constant
The square brackets [A] means the concentration of A (unit mol dm -3 )
k is called the rate constant
Second order
The rate constant (k)
1. The units of k depend on the overall order of reaction. It must be worked out from the rate equation
2. The value of k is independent of concentration and time. It is constant at a fixed temperature.
3. The value of k refers to a specific temperature and it increases if we increase temperature
zero order
For a 1 st order overall reaction the unit of k is s -1
For a 2 nd order overall reaction the unit of k is mol -1 dm 3 s -1
For a 3 rd order overall reaction the unit of k is mol -2 dm 6 s -1
Example (first order overall)
Rate = k[A][B] 0 m = 1 and n = 0
- overall order = 1 + 0 = 1
- reaction is first order in A and zero order in B
- usually written: Rate = k[A]
Calculating units of k
2. Insert units and
1. Rearrange rate equation to give k as subject
k = Rate
[A]
cancel
k =mol dm
-3
s
-1
mol dm
-3
Unit of k = s
-1
Example: Write rate equation for reaction between A and B where A is 1 st order and B is 2 nd order.
r = k[A][B]
2
overall order is 3
Calculate the unit of k
1. Rearrange rate equation to give k as subject
k = Rate
[A][B]
2
Remember: the values of the reaction orders must be determined from experiment; they cannot be found by looking at the balanced reaction equation
2. Insert units and cancel
k =mol dm
-3 -1
mol dm
-3
.(moldm
-3
s
)
2
3. Simplify fraction k =
s
-1
2
mol dm
-6
-2
Unit of k = mol dm
6
s
-1
Rate Equations
The rate equation relates mathematically the rate of reaction to the concentration of the reactants.
For the following reaction, aA + bB products, the generalised rate equation is: r = k[A] m [B]
n
m, n are called reaction orders
Orders are usually integers 0,1,2
0 means the reaction is zero order with respect to that reactant
2 means second order
1 means first order
NOTE: the orders have nothing to do with the stoichiometric coefficients in the balanced equation. They are worked out experimentally
The total order for a reaction is worked out by adding all the individual orders together (m+n)
For zero order: the concentration of A has no effect on the rate of reaction r = k[A] 0 = k
For first order: the rate of reaction is directly proportional to the concentration of A r = k[A] 1
For second order: the rate of reaction is proportional to the concentration of A squared r = k[A] 2
The rate constant (k)
1. The units of k depend on the overall order of reaction. It must be worked out from the rate equation
For a 1 st order overall reaction the unit of k is s -1
2. The value of k is independent of concentration and time. It is constant at a fixed temperature.
3. The value of k refers to a specific temperature and it increases if we increase temperature
For a 2 nd order overall reaction the unit of k is mol -1 dm 3 s -1
For a 3 rd order overall reaction the unit of k is mol -2 dm 6 s -1
Example (first order overall)
Rate = k[A][B] 0 m = 1 and n = 0
- overall order = 1 + 0 = 1
- reaction is first order in A and zero order in B
- usually written: Rate = k[A]
Calculating units of k
1. Rearrange rate equation to give k as subject
k = Rate
[A]
Remember: the values of the reaction orders must be determined from experiment; they cannot be found by looking at the balanced reaction equation
Unit of k = s
-1
r is used as symbol for rate
The unit of r is usually mol dm -3 s -1
The square brackets [A] means the concentration of A (unit mol dm -3 )
k is called the rate constant
2. Insert units and cancel
k =mol dm
-3 -1
mol dm
-3
s
Example: Write rate equation for reaction between A and B where A is 1 st order and B is 2 nd order.
r = k[A][B]
2
overall order is 3
Calculate the unit of k
1. Rearrange rate equation to give k as subject
2. Insert units and cancel
k = Rate [A][B] 2
k =mol dm s
-3 -1
mol dm
-3
.(moldm
-3
)
2
Working out orders from experimental initial rate data
The initial rate is the rate at the start of the reaction, where it is fastest. It is often obtained by taking the gradient of the conc vs time graph.
Normally to work out the rate equation we do a series of experiments where the initial concentrations of reactants are changed (one at a time) and measure the initial rate each time. This data is normally presented in a table.
3. Simplify fraction k =
s
-1
2
Unit of k = mol dm
s
mol dm
-6
rate = gradient of
tangent to curve
time
concentration
Example: work out the rate equation for the following reaction, A+ B+ 2C D + 2E, using the initial rate data in the table
| Experiment | [A] mol dm- 3 | [B] mol dm-3 | [C] mol dm-3 | Rate mol dm-3 s-1 |
|---|---|---|---|---|
| 1 | 0.1 | 0.5 | 0.25 | 0.1 |
| 2 | 0.2 | 0.5 | 0.25 | 0.2 |
| 3 | 0.1 | 1 | 0.25 | 0.4 |
In order to calculate the order for a particular reactant it is easiest to compare two experiments where only that reactant is being changed
If conc is doubled and rate stays the same: order= 0
If conc is doubled and rate doubles: order= 1
If conc is doubled and rate quadruples : order= 2
For reactant A compare between experiments 1 and 2
For reactant A as the concentration doubles (B and C staying constant) so does the rate. Therefore the order with respect to reactant A is first order
For reactant B compare between experiments 1 and 3 :
As the concentration of B doubles (A and C staying constant) the rate quadruples.
Therefore the order with respect to B is 2 nd order
For reactant B compare between experiments 1 and 4 :
As the concentration of C doubles (A and B staying constant) the rate stays the same.
Therefore the order with respect to C is zero order
The overall rate equation is r = k [A] [B] 2
The reaction is 3 rd order overall and the unit of the rate constant =mol -2 dm 6 s -1
-2 6 -1
Working out orders when two reactant concentrations are changed simultaneously
In most questions it is possible to compare between two experiments where only one reactant has its initial concentration changed. If, however, both reactants are changed then the effect of both individual changes on concentration are multiplied together to give the effect on rate.
In a reaction where the rate equation is r = k [A] [B] 2
If the [A] is x2 that rate would x2
If the [B] is x3 that rate would x3 2 = x9
If these changes happened at the same time then the rate would x2x9= x 18
Example work out the rate equation for the reaction, between X and Y, using the initial rate data in the table
| Experiment | Initial concentration of X/ mol dm–3 | Initial concentration of Y/ mol dm–3 | Initial rate/ mol dm–3 s–1 |
|---|---|---|---|
| 1 | 0.05 | 0.1 | 0.15 x 10–6 |
| 2 | 0.1 | 0.1 | 0.30 x 10–6 |
| 3 | 0.2 | 0.2 | 2.40 x 10–6 |
For reactant X compare between experiments 1 and 2
For reactant X as the concentration doubles (Y staying constant) so does the rate. Therefore the order with respect to reactant X is first order
Comparing between experiments 2 and 3 :
Both X and Y double and the rate goes up by 8
We know X is first order so that will have doubled rate
The effect of Y, therefore, on rate is to have quadrupled it.
Y must be second order
The overall rate equation is r = k [X] [Y] 2
The reaction is 3 rd order overall and the unit of the rate constant =mol -2 dm 6 s -1
Calculating a value for k using initial rate data
Using the above example, choose any one of the experiments and put the values into the rate equation that has been rearranged to give k. Using experiment 3:
Remember k is the same for all experiments done at the same temperature. Increasing the temperature increases the value of the rate constant k
Effect of Temperature on rate constant
Increasing the temperature increases the value of the rate constant k
Increasing temperature increases the rate constant k. The relationship is given by the Arrhenius equation k = Ae -Ea/R T where A is a constant R is gas constant and Ea is activation energy.
The Arrhenius equation can be rearranged
k is proportional to the rate of reaction so ln k can be replaced by ln(rate)
From plotting a graph of ln(rate) or ln k against 1/T the activation energy can be calculated from measuring the gradient of the line
Example
temperature
k
1/T
| Temperature T (K) | 1/T | time t (s) | 1/t | Ln (1/t) |
|---|---|---|---|---|
| 297.3 | 0.003364 | 53 | 0.018868 | -3.9703 |
| 310.6 | 0.00322 | 24 | 0.041667 | -3.1781 |
| 317.2 | 0.003153 | 16 | 0.0625 | -2.7726 |
| 323.9 | 0.003087 | 12 | 0.083333 | -2.4849 |
| 335.6 | 0.00298 | 6 | 0.166667 | -1.7918 |
In above example gradient =-5680
EA = - gradient x R (8.31)
use a line of best fit use all graph paper choose points far apart on the graph to calculate the gradient
-1
= - -5680 x8.31
The unit of EA using this equation will be J mol -1 . Convert into kJ mol -1 by dividing 1000
= 47200 J mol
EA= +47.2 kJ mol -1
Rate Equations and mechanisms
A mechanism is a series of steps through which the reaction progresses, often forming intermediate compounds. If all the steps are added together they will add up to the overall equation for the reaction
Each step can have a different rate of reaction. The slowest step will control the overall rate of reaction. The slowest step is called the rate-determining step.
The molecularity (number of moles of each substance) of the molecules in the slowest step will be the same as the order of reaction for each substance.
1 mole of A in the slow step would mean A is first order e.g. 0 moles of A in slow step would mean A is zero order.
Example 2
Example 1
A + 2B + C
overall reaction
Mechanism
D + E
Step 2
X + C Y fast
Step 1
A + B
Step 3
X + D slow
Y + B
E
fast r = k [A]
1 [B]
1
[C]
o
C is zero order as it appears in the mechanism in a fast step after the slow step
A + B
A + 2B + C
overall reaction
Mechanism
D + E
Step 2
X + C Y slow
Step 1
A + B
Step 3
X + D fast
Y + B
E fast
1 1
The intermediate X is not one of the reactants so must be replaced with the substances that make up the intermediate in a previous step
X + D
r = k[A]
r = k [X] [C]
1 [B]
1
[C]
1
Investigating the rate of reaction between iodine and propanone
Propanone reacts with iodine in acidic solution (the acid is a catalyst) as shown in the equation below. CH3COCH3(aq) + I2(aq) → CH3COCH2I(aq) + H + (aq) + I – (aq)
This reaction can be followed by removing small samples from the reaction mixture with a volumetric pipette. The sample is then quenched by adding excess sodium hydrogencarbonate to neutralize acid catalyst which stops the reaction. Then the sample can be titrated with sodium thiosulfate using a starch catalyst.
This reaction is zero order with respect to I2 but 1 st order with respect to the propanone and acid catalyst
The rate equation for the reaction is Rate = k[CH3COCH3(aq)][H + (aq)]
If there is a zero order reactant there must be at least two steps in the mechanism because the rate determining step will not involve the zero order reactant
The rate determining step of this reaction must therefore contain one propanone molecule and one H + ion forming an intermediate. The iodine will be involved in a subsequent faster step.
Remember the nucleophilic substitution reaction of halogenoalkanes and hydroxide ions.
This is a one step mechanism
H
H
CH3CH2Br + OH - CH3CH2OH + Br - slow step
The rate equation is
r = k [CH 3 CH 2 Br] [OH - ]
This is called SN2.
Substitution, Nucleophilic,
2 molecules in rate determining step
Primary halogenalkanes tend to react via the SN2 mechanism
SN1 nucleophilic substitution mechanism for tertiary halogenoalkanes
3
The Br first breaks away from the halogenoalkane to form a carbocation intermediate
The hydroxide nucleophile then attacks the positive carbon
Tertiary halogenoalkanes undergo this mechanism as the tertiary carbocation is stabilised by the electron releasing methyl groups around it. (see alkenes topic for another example of this). Also the bulky methyl groups prevent the hydroxide ion from attacking the halogenoalkane in the same way as the mechanism above
Overall Reaction
(CH
3
)
3
CBr + OH
–
(CH
3
)
3
COH + Br
–
Mechanism:
(CH3)3CBr (CH3)3C + + Br – slow
(CH3)3C + + OH – (CH3)3COH fast
The rate equation is
r = k [(CH3)3CBr]
This is called SN1.
Substitution,Nucleophilic,
1molecule in rate
determining step
Primary halogenoalkanes do not do the SN1 mechanism because they would only form an unstable primary carbocation.
Example 4
Overall Reaction
Example 5
NO2(g) + CO(g) NO(g) + CO2(g)
Mechanism:
Step 2 NO
Step 1 NO
2
+ NO
2
NO + NO
3
slow
* NO
3
+ CO
NO
2
+ CO
2
fast
3
is a reaction intermediate
NO2 appears twice in the slow steps so it is second order. CO does not appear in the slow step so is zero order.
Using the rate equation rate = k[NO] 2 [H2] and the overall equation 2NO(g) + 2H2(g) N2(g) + 2H2O(g), the following three-step mechanism for the reaction was suggested. X and Y are intermediate species.
Step 2 X + H2 Y
Step1 NO + NO
X
Step 3 Y + H2 N2 + 2H2O
Which one of the three steps is the rate-determining step?
Step 2 – as H2 appears in rate equation and combination of step 1 and 2 is the ratio that appears in the rate equation.
-
Transition States
The formation of products is a continuous process of bonding breaking and forming.
During a chemical reaction, reactants do not suddenly convert to products.
At some point, a transitional species is formed
This species is called the transition state.
containing "partial" bonds.
*At the top of the hump the reactants are at a stage where the old bonds are not quite broken and the new bonds are not quite made.
*This is the point of maximum potential energy and is called the transition state.
H
Progress of Reaction
*The activation energy is therefore the energy needed to reach the transition state
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DATES TO REMEMBER
May
Newsletter
Irish American Community Center New Haven Gaelic Football & Hurling Club
IACC President: Eileen Roxbee (203) 584-4233 firstname.lastname@example.org Vice President: Rich Ranciato 203 410 4543 email@example.com Treasurer: John McGowan 203 314 7073 firstname.lastname@example.org Recording Secretary: Doreen Busca 203 843 8018 email@example.com Financial Secretary: Mary Roddy 203 506 8367 firstname.lastname@example.org Building Engineer: Gerry Roddy 203 215 3268 email@example.com
NHGF&H Club President: Anne Hines 203 488 4902 203 215 5997 (cell) firstname.lastname@example.org Vice President: Geoffrey Maxwell 203 605 7414 email@example.com Treasurer: Joan Hall 203 315 9215 firstname.lastname@example.org
CLUB HOURS: Wednesday & Thursday: 7pm-1am; Friday & Saturday: 7pm-2am; Sunday: 1pm-9p
May 2018
June
July
Friday 11th Happy Hour, 4pm Saturday 12 th , Dylan Foley and Friends Concert, 7:30pm Sunday 13th, Mother's Day Mass and Breakfast, 9am Thursday 17th, Retirees Meeting, 12:30pm
Upcoming Events
HAPPY HOUR Friday, May 11 at 4pm
Saturday 2 nd , Dave Kane's Comedy Show, 7pm Tuesday 12 th , General Membership Meeting, 7pm Thursday 14 th , Final Festival Meeting 7pm Saturday 23 rd & Sunday 24 th , CT Irish Festival
Sunday 15
th
, AOH 2018 Thimble Island Cruise, 6pm th
Monday 16 – Friday 20
th
, New Haven Cul Camp
DAVE KANE'S "JOKES MY IRISH FATHER TOLD ME", Saturday, June 2 at 7pm
Happy Hours are the 2 nd Friday of every month at 4pm. Each happy hour we will have drink specials, half price on the choice of the day, buy one get one etc. Come on out and join your friends and fellow members for good conversation and snacks in the lounge - bring a snack to share if you wish.
FUN SUNDAYS DURING THE SUMMER 4-8pm
Beginning Sunday 10th June for the summer months we will have Happy Hours from 4-8pm. The 10th we will have Margarita specials. Each week will be a different drink which will be posted at the bar. You can take your drinks outside and enjoy the weather on our patio. Bring friends with you. Hope to see you all enjoying your club.
TRADITIONAL IRISH MUSIC CONCERT, Saturday, May 12 at 7:30pm
There will be a traditional Irish concert of music and song on Saturday May 12 at 7:30pm featuring Dylan Foley (fiddle), Damien Connolly (accordion) and Matt Mancuso (fiddle, guitar & vocals). Please contact John O'Donovan at (203) 281-3563 or email Pat Stratton at email@example.com.
MOTHER'S DAY MASS and BREAKFAST Sunday, May 13 at 9am
Our annual Mothers' Day Mass and Communion Breakfast will be held at our Club on Sunday 13th May at 9am. Mass will be celebrated by our Club Chaplain, Father Timothy Meehan. A traditional Irish breakfast will be served after Mass. Donation $15, children $5. Reservations are a must by 8th May by calling Anne Hines (203) 488-4902 or firstname.lastname@example.org.
RETIREES MEETING Thursday, May 17 at 12:30pm
The Retirees will meet on Thursday, May 17 at 12:30 p.m. At this meeting, Vincent McMahon will present a slideshow on Ireland. If you have any questions, please contact Sharon Kearns at (203) 488-6605.
CT IRISH FESTIVAL AD BOOK
The ad book committee for the festival is taking your county page, memorial page, and business page forms. The deadline is May 31st. Please send your county page information to Johanna Mackey or your memorial/business ads to Eileen Roxbee. Forms are also available at the club or on our webpage.
ANNUAL RAFFLE
Please work hard to sell your tickets for the upcoming annual raffle that will be held during the CT Irish Festival. If you have any questions or would like additional books of tickets, please contact Co-Chairmen John O'Donovan (203) 281-3563 or Gerry Stratton (203) 214-8578 or email odonovankinsale @snet.net
Please join in the fun as comedian Dave Kane brings you a laugh filled presentation of jokes, one liners and stories that celebrate the Irish sense of humor. The show is being presented by the New Haven Youth Football and Hurling Club on Saturday, June 2 at the IACC. Doors will open at 6:30 pm, dinner at 7pm and the show starts at 8pm. For tickets ($20) and information, please contact Geoff Maxwell at (203) 605-7414 or email@example.com.
GENERAL MEMBERSHIP MEETING, Tuesday, June 12 at 7:00pm
The first quarterly membership meeting will take place on Tuesday, June 12 at 7:00pm. All members are encouraged to attend. Please bring your questions, thoughts and ideas.
FINAL FESTIVAL MEETING Thurs. June 14 at 7:00pm
All Chairmen and volunteers are asked to attend our final festival meeting on Thursday, 14th June at 7pm. We will finalize our plans for our biggest fundraiser of the year.
NEW HAVEN GAELIC FOOTBALL SCHEDULE
New Haven is once again entering teams into the New York Minor Board Spring season. We will have a team in the U10, U12, and U14 divisions. Please see our schedule, and we hope to have a great fan base at our two home games! Reminder that we are always looking for new players, and outdoor practices have resumed. We will be training at the club from 6:00 – 7:30 every Thursday. If you would like to get added to our email distribution list, please email Catherine Staunton at firstname.lastname@example.org.
| Date | Venue | Home Team | Visitni g Team | Times | Age Divisions |
|---|---|---|---|---|---|
| Sat May 5 | IACC | New Haven | St Patricks | 3,4,5 | U10,12,14 |
| Sat May 12 | IACC | New Haven | Rockland | 3,4,5 | U10,12,14 |
NEW HAVEN JUNIOR LADIES SPRING SCHEDULE 2018
The official spring schedule is below for our inaugural season in the New York league. In addition, we are having trainings every Thursday from 7:00 – 8:00pm at the New Haven Gaelic Football and Hurling Club, 9 Venice Place, East Haven, CT. It would be great to see everyone at the club for our first training this Thursday. Please contact Coach Geoff Maxwell with any questions – (203) 605-7414.
| Date | Time | Venue | Opponent |
|---|---|---|---|
| Sun, May 6 | 6:00pm | Gaelic Park | Feile |
| Sun, May 20 | 10:30am | IACC (East Haven, CT) | Leitrim |
| Sat., June 23 | 6:00pm | CT Irish Festival | Rockland |
| Wed., June 27 | 8:00pm | Gaelic Park | Manhatat n Gaels |
| Thur, July 12 | 8:00pm | Gaelic Park | St. Bridgets |
| Sun, July 22 | 10:30am | IACC (East Haven, CT) | Fermanagh |
club tel: (203) 469-3080website
: www.iacc-ct.com youth football
: www.iaccirishsports.org festival
: www.ctirishfestival.com
NEW HAVEN GAELIC FOOTBALL GEAR AVAILABLE AT THE CLUB!
A limited supply of performance short sleeved New Haven Gaelic Football jerseys are available for $20 at the club!! Adult sizes, Medium to XL. Let's all show our New Haven Pride!!
NEW HAVEN CUL CAMP SUMMER 2018
New Haven Youth Gaelic Football is bringing back our Cul Camp! This year's camp will be held from July 16 th – 20 th from 9:00 a.m. – 3:00 p.m. and is for boys and girls age 5-12. The camp will be held at the Irish American Community Center, 9 Venice Pl., East Haven, CT 06512. From 9:00 – 1:00 each day the boys and girls will be instructed in Gaelic Football and Hurling by qualified coaches from Ireland in a safe and fun environment. At 1:00, the children will have lunch, followed by a variety of Irish Cultural activities until 3:00. The cost is $120 for the first child, and $100 for each additional child in the same family. Registration forms can be found on the club's website – www.iacc-ct.com. For more information, please contact John McCormack at (203) 651-9634 or email@example.com
AOH 2018 THIMBLE ISLAND CRUISE, Sunday 15th July at 6pm.
8th Thimble Island Cruise - The AOH is once again holding its annual cruise around the Branford Thimble Islands. The date is Sunday, July 15th. The cost is $25pp. Free food and bring your own beverage, otherwise a cash bar is available on board. Please note that no coolers are allowed on board. 1 complimentary beverage will be provided per person. Arrival time at dock is 6:00pm and launch time is 7:00pm. Directions to the dock will be on the back of your ticket. The past trips have sold out well in advance. Please contact Finbarr Moynihan at (203) 272-0118.
SAVE THE DATE: ANNUAL IACC GOLF TOURNAMENT, Friday, September 7
The annual IACC Golf Tournament will take place on Friday, September 7 with an 8:30am shot gun start. $125 includes green fees, golf cart, hot dog and beer at the turn and lunch. Tee sponsorships are also available. For further information, please contact Kevin Roxbee at (203) 843-8554 or IACCpresident2018@gmail. com
SAVE THE DATE: ANNUAL BANQUET, Saturday, November 17
Please mark your calendars for the 2018 Irish Man and Woman of the Year banquet on Saturday, November 17 at 7pm at Cascades, 480 Sherman Avenue, Hamden. It is always a great celebration for our members and our club! If you are interested in being part of the planning for our 35th annual banquet, please contact Mike Faherty at (203) 640 8927. Additional details to come.
NEW MEMBERS
We welcome the following new members to the club- hope to see you around frequently: Margaret Craft (Hamden) Joseph Connor (North Haven), John Conway (East Haven), Laura & Marc Forcinelli (North Branford), Mariann & Kenneth Kastenhuber (North Haven), Liesi Robinson (Manchester).
DONATIONS
Many thanks to the following members who paid their dues and enclosed an additional donation to our club: Christopher & Martha Dolan, Patricia Giordano, Michael & Christina McHugh, Peggy Porto.
PRAYERS and SYMPATHY
To: Mary Anne Tomlinson and Margaret Ferraro both of Cheshire, on the death of their father, long time club member Philip Gannon, Hamden by way of Co. Leitrim.
To: The family of Mary Berezecky, Hamden.
To: Ann Marie Joy, Maureen Evans and Brian McKeon; also to Ann Smyth and Bernadette White on the death of their mother and sister club member Bridie McKeon, Deep River by way of Co. Leitrim.
To: Mary (Hamden), James (Wallingford), Patrick Jr. & Paul Lillis, (North Haven); Jim Bohan, (Old Saybrook) , Martin Bohan, (Leitrim) and Anne Keogh (Hamden), on the death of their mother and sister, long time active club member Bridie Lillis of Hamden by way of Co. Leitrim.
To: To club members Anne and Al Paulsen, Branford on the death of Anne's mother Mary Ann Walsh, Co. Mayo
Longtime club visitor, Mary Ann Campbell Walsh passed away on 4/12/18. She celebrated her 110th birthday on April 9th just a few days before her death. Born in Lurga, Charlestown, Co. Mayo in 1908, Mary Ann immigrated to the USA in 1926. She was mother of club member Anne Paulsen who resides in Branford with husband Al.
The Irish Bowling League
The 2017-2018 bowling season has come to an end. Congratulations to the winners: "Balls Deep in the Gutter "(First Place) Cathy Wheeler, Michael Williams,
2
Carl Williams; "The Family Affair" (Second Place)Carissa Laudano, Alicia Laudano, Lenny Athan ; "Stop Fooling Around" (Third Place)Jill Cervone, Rosie Wheeler, Whanita O'Donoghue. Also, BIG, BIG Congratulations to Cathy Wheeler for being voted "Bowler of the Year." All bowlers enjoyed their annual banquet at Mohegans in April. Please contact Mary Jane Stevens (203)772-1380 if you are interested in joining The Irish League.
THANK YOU
Sunday, April 15th found the following members back at the club with me after clean up Saturday! My thanks to Anne Hines, Geoff Maxwell, Doreen Busca, Mary Roddy and Tony Connors for coming in early and removing all the tile on the pool side of the bar to prepare for the laying of our new flooring. This was heavy dusty work and Geoff is the King of the wheelbarrow! Great job by all. Thanks, Gerry Roddy.
BATHROOM RENOVATION
My thanks to the following club members who helped me with the bathroom renovation project which is now complete. Pat Hosey, John Cullinan, Chris Morgan, Bill Brooks, Bill Mackey, Tim Gallogly and the master of sheetrock, John McCormack. Thank you, Gerry Roddy
THANK YOU TO OUR MANY MEMBERS
Clean up day at our club was very successful and the sun was shining! My thanks go out to the following members who gave up their Saturday on April 14th to help the club look its best after a hard winter. Catherine McMorrow, Carmel Larese, Kian Larese, James Staunton, Catherine Staunton, Aidan Staunton, Seamus Staunton, Pat Hosey, Pete Kilkelly, Martin Donohue, Bill Mackey, John Mackey, Joe Nugent, Patsy McGloin, Anne Hines, Debbie Henley, Tim Henley, Eileen Roxbee, Bob Roche, Bill Brooks, Abbey Brooks, Sonny Ryan, Colm Ryan, Marty Lendroth and Mary Roddy. As a team effort we managed to leaf blow all the property, pick up trash, set up tables, chairs and umbrellas on our patio, cut up trees that were dropped last year, dig a trench for power to be installed on a post for outside use, blew off all debris and salt from the parking lot. We also worked on installing speakers on the outside of building, mulched in the back by the sheds to make it look cleaner and removed all the dead annuals from last year in our flower beds. All windows were washed on the outside and inside will be washed when work inside is completed. We washed down all bathrooms from the work that has been completed. All walls were washed on the pool side and lounge, also all furniture in these 2 rooms were dusted or washed. There still is more to be done but I can't thank everyone enough for the amount of work accomplished. Thank you Geoff Maxwell and crew for cleaning up our field on Thursday, April 13th. Thank you, Gerry Roddy
IACC LOOKING FOR HELP
The IACC is looking for members who are willing to help with painting, plumbing, HVAC, carpentry and landscaping projects at the club. If you are skilled in any of these occupations and are willing to donate your time to the IACC please contact Gerry Roddy at 203-215-3268 or email at firstname.lastname@example.org. Any time you can donate will be very much appreciated!
"FROM A LAND BEYOND THE WAVE"
During 2017, a book was co-authored and published by Shanachie editor Neil Hogan and Patrick Mahoney (History & Culture Fellow at Drew Univ) entitled, "From a Land Beyond the Wave - Connecticut's Irish Rebels 1798-1916". Neil and Patrick received a letter from the Ct. League of History Organizations on their achievement award on their writing skills for the book. Kudos to Neil and Pat. Based on this news, extra copies of the publication may need to be printed. In the meantime, the books are available at the 'Lucky Ewe Irish Goods Store' located at the corner of Dixwell and Whitney Avenues in Hamden. You may also call Neil at (203) 269-9154.
UP TO DATE MAILING ADDRESS
If you have moved or are planning on moving, please keep the Club informed of your new address. Please call Mary Roddy 203 506 8367 or email her at email@example.com. This would include any phone number and email changes also. In an effort to keep mailing costs down, anyone who receives the email newsletter will no longer receive the paper copy in the US mail. If you wish to continue receiving both the email and the paper newsletter, please let Mary know.
ANNOUCEMENTS IN THE NEWSLETTER
If you would like to make an announcement in the newsletter i.e. engagement, marriage, birth, graduation from college, or an achievement of any kind, please submit via email to Doreen Busca at firstname.lastname@example.org by the 15th of the month.
IACC Scholarship Application
The Irish American Community Center will be awarding two $500.00 scholarships to children of club members in good standing. The applicant must be a senior in a public or private high school, be attending a private high school (any grade) or enrolled in a college or university. Scholarship recipients are selected using a three point rubric score in the following categories: Community Service, Club Participation, Academics, Essay, Number of years affiliated with the club. Applicants are requested to fill out the below form and submit along with a copy of your high school transcript or college grades (non-official is okay) and return before June 10, 2018. Send applications to: Eileen O. Roxbee, 724 Tanner Marsh Rd. Guilford , CT 06437 Or Return the application to the club or roxbeeeileen@ gmail.com. Applicants will be notified on or before June 20, 2018 and will be awarded at our festival.
IACC Scholarship Application Form
NAME:____________________________________________________________________________________________________
ADDRESS: _________________________________________________________________________________________________
TELPHONE:_ _______________________________________ EMAIL:_______________________________________________
High School:_ _______________________________________ College or University:___________________________________
Parent(s)Name:_____________________________________________________________________________________________
Number of years membership affiliation with the IACC/NHGFHC:__________________
Community Service (please list location, dates, contact person)
Participation in club activities:
Additional Awards/commendations:
Essay topic: Please explain why you think you deserve to be the recipient of this scholarship (one paged, typed)
Sponsored by Irish American Community Center
9 Venice Place, East Haven, CT 06512 • www.ctirishfestival.com
FESTIVAL DATES: JUNE 23 AND 24, 2018
North Haven Fairgrounds, 300 Washington Ave. (Rt. 5), North Haven
For an ad in the 2018 Connecticut Irish Festival program book, please choose from the options below:
| Type | Size | Amount |
|---|---|---|
| Outside back cover | 5x8 | $350.00 |
| Inside front cover | 5x8 | $250.00 |
| Inside back cover | 5x8 | $250.00 |
| Full page | 5x8 | $100.00 |
| Half page | 5x4 | $ 60.00 |
| Quarter page | 5x2 | $ 35.00 |
| Name in County pages | 1 line | $ 5.00 |
Attach ad to this contract for county pages, print name and affiliated county. Please mail this contract and your check (made payable to IACC/CT Irish Festival) to the address below. Please be sure to write your phone number or email address on the check in case we have any questions. No ad will be published without proper payment. Your cancelled check is your receipt. Indicate "Run last year's ad" (along with the name of the ad) in box if you choose to use the same ad from 2017.
*************** Deadline for ad June 11, 2018 *********************
Please email any questions to Eileen Roxbee at email@example.com
Mailing Address:
CT Irish Festival/Program Book
E. Roxbee
9 Venice Place
East Haven, CT 06512
For festival use only:
Payment Amount $ ________
______ Payment type
______ Approved by
______ Solicited by
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EMAILS / NEWSLETTER
If you would like to receive emails from the IACC which include the info on the latest events and/or the newsletter by email please send your name and email address to firstname.lastname@example.org.
LOCAL IRISH RADIO PROGRAMS
Sounds of Ireland Sun. 9:00 A.M.-11:00 P.M. AM 1220 WQUN or www.wqun.com Echoes of Erin Sun. 12- 2pm FM 88.7 WNHU www.wnhu.net Celtic Airs Tuesday 6-9pm WWUH91.3 or www.wwuh.org
IACC PRESIDENT'S MESSAGE
Dear Club Members,
Spring is finally here and if you look around the club grounds you will see that your fellow club members have been busy cleaning, raking, cutting, pruning, painting, etc.! Thank you to everyone who pitched in to help make our club sparkle. Thank you for your patience as we near completion of our repair work on the bathrooms and floor, and installation of our sound/electrical update. We should be finished with all our projects by mid June. Our Festival plans are well underway. Please turn in ad book or county entries by the end of the month so that we can get the book to the printers. Volunteers are needed. Please contact any board member or Billy Mackey, the Festival chairperson or Megan Lenihan, the Feis Chairperson if you wish to help out. Our annual scholarship application deadline is also looming. Please send you forms in asap.
Please check the weekly email or our newsletter for all our exciting events. We hope to see you soon!
Slainte,
Eileen
MEMBERSHIP DUES - Did you forget? Are yours past due? Our Financial Secretary, Mary Roddy, would like to remind all our members that membership dues are payable 1st January. Please keep in mind dues are a vital part of the running of our Club so if you have not already remitted your payment please do so as soon as possible. Family $75, Individual $50, renewing seniors $20 each and $30 per couple. KEY LOCK WAS INSTALLED ON DOOR SO YOU WILL NEED YOUR CARD TO ENTER.
NHGF&H Club PRESIDENT'S MESSAGE
Thank you to all the members who turned out to spruce up our club on cleanup Saturday. There was a good number of you and your efforts show and is very much appreciated. Great day of football was enjoyed by all at the UCONN tournament on our field Sunday 22nd April. The Foley concert and Mother's Day breakfast are fast approaching so please make your reservations. Our festival is well under way - if you have time to give a few hours during set-up week or at the festival please contact the chairman, Bill Mackey. Our 2 bathrooms off the pool room are back in use after our burst pipe flooding the area and the floors in the lounge and pool room will be completed by the middle of May. Happy hour is on Friday 11th May - hope to see you all there. Sundays during the summer we are trying something new - happy hour from 4-8pm - come up to the club, relax and enjoy. If you have any ideas for club events please let one of the officers know. Enjoy the warmer weather. Anne.
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Processing Guide
The processing guidelines contained in this document were developed through in-house testing and field experience. However, they should be considered to be starting points that will require further adjustment. Read the following review of processes for applicability to your particular Printed Wiring Board (PWB) fabrication environment. Remember that the suggestions contained herein can not account for all possible board designs or processing environments. Additional adjustments by the fabricator will be necessary. Isola can and will assist with this process, but the fabricator, not Isola, is ultimately responsible for their process and the end results. Fabricators should verify that PWBs made using these suggestions meet all applicable quality and performance requirements.
Part 1: Prepreg Storage and Handling
Isola Group's prepreg bonding sheets for use in multilayer printed circuit board applications are manufactured to specifications that include physical properties, electrical properties and processing characteristics relative to the laminating application. Handling and storage factors have an important influence on the desired performance of the prepreg. Some parameters are affected by the environment in which prepregs are stored. They can also deteriorate over extended periods of storage. The prepreg received by the customer is a glass fabric that has been impregnated with a stated quantity of low volatile, partially polymerized resin. The resin is tack-free but somewhat brittle. Many lamination problems arise from resin loss off the fabric or damage to the woven glass due to improper handling. The fabric used is based on the order and supplies the required thickness. In most cases the amount of resin carried by the fabric increases as the fabric thickness decreases.
Handling Suggestions
Handle all prepreg using clean gloves. Use sharp, precision equipment when cutting or paneling prepreg. Treat all prepreg as being very fragile. Use extreme care when handling very high resin content prepreg (glass fabrics 1080 and finer).
Storage Suggestions
Upon receipt, all prepreg should be immediately moved from the receiving area to a controlled environment. All prepreg should be used as soon as possible using a First-In-First-Out (FIFO) inventory management system. If not handled properly, G200 prepreg will absorb moisture, which will lead to depressed Tgs and cure and affect flow in the press. If extended storage is required, separate facilities should be reserved with appropriate environmental control. Prepreg should be stored at ≤21ºC and below 45% humidity.
Prepreg packages should be allowed to equilibrate to layup room conditions before opening to prevent moisture condensation on the prepreg.
Long term vacuum storage is not recommended. Prepreg should be maintained to no longer than 3 months at the specified storage conditions. Longer storage should be limited and prepreg must be tested for functionality prior to use.
Stabilization time will depend on storage temperature. In cases where storage temperature is significantly below room temperature, keep prepreg in the original sealed packaging during the stabilization period to prevent moisture condensation. Once the original packaging is opened, the prepreg should be used immediately. Remaining prepreg should be resealed in the original packaging with fresh desiccant. Storage should be in the absence of catalytic environments such as high radiation levels or intense ultraviolet light.
Part 2: Innerlayer Preparation
Isola Group's G200 laminates are fully cured and ready for processing. It has been the experience of most fabricators that stress relief bake cycles are not effective in reducing any movement of high performance laminates such as G200. Therefore, it is suggested that the movement of unbaked laminate be characterized and the appropriate artwork compensation factors are used.
Dimensional Stability
The net dimensional movement of laminate after the etch, oxide and lamination processes is typically shrinkage. In the case of high performance laminates, this shrinkage is due to the relaxation of stresses, which were induced when the laminate was pressed, as well as a shrinkage contribution from the high performance resin system. Most of the movement will be observed in the grain direction of the laminate.
There are situations that have been known to alter the proportion of shrinkage in grain versus fill direction in some board shops. These include autoclave pressing and cross-plying laminate grain direction to that of prepreg. While both of these practices have their advantages, material movement must be uniquely characterized.
The dimensional movement of high performance laminates is generally greater than that of epoxies. Table I illustrates the recommended approach to characterizing laminate movement and provides approximate artwork compensation factors for G200 laminate when using a hydraulic press.
Table I is for reference only. This table assumes that laminate and prepreg grain directions are oriented along the same dimension. Each shop must characterize material behavior given their particular lamination cycles, border designs and grain orientation of laminate to prepreg. It is also recommended that specific laminate constructions are specified and adhered to so that dimensional variation due to changes in construction is avoided.
Table 1: G200 Artwork Compensation
| Base Thickness | Configuration | | Compensation (in/in) |
|---|---|---|---|
| 0.005 and Less | Signal / Signal Signal / Ground Ground / Ground | Warp Fill Warp Fill Warp Fill | 0.0008 -0.0012 0.0002 -0.0004 0.0006 -0.0008 0.0002 -0.0004 0.0002 -0.0004 0 to 0.0002 |
| 0.006 to 0.009 | Signal / Signal Signal / Ground Ground / Ground | Warp Fill Warp Fill Warp Fill | 0.0006 -0.0008 0.0002 -0.0004 0.0004 -0.0006 0.0001 - 0.0003 0 - 0.0002 0 - 0.0002 |
| 0.010 to 0.014 | Signal / Signal Signal / Ground Ground / Ground | Warp Fill Warp Fill Warp Fill | 0.0002 -0.0004 0 - 0.0002 0.0001 -0.0003 0 - 0.0002 0 - 0.0002 0 - 0.0002 |
Table I assumes that signal layers are either half or 1 ounce copper and ground layers are either 1 or 2 ounce copper. Thicker copper will generally contribute to greater dimensional movement.
Imaging and Etching
G200 laminates are imaged using standard aqueous dry films and are compatible with both cupric chloride and ammoniacal etchants.
Bond Enhancement
The following bond enhancements are acceptable for adequate bonding of G200 in order of ascending bond strength: post reduced oxides, oxide alternatives and double treat copper. Depending on the oxide used, the bond strength and performance of reduced oxides may depend on the maximum temperature reached when pressing G200. It is recommended that the board temperatures do not exceed 182°C (360°F) when pressing G200 with reduced oxides.
Innerlayers should be thoroughly dried in an oven prior to layup. The typical bake cycles that fall between 93°C (200°F) and 121°C (250°F) for 30 to 60 minutes are acceptable for G200. If reduced oxides are used, consult the chemical supplier for post oxide baking considerations as excessive baking may lead to lower pink ring resistance. It is recommended that post oxide baking is performed in vertical racks with panels supported in an upright position.
Page 2
Package Lay-Up
If the prepreg has been stored such that moisture absorption may have occurred, it should be conditioned prior to lay-up. Dry conditions such as vacuum chambering or the means to reduce residual moisture will improve the flow consistency and realize higher Tg and product properties. Layers should be carefully baked prior to lay-up to eliminate moisture: 30 to 60 minutes at 200°F to 250°F. Layers should be laminated no longer than 4 hours after baking, otherwise store in dry/vacuum environment or rebake.
Part 3: Lamination
Standard Lamination
Standard FR-4 press cycles must be extended in order to fully cure G200 in the press. Table 2 outlines general suggestions for lamination pressure based on press type used.
Table 2: G200 General Lamination Parameters
| Vacuum Time | 20 minutes (no pressure, product on risers) |
|---|---|
| Curing Temperature | 180°C (360°F) |
| Curing Time | 90 minutes |
| Resin Flow Window | 90-150°C (195-300°F) Maintain heat ramp in this temperature range. |
| Heat Ramp | 3.5°-5.5°C/min (7.0°-10°F/min) |
| Pressure | 200-300 PSI (14-21 Kg/cm²) Pressure requirements should be assessed for each design." |
| Pressure Application | Single Stage: – Apply pressure after vacuum dwell time. Dual Stage: – 50 PSI (3.5 Kg/cm²) after vacuum dwell time, switch to high pressure ≤90°C product temperature. |
| Pressure Drop | After 30 minutes at cure temperature, reduce pressure to 50 PSI (3.5 Kg/ cm²) in hot press (optional). |
Removal of G200 flash should be performed by routing rather than shearing to avoid edge delamination.
Part 4: Drill
Cutting Speed & Chipload
Because BT/Epoxy resin blends are more brittle than FR-4 epoxies and more resistant to drill smear due to a higher Tg, successful drilling of G200 will require lower cutting speeds and lower chiploads than FR-4.
Stack Height and Hit Count
Stack height and hit count will depend on overall board thickness and construction. Standard 0.060" thick boards have been successfully drilled stacked 3 high. As a general guideline, the sum of the board thickness in a stack should not exceed 5 mm (200 mils). Maximum hit count for G200 is 750 to 1000, depending on the board design. Re-sharpened bits are not recommended.
Table 3 provides a set of recommended parameters when characterizing the drillability of G200. These parameters are for typical multilayer designs. Boards with particularly heavy cladding such as invar or boards with a lot of coarse glass weave will require more conservative parameters.
Part 5: Hole Wall Preparation
General
Good desmear and electroless copper deposition performance are more easily achieved when the drilled hole quality is good. The generation of smooth, debris free hole walls is influenced by the degree of resin cure, drilling conditions and board design considerations. The elimination of 7628 or similar heavy glasses (whenever possible), coupled with properly adjusted drill parameters on fully cured boards has been shown to improve overall drilled hole quality. This helps reduce smear generation, which improves desmear performance and can ultimately help to reduce copper wicking.
Make sure the boards are fully cured and that drilling conditions have been properly adjusted!
Factors which influence chemical desmear rates, and therefore the suggestions in this document, include:
resin type, chemistry type, bath dwell times, bath temperatures, chemical concentrations in each bath and the amount of solution transfer through the holes.
Factors which influence the amount of solution transfer through the holes include: hole size, panel thickness, work bar stroke length, panel separation in the rack and the use of solution agitation, rack vibration and rack "bumping" to remove air bubbles from the holes.
Desmear
Permanganate has had only limited success in removing G200 smear in those cases where smear has been present. While many shops do use a permanganate desmear cycle on G200, the benefit may be limited to removal of hole wall debris; only the most aggressive permanganate processes will provide a desmear. Some shops have found that by carefully controlling drill parameters so that smear is eliminated, boards can go directly into the electroless cleaner/conditioner without adverse effects on plating adhesion.
Etchback
Only plasma has been determined to adequately etch back G200 resin. Standard plasma gas mixtures and cycles are satisfactory.
Electroless Coverage
Due to the increased chemical resistance of BT/Epoxy resins, an extended dwell in the electroless cleaner/conditioner bath may be necessary to attain complete electroless coverage and adhesion. Consult the chemical supplier when setting process parameters for G200.
Table 3: Suggested Drilling Parameters for Initial G200 Setup
| Drill Size | | Spindle Speed | Surface Speed per Minute | | Infeed | | Chipload | | |
|---|---|---|---|---|---|---|---|---|---|
| mm | inch | RPM | SMPM | SFPM | meter min. | inch min. | mm rev. | mil rev. | meter min. |
| 0.25 | 0.0098 | 75,000 | 59 | 193 | 1.52 | 60 | 0.020 | 0.80 | 15 |
| 0.30 | 0.0118 | 75,000 | 71 | 232 | 1.70 | 67 | 0.023 | 0.89 | 20 |
| 0.35 | 0.0138 | 73,000 | 80 | 263 | 1.75 | 69 | 0.024 | 0.95 | 20 |
| 0.40 | 0.0157 | 72,000 | 90 | 297 | 1.83 | 72 | 0.025 | 1.00 | 25 |
| 0.50 | 0.0197 | 57,000 | 90 | 294 | 1.45 | 57 | 0.025 | 1.00 | 25 |
| 0.65 | 0.0256 | 54,000 | 110 | 362 | 2.03 | 80 | 0.038 | 1.48 | 25 |
| 0.75 | 0.0295 | 48,000 | 113 | 371 | 2.16 | 85 | 0.045 | 1.77 | 25 |
| 0.90 | 0.0354 | 44,000 | 124 | 408 | 2.24 | 88 | 0.051 | 2.00 | 25 |
| 1.00 | 0.0394 | 43,000 | 135 | 443 | 1.09 | 43 | 0.025 | 1.00 | 25 |
| 1.27 | 0.0500 | 34,000 | 136 | 445 | 2.16 | 85 | 0.064 | 2.50 | 25 |
| 1.50 | 0.0591 | 30,000 | 141 | 464 | 1.83 | 72 | 0.061 | 2.40 | 25 |
| 2.00 | 0.0787 | 22,000 | 138 | 454 | 1.40 | 55 | 0.064 | 2.50 | 25 |
Part 6: Health and Safety
Always handle laminate with care. Laminate edges are typically sharp and can cause cuts and scratches if not handled properly. Handling and machining of prepreg and laminate can create dust (see G200 Material Safety Data Sheet (MSDS)).
Appropriate ventilation is necessary in machining/punching areas. The use of protective masks is suggested to avoid inhaling dust. Gloves, aprons and/or safety glasses are suggested if individuals have frequent or prolonged skin or eye contact with dust.
Isola Group does not use polybromidebiphenyls or polybromide-biphenyloxides as flame retardants in any product. Material Safety Data Sheets are available upon request.
04/14 PGG200A
Part 7: Ordering Information
Contact your local sales representative or visit: www.isola-group.com for further information.
Isola Group
Chandler, AZ 85226
3100 West Ray Road, Suite 301
Phone: 480-893-6527
Fax: 480-893-1409 email@example.com
Isola Asia Pacific (Hong Kong) Ltd.
Phone: 852-2418-1318
Unit 3512 - 3522, 35/F No. 1 Hung To Road, Kwun Tong, Kowloon, Hong Kong
Fax: 852-2418-1533
firstname.lastname@example.org
Isola GmbH Isola Strasse 2 D-52348 Düren, Germany
Fax: 49-2421-808164
Phone: 49-2421-8080 email@example.com
The data contained in this document, while believed to be accurate and based on both field testing and analytical methods considered to be reliable, is for information purposes only. Any sales of these products will be governed by the terms and conditions of the agreement under which they are sold.
|
SHADOXHURST PARISH COUNCIL
MINUTES 429
Minutes of the Ordinary Parish Council Meeting held in The Pavilion on Wednesday 12 December 2018 at 7.30 pm
PRESENT: Mr D Ledger (Chair), Mrs S Ellis, Mrs C Procter, Mr K Carroll,
Mr R Crowley and Mr M Richmond Coggan
PARISH CLERK: Mrs J Batt
BOROUGH COUNCILLORS:
COUNTY COUNCILLOR:
MEMBERS OF THE PUBLIC: There was one member of the Public in attendance for part of the meeting.
1. APOLOGIES FOR ABSENCE
An Apology for Absence was received from Mr S Cass as he would not be in Shadoxhurst at the time of the meeting and Borough Councillor Hicks and Borough Councillor Bradford.
2. APPROVAL OF REASONS FOR APOLOGY FOR ABSENCE
Councillors approved Mr Cass's Reason for Absence 5:1 abstention.
3. DECLARATIONS OF PECUNIARY AND SIGNIFICANT INTEREST
Declarations of Pecuniary Interest
There were no Declarations of Pecuniary Interest.
Declarations of Significant Interest
There were no Declarations of Significant Interest.
Updating of Declarations of Interest for the Code of Conduct
Councillors are reminded that they should update their Declarations of Interest with the Monitoring Officer if necessary.
Councillors are also reminded of their common-law responsibilities with regard to pre-determination and fettering of discretion in relation to agenda items.
4. ACCEPTANCE OF MINUTES OF PREVIOUS MEETING
Minutes 428 of the meeting held on 21 November 2018 were accepted and it was unanimously agreed that Mr Ledger should sign them.
Proposed Mrs Procter
Seconded Mr Carroll
Page 1422
5. MATTERS ARISING FROM THE PREVIOUS MINUTES
There were no Matters Arising not covered on the Agenda.
6. PUBLIC INTERVAL
The meeting was opened to the public from 7.33 – 7.42, during which time the resident in attendance put forward critical comments regarding a planning application, which was to be discussed under item 7.
7. PLANNING
Please see attached list.
Discussion and Decision on action to be taken on any other matters related to Planning issues within the Parish
An appeal has been lodged in respect of Planning Application no 17/01888/AS Land north of Farley Close, Woodchurch Road, Shadoxhurst, Kent. Councillors will consider submitting additional information.
Councillors agreed to send the matrix prepared by Mrs Procter to show that we should not be in HOU5 to the Planning Inspector to ensure that he has seen the document.
Chilmington Green
Nothing to report
Meeting with Foster and Payne
Foster and Payne have confirmed that they will attend the Public Meeting on 13 January 2019.
8. CORRESPONDENCE, FINANCE AND OTHER COUNCIL BUSINESS
Open Spaces
ABC Booking Form for Village Hall for Election
WKPS
Open Spaces
EK Fire – Fire Safety Log Book - Mr Carroll will read and report back
Countryside Voice
ABC Rate Demand
EMAIL CORRESPONDENCE BROUGHT TO THE ATTENTION OF THE MEETING All emails are forwarded to all Councillors with email
ABC re Precept for 2019/2020
Mid-Year Audit
The Clerk read out Mr Robbins report. There were no matters for attention.
Bank Reconciliation - Long Term Deposit account
Opening Balance 910.00Balance per Current Account 910.00
Bank Reconciliation - Village Hall and Pavilion Account as at last statement
| Opening Balance ex memorandum a/c 1000.00 | Balance per Current Account 10312.10 |
|---|---|
| Plus Receipts 17818.75 | Plus Uncleared Receipts 0.00 |
| 18818.75 | 10312.10 |
| Less Payments 8566.65 | Less Uncleared Cheques 60.00 |
| 10252.10 | 10252.10 |
Bank Reconciliation – Parish Council Treasurers Account as at last statement
| Add Receipts 34017.93 | Plus Uncleared Receipts 0.00 |
|---|---|
| 86042.56 | 32450.81 |
| Less Payments 53741.75 | Less Uncleared Payments 150.00 |
| 32300.81 | 32300.81 |
| Less Earmarked Funds 13108.96 | Less Earmarked Funds 13108.96 |
EARMARKED RESERVES
| | Balance 10.10.18 | +/- November |
|---|---|---|
| Recreation Facilities | 4000.00 | |
| Bulb and Tree Planting + Planter | 200.00 | |
| Bus Shelters | 800.00 | |
| Contingency | 957.31 | |
| Website | 100.01 | |
| Millennium Sign | 600.00 | |
| Tree Surgery | 400.00 | |
| Recreation Field Drainage | 2000.00 | |
| Village Events Account Marquee Hire Banners Cash Payments VAT adjustment | 2286.90 | -150.00 -56.20 -385.20 -64.26 |
| Village Hall Repairs added Nov 18 | | 797.40 |
| Pavilion Repairs added Nov 18 | | 623.00 |
| Decorating added Nov 18 | | 1000.00 |
| TOTAL | 11344.22 | 1764.74 |
Parish Council Accounts to be Paid
| PAYEE | CHQ NO | DETAILS | NET £ | VAT £ |
|---|---|---|---|---|
| Mrs J Batt | 1086 | Salary Expenses General Admin | 462.65 2.25 14.00 | |
| HMRC | 1087 | Income Tax | 20.40 | |
| Colour Thirst | 1088 | Newsletter Printing | 159.00 | 31.80 |
| | CHQ NO | DETAILS | NET £ | VAT £ |
|---|---|---|---|---|
| Bibby (Lodestar Cleaning) | 036 | Cleaning Caretaking - Hall | 200.15 51.32 | 50.29 |
Resolution: Councillors unanimously agreed to pay the above accounts and noted the Direct Debit Payment to EDF of £177.00 for the electricity for the Village Hall and £50.00 for the electricity for the Pavilion
Proposed Mrs Ellis Seconded Mr Richmond Coggan
Internet Banking
Nothing to report.
Setting up of Direct Debit with Castle Water
Mrs Ellis and Mr Ledger have not yet set the Direct Debit up.
Insurance
The policy is due to be renewed in February.
Transparency
Councillors were asked to monitor the website to ensure that we comply with legislation.
Data Protection
Nothing to report
Lorry Watch/Speed Watch
Deferred to future meeting.
Conservation Area Review Group Report
Mr Crowley reported that they had met with Helen Garnett from ABC and the next step is to prepare a matrix of the area, which she is going to help with. We are at the top of ABC's list for a Conservation Area Review and the Policy Officer is supportive of the Parish Council submitting a plan to extend the Village Green. A local resident is keen to assist in terms of capturing the history of Shadoxhurst and offered to join the group as a consultee.
.
Utilities Advisory Group
Members met with a representative of Southern Water and are hoping for answers to the questions raised at the meeting by Christmas.
Village Forum
Next meeting is due to be held on 8 January.
Road Signs
The terminus sign at Stubbs Cross has been changed. The sign at Quince Cottage still says 40 mph.
Risk Assessment
Mr Richmond Coggan has not completed the Risk Assessment.
Defining Village Confines
Mr Ledger attended the workshop with ABC on 30 November and it was agreed to hold a meeting on 2 January, prior to the Public Meeting to ensure that Councillors have everything clear in their minds to enable them to answer any questions put to them at the meeting and to prepare a survey to be given to everyone who attends. Information on the Village Confines and proposed developments in Shadoxhurst will be relayed to residents via the Village Forum on 8 January. A leaflet will also be prepared and taken to the Coffee Club where residents will be asked to take a few to distribute to their neighbours.
The information from the Village Confines Workshop will be distributed to all Councillors.
NALC Legal Briefing L09-18 Public Sector Bodies Regulations 2018
The Clerk will contact Mr Stanley and ask his advice regarding this.
Arrangements for Public Meeting
The Public Meeting to alert Members of the Public to the proposed Village Confines and the proposed developments in Shadoxhurst is to be held on 13 January.
Following a vote Councillors agreed that the Developers will be permitted to attend, but will be limited to the amount of space they are given to display their information.
Proposal to form Charitable Land Trust in Shadoxhurst
Councillors agreed in principle to form a Charitable Land Trust. Mr Crowley will investigate further.
9. CHAIRMAN'S REPORT
Not much to report this month. Carol and I attended the Village Confines Workshop at ABC. It did show that we knew quite a lot more than some of the other attendees. However, it is still troubling that the interpretations of 'confines' are likely to be an eternal problem to Shadoxhurst.
10. SHADOXHURST WEBSITE
Nothing to report.
11. VILLAGE HALL, PAVILION, RECREATION FIELD, VILLAGE GREEN AND SIGN Inspection of Village Hall and Pavilion before and following Hiring
Mr Ledger and Mrs Ellis in December
Mr Cass in January
Mr Carroll in February
Mrs Procter in March
Terms of Reference for Village Hall and Pavilion Working Group
The following was proposed and will be discussed again at the next meeting:
The Working Group will consist of 3 Parish Councillors plus the Chairman of the Parish Council as ex officio.
The Group will be responsible for:
The day to day running of the Village Hall and Pavilion, overseeing the cleaning and maintenance, and health and safety in the Village Hall and Pavilion.
In consultation with the full Parish Council, preparing specifications and inviting quotations for work required to the Village Hall and Pavilion.
The quotations will be sent to the Parish Clerk and opened at full Parish Council meetings at which the decision as to which one to accept will be taken.
The members of the Group shall not authorise any payment for work. Any work required must be agreed at a Parish Council meeting and all accounts for payment will be sent to the Parish Clerk for authorisation at a full Parish Council meeting.
If applicable, the Group will prepare a monthly report to be submitted to the Clerk in time for the monthly Parish Council Meeting.
Report from Village Hall and Pavilion Working Group
The newly formed group has not yet met.
We will ask the Fire Inspector to come and look at the hall and advised on fire safety and the number of people we should allow in the Village Hall and Pavilion.
General Issues relating to the Field/Car Park/Play Area/Village Sign/Village Green The Pearce Coggan Foundation has planted 300 bulbs in the sign area and 6 new shrubs. The road sign will be left where it is.
Renovation of Village Pump, Seat and Sign
The renovation work will be undertaken in the Spring.
.
Grass Cutting Specification
We are in a 3-year contract with Aspire until 2020.
Before cancelling the contract for cutting the Village Green we need to contact Aspire to see whether the cancellation will affect the cost of the rest of the grass cutting in the village, give the gentleman who is interested in taking the contact on a specification and ask him for a quote, along with a method statement and risk assessment.
Valuation of the Hall and Pavilion
Hobbs Parker will be asked to value the Hall and Pavilion.
Tree Inspection
A Tree Surgeon will be asked to inspect and report on the condition of the trees on the Recreation Field and Green. Mrs Procter will email the Clerk with the name of a Tree Surgeon.
12. BOROUGH COUNCILLORS REPORT
Councillor Hicks and Councillor Bradford were unable to attend the meeting.
13. COUNTY COUNCILLORS REPORT
Councillor Angell was unable to attend the meeting.
14. VILLAGE RESPONSIBILITIES
Village Sign Area
Nothing new to report. Remove from agenda as covered under item 11.
Condition of Byways in Shadoxhurst
Nothing to report.
Rural Bus Service
Nothing to report.
Emergency Planning
Defer to future meeting.
15. ITEMS FOR INCLUSION ON THE NEXT AGENDA
No items were put forward for inclusion.
16. KENT HIGHWAYS/PROW
The Clerk reports highway issues via the KHS Portal.
KCC Footpath Review
Nothing to report.
Items to be reported to KHS/PROW
No items were put forward.
Painting of Yellow Lines in Woodchurch Road Bus Stop Lay By
Nothing to report.
Parking outside Rectory Bungalows
Nothing to report.
17. FORUM FOR EXCHANGE OF INFORMATION BETWEEN COUNCILLORS
SHADOXHURST PARISH COUNCIL
RECORD OF PLANNING APPLICATIONS
DECEMBER 2018
18/01707/AS Frog Hollow, Church Lane, Shadoxhurst, Ashford, TN26 1LY Reserved matters for House Style, House Size, Location on Site, Landscaping, Approval of new entrance location from road in accordance with new dwelling permitted under outline application 17/1153/AS
Parish Council: OBJECT as this application disrespects the existing planning permission, 17/01153/AS, which was granted on the basis that:
1. In their own Design and Access statement for application 17/01153/AS points 5.10 - 5.13 specifically state that there will be no impact on other properties residential amenity. This application is contrary to that.
2. In the officer's assessment, paragraph 5.7, the application was granted on the basis that the built building would be in line with the Outline Application and this is captured in condition 5 of the Planning Consent.
The proposed property is of an overbearing size for the Church Lane area of Shadoxhurst.
This application is nothing like the original Outline Application in size, scale, exact location and bulk appropriate for the area.
The nearest property will lose significant residential amenity.
The health of the neighbour will be adversely affected by this property.
The property is closer to and extends beyond the back building line of Dragonfly.
If the Planning Officer is minded to consent to a property slightly larger than the Outline Permission, we would ask that they consider moving the building further away from Dragonfly.
Councillors will approach the Ward Councillors and if it is appropriate, if the officer is minded to permit, then they would ask that it is elevated to the Planning Committee
18/01715/AS Magnolia House, Blindgrooms Lane, Shadoxhurst, Ashford, Kent, TN26 1HN Proposed garage in place of garage previously approved Parish Council: Support
18/01716/AS Plot 3, Former T K Banbury Transport Ltd, Blindgrooms Lane, Shadoxhurst, Kent Proposed garage in place of garage previously approved Parish Council: Support
18/01720/AS Casa Ybel, Hornash Lane, Shadoxhurst, Ashford, Kent, TN26 1HU Conversion of garage to living accommodation and store.
Parish Council: Support
An appeal has been lodged in respect of the following:
17/01888/AS Land north of Farley Close, Woodchurch Road, Shadoxhurst, Kent
Decision Notices received from ABC
18/01004/AS Woodside, Nickley Wood Road, Shadoxhurst, Ashford, Kent, TN26 1LZ Variation of condition 5 on planning permission 14/01274/AS (Erection of detached 3 bedroom bungalow & garage (Resubmission of application 13/01064/AS)) to allow for change in design and size of dwelling
Borough Council: Permit
18/01215/AS Land between The Hollies and Park Farm Close, Woodchurch Road, Shadoxhurst, Kent Installation of 2 x 4000 litre Calor gas tanks Borough Council: Permit
18/01367/AS Land rear of the Kings Head, Woodchurch Road, Shadoxhurst, Kent The excavation for the formation of the tie down base and installation of 2x 4000 litre LPG tanks underground and backfill, to provide gas supply for the 19 dwellings on site. Borough Council: Permit
18/01444/AS 31 Molloy Road, Shadoxhurst, Ashford, TN26 1HR Replace18ft section of bushes (approx. 12ft high) with 6ft openable gates Borough Council: Permit
|
Anguilla Electricity Company Limited Financial Statements
December 31, 2004
AUDITORS' REPORT
To the Shareholders of Anguilla Electricity Company Limited
We have audited the accompanying balance sheet of Anguilla Electricity Company Limited, as at December 31, 2004 and the income statement, the statement of retained earnings and the statement of cash flows for the year then ended. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audit.
We conducted our audit in accordance with International Standards on Auditing as promulgated by the International Federation of Accountants. Those Standards require that we plan and perform the audit to obtain reasonable assurance as to whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audit provides a reasonable basis for our opinion.
In our opinion, these financial statements present fairly, in all material respects, the financial position of the Company as at December 31, 2004 and the results of its operations and its cash flows for the year then ended in accordance with International Financial Reporting Standards promulgated by the International Accounting Standards Board.
Chartered Accountants The Valley Anguilla
July 12, 2005
Balance Sheet
December 31, 2004, with corresponding figures for 2003
Expressed in Eastern Caribbean Dollars (EC$)
On behalf of the Board
_____________________________ Chairman
Everet Romney
_____________________________ Director
Ambrose Richardson
The accompanying notes form an integral part of the financial statements.
Income Statement
Year ended December 31, 2004, with corresponding figures for 2003
Expressed in Eastern Caribbean Dollars (EC$)
The accompanying notes form an integral part of the financial statements.
4
Statement of Retained Earnings
Year ended December 31, 2004, with corresponding figures for 2003
Expressed in Eastern Caribbean Dollars (EC$)
The accompanying notes form an integral part of the financial statements.
Statement of Cash Flows
Year ended December 31, 2004, with corresponding figures for 2003
Expressed in Eastern Caribbean Dollars (EC$)
The accompanying notes form an integral part of the financial statements.
Notes to the Financial Statements December 31, 2004
1. The Company
The Company was incorporated in Anguilla on January 11, 1991 under the Companies Act and is governed by the Electricity Ordinance, 1991, as amended and operates in The Valley, Anguilla. The Government of Anguilla which was the major shareholder of the Company, offered 6,600,000 shares to the general public through an Initial Public Offering on August 1, 2003.
The Company has an exclusive public supplier's license to generate, transmit and distribute electricity on the island of Anguilla for a period of fifty years from April 1, 1991.
The financial statements were authorized for issue by the Board of Directors on July 12, 2005.
2. Significant Accounting Policies
(a) Statement of compliance:
The financial statements have been prepared in accordance with International Financial Reporting Standards promulgated by the International Accounting Standards Board ("IASB"), and interpretations issued by the Standing Interpretations Committee of the IASB.
(b) Basis of preparation:
The financial statements are presented under the historical cost basis and are presented in East Caribbean Dollars, as the majority of assets are denominated in this currency.
(c) Use of estimates:
The preparation of the financial statements in accordance with International Financial Reporting Standards ("IFRS") requires management to make estimates and assumptions that affect the amounts reported in these financial statements and the accompanying notes. These estimates are based on relevant information available at the balance sheet date and as such, actual results could differ from those estimates.
(d) Property, plant and equipment:
Owned Assets
Items of property, plant and equipment are stated at cost less accumulated depreciation (refer below) and impairment losses (refer to accounting policy "p"). The cost of self-constructed assets includes the cost of materials, direct labour and an appropriate proportion of production overheads.
Impairment
Property, plant and equipment are reviewed at each balance sheet date to determine whether there is objective evidence of impairment. If any such indication exists, the asset's recoverable amount is estimated. All impairment losses are charged to the income statement.
Subsequent Expenditure
Expenditure incurred to replace a component of an item of property, plant and equipment that is accounted for separately, is capitalized with the carrying amount of the existing component being written off. Other subsequent expenditures are capitalized only when they increase the future economic benefits embodied in the item of property, plant and equipment. All other expenditure is recognised in the income statement as an expense as incurred.
Notes to the Financial Statements(Continued)
December 31, 2004
2. Significant Accounting Policies (Continued)
(d) Property, plant and equipment (continued):
Depreciation
Depreciation is charged to the income statement on the straight-line basis over the estimated useful lives of items of property, plant and equipment. Land is not depreciated. The estimated useful lives are as follows:
Freehold Buildings
40 years
Plant and Machinery
10-20 years
Furniture, Fittings and Equipment 5 years
Motor Vehicles
3-5 years
(e) Investments:
Classification
Held-to-maturity investments are financial assets with fixed or determinable payments, fixed maturity and those that the Company has a positive intent and ability to hold to maturity. These include short-term placements with banks.
Recognition/Derecognition and Measurement
Held-to-maturity investments are recognised/derecognised on the day they are transferred to/by the Company, respectively.
Investments are initially measured at cost, including transaction costs.
Subsequent to initial recognition, held-to-maturity investments are measured at amortized cost less impairment losses. Amortized cost is calculated on the effective interest rate method. Premiums and discounts, including initial transaction costs, are included in the carrying amount of the related instrument and are amortized based on the effective interest rate of the instrument.
Impairment
Investments are reviewed at each balance sheet date to determine whether there is objective evidence of impairment. If any such indication exists, the asset's recoverable amount is estimated. All impairment losses are charged to the income statement.
(f) Inventories:
Inventories are valued at the lower of cost and net realisable value. Cost is determined on a weighted average basis.
(g) Trade and other receivables:
Trade and other receivables are stated at their cost less impairment losses (refer to accounting policy "p").
Notes to the Financial Statements(Continued)
December 31, 2004
2. Significant Accounting Policies (Continued)
(h) Cash & cash equivalents:
Cash and cash equivalents comprise cash balances and term deposits. For the purpose of the statement of cash flows, cash and cash equivalents are presented net of bank overdraft.
(i) Repurchase of share capital:
When share capital recognized as equity is repurchased by the Company, the amount of the consideration paid, including directly attributable costs, is recognized as a change in equity. Repurchased shares are presented as a deduction from total equity.
(j) Interest-bearing loans:
Interest-bearing loans are recognized initially at cost, net of any transaction costs incurred. Subsequent to initial recognition, interest-bearing loans are stated at amortized cost.
(k) Revenue:
Revenue from the sale of electricity is recognized in the income statement based on consumption recorded by monthly meter readings, with due adjustment made for unread consumption at yearend by apportioning the consumption of the following month.
(l) Trade and other payables:
Trade and other payables are stated at their cost.
(m) Contributions in aid of construction:
Contributions in aid of construction are amounts received from certain customers towards the cost of providing services. These amounts are amortized over the estimated service lives of the related assets over the same period. Contributions received in respect of unfinished construction are amortized once the assets are placed in service.
(n) Finance cost:
All interest and other costs incurred in connection with borrowings are expensed as incurred as part of finance costs.
Borrowing costs that are directly attributable to the acquisition, construction or production of qualifying assets are capitalized as a part of the cost of the asset.
(o) Foreign currencies:
Transactions in foreign currencies are converted to EC Dollars, the functional and reporting currency of the Company, at the foreign exchange rate ruling at the date of the transaction. Monetary assets and liabilities denominated in foreign currencies at the balance sheet date are translated to EC Dollars at the foreign exchange rate ruling at that date. Foreign exchange gains and losses are recognized in the income statement in the year in which they arise. Non-monetary assets and liabilities denominated in foreign currencies, which are stated at historical cost, are translated to EC Dollars at the foreign exchange rate ruling at the date of the transaction.
Notes to the Financial Statements(Continued) December 31, 2004
Expressed in Eastern Caribbean Dollars (EC$)
2. Significant Accounting Policies (Continued)
(p) Impairment:
The carrying amounts of the Company's assets are reviewed at each balance sheet date to determine whether there is any indication of impairment. If any such indication exists, the asset's recoverable amount is estimated. An impairment loss is recognized whenever the carrying amount of an asset exceeds its recoverable amount.
(q) Income tax:
No provision is made for income tax since Anguilla does not have any form of income tax.
(r) Dividends:
Dividends are recognised as a liability in the period in which they are sanctioned by the shareholders. Dividends per share have been calculated by dividing the dividend declared by the weighted average number of issued ordinary shares.
(s) Earnings per share:
Earnings per share have been calculated by dividing the net profit for the year of $6,305,713 (2003:$4,163,869) by the weighted average number of issued ordinary shares of 11,636,147 (2003:11,636,147).
(t) Corresponding information:
Certain corresponding figures for 2003 have been reclassified to conform to current year's presentation, where necessary.
3. Property, Plant and Equipment
Furniture,
Net Book Values:
Notes to the Financial Statements (Continued) December 31, 2004
Expressed in Eastern Caribbean Dollars (EC$)
4. Investments
Chequing account/(bank overdraft), [secured by a debenture on assets with interest rate of 9.2% per annum and expires on 30th September, 2005]
550,932 (1,853,458)
Cash resources in the statement of cash flows
3,967,665 (1,502,025)
Notes to the Financial Statements (Continued) December 31, 2004
Expressed in Eastern Caribbean Dollars (EC$)
9. Share Capital
During the year 1998, the Company repurchased 5,400,000 of class "B" ordinary shares at a consideration of EC$2,500,000. The difference between the original issue price and the cost to acquire treasury stock is shown as Discount on treasury stock. In June, 2003, all shares of the Company were converted to one class of Ordinary Shares to rank Pari Passu, thus removing the various stock categories.
On September 1, 2003, the Government of Anguilla (GOA), sold 6,600,000 ordinary shares of Anguilla Electricity Company Limited in an Initial Public Offering at EC$2.50 per share.
The Board of Directors for the Social Security Board are appointed by the Government of Anguilla.
All classes of shares have been converted to one class of ordinary shares effective June 3, 2003.
To date, the shares of the Company are not listed on any stock exchange.
Notes to the Financial Statements (Continued) December 31, 2004
Expressed in Eastern Caribbean Dollars (EC$)
10. Interest-Bearing Loans
(I) This loan (02 SFR-ANG) was made to the Government of Anguilla on July 18, 1983. The total amount disbursed was US$1,084,751 of which US$463,253 was transferred to the Company on April 1, 1991. The loan is guaranteed by and repaid through the Government of Anguilla in equal quarterly installments of approximately US$7,700, plus interest at the rate of 4% per annum. The final payment was made during the financial year.
(II) This loan (03 SFR-ANG) was made to the Government of Anguilla on February 18, 1986. The total amount disbursed was US$1,435,709 which was transferred to the Company on April 1, 1991. The loan is guaranteed by the Government of Anguilla and is repaid in equal quarterly installments of US$24,754, plus interest at the rate of 4% per annum. The final payment is due on March 31, 2007.
(III) This loan was made to the Company by the Caribbean Commercial Bank (Anguilla) Ltd. (CCB) on May 7, 1998 to refinance the Commonwealth Development Corporation loan. The loan is guaranteed by the Government of Anguilla. The total amount disbursed was US$1,800,000. This loan is repaid in equal semi-annual installments of US$116,550, including interest at the rate of 7.75% per annum. The final payment is due on May 7, 2010.
(IV) This loan (02/OR-ANL) was made to the Company by the Caribbean Development Bank (CDB) in the year 2000 to finance the purchase of two generators. The total amount disbursed was US$3,720,000. This loan is repaid in forty eight (48) equal and consecutive quarterly installments of US$113,280 with a current interest rate of 5.75% per annum. This will be payable after two (2) years following the expiry of the first disbursement. Borrowing costs of EC$245,743 were capitalized and included in property, plant and equipment (Note 3). This loan is secured by a legal charge over the Company's property, plant and equipment as well as the freehold property of the Company.
11. Contributions in Aid of Construction
Notes to the Financial Statements (Continued)
December 31,2004
Expressed in Eastern Caribbean Dollars (EC$)
12. Gross Operating Revenue
* As per Electricity (rates & charges) Regulations, tariffs shall be subject to a surcharge of 1 cent per unit for every 10 cent per gallon increase in the price of fuel oil over EC$3.64 per gallon. The Company imposed the fuel surcharge for nine months in 2004 when fuel prices rose above EC$3.64.
13. Generation- Other Expenses
14. Transmission and Distribution Expenses
22
Insurance
1,528,515
1,325,216
4,490,468
4,651,599
Notes to the Financial Statements (Continued) December 31, 2004
Expressed in Eastern Caribbean Dollars (EC$)
25
ANGUILLA ELECTRICITY COMPANY LIMITED
Notes to the Financial Statements (Continued) December 31, 2004
Expressed in Eastern Caribbean Dollars (EC$)
18. Related Party Transactions and Balances (Continued)
The Company has entered into the following transactions/balances with the Goverment of Anguilla (GOA) as follows:
* Trade receivable from GOA EC$1,672,128 (2003: EC$2,851,451).
* The GOA imposed an environmental levy of 5% on Revenues excluding Government's usage, on the Company effective September 1, 2003. The amount payable to GOA for the month of December is $129,919.
* License fees paid to GOA is EC$400,000 for the years 2004 and 2003.
* The Company has a loan with the Caribbean Commercial Bank (Anguilla) Ltd. (CCB) with an outstanding balance of EC$2,763,211 (2003: EC$3,152,880) (see note 10).
* The GOA has guaranteed the CDB (02SFR-ANG), CDB (03SFR-ANG) and CCB loans borrowed by the Company (see note 9).
19. Commitments
During the current year, the directors have approved approximately EC$2,965,114 (2003: EC$3,072,000) for capital expenditure of which EC$460,556 had not been spent at December 31, 2004.
20. Credit Risk and Fair Value Disclosure of Financial Instruments
Financial assets of the Company include cash, term deposits, investments and accounts receivable. Financial liabilities include accounts payable, accruals and loans.
(a) Credit Risk
Credit risk on receivables is concentrated in the Government of Anguilla, one of the largest consumers and also the largest debtor. The level of credit risk is reflected in the provision for bad and doubtful receivables. (Refer to notes 6 and 7).
(b) Fair Value
The fair values of cash, accounts receivable, accounts payable and accruals and long-term loans are not materially different from their carrying amounts.
Fair value estimates are made at a specific point in time, based on market conditions and information about the financial instrument. These estimates are subjective in nature and involve uncertainties and matters of significant judgment and, therefore, cannot be determined with precision. Changes in assumptions could significantly affect estimates. All non-financial instruments such as prepaid expenses, and contributions in aid of construction are excluded from fair value disclosure.
21. Subsequent Event
6,557,066 4,535,518
1,647,528
244,467
The Company has recently sought funding from the Caribbean Development Bank for the purchase of two new generators. The full loan amount is US$9.038 million with CDB providing 67.4% funding and the company generating its own funds to represent the remaining 32.6%.
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Fun Facts
Did you know that…
-
Chimpanzees, orangutans, gorillas and bonobos are all considered Great Apes?
Chimpanzees are the closest living relative to humans based on DNA.
Coltan is a mineral mined in the Congo for electronic devices, including phones. But, this mining infringes on primate habitats.
Most primates around the world are facing extinction.
Chimpanzees love to eat figs, fruits, nuts and seeds, honey, and insects.
Great apes create new sleeping nests each evening.
The word primate means "first rank."
Great apes at the Wilhelma Zoo enjoy watching TV, especially documentaries about animals.
The scientific name for a gorilla is Gorilla gorilla gorilla.
Focus on Primates!
February 2018
Computer Network Solutions and Management Services
AxiNews
Inside AxiNews
p1: Cyber Security p1: Primate Protection p3: Advanced Google Search
p4: Inquiring Minds
Cyber Security—It's Always Been Our Business
by Jake Nonnemaker
Hopefully most of you read the CyberSecurity one page newsletter that we sent out in January. If not, it's available for download on the AXICOM website. I will revisit some of the points made in that newsletter and also point out some other resources and thoughts I have on cybersecurity.
What Cyber Security Measures Are Already in Place
AxiGuard is the remote monitoring and management system that we use to protect your computer and network systems on a 24/7 basis through software. AxiGuard includes anti-virus, password security, Windows security patching, and 24x7 monitoring to name the main cyber security features. On the hardware side, firewalls add a vital component as a gateway monitoring system. All AXICOM clients have firewalls as a matter of policy.
AxiGuard Enhanced Security
Looking toward the future, AXICOM will offer an additional package of services called
AxiGuard Enhanced Security which will include email encryption, password management, security awareness training, employee anti-phishing training, secure DNS and web content filtering, dark web monitoring, sytem log retention and archiving, two-factor, multi-factor authentication and external/internal security scanning. Clients can choose which of these services they would like to add into their service program. Depending on the nature of your business, you might choose some or all of the available options.
Become Educated and Informed!
You don't need to be an expert but having some basic understanding of cybersecurity policies and how to avoid common cybersecurity problems will go a long way to preventing interruptions to your business. I have posted a few videos on the AXICOM website on cybersecurity topics including Boosting Your Online Safety and Privacy, Avoiding Tech Support Pop-Up Scams and Cyber Security Tips. You can access these videos at axicom.net/video. As an aside, the
(Continued on page 2)
Primate Protection Efforts
Many of you have heard of Jane Goodall and Dianne Fossey but there are so many others who have devoted their lives to protecting primates in Africa. Apes, chimpanzees, orangutans, and monkeys are constantly under siege due to the continuing deforestation in Africa, the never-ending poverty and the increase in population, all of which place pressure on primate habitats. Surprisingly, there are many primate rescue habitats in the United States as well. These communities are devoted to rescuing primates that had been used in biomedical research or for entertainment.
In Africa
The African Wildlife Fund is a large nonprofit that seeks to protect a wide variety of
(Continued on page 2)
Computer Cookies (cont.)
(Continued from page 1)
video How to Create and Restore a Windows System Image is also available and is quite popular with over 19K views on You Tube! I mention this because I'm very surprised this would garner the attention of so many—that video is as nerdy as it gets!
The second page of the cybersecurity newsletter available on the AXICOM website (January 2018) also has a checklist of great ways to observe some effective cybersecurity measures.
I speak regularly to groups about cybersecurity issues and I'd be happy to schedule a time to come speak to your organization. Warren Buffet believes cyber attacks to be a bigger threat to humanity than nuclear weapons. And, if he considers cyber attacks a concern, then we should as well.
Primate Protection (cont.)
(Continued from page 1)
African wildlife from poachers and other encroachments. The project to save these primates
from extinction is called the African Apes Initiative. Four of the five great apes live in Africa— chimpanzees, bonobos, and two types of gorillas. The African Apes
Initiative seeks to save at least one population of the 9 sub-species of these four types of great apes. These apes cover many countries in Africa but are being pushed into smaller and smaller areas as farmers and large corporations continue to farm and mine in their habitats.
The Jane Goodall Institute plays a very active role in educating African residents about chimpanzee
Jake speaking at the Simi Chamber of Commerce this past January on cyber security issues.
conservation including radio and TV announcements, and billboards and posters in local communities. The Institute also supports women's craft efforts, training for park rangers, comprehensive management plans for national parks, zoo education and awareness for youth via the Roots and Shoots Program. And, there are opportunities to adopt chimpanzees through the Jane Goodall Institute.
In the United States
In the United States, there are numerous primate sanctuaries and foundations that help primates find safe havens in the United States as well as around the world. There are primates that need sanctuary from their former lives in bio-medical research, entertainment, or other situations where they no longer have homes. The Center for Great Apes, in Florida, is just one example of a sanctuary created for chimpanzees and orangutans. Individuals who want to support the sanctuary are able to adopt a primate with a minimum donation.
Primate Eco-Tourism
Many places in Africa have turned to eco-tourism to generate revenue for conservation efforts while also providing income and poverty-reduction opportunities. Eco-tourist venues are staffed by local people which helps the local economy while offering unique opportunities to travelers from abroad. It helps to build environmental awareness while having minimal impact on the surrounding areas. However, sometimes, it does not benefit local areas which creates a problem. The Smithsonian Conservation Biology Institute scientists have focused on working with local experts to habituate western lowland gorillas to the presence of human observers. It takes 5 to 7 years to habituate the gorillas to human presence which is the job of local guides and trackers. It is a paradox to be habituating the gorillas to human interaction in order to save their species.
Use Google Search Like an Expert!
Everyone is familiar with Google Search, and most of us use it every day to find the information we need. Ironically, very few people know how to make the most out of this search engine. Read on to use Google like a pro.
or even recent stories, too. Time period search minimizes this headache by allowing you to specify a date range so you can find recent stories or archived news faster.
Include and exclude keywords
Google will understand most of the search terms you type into it. However, at times the search engine will match only some of the words you typed, showing limited results. To avoid this, just point out which keywords are the most important by adding a plus symbol (+) in front of words you would like Google to include in the search results.
And if the results you're looking for get pushed off the page by similar yet irrelevant articles, adding a minus symbol (-) in front of keywords you don't want to see will avoid them popping up in the first place. For example, "+cloud services -hybrid cloud" will provide search results about different cloud services while excluding results related to hybrid cloud.
Additionally, searching a phrase within double quotation marks guarantees to retrieve results that include only the exact phrase that matches your query.
Do a website search
Ever need to look for information from a specific website? Instead of visiting that website and sifting through different pages, Google makes it a breeze by allowing you to add "site:url" to the end of your search query.
For example, if you want to find what Forbes has written about security, simply head to Google's homepage and type "security site:www.forbes.com." This makes sure Google includes only pages from Forbes that are about security in your search results.
You can also limit search results to university and government websites by adding "site:.edu" or "site:.gov" to your search query. Combining this with the keyword manipulation trick above will narrow your search even more.
Search by time period
Google has been indexing the web for decades in order to add web pages into its database. Because of that, it could be quite time-consuming sifting through countless search results to find an old website or page,
Just run a search like you normally would. Then click on Tools under the search box and hit the Any time drop-down menu. From there, you can choose the time period parameter, such as past month or past week, or fill in an exact time period.
Use Google to locate files
While Google mainly focuses on indexing web pages, it also indexes publicly available files like PDFs and spreadsheets. To look for them, just type in "filetype:" after your search query. For example, typing "report filetype:pdf" will provide PDFs with "report" in the title.
Advance your search
Advanced Search can be accessed by clicking Settings from the toolbar located under the search box. This gives you more ways to refine your searches, such as by region or language. By default, search results are prioritized based on your location, so you should adjust that according to the topics you're searching for.
While these tips might not be the most exciting thing from the tech giant, they sure help businesses save time and work smarter instead of harder. And in today's fast-paced business environment, little things like these make a huge difference. If you have questions about how to use Google products to streamline your daily routine and increase productivity, just give us a call.
Published with permission from TechAdvisory.org. Source.
February 2018
31352 Via Colinas #104 Westlake Village, CA 91362 (818) 865-9865 firstname.lastname@example.org www.AXICOM.net
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Inquiring Minds...
Why You Need a Password Manager
Many of you heard about the false alarm about the ballistic missile alert that went out from the Hawaii Emergency Management Agency on January 13. However, the governor of Hawaii, Gov. David Ige, could have alerted Hawaiians that it was a false alarm by Twitter two minutes after the alert went out. However, he'd forgotten his Twitter password! So, it took the state 15 minutes to get the news out via social media channels and 38 minutes after the initial alert for the HEMA to send out a retraction. In the meantime, there was understandable panic.
Self-Driving Minivan Ride-Share Service to Start in Arizona
Waymo, a division of Alphabet, has purchased
Our printed newsletters are always available online! Check it out at www.AXICOM.net.
thousands of Chrysler Pacifica hybrid minivans which will be used for fully autonomous public ride-sharing (taxi service) in Phoenix starting in late 2018. Waymo has already been testing the technology in other American cities.
Primate Skills
The Iowa Primate Learning Sanctuary in in Des Moines, IA is dedicated to understanding the origins of language, tools and intelligence. The IPLS is situated on 230 acres and houses six bonobos: Matata, Kanzi, Elikya, Maisha, Teco and Nyoto. Some of the bonobos, such as Kanzi, learned how to acquire language by watching it being taught. Three of the bonobos use over 400 lexigram symbols printed on paper or appearing on computer screens.
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GAHCHO KUÉ MVLWB Public Hearings
May 6 to 8, 2014
Agenda
1. Project Overview
2. Summary of Key Intervention Responses
* General WL Conditions
* Adaptive Management Plan/Response Framework and Action Levels
* Dyke Construction Management Plan/Water Management Plans/Erosion and Sediment Management Plan
* SSWQOs
* Effluent Quality Criteria (N11 and Area 8)
* Aquatic Effects Monitoring Program
* Waste Management Plans
* General Management Plans
* WWHHP
* Reclamation and Closure
3. Summary
2
Project Overview Construction
Dyke G
3
Area 8
Project Overview (continued) Construction
4
Project Overview (continued) Operations
5
Project Overview (continued) Closure
6
Summary of Key Intervention Responses
Gahcho Kué Project
Water Licence Recommendations General Conditions
* Restricted water discharge period during operations to three years (DKFN_15 and ENR_24)
– De Beers disagrees for a restriction of operational discharge for 3 Years in WL but does agree that operational discharge will need to meet all EQCs and established WQOs
* Installation of a water treatment plant at the proposed Gahcho Kué mine site (NSMA_3)
– De Beers does not support this recommendation
– The water management plan does not require a water treatment plant to achieve its objectives
– Water treatment was considered during the EIR process and the Panel report concluded that a water management contingency plan be completed that includes "contingent water treatment, in the event that water quality is not suitable for discharge during the operations and closure phase"
– De Beers has included the option for active water treatment as a defined contingency in the Water Management Plan
* Ni Hadi Yati inclusion in the WL (DKFN_3 and DKFN_5)
– Ni Hadi Yati is a binding Agreement between De Beers and six Aboriginal Parties. De Beers is awaiting final stages of ratification process. De Beers does not agree that this should be a condition of the WL
* Timelines for submission of annual report (DKFN_8, DKFN_28, and DKFN_29)
– May 1st.
8
Adaptive Management/Response Framework and Action Levels
Adaptive Management Plan (ENR_33, ENR_35, EC_3.3)
* The AdMP describes the Monitoring Program Framework and an Adaptive Management Response Framework, which identify linkages between other management plans and monitoring programs
* The AdMP was not developed to be a standalone document that would incorporate Action Levels and Response Plans from other management plans and monitoring programs
– these details are provided in their applicable management plans and monitoring programs
Action Levels and Response Framework (DKFN_2 and DKFN_8)
* Action Levels and the Response Framework are not just applied to the AEMP
* They will be incorporated into applicable Monitoring Programs and Management Plans, including:
– the Processed Kimberlite and Mine Rock Management Plan, the Water Management Plan, the Erosion and Sediment Management Plan, the Groundwater Monitoring Plan, and the Incinerator Management Plan
* Provision in the Annual WL Report for Response Framework (DKFN_9)
– within Schedule 1 of the WL, there will be requirements for reporting of any action level exceedances under applicable Management Plans and Activities and a description of response actions undertaken to address any action level exceedances
9
Dyke Construction and Management Plan/Water Management Plans/Erosion and Sediment Management Plan
De Beers agrees to :
* Submit a Dyke Construction and Management Plan 60 days prior to construction (ENR_1 and DKFN_19)
– Dyke A has been submitted and should be considered as part of this approval process
* Submit Project-phased separate Construction, Operations and Closure Water Management Plans (ENR 2, 3, 4 and 5) and Sediment and Erosions Plans (ENR_6,ENR_7, ENR_8, and DKFN_16)
– Construction Plans will be submitted sixty (60) days after issuance of the Water Licence. The previously submitted plans will be effective until the updated plan is submitted and approved
– Operational Plans will be submitted sixty (60) days prior to Year 1 of Operations
– Closure Plans will be submitted sixty (60) days prior to mine closure and refilling of Kennady Lake
* Submit annual reports on Sediment and Erosion that defines field methods, measurements, SOPs (ENR_10, ENR_11, ENR_13, and DKFN_16)
Site Specific Water Quality Objectives
* Use of MVEIRB narrative statements (ENR_17)
– De Beers acknowledges the statements provided by MVEIRB in the RfD report
– They are consistent with statements developed by De Beers and were used in determining significance of the Project on the receiving environment and development of WQOs
* Lake-specific baseline WQ (ENR_18)
– Baseline WQ represented by the WQ dataset of the Kirk Lake watershed
– This data used because of the larger dataset that captures the potential local scale variability, compared to Lake N11 or Area 8 alone
* SSWQO for mercury (ENR_19)
– De Beers have referenced the local scale data set for the setting of a mercury SSWQO
* Hardness as an ETMF (ENR_20)
– Consistent with CCME 2007, SSWQOs have been derived based on ETMFs, such as hardness and pH
– Increased water hardness will reduce the possibility of toxic effects from inorganic substances such as metals
Effluent Quality Criteria
* Minimizing change to the receiving environment (ENR_21 and YKDFN_3)
– The basic tenet of De Beers water management plan is to minimize impacts to the receiving environment during all phases of the mine
– The mine footprint is small; planned discharges are limited, and the controlled area will contain mine water for 8+ years
– EQCs have been developed such that significant adverse effects in the receiving environment will be avoided
* Additional EQCs (ENR_22 and EC_3.1)
– De Beers does not consider any additional EQC water quality parameters are necessary
– A comprehensive screening process identified water quality parameters that would require regulatory limits.
– The draft EQC Report Version 2 includes:
– For Lake N11: NO 3 , NH 3 , TP, Al, TSS, pH, and TPH
– For Area 8: TDS; NH 3 , TSS, pH, and TPH
* Total Petroleum Hydrocarbons as an EQC parameter (ENR_22, EC_3.1 ,and YKDFN 5)
– De Beers will include TPH as an EQC for discharge to Lake N11 and Area 8
– De Beers propose a maximum daily limit of 5 mg/L
Effluent Quality Criteria
* Dilution factor of 5 for EQC development (ENR_23)
– De Beers completed a thorough assessment to derive the mixing ratios
– An appropriate model framework and conservative assumptions were used in that assessment and transferred to the EQC derivation process
– De Beers stands by the process used to develop dilution factors and EQCs for Lake N11 and Area 8
– EQCs have been developed such that significant adverse effects in the receiving environment will be avoided
* Toxicity testing (ENR_25, EC_3.2, and YKDFN_4)
– Given that samples are not expected to be toxic undertaking both toxicity tests is unnecessary
– De Beers has proposed to undertake the Early Life Stage Rainbow Trout test in the SNP monitoring
* Requirement for measuring pH (DKFN_27)
– De Beers will include pH measurements as part of the SNP and AEMP monitoring
* EQCs for Area 8 should be similar to the baseline (YKDFN_6)
– De Beers developed EQCs for discharge to Area 8 during operational discharge in Year 1
Aquatic Effects Monitoring Program
* AEMP Guidelines and Approval (ENR_26)
– AANDC's guideline document was reviewed and incorporated into the development of the Conceptual AEMP Design Plan
– De Beers proposes that the initial plan be approved by the Board with the Water Licence
* AEMP Working Group (ENR_28)
– De Beers is committed to an AEMP working group on the AEMP, which may be a group under Ni Hadi Yati
* AEMP Action Levels (ENR_26, ENR_29, EC_3.3, and EC_3.4)
– The design plan, the conceptual site model, the stressors, pathways, and receptors were developed based on the EIS and subsequent documents.
– Action Levels and Response Framework designed to respond to environmental change based on the three impact hypotheses identified in the EIS
– toxicological impairment
– nutrient enrichment
– physical habitat alteration
Aquatic Effects Monitoring Program
* AEMP Redesign to a BACI framework (ENR_30)
– The initial proposed study design was a simplified BACI design
– De Beers has modified the design to be an asymmetric before-after control-impact (BACI) design
– De Beers proposes to use the design in the 1 st year of monitoring and then re-evaluate
* Plankton baseline data (ENR_31)
– De Beers proposes to conduct baseline plankton sampling for June, July, and August to support the proposed study design
– De Beers does not propose to conduct weekly or biweekly baseline plankton sampling. Ten years of data from Snap Lake mine can be used to characterize seasonal plankton community dynamics
* AEMP Plankton Sampling Effort (ENR_32)
– Plankton sampling in June, July, and August is consistent with the plankton sampling for Snap Lake mine, which has been shown to be sufficient in characterizing the seasonal variability in the plankton communities
* Mercury monitoring in Lakes D2/D3 (EC_3.5)
– De Beers will undertake Hg monitoring and tracking in water and sediment
Waste Management Plans
* The Waste Management Plan and Incineration Management Plan to be submitted a minimum of 60 days prior to any changes in operations for approval by the Board (ENR_14)
– De Beers agrees to update the Waste Management Plans, including the Incinerator Management Plan, to reflect commitments made during the regulatory process.
* A requirement for incinerator stack testing to ensure that its operation is compliant with the CCME CWS standards for dioxins, furans and mercury emissions. ENR notes that the Board authorizes the WMP, thus the board is authorizing the incineration of waste in the NWT. Thus compliance testing should be incorporated into the licence as a regulatory tool at an established frequency (ENR_15)
– De Beers agreed to stack testing and will update the plans to provide definitive timelines. De Beers believes this does not require a separate condition but can be captured in the Monitoring Plan and associated schedules.
*
A requirement for waste oil and residual ash testing, including analytical criteria, in the proponents water licence for the appropriate management of potentially hazardous waste (ENR_16)
– De Beers agrees to undertake routine testing of waste oil and residual ash in consistent with the Waste Management Plans but does not agree that this needs to be a WL condition.
Other Management Plans
Geochemical Characterization Plan (EC_3.10)
* Total sulphur analyses is considered an appropriate method for classification of PAG or Non-PAG material when used in conjunction with periodic additional testing to confirm material characteristics
* TS is used routinely on other mine sites for the very same purpose of operational classification of mine rock (e.g., Diavik)
* can be used on-site, or off-site with rapid turnaround times
Incinerator Management Plan (EC_4.1)
* De Beers commits to commitment to not incinerate sewage or sewage sludge
* De Beers will conduct stack emission testing for all incinerators to ensure achievement of the CWS for Dioxins and Furans and the CWS for Mercury.
Provision of mitigation, monitoring, and follow-up actions for management plans in WL (DKFN_17, DKFN_18, and DKFN_20)
* These sections are included in the Explosives MP, the Processed Kimberlite and Mine Rock MP, and the Water Management Plan, and others
*
Wildlife and Wildlife Habitat Protection Plan
The primary mechanisms for managing the Panel Measures and Suggestions are the WWHPP and the WEMP (DKFN_10, NSMA 1, NSMA_4, and YKDFN_1)
* Measure 1:
– WWHPP and WEMP, concordance tables, and CPP
* Measure 2:
– winter access road, behavioural monitoring, and contribution to regional caribou monitoring
* Measure 3:
– vegetation and soil monitoring, winter access road, behavioural monitoring, and contribution to regional caribou monitoring
* Suggested Follow-up Programs:
– ZOI, contributes to regional cumulative effects monitoring
– noise, winter access monitoring, behavioural monitoring, action levels and management responses, TK inclusion
Development of the WEMP, WWHPP, and CPP has been and will continue to be collaborative (ENR MOU, Ni Hadi Yati)
Reclamation Commitments
De Beers agrees to:
* Participate in a Closure Working Group (ENR_39, NSMA_5 , YKDFN_7 and YKDFN_8)
– may form part of Ni Hadi Yati to better refine closure goals, objectives and methods
* Identify and develop methods to reduce the period of time for recovery of the WMP and the refilled Kennady Lake at closure (ENR_38 and EC_3.9)
– Investigation, monitoring and research will be undertaken through the life of mine on mechanisms to enhance meromixis in the Tuzo Pit during the refilling of Kennady Lake.
– Periodic updates on these initiatives will be submitted to MVLWB
* Develop reclamation research plan (YKDFN_7)
*
Develop an Interim Closure Plan 3 years after WL issuance, which will allow adequate time to engage parties in the planning process as well as to advance engineering and site based information (ENR 39)
– will better inform the closure plan
Reclamation and Closure – Securities (ENR 40)
Reclamation/Security Bond Estimate
* Recommendations GNWT (formerly AANDC) and De Beers
– Prior to Construction $19,043,323 (De Beers agrees. Suggests a simple 50/50 split 2014 (within 30 days of license) and one year later in 2015) Amount incorporates/retires the current LUP bonds
– Year 1 Operations $37,594,133* ($26,431,414 De Beers excluding the optional items)
– Year 4 Operations $79,690,301* ($48,308,406 De Beers excluding optional items)
– Year 11 Operations LOM $84,471,700* ($50,403,545 De Beers LOM estimate excludes optional items and includes benefit of progressive reclamation carried out during operations – DB estimate is $80.8M on when including these items)
*GNWT estimates include reclamation options e.g., OB storage and re-placement upon closure re-vegetation, PAG stockpile and re-handling process, and accompanying higher indirect costs, etc.
* De Beers did not split between land and water, but agrees with the proportional split recommended by GMWT
Reclamation and Closure – Securities (ENR 40)
* De Beers does not agree with the total amount of liability. ENR estimated total LOM liability at $84.4M. De Beers estimated at $50.4M however the differences is largely attributable to the exclusion of optional items ($26.6M) and credit for progressive reclamation items fully completed during LOM ($3.4M)
* De Beers worked with ENR (formerly AANDC) and their consultants and is in general agreement with the method and estimating processes, with some relatively minor differences. De Beers used the RECLAIM model format. Only minor differences exist in the common scope items.
* ENR estimate includes over $25M of liability estimates for 'optional items' not included in the proposed development plans. These optional items costs include:
– the placement of 0.5 m of overburden material on all disturbed areas and revegetation;
– alternative PAG material strategy (stockpiling and re-handling in lieu of encapsulation within mine rock piles);
– the associated overheads and contingencies related to these items.
Summary
* De Beers agrees with 2/3 rd of the recommendations suggested by Parties
* De Beers will update the Monitoring and Management Plans based on outcomes and commitments from the regulatory process
* De Beers commits to adhere to the draft Monitoring and Management Plans as submitted until revised Plans are submitted and approved by the Board
* Construction Plans will be submitted sixty (60) days after issuance of the Water Licence. The previously submitted plans will be effective until the updated plan is submitted and approved.
* De Beers would like to thank the Interveners for their the time and consideration in developing their recommendations
* De Beers would like to thank the MVLWB for time to present on the Gahcho Kué Project
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ISSN Print: 2394-7500
ISSN Online: 2394-5869
Impact Factor: 3.4
IJAR 2015; 1(7): 829-831 www.allresearchjournal.com
Received: 25-04-2015
Accepted: 28-05-2015
Women through education: A study on the rural Areas of Dhubri District Assam
Mazibor Rahman
Research Scholar, Singhaniya University, Rajasthan, India.
Correspondence Mazibor Rahman Research Scholar, Singhaniya University, Rajasthan, India.
Mazibor Rahman
Abstract
Education is a landmark of women empowerment because it not only enables them to response to the challenges but also to take decisions of their life. Education of women is the most powerful means of change of position in society. Education also brings equality and improves the status of women in the family and society. As education is the major tool of empowerment but the condition of education for women in the rural areas is very alarming in Assam in general and in Dhubri district in particular. A vast majority of population especially women are far away from their basic constitutional and human right, right to education. The growth of women's education in rural areas is very slow in the entire Dhubri district. The topic of women empowerment would become meaningless if we left out the question of education in rural areas. There is a huge gap in the literacy rate between the urban areas and the rural areas of Dhubri district.
Keywords: Women empowerment, rural women, Dhubri district, etc.
Introduction
The concept of empowerment has various dimensions and scope. But the question of women empowerment has a common objective. Empowerment allows individuals to reach their full potential to improve their political and social participation and to believe in their own capabilities. Empowerment enables the person to gain insight and have awareness of what is undesirable and unfavorable about her current situation, perceive a better situation, the possibilities of attaining it and realizing what is within her reach and what she could do to get to a better situation [1] . We can inferred from the commitment made by the governments of the world for the women empowerment on the. Fourth World Conference on Women in Beijing 1995 where Governments committed themselves to the "empowerment and advancement of women, including the right to freedom of thought, conscience, religion and belief, thus contributing to the moral, ethical, spiritual and intellectual needs of women and men, individually or in community with others and thereby guaranteeing them the possibility of realizing their full potential in society and shaping their lives in accordance with their own aspirations [2] ." In simpler term empowerment of women may be women's abilities to take control over their lives, their perceptions about their own value and capabilities, their competence to determine a goal and work towards this goal.
Review of Literature
Generally when we talk on the tools for empowerment, there may be various tools for the empowerment especially of women empowerment. But the uses of education as a tool always remain on the top. There is an integrated and inseparable relationship between education and empowerment. Education is a fundamental human right and significant aspect for empowerment, particularly for women and girls the economic, political and personal empowerment that education provides capability to make improved choices for themselves and their families. The Millennium Development Goals of the UN Millennium Declaration 2000 recognize education as development that creates choices and opportunities for people, reduces the twin burden of poverty and diseases and gives people a stronger voice in society. Education certainly is a means to all-round progress of man.
In other words, the pathway to human-development goes through the lanes of education. Moreover, true education is
the sole basis of achieving one‟s purpose in life. Education is one of the most important means of empowering women with knowledge, skills and self-confidence necessary to participate fully in the development process [3] . The education of women and girls has a tremendous impact not only on their own development, but also on their families and communities. It also has a catalytic effect on every dimension of development and poverty alleviation [4] . The framers of the constitution of our nation felt the need of the empowerment of the women folk. They realized well that leaving half of the population of the nation no development is possible. The constitution of India made significant provisions for the equal rights of the women in all the aspects including educational, social, economic etc. in Indian constitution education is in the concurrent list. The Fundamental rights are the most significant in ensuring equality irrespective of caste, religion, sex or place of birth. Articles 14, 15, 15(3), 16, 39(a), 39(b) and 42 are very prominent. Several articles exclusively mentions about the education. Article 41 of the constitution provides that, all the citizens have equal right to education‟. Article 45 made provisions for free and compulsory education for children. The state shall provide free and compulsory education for all children until they complete the age of fourteen years of age. Further Article 46 mentions, special care to the promotion of education and economic interest of the SC, ST‟s and the weaker sections of the society. More over, the 86th Amendment Act, 2002, inserted Article 21-A in the constitution of India to provide free and compulsory education of all the children in the age group of 6 to 14 as a fundamental right. Education for rural women has a special need, as women from rural areas and those belonging to deprived sectors of the society are far from the light of education. There is a crucial need for education among women of rural areas and the backward sections of the society as they are unable to get benefits of various schemes of the government due to lack of education. There is need for educating rural women so that feeling of self-confidence can be generated among them [5] . About 70% of the poor live in rural areas. Despite the fact education is a basic right in itself and an essential prerequisite conditions of rural people [6] . The Beijing Declaration and platform for Action adopted in 1995 at the Fourth world conference on women, focused on improving the situation of rural women through equal access to productive resources, especially land, capital, technology as well as to gain full employment, decision making, education and health services. The platform for action emphasized the need for successful strategies to empower women living in rural areas [7] . In equalities in education and skill acquisition can explain the fact that women benefit less than men from economic opportunities as well as the trend towards the increase of women among the poorest in the population [8] . India is a nation of villages, about two third of the total population lives in the rural areas. But the educational conditions in the rural areas still in a very bad shape after more than sixty years of our independence except some states which have achieved tremendous success in the field of the education of the women in the rural areas. Assam remains at the bottom level in the long list of the states in India. However, in the long list of the districts of Assam, district of Dhubri remains at the ebb in imparting education of the women especially in the rural areas. The district of
Dhubri is situated in the extreme western corner of Assam having inter-state and an international boarder. This district is located on the globe between 89.42 to 90.12 degree east longitude and 26.22 to 25.28 degree north latitude. This river Brahmaputra flows through the district as a major river with number of its tributaries. The total area of Dhubri district is 2838 sq. km. It has four urban areas viz, Dhubri (district head quarter), Bilasipara, South Salmara and Mankachar which covers an area of only 27.24 sq. km. This district since independent is suffering from abject poverty, underdevelopment, illiteracy, high population growth rate, mean age at marriage, highest infant and child mortality, lowest female literacy etc. when we talk on education and literacy this district always remain on the bottom. A vast section, about half of its population are totally illiterate. The scenario of women education in this district is in a very serious condition, especially in the rural areas of this district. As per the census report of 2011 the average literacy rate of Dhubri district is 59.36% in which male literacy rate is 64.20% and the female is 54.26%. But in the average literacy rate in Assam is 73.18 among them Male literacy is 78.81 and female literacy rate is 67.27.9 But if we look on the differences in case of literacy rate in the urban areas and rural areas of Dhubri district we can bring out a different picture. As per the census report 2011, 89.55% people lives in the rural areas and only 10.35 people lives in the urban or semi urban areas. However, the average literacy rate in the urban areas is 82.28% in which Males and females are 87.07% and 77.30% respectively. The literacy rate in the rural areas of Dhubri district is 55.25% and gender wise male and female literacy stood at 60.02% and 50.21 percent respectively [10] . the women in the rural areas are deprived from their basic constitutional and fundamental right, which is right to education.
Conclusion
The women empowerment at the present context is the vital topic among the academicians and scholars but we need to include all section of the society irrespective of urban or rural. Unless we bring this vast section of rural women towards the main stream of empowerment, the term in itself loose its relevance. And these lines are most important for one of the most backward district of Assam with an immediate effect. As we all the citizen of India it is the duty of the state to uplift its citizens irrespective of religion, region or language. Effective initiatives can bring provide a new way towards the women section residing in the rural areas of this district. Finally, the lines of our first prime minister are aptly appropriate. "If you educate a man you educate an individual, however, if you educate a woman you educate a whole family. Women empowered means mother India empowered".
References
1. Anonuevo Medel Carolyn. (Ed) Women Education and Empowerment: Pathways towards autonomy; Hamburg, 1995, 25.
2. UN General Assembly. Improvement of the situation of women in rural areas, Report of the Secretary General, July, 2005, 3.
3. International conference on population and development program of action: Cairo, 1994
4. Islam Rezaul, Mia Ahmadullah. The role of education for rural population transformation in Bangladesh,
Dhaka, April, 2007, 15.
5. Times of India; 19 Feb, New Delhi, 2011.
6. United Nations: General Assembly. Improvement of the situation of women in rural areas, July, 2005, 3.
7. Census Report of India, Assam, 2011.
8. The Assam Tribune. Plight of women in Char areas of pathetic; 21 May; Guwahati, 2012.
9. Janaki D. Empowering women through distance learning in India, New Delhi., 2006, 2.
10. Anonuevo Medel Carolyn (Ed). (Women Education and Empowerment: Pathways towards autonomy; Hamburg, 1995, 25.
11. UN General Assembly Improvement of the situation of women in rural areas, Report of the Secretary General, July, 2005, 3.
12. International conference on population and development program of action: Cairo, 1994.
13. Islam Rezaul, Mia Ahmadullah. The role of education for rural population transformation in Bangladesh, Dhaka, April, 2007, 15.
14. United Nations: General Assembly: Improvement of the situation of women in rural areas, July, 2005, 3.
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Jumping & Balancing WEEK THREE
THIS SET OF LESSONS PROVIDES
games and activities to help children develop fitness, strength, body awareness, spatial concepts, balance, jumping, and hand eye coordination, and adaptive skills (following directions, imitating motor movements).
www.specialolympics.org/youngathletes
Overview
Lesson Plans (Day One, Day Two, Day Three) provide details to help you plan and carry out the Young Athletes program with a group of children between the ages of 2 and 7 years old.
Adults Needed: Plan for at least 1 adult for every 4 children. Recruit help from families, volunteers, older students, college students and others in your community to make sure the program runs smoothly and is fun.
Time: Young Athletes is implemented with great enthusiasm, high energy and quick pace. Time estimates are provided to guide completion of each lesson in 30 minutes. However, the pace and length of the lesson should be matched to the needs, interests, ages, and skills of the young athletes in your group.
Sequence: There are three lessons for each skill area labeled Day One, Day Two and Day Three. Lessons within the skill area are designed to be offered in sequence to help chil dren become acquainted with the activities and build skills through repetition.
Resources: The Lesson Plan Summary Cards include an outline of the activities, list of equipment needed, and page numbers to find the activity descriptions. The cards, Young Athletes Activity Guide, Suggestions from Teachers, and training videos are included in the online Toolkit (see website below).
Playing at home: Give families the Lesson Plan Summary Cards and encourage them to sing the songs and play one or two games with their child at home before the next ses sion. Help them learn about the activities by including them in your group sessions and/ or providing a family training session. Be sure they have access to the Activity Guide and Videos for more information.
>> See the Young Athletes Toolkit online at:
www.specialolympics.org/youngathletes
(5 min.) Opening Sports Song
PURPOSE
Start each Young Athletes class with a gathering/warm-up song with motions. Use a common melody and motions that children have done before or are familiar with. This will help them warm-up, serve as a gath ering activity, create body awareness and support adaptive skills (follow directions, sing along, imitation of motor movements).
EXPLAIN
"We're going to start a NEW week of Young Athletes! Remember, an athlete is someone who plays sports and exercises the muscles in their body. We are all going to be Young Athletes while we play new games and exercise the muscles in our body. Let's start Young Athletes with our Sports Song. Sing along with me and do what I do."
Wheels on the Bus melody: SING AND DEMONSTRATE
■ ■ The runner on the team goes run run run, run run run, run, run, run. The runner on the team goes run run run - all through the day.
■ ■ The athletes in our class walk real slow, walk real slow, walk real slow. The athletes in our class walk real slow - all through the town.
■ ■ The player on the court goes jump jump jump, jump jump jump, jump jump jump. The player on the court goes jump jump jump - all through the game.
(5 min.) Coach Says
PURPOSE
Shifting of body weight to engage balance muscles is an important functional and sports related skill. Other skills to be developed include identifying body parts, general fitness, motor skills (balance), motor coordination, body awareness, and adaptive skills (following directions, imitating motor movements).
DEMONSTRATE AND LEAD
Encourage athletes to try these new balancing techniques while manipu lating their bodies so that their muscles will need to counteract shifts in weight. "Great warm-up! Now let's play "Coach Says" using our bodies. I want you to look at what I do with MY body and try to do it with your own. I want you to COPY what I do. Look at me, see how I am:
■ ■ Standing on one foot, standing with one foot in front of the other, standing on tip toes, standing on my heels…You try!
■ ■ Now try it with your arms out/in/up/down, or eyes closed/open.
(5 min.) Balance Beam/Ropes
EQUIPMENT Balance beams/ropes
PURPOSE
DEMONSTRATE AND LEAD
Motor coordination, strength, general fitness, motor skills, body aware ness, and adaptive skills (following directions, imitating motor movements)
"Let's play with our balance beams/ropes!" Walk along the balance beam/ropes nice and straight.
■ ■ Now try walking with one foot on each side of the balance beam/ ropes like I am (straddling rope).
■ ■ Great! Now let's walk on TOP of the balance beam/ropes with one foot in front of the other. Go very slowly to keep your balance.
(4 min.) Foot Trap
EQUIPMENT
Slow motion ball; Use various sized balls for athletes to experience various amounts of challenge to their balance (smaller ball = smaller challenge).
PURPOSE
DEMONSTRATE AND LEAD
Tips: Encourage athletes trying this skill with smaller balls if larger ones are too difficult.
Motor coordination, strength, general fitness, motor skills (kicking & trapping), body awareness, and adaptive skills (following directions, imitating motor movements).
"Now we are going to use our feet to trap a ball. Take your foot like I am, and place your foot on top of the ball. Stand like this and balance. Then, take your foot off and kick the ball to another athlete/coach."
■ ■ Give children opportunities to practice kicking the ball from a stand still trap. If athletes master this begin having them trap a rolling ball.
■ ■ Now, when another athlete kicks the ball to you, try to stop the ball while it's moving by putting your foot on top of it the same way.
■ ■ Once it stops, get your balance, and then kick the ball back.
■ ■ Great job passing the ball back and forth using foot traps!
(6 min.) Step and Jump
EQUIPMENT
Balance beams/ropes, floor markers. Use the balance beam/rope and floor markers to set goals for athletes to jump to.
PURPOSE
DEMONSTRATE AND LEAD
Motor coordination, strength, general fitness, motor skills (balance and direction), body awareness, adaptive skills (following directions, imitat ing motor movements).
"OK athletes, now we are going to jump off of our balance beams/ropes and try to land on the floor markers.
■ ■ Step onto the balance beam/rope, then bend your knees, and jump to the floor markers.
■ ■ As athletes master jumping to a floor marker, move the markers further away, raise the level of the jump, and alter the floor marker position to allow for twisted jumps if athletes have balance skills.
(5 min.) Closing Sports Song
PURPOSE
End each Young Athletes class with a closing/cool-down song with mo tions. Use a common melody and motions that children have done before or are familiar with.
EXPLAIN
SING
"It is time to end Young Athletes. Let's sing If You're Happy and You Know It. Sing along with me and do what I do."
■ ■ If you're happy and you know it, clap and stomp (wiggle your body; fly like a bird: walk around with arms outstretched)
■ ■ If you're happy and you know it then your face will really show it if you're happy and you know it clap and stomp, (wiggle your body; fly like a bird: walk around with arms outstretched).
(4 min.) Opening Sports Song
EQUIPMENT Balance beam/rope
EXPLAIN
SING AND DEMONSTRATE
"Let's start Young Athletes with our Sports Song (Wheels on the Bus melody). Sing along with me and do what I do."
Wheels on the Bus Melody
■ ■ (On balance beam/rope) The player on the court goes jump jump jump, jump jump jump, jump jump jump. The player on the court goes jump jump jump - all through the day.
■ ■ (On balance beam/rope) The athletes in our class jump on and off, on and off, on and off. The athletes in our class jump on and of - all through the town.
■ ■ The athletes in our class jump forward and back, forward and back, forward and back. The athletes in our class jump forward and back all through the game.
(4 min.) Coach Says
Adapt the Activity from Day 1, having athletes stand on a balance beam or rope as they stand on one foot, tip toe, heels, etc.
WEEKDAY
3
(5 min.) Rolling and Trapping
EQUIPMENT Ball
PURPOSE
DEMONSTRATE AND LEAD
Motor coordination, identification of body parts (toes touching), strength, general fitness/flexibility, motor skills (rolling, trapping), body awareness, and adaptive skills (following directions, imitating motor movements)
Arrange athletes in pairs facing one another on the ground with their legs outstretched in a straddle position so that their legs are touching in the shape of diamond.
■ ■ Give them a slow motion ball/ball to roll back and forth between them.
■ ■ Now we're going to practice rolling these balls to our partners like we started last week.
■ ■ Face sitting your partner with your legs out and spread like this (demonstrate).
■ ■ Make sure your toes are touching your partner's toes.
■ ■ Next, one of you rolls the ball to the other on the ground like this (demonstrate). Stop the ball with your hands, and roll it back.
■ ■ If athletes are physically able to, encourage them to advance to a kneeling or standing position.
■ ■ Try passing the ball to your partners on your knees like this (demon strate).
■ ■ Try passing the ball to your partners standing up and rolling it to them like this (demonstrate crouching position).
■ ■ Great job!!
(4 min.)
Repeat Activity from Day 1.
Foot Trap
Jumping High
(5 min.)
EQUIPMENT
PURPOSE
DEMONSTRATE AND LEAD
Tips: Children can jump onto or off of equip ment if their feet can not clear the floor (for instance they can jump over the bean bag, or on top of it); If they are jumping off of the equipment as opposed to over it, challenge them to reach for an object (ex: scarf) while doing so.
Floor markers, dowel, bean bags, cones, hoops, balls, balance beam/ rope, and blocks. Equipment should be already placed around room. Spread the equipment around the room so that athletes can have a chance to jump over the various pieces.
Identify and locate sports equipment, motor coordination, strength, gen eral fitness, motor skills (jumping, balance, grasp), body awareness, and adaptive skills (following directions, imitating motor movements).
Introduce the skill of jumping over equipment to the athletes.
■ ■ Yesterday we jumped on an off of our balance beams onto our floor markers.
■ ■ Today, we're going to try to jump OVER our equipment.
■ ■ Jump onto the equipment first– THEN see if you can jump OVER it!
WEEKDAY
Jumping & Balancing
Frog Hoppin'/
(5 min.) Leapin' Lizards
EQUIPMENT Floor markers placed around the room
PURPOSE
DEMONSTRATE AND LEAD
Identify and locate sports equipment (floor markers), motor coordina tion, strength, general fitness, motor skills (hopping & running), body awareness and adaptive skills (following directions, imitating motor movements).
"OK athletes, now we're going to play Leapin' Lizards! Everyone is going to LEAP/HOP from one floor marker to another just like a leapin' lizard!"
Tips: If the child takes off or lands flat-footed, encourage leaning forward and bending the knees; If leaping is difficult for the child, run along the child's side, holding his/her hand and practice leaping onto a marker over an object.
■ ■ You can jump from one to the next (demonstrate) or over them (demonstrate).
■ ■ If athletes master jumping from one to the next, and/or over the markers, encourage them to run and land either onto or over the marker:
■ ■ Now that you can hop onto the marker, and over the marker, try running first and then landing on the marker.
(5 min.)
Repeat the song used in Day 1 to end the Lesson.
Closing Sports Song
Opening Sports Song
(2 min.) with Leapin' Lizard
EXPLAIN
"Let's start Young Athletes with our Sports Song (Wheels on the Bus melody). Sing along with me and do what I do."
SING AND DEMONSTRATE Wheels on the Bus Melody
■ ■ The athletes on the team leap over the mark, over the mark, over the mark. The athletes on the team leap over the mark - all through the day.
■ ■ The player on the court runs forward and back, forward and back, forward and back. The player on the court runs forward and back all through the town.
■ ■ The athletes in our class leap on the mark, on the mark, on the mark. The athletes in our class leap on the mark - all through the game.
(3 min.)
Adapt the Activity from Day 1 by having them first jump on, then over a bean bag, then play catch with it.
(4 min.)
Repeat Activity from Day 2.
(5 min.) Repeat Activity from Day 2.
(4 min.) Repeat Activity from Day 2.
Coach Says: with a bean bag
Jumping High
Rolling & Trapping
Foot Trap
Frog Hoppin'/ Leapin' Lizards
(5 min.)
Repeat Activity from Day 2.
(5 min.) Goalie Drill
EQUIPMENT Two cones to form each goal and slow motion ball placed around room.
PURPOSE
EXPLAIN
DEMONSTRATE AND LEAD
Closing Sports Song
Motor coordination, (shift weight to react to ball movements), strength, general fitness, motor skills (grasping, running), body awareness, and adaptive skills (following directions, imitating motor movement).
Arrange athletes so that they are standing in-between two cones form ing a goal. "OK Leapin' Lizards, let's practice being goalies! Stand in-be tween the two cones. The space in-between the cones is called a GOAL."
■ ■ When the coach or your partner rolls or kicks the ball into the goal, use your hands to stop the ball like this.
■ ■ The goalie's job is to stop the ball before it goes in-between the cones, the goal. Let's practice being goalies!
(2 min.)
Repeat the song used in Day 1 and 2 to end the Lesson.
You have finished Week Three: Jumping & Balancing Lessons. You can now begin Week Four: Trapping & Catching.
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www.proligno.ro pp. 246-252
WHEAT PROTEIN AS ADHESIVE FOR WOOD PRODUCTS FOR INTERIOR USE
Johann TRISCHLER
Linnæus University, Forestry and Wood Technology, SE-351 95 VÄXJÖ, Sweden
E-mail: email@example.com
Dick SANDBERG
Luleå University of Technology, Wood Science and Engineering, SE-931 87 SKELLEFTEÅ, Sweden
E-mail: firstname.lastname@example.org
Abstract
Protein is one of the most researched and widely used natural adhesives. Before the break through of synthetic adhesives in the wood industry, proteins were commonly used in furniture production. Today, proteins in the form of industrial by-products e.g. soy protein, blood and wheat protein are on the market, and these proteins can in general be used as a base for wood-products adhesives. Proteins are in general denatured by a change in pH, heat or organic solvents before they can be used as adhesives. In this study, a cold-dissolution of wheat protein (gluten) was tested with regard to its usability for the production of particleboards and laminated veneer products. The bonding was evaluated by testing the internal bond strength, thickness swelling, tensile strength and tensile shear strength. The results showed that the strength of the bond-line was in some cases as high as the strength of the wood material, but also that there were in some cases problems with the penetration of the adhesive into the wood and this lowered the bond-line strength considerably. The main conclusion is that cold-dissolved gluten adhesives are a good alternative to commercial synthetic adhesives for interior use, but that there are still challenges with the poor moisture resistance of the adhesive.
Key words: cold-dissolution; laminated veneer products; mechanical strength; particleboard; vital gluten.
INTRODUCTION
Animal- and vegetable-based proteins can be used as adhesives for wood products. Proteins from soy beans and blends consisting of animal proteins such as blood and casein were traditionally used in plywood production until the 1960s before the petrochemical adhesives were developed (Lambuth 1994; Frihart 2005; Lambuth 2006). Especially the lower price and better water resistance favoured synthetic adhesives like PF (phenol-formaldehyde) (Frihart 2005). In recent years, proteins from mussels-feet, gecko food pads and marine bacteria as well as mixtures of them are of high interest for research because of their proper water-resistance, and also because they are the most well-known proteins with the strongest adhesive forces (Müller et al. 2007; Wilker 2010). The animalbased adhesives include all kinds of gelatine derived from by-products of the meat and tanning industries (Anon 1955) such as collagen extracted from animal bones and hides, blood, fish skins and also casein from milk (Rowell 2012). Collagen is the basic constituent of animal and fish skin and can be associated with other proteins and reduced to gelatine by hydrolysis (Hull and Bangert 1952).
Proteins are polymers consisting of at least 20 amino-acid monomers with side groups carrying a variety of functional groups (Frihart 2010). The structure of the proteins as well as the order and presence of amino acids in the polypeptide chains determine the physical and chemical properties of the proteins (Rowell 2012). The different amino acids are characterized by at least one carboxyl group (-COOH, acid) and an amino group (-NH2, alkaline) each, and this makes them ampholyte. This generally means that the pH-value can be neglected when handling proteins and makes it possible to combine them with a wide range of additives (Müller et al. 2007).
Gluten is a complex mixture of proteins containing monomers (gliadins) and disulphide-crosslinked polypeptides. Its hydrophobic nature makes it insoluble in water even when water-soluble proteins are trapped in the folded gluten matrix. In spite of its hydrophobic nature, gluten absorbs approximately twice its dry weight of water and forms a hydrated visco-elastic mass (Day et al. 2006). The lack of solubility is affected by the non-polar side chains of the amino acids which have both polar and non-polar side chains (Singh and MacRitchie 2001). The electrostatic and ionic interactions which may occur between the different charged amino acids are important for stabilising the structure and functions of proteins and are strongly influenced by the pH-value and environment (Kinsella 1982).
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Further, insolubility is due not to an unfavourable enthalpic interaction but to a negative entropy change. For amorphous polymers such as gluten, solubility requires that the solute disperses molecularly with a decrease in free energy of the system. With increasing weight of the polymer, and glutenins are the largest protein molecules in nature, the solubility decreases as the frequency of charged groups decreases, leading to lower entropy of mixing, which means that the insolubility id due to a lack of ionisable groups and the high molecular weight (Singh and MacRitchie 2001).
Hydrophobic interactions are entropy driven leading to the repulsion of non-polar groups, which thermodynamically interact unfavourably with water (Kinsella 1982). When a molecule is dissolved in water, the surrounding water molecules re-orientate and form a more ordered hydrogenbonding arrangement (Singh and MacRitchie 2001). This disordering of the water structure is connected with large entropy. In the vicinity of non-polar groups, water is forced into a more ordered hydrogen-bond cage-like arrangement having a negative entropy effect. A decrease in temperature also weakens the hydrophobic interactions because the water is more hydrogen-bonded and structured and it becomes more difficult for proteins to fold the non-polar groups into their hydrophobic interior. The weakened hydrophobic interactions allow the cold-dissociation of some proteins (Kinsella 1982).
Before proteins can be used as adhesives denaturation is necessary. Denaturation, which is achieved by heat, acid/alkali, organic solvents, detergents, or urea (Sun and Bian 1999; Huang and Sun 2000; Wang et al. 2005; Wang et al. 2008; Lei et al. 2010; Nordqvist et al. 2010; Van Herwijnen et al. 2010) is an unfolding process which exposes more polar groups for solubilisation and bonding via hydrogen bonds (Rowell 2012).
Denatured proteins can have different structures (Frihart 2010): a quaternary state – native structure; a tertiary state – individual polypeptides in native folded structure; a secondary state – long range expansion of the native folded structure; or a primary state – polymer chain after disruption of αhelices and β-sheets. For soy protein, the best adhesion is achieved between the tertiary and secondary state, when the tertiary structure is opened into short-range and then long-range expansion, leaving the secondary structure intact (Frihart 2010). Besides the formulation of the dispersion, the method of application also influences the bond strength (Khosravi et al. 2011). When wheat gluten was used as matrix in natural fibre-reinforced composites, it was shown that the influence of the process temperature on the mechanical properties decreased with increasing fibre content (Kunanopparat et al. 2008).
Due to their low price, easy handling and opportunity for modification, proteins from wheat gluten and soy flour are favoured for use as wood adhesive (Liu and Li 2004; Wescott et al. 2006). Wheat protein, which consists mainly of alcohol-soluble gliadins and acid- or alkaline-soluble glutenins has a more hydrophobic character than soy protein which consists mainly of water-soluble albumins and salt-solution-soluble globulins (Nordqvist et al. 2010). Approved binding and water-resistance properties of wheat gluten and soy flour can be achieved by enzymatic treatment (Schmitz Jr. 2009; Nordqvist et al. 2012). The simplest way to increase the water resistance of a protein adhesive is by using admixtures with synthetic resins such as PF (phenol-formaldehyde) or MUF (melamine-ureaformaldehyde) (Wescott et al. 2006; Lin et al. 2012) which, according to literature, is also the only way protein adhesives can economically compete with the synthetic resins (Krug and Tobisch 2010).
OBJECTIVE
The purpose of this study was to investigate the bonding properties of a new adhesive formulation based on cold-dissolved wheat protein (vital gluten).
MATERIAL AND METHODS
Adhesive System
Vital gluten (Amygluten 110), obtained by physical extraction from wheat, was used. It is a fine, slightly yellowish powder with a protein content of 76.75%/ds and is insoluble in water. Three different adhesive systems based on the vital gluten were tested, Fig. 1:
No. 1: vital gluten in its original powder form,
No. 2: vital gluten in liquid form mixed with ice-water to achieve cold-dissolution, and
No. 3: vital gluten as a foam produced by beating the cold-solution.
Vol. 11 N° 4 2015
www.proligno.ro pp. 246-252
Test of the Bonding Properties
The bonding properties of the adhesive systems were tested according to:
* tensile strength of the bond-line between solid wood, and
* internal bond strength (CEN 1993b) and thickness swelling (CEN 1993a) of a particleboard,
* shear strength (CEN 2003a) of the bond-line between veneers.
Internal Bond Strength and Thickness Swelling
The adhesive systems 1 and 2 were successfully applied to particleboards but the adhesion system 3 led to problems in mixing particles with the gluten foam. The adhesion system 2 was tested on wood particles with a temperature of 20°C, and on cooled particles with a temperature of -10°C. The amount of vital gluten for all the boards was 10% based on the weight of wood particles with a moisture content of 5.8%. The wood particles were a mixture of Norway spruce (80%) and Scots pine (20%). The target density of the boards was 400 to 600kg/m 3 and was determined after pressing. The temperature of the press plates were 140 or 200°C. Pressing times were based on the change in temperature during pressing and the evaporation of water, and was between 8 and 21 seconds per millimetre thickness. After pressing, samples of 50x50mm in size were cut and conditioned at 20°C and 40% RH (relative humidity) for two weeks before testing with regard to internal bond strength (IB). Thickness swelling (vol%) in water at a temperature of 20°C was determined during a time of 1-72 hours.
Tensile Strength
To determine the tensile strength of the bond-line, wooden cubes of Norway spruce, Scots pine and black poplar were glued together. The adhesive systems 2 and 3 were successfully applied, but the moisture content of the wood was too low for successful gluing of the wood samples using adhesive system 1. The adhesive were mixed with food colouring (Dr. Oetker's gel food colour, sky blue) to give a contrast between adhesive and the wood surface after breakage. The wood surfaces were cooled to a temperature of -10°C before application of the adhesive. After application of the adhesive, the wooden parts were pressed together and cured at 20°C for 24 hours or for 4 hours at 60°C or at 100°C. Thereafter, samples of 50x50mm in size were prepared and the area around the bond-line was reduced to 25x25mm to increase the probability that rupture occurs in the bond-line. The tensile strength was determined after the cubes had been conditioned at 20°C and 40% RH for two weeks.
Tensile Shear Strength
To determine the tensile shear strength, six mm thick veneers of beech were glued together flatwise (overlapping) with parallel fibre orientations. As in the tensile strength test, the moisture content of the wood was too low to achieve proper adhesion with adhesive system 1. The adhesive systems 2 and 3 was partly mixed with food colouring (Dr. Oetker's gel food colour, sky blue) to give a contrast between the adhesive and the wood surface after breakage. The veneers were cooled to a surface temperature of -10°C before application of the adhesive. The overlapping area between the veneers was 20x20mm 2 . The veneers were pressed together and cured at 20°C for 24 hours or for 4 hours at 100°C. Samples of 20x220mm in size were prepared and shaped to give a reduced width (10mm) around the bond-line. Hence, shear was tested on an area of 20x10mm 2 . The samples were conditioned for two weeks at 20°C and 40% RH before testing.
www.proligno.ro pp. 246-252
RESULTS AND DISCUSSION
Fig. 2 shows vital gluten cold-dissolved in water and its denaturation after raising the temperature of the solvent. The denaturation leads to agglutination of the dissolved gluten. In this state, gluten is not soluble in water. After separation from the water, the denatured gluten still shows good bonding between gluten molecules. The curing of the gluten-based adhesive used in this study was achieved by evaporation of the water.
Vital gluten: a) dissolved in ice-water, b) jelly mass of denatured gluten after increasing the temperature of the water/solvent, c) visco-elasic ball formed from denatured gluten by compacting the jelly mass, d) cured gluten-ball after drying out, showing a hole after the loss of the large amounts of "bonded" water
The tests on particleboards showed that both the IB (internal bond strength) and the thickness swelling decreased when the gluten was denatured during the application process (Table 1). This means that cooling the particles before and during application of the adhesive is favourable for bonding. Comparing the values in Table 1 to the standards, IB for P2 = 0.40 MPa and thickness swelling for P4 = 16% (CEN 2003b), shows that sample 3 performed in the range of the standard.
Table 1 Results from the internal bond strength (IB) and thickness swelling (TS) tests of vital gluten applied as adhesive system 1 and 2 for particleboards. D – density of the boards
The results of the long-term watering tests over three days, which were done in addition to the thickness swelling test according to the standard, showed that there is no additional thickness swelling over time, and that gluten restores the form stability when dried but without shrinking to the original thickness, Fig. 3.
Particleboard samples glued with cold-dissolved vital gluten (Table 1, sample 3): a) after pressing, b) after long-term watering for 3 days, and c) after long-term watering for 3 hours. The thickness swelling of b) and c) was 13%vol
Table 2 shows the results of the tensile strength and tensile shear strength tests on solid wood and veneer respectively. The curing temperature seems to have no influence on the bond-line strength, nor does the adhesive system or the wood species (samples 2-4 and 5-7). The lower values of tensile strength for adhesives cured at a high temperature can be due to shrinkage of the wood
during the curing of the adhesive (samples 1 and 2-4). The tensile shear strength of samples cured at 100°C was higher than that of samples cured at 20°C (samples 5 and 6-7).
Table 2 Results of the strength test of vital gluten applied as adhesive systems No. 2 and 3 with different wood products and species, and cured at different temperatures. The surface temperature is the temperature at the wood surface at gluing. SW – solid wood, V - veneer
The solid wood tensile and the veneer tensile shear tests showed in general a combined adhesive-wood failure, Figs. 4 and 5. In Fig. 4, the coloured adhesive system revealed the failure of the bond-line in the surface of the earlywood. The wooden splinters on the bond-line surface and wood failure in Fig. 5 show that the mechanical strength of the bond-line in shear was similar to that of the wood. Nevertheless, the presence of bond-line failure in both tests shows that the adhesives do not penetrate into the wood to any great extent.
Fig. 5.
Beech samples glued with vital gluten (Table 2, samples 5-7) after tensile shearing tests. a) different types of failure, from wood failure only (bottom) to mostly adhesive failure (top) which illustrate that the strength of the bond-line is in the range of the wood strength, and b) specimens sorted according to curing temperature and type of adhesive system with comparable failure in the bond-line, from the left: 20°C, liquid (sample 5); 100°C, liquid (sample 6); 100°C, foam (sample 7)
www.proligno.ro pp. 246-252
The fact that it is possible to blend vital gluten with water without denaturation of the gluten is astonishing. In general, gluten has a hydrophobic character which in our tests it seems can be overcome by cold-dissolution. An explanation can be that cold-dissolution leads to a stronger change in the relation of enthalpy and entropy than when water at a higher temperature is used.
The behaviour of vital gluten during the denaturation means that gluten after denaturation shows strong bonds between the gluten molecules but a weak bond between gluten and wood. Cooling the particles and keeping the adhesive-particle blend cool until pressing gave an IB nearly four times higher than that when the particles were not cooled.
The adhesive systems 2 and 3 did not penetrate into the wood to any great extent. Further, rupture often occurred in the wood surface, especially of the earlywood. Therefore, vital gluten is favourable for particleboard-applications, but a better penetration of adhesive into the wood is necessary for veneer applications. The pressure can influence the veneer tensile shear strength indicated by the differences in strength between samples 6-7 and sample 5 (Table 2) as the samples cured at the higher temperature were fixed in the hydraulic press while the samples cured at 20°C were fixed by ferrules.
When using cold-dissolved vital gluten it is important to ensure that it does not change its behaviour towards water after curing. Although it has a hydrophobic character, gluten absorbs water which increases the visco-elasticity of gluten (even when cured at higher temperature) and this leads to a break in the bond-line as the gluten reverts to a jelly-like mass.
Further research has to be done to find the optimal application technique and temperature for different wood applications. Regulation of the viscosity of the adhesive might help to achieve a proper application process. For that purpose, as well as to increase the penetration into the wood, it is necessary to determine the exact process of cold-dissolution of vital gluten. It seems realistic that the method presented in this study is only the first step towards a bio-based adhesive system based on vital gluten.
CONCLUSIONS
This study presents the results of the first tests using cold-dissolved vital gluten as an adhesive for wood material. Vital gluten (Amygluten 110) was cold-dissolved in water to overcome its hydrophobic character. A strong gluten-to-wood bond was achieved with this adhesive when the wood was cooled to a temperature of -10°C before pressing, as shown by determining the internal bond strength of particleboard, the tensile strength of solid wood and the tensile shear strength of veneers.
The results give the following information: (1) vital gluten can be cold-dissolved in water; (2) the adhesive should be kept cool during application which means that the wooden components should also be cooled; (3) the curing of the adhesive is achieved by evaporation of the water; (4) the species seems to have no influence on the quality of the glue line; (5) there seem to be no influence of the curing temperature on the glue line. Further work is necessary, especially regarding the analysis of the process of dissolution, the penetration behaviour, the application process, and the deterioration of the bond-line over time.
ACKNOWLEDGEMENT
Financial support from the Swedish Research Council Formas (project EnWoBio 2014-172) is greatly acknowledged. EnWoBioEngineered Wood and BiobasedBuilding Materials Laboratory.
REFERENCES
Anon (1955) Animal glues: their manufacture, testing, and preparation.pp. 14 http://ir.library.oregonstate.edu/xmlui/bitstream/handle/1957/909/FPL_492ocr_rev.pdf?sequence=1. [March, 18 2014].
CEN (1993a) European Committee for Standardization. European Standard EN 317: Particleboards and fibreboards — determination of swelling in thickness after immersion in water.
CEN (1993b) European Committee for Standardization. European Standard EN 319: Particleboards and fibreboards - determination of tensile strength perpendicular to the plane of the board.
CEN (2003a) European Committee for Standardization. European Standard EN 205: Adhesives — wood adhesives for non-structural applications — determination of tensile shear strength of lap joints.
CEN (2003b) European Committee for Standardization. European Standard EN 312: Particleboard, Specifications.
Day L, Augustin MA, Batey IL, Wrigley CW (2006) Wheat-gluten uses and industry needs. Trends in Food Science & Technology 17(2):82-90.
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Frihart CR (2005) Wood adhesion and adhesives. Boca Raton, Taylor & Francis.
Frihart CR (2010) Soy protein adhesives. New York, Mcgraw-hil.
Huang W, Sun X (2000) Adhesive properties of soy proteins modified by urea and guanidine hydrochloride. Journal of the American Oil Chemists' Society 77(1):101-104.
Hull WQ, Bangert WG (1952) Animal Glue. Industrial & Engineering Chemistry 44(10):2275-2284.
Khosravi S, Nordqvist P, Khabbaz F, Johansson M (2011) Protein-based adhesives for particleboards — Effect of application process. Industrial Crops and Products 34(3):1509-1515.
Kinsella JE (1982) Relationships between structure and funcional properties of food proteins. Food Proteins. Fox PF, Condon JJ (ed.). Springer (Applied science publishers LTD), Essex, England. pp. 51-105.
Krug D, Tobisch S (2010) Einsatz von Proteinen als Bindemittel für Holzwerkstoffe. European Journal of Wood and Wood Products 68(3):289-301.
Kunanopparat T, Menut P, Morel M-H, Guilbert S (2008) Plasticized wheat gluten reinforcement with natural fibers: Effect of thermal treatment on the fiber/matrix adhesion. Composites Part A: Applied Science and Manufacturing 39(12):1787-1792.
Lambuth AL (1994) Protein adhesives for wood. Handbook of adhesive technology. Pizzi A, Mittal KL (ed.). Dekker M, Ann Arbor MI. pp. 1-29.
Lambuth AL (2006) Soybean, blood, and casein glues. New York, Taylor & Francis.
Lei H, Pizzi A, Navarrete P, Rigolet S, Redl A, Wagner A (2010) Gluten protein adhesives for wood panels. Journal of Adhesion Science and Technology 24(8-10):1583-1596.
Lin Q, Chen N, Bian L, Fan M (2012) Development and mechanism characterization of high performance soy-based bio-adhesives. International Journal of Adhesion and Adhesives 34(1):11-16.
Liu Y, Li K (2004) Modification of soy protein for wood adhesives using mussel protein as a model:
The influence of a Mercapto group. Macromolecular Rapid Communications 25(21):1835-1838.
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Nordqvist P, Lawther M, Malmström E, Khabbaz F (2012) Adhesive properties of wheat gluten after enzymatic hydrolysis or heat treatment – A comparative study. Industrial Crops and Products 38(1):139-145.
Rowell RM (2012) Handbook of wood chemistry and wood composites. New York, Taylor & Francis Group.
Schmitz Jr. JF (2009) Enzyme modified soy flour adhesives. Dissertation, Iowa State University, Ames, IA.
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SEXUAL HEALTH GROUP PLC FINANCIAL STATEMENTS
31st MARCH 2008
Company Registration Number 05255086
FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2008
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 Gate 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
YEAR ENDED 31st MARCH 2008
Dear Shareholder
I am pleased to report on the progress of the Company in what has been another active year of growth.
Highlights
- Sales growth of 17.7% to £711,386
- Losses reduced by 24.3% to £173,991
- Gross margin increased from 44.2% to 45.1%
- Customer service level up from 98% to 99%
The last twelve months has seen your Company progress on several fronts. We have seen a continued growth in sales whilst being able to improve gross margin, contain our costs, see a continued improvement in customer service and support, and have new products added to NHS Contracts, leading to another year of significant progress, with a further reduction in losses, ensuring that we are well on the way to a profitable future.
Activities
April 2007
The Sutherland Health division signed a 2-year contract to supply Patient Requisites and Personal Hygiene Products 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 12 months. The products supplied have already been developed by the Company and are currently distributed within English NHS Trusts.
The Sutherland Health division also signed 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.
May 2007
The Condomania division registered a new medical device with the Medicines and Healthcare Products Regulatory Agency (MHRA). Condomania® Ultrasound Probe Covers can be used in general medical procedures where Ultrasound is in use. Ultrasound is a technique used to create images of organs and other internal body parts. The new product can be used in association with Sutherland® Lubricating Jelly, which can also be used in ultrasound procedures. Orders for the Ultrasound Probe Covers have already been received and supplied to new customers outside the NHS market, but the Company sees its main sales opportunity for this product in the future to be within the NHS.
July 2007
The Condomania division secures a contract to supply Barnet Primary Care Trust with Condomania condoms. The contract, funded by the Department of Health as part of their Teenage Pregnancy strategy, means that under 21 year olds in the Barnet area will be given improved education, advice, and access to free Condomania® condoms. Barnet has been identified as a hot spot for increased teenage pregnancy rates in a report published in February 2007 by the Office of National Statistics.
October 2007
The Condomania division announces that a further six products will be added to the Company's NHS England framework agreement contract, and will be included in the NHS Supply Chain Catalogue with effect from 1 October 2007. This news means that the Company has 16 products from its
CHAIRMAN'S STATEMENT
YEAR ENDED 31st MARCH 2008
Condomania® condom range listed with NHS England taking it to100% listing of its variants within the condom range offering one of the widest choices of condoms available within the NHS. With these inclusions the Condomania division now has a total of 21 products listed with NHS England.
The Condomania division secures the contract to supply The States of Jersey with Condomania condoms. The contract, funded by The States of Jersey Public Health Department is part of the States' "Health for Life Strategy" and will support the development of an island wide Condom Distribution Scheme. Condom distribution is also cited as one of the key priorities within the island's new Sexual Health Strategy (2007). The condom distribution scheme will enable people to access free condoms from a range of venues including the island's core sexual health services. The scheme's primary objective is to reduce the increasing rates of sexually transmitted infections (STI's) as well as unplanned pregnancy. States of Jersey Health Promotion Officer for Sexual Health, Aimee Tonsberg commented on the announcement of the contract: "We selected Sexual Health Group to operate this contract due to its successful track record in setting up and managing condom distribution schemes in the UK, and we look forward to working with them on this important project"
December 2007
The Sutherland Health Division announces that a further three further products are to be added to the Company's NHS England framework agreement contract. The addition has took place with immediate effect so NHS Trusts could order via the electronic catalogue as soon as product was available and were to be included in the NHS Supply Chain Catalogue with effect from 1 April 2008.
This means that the Company now has eight products from its Sutherland® patient hygiene range listed with NHS England which is a 100% listing of its range. The products have been developed in consultation with the NHS and will enable Trusts to have an improved choice in their wholesale ordering which will help increase sales and distribution of the Sutherland patient hygiene range.
The products developed are fragrance free talc, shaving foam suitable for sensitive skin, and a deodorant suitable for both men and women
The Condomania division also announced that it had completed development of its Vision® hCG pregnancy midstream diagnostic, and marketing of the product would commence in January 2008.
The size of the pregnancy diagnostic market within the NHS is not monitored in research, however it is estimated that there are over 16 million suspicions of pregnancy per annum with over 4 million pregnancy tests being purchased each year by consumers via retail stores alone.
Financial Review
During the period to 31 st March 2008, the Group's turnover was £711,386 (2007 £604,223) representing an increase in sales of 17.7% over the previous year, producing a gross profit of £320,836 (2007 £267,052). Administrative expenses were £419,004 (2007 £416,996) after charging £26,129 (2007 £27,311) for amortisation and depreciation, and a foreign exchange gain of £897 (2007 £1,382). The pre-tax Loss was £173,991 (2007 £229,868) and the loss per ordinary share was 0.51 pence (2007 0.77 pence). Cash at the bank on the balance sheet at the 31 st March 2008 was £44,914 (2007 £24,830).
Post Balance Sheet
Since the end of the period, the Board announced in April that the Company had exchanged conditional contracts to acquire Pasante Healthcare Limited (Pasante), a privately owned business whose principal activity is the supply of sexual health products. Consideration for the proposed acquisition of Pasante was £2,400,000 payable in cash on completion of the transaction. The
CHAIRMAN'S STATEMENT
YEAR ENDED 31st MARCH 2008
transaction was conditional on the Company raising sufficient funds. The acquisition did not proceed due the Company being unable to raise the minimum £2,500,000 required. In the opinion of the Board, this was due to the difficult market conditions within the financial markets at the time.
On 30 th May 2008, the Board also announced that the trading in the financial year to 31 st March 2008 was in line with expectations and that management figures show that turnover since the year end exceeds that of the comparable period last year.
On 3 rd June 2008, the Company learned that after an extensive audit it had been successfully audited by SGS United Kingdom Ltd on all quality issues, and therefore the Company can continue to develop, manufacture, and distribute medical devices and diagnostics to the following quality standards: ISO 13485:2003, European Directive 93/42/EEC and ISO 9001:2000
On 16 th July 2008, the Board announced that it had reached £305,000 in its current fundraising activity therefore achieving the minimum required, and stated that it would leave the fundraising open until the target figure was reached. We are pleased to say that the Company's major institutional investor Majedie Investments Plc participated once again in this round.
Outlook
As can be seen in my report the last year has seen a number of new contract wins and other significant achievements being made. Our core business continues to grow whilst development of further new products continues. At the time of writing, the new financial year shows a continuation in the organic growth of our business, which gives a positive outlook for the future.
The Board will also continue to consider suitable acquisitions and will notify shareholders of any progress in this area when possible.
I would like to take this opportunity to thank the staff and the members of the Board for another year of commitment and tremendous effort in continuing to grow the Company's business, and my thanks also go to the Company's advisers, and to our loyal shareholders who continue to give tremendous support.
Finally, I would like to inform you that David Bretel will be standing down as Finance Director on the 31 st July 2008, and the Board joins me in wishing him every success in the future. The Board will advise shareholders of a new appointment in due course
John French Chairman
THE DIRECTORS' REPORT
YEAR ENDED 31st MARCH 2008
The directors present their report and the financial statements of the group for the year ended 31st March 2008.
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 £604,223 in the previous year to £711,386 in the current period. The gross profit made by the group is £320,836 compared to £267,052 in 2007.
The directors recognise the risk facing the group of the continuing reliance on long-established contracts, notably with the NHS and will 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
YEAR ENDED 31st MARCH 2008
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, 3 and 4 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
YEAR ENDED 31st MARCH 2008
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:
Mr F J French holds £1,500 unsecured convertible loan notes (2007: £1,500).
Mr G M Sutherland holds £239,860 unsecured loan notes and £3,000 unsecured convertible loan notes (2007: £3,000). The directors hold 52.4% of the issued share capital.
The following options are held at the year end:
Number of
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 90 days (2007: 203 days).
THE DIRECTORS' REPORT YEAR ENDED 31st MARCH 2008
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 15 to 17, 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
James Cowper offer themselves for re-election 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 23 rd July 2008
INDEPENDENT AUDITOR'S REPORT TO THE SHAREHOLDERS OF SEXUAL HEALTH GROUP PLC
YEAR ENDED 31st MARCH 2008
We have audited the group and parent company financial statements ("the financial statements") of Sexual Health Group Plc for the year ended 31st March 2008 on pages 11 to 32 which have been prepared on the basis of the accounting policies set out on page 15 to 17.
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 pages 5 to 8.
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 2008
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 2008 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 2008.
JAMES COWPER Chartered Accountants & Registered Auditor 3 Wesley Gate Queen's Road Reading RG1 4AP
On the 28th of July 2008
PROFIT AND LOSS ACCOUNT
YEAR ENDED 31st MARCH 2008
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 2008
These financial statements were approved by the directors on the 23 rd July 2008 and are signed on their behalf by:
G M Sutherlan
d
Director
COMPANY BALANCE SHEET
31st MARCH 2008
These financial statements were approved by the directors on the 23 rd July 2008 and are signed on their behalf by:
G M Sutherland
Director
GROUP CASH FLOW
YEAR ENDED 31st MARCH 2008
=================
=================
NOTES TO THE FINANCIAL STATEMENTS YEAR ENDED 31st MARCH 2008
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 2007.
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 £44,914, including net current liabilities of £188,096, having incurred a loss for the year of £173,991
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 2008.
The directors have considered cash flow and funding requirements.
The major trade creditor of Condomania Plc has already agreed to stage payments.
Long term funding in the form of loan notes and directors' loans continues in place.
At the time of signing these accounts the company is involved in a new fund raising round. To date, 60% of the targeted funding has been achieved. If the remaining funding is not obtained the Board will need to consider alternative methods of raising new finance. The directors are of the opinion that it is unlikely sufficient funding will not be generated and consequently the financial statements have been prepared on a going concern basis. If this additional funding was not available then the going concern basis may not be appropriate and the financial statements do not reflect any adjustment which might be necessary as a result of this.
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 2008
1 ACCOUNTING POLICIES continued
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.
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
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
- 25% on reducing balance
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 2008
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:
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2008
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:
2008
200
Number of administrative staff
No
Number of management staff
The aggregate payroll costs of the above were:
Wages and salaries
Other pension costs
Social security costs
2
3
--------------------------
=================
5
2008
187,985
£
23,873
--------------------------
8,950
220,808
=================
No
7
3
--------------------------
2
5
=================
2007
178,876
£
13,507
--------------------------
9,200
201,583
=================
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2008
6. DIRECTORS' EMOLUMENTS
The directors' aggregate emoluments in respect of qualifying services were:
2008
2007
£
£
Emoluments receivable
126,721
123,889
=================
=================
Pension contributions of £8,500 (2007: £9,200) have been paid for one director during the year.
7. INTEREST RECEIVABLE
2008
2007
£
£
Bank interest receivable
1,350
465
=================
=================
8. INTEREST PAYABLE AND SIMILAR CHARGES
2008
2007
£
£
Interest payable on bank borrowing
37
9
Loan note interest payable
34,028
25,676
Finance charges
Hire purchase interest
10,022
1,312
10,356
-
Interest on other loans
-
14,934
Factoring interest
5,444
3,979
-----------------------
--------------------------
50,843
54,954
========= ========
=================
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% (2007 - 30%).
2008
2007
£
£
Loss on ordinary activities before taxation
(173,991)
(229,868)
=================
=================
Profit / (loss) on ordinary activities by rate of tax
(52,197)
(68,960)
Factors not deductible for tax purposes
-
-
Capital allowances in excess of depreciation
-
-
Losses carried forward
52,197
68,960
--------------------------
--------------------------
Total current tax
-
-
=================
================
Factors that may affect future tax charges
The group has losses available to carry forward of £778,013.
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2008
10. LOSS ATTRIBUTABLE TO MEMBERS OF THE PARENT COMPANY
The loss dealt with in the accounts of the parent company was £21,019 (2007 - £69,356).
11. DIVIDENDS
No dividend has been recommended for the year ended 31st March 2008.
12. EARNINGS PER SHARE
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 2008
13. INTANGIBLE FIXED ASSETS
================= ================= =================
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2008
14. TANGIBLE FIXED ASSETS
================= ================= ================= ================= =================
Hire Purchase Agreements
Included within the net book value of £5,406 is £2,967 (2007 £4,220) 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 £1,253 (2007 £2,411).
15. INVESTMENTS
Company
Group
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2008
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 2008 were £(804,758) (2007: £(595,229). The loss made in the year was £203,290 (2007: £214,020 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 2008 were £(24,931) (2007: £(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 2008 was £1 (2007: £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 2008 were £28,993 (2007: £31,873) and the loss made in the year was £2,880 (2007: £10,007 loss).
Sutherland Group Holdings Limited owns 100% of Sutherland Health Limited which is registered in England and Wales. The capital and reserves on 31st March 2008 were £160,679 (2007: £90,867) and the profit made in the year was £69,812 (2007: £73,938).
SEXUAL HEALTH GROUP PLC NOTES TO THE FINANCIAL STATEMENTS YEAR ENDED 31st MARCH 2008
16. STOCKS
- - -
================= ================= ================= ================
17. DEBTORS
================= ================= ================= =================
The debtors above include the following amounts falling due after more than one year:
================= ================= ================= ================
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2008
18. 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 £85,352 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 2008
19. CREDITORS: Amounts falling due after more than one year
================= ================= ================= =================
On 30 June 2005 the company issued £112,000 of unsecured convertible loan notes. 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. The holders of these loan notes have been offered the option to convert at 2p under the terms of the placing now in progress or enter into a new unsecured loan note offering interest at 9% per annum with a conversion price of 2p at any time up to 30th June 2011.
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.
20. COMMITMENTS UNDER HIRE PURCHASE AGREEMENTS
Future commitments under hire purchase agreements are as follows:
====
- - -
============= ================= ================= =================
Liabilities under hire purchase are secured on the assets concerned.
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2008
21. COMMITMENTS UNDER OPERATING LEASES
At 31st March 2008 the group had annual commitments under non-cancellable operating leases as set out below.
================= ================= ================= =================
SEXUAL HEALTH GROUP PLC NOTES TO THE FINANCIAL STATEMENTS YEAR ENDED 31st MARCH 2008
22. RELATED PARTY TRANSACTIONS
During the year, the group incurred consultancy fees of £15,794 (2007: £13,124) from Tcheno Limited. At the year end, the group owed £32,515 (2007: £27,234) 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 £16,721 (2007: £15,203) from the John French Consultancy in respect of Mr F J French's services. At the year end the group owed £Nil (2007: £6,250) 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 50.03% of the company's issued share capital.
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2008
23. SHARE CAPITAL
================= ================= ================= =================
The following options were outstanding at the year end:
1) 350,000 shares at 10p each expiring 31 st July 2008 granted on 26 th October 2004 replacing options previously held in Condomania plc.
3) 2,133,450 shares at 16p each expiring 18 th October 2014 granted on 18 th October 2005 pursuant to the unapproved share option scheme.
2) 320,000 shares at 16p each expiring 20 th September 2014 granted on 20 th September 2005 pursuant to the EMI share option scheme.
On 31 st August 2007 the company issued 4,000,000 ordinary shares at 5p each and on 7 th December a further 2,600,000 ordinary shares at 5p each.
24. RESERVES
===================== ====================
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2008
26. NOTES TO THE STATEMENT OF CASH FLOWS
RECONCILIATION OF OPERATING LOSS TO NET CASH OUTFLOW FROM OPERATING ACTIVITIES
2008
Operating loss
£
Amortisation
(124,498)
Depreciation
Decrease/(increase) in stocks
Loss on disposal of fixed assets
Decrease (increase) in debtors
1,459
24,670
-
(20,521)
(Decrease)/increase in creditors
(21,870)
(56,905)
Net cash outflow from operating activities
(197,665)
------------ --------------
=================
RETURNS ON INVESTMENTS AND SERVICING OF FINANCE
2008
Interest received
£
Interest paid
Interest element of hire purchase
Net cash outflow from returns on investments and servicing of finance
CAPITAL EXPENDITURE
Payments to acquire tangible fixed assets
Receipts from sale of fixed assets
Net cash outflow from capital expenditure
(49,531)
1,350 (1,312)
--------------------------
(49,493)
=================
2008
(480)
£
-
(480)
--------------------------
=================
2007
(175,551)
£
24,670
-
4,023
28,297
69,004
6,682
--------------------------
=================
(42,875)
2007
465
£
(54,954)
--------------------------
-
(54,489)
=================
2007
(1,100)
£
-
(1,100)
--------------------------
=================
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2008
26. NOTES TO THE STATEMENT OF CASH FLOWS (continued)
FINANCING
2008
13,200
£
327,285 (72,763)
Issue of equity share capital
Increase in loan notes
-
Share premium on issue of equity share capital
Net outflow from other long-term creditors
Net cash inflow from financing
267,722
£
2007
4,000
-
96,000 (13,022)
86,978
--------------------------
=================
--------------------------
=================
RECONCILIATION OF NET CASH FLOW TO MOVEMENT IN NET DEBT
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2008
26. NOTES TO THE STATEMENT OF CASH FLOWS (continued)
ANALYSIS OF CHANGES IN NET DEBT
================= =================
================= =================
SEXUAL HEALTH GROUP PLC MANAGEMENT INFORMATION YEAR ENDED 31st MARCH 2008
The following pages do not form part of the statutory financial statements which are the subject of the Independent auditor's report on page 9
SEXUAL HEALTH GROUP PLC DETAILED PROFIT AND LOSS ACCOUNT YEAR ENDED 31st MARCH 2008
NOTES TO THE DETAILED PROFIT AND LOSS ACCOUNT YEAR ENDED 31st MARCH 2008
157,130
NOTES TO THE DETAILED PROFIT AND LOSS ACCOUNT YEAR ENDED 31st MARCH 2008
|
MINUTES ENOCH CITY COUNCIL
August 5, 2015 at 6:00pm City Council Chambers
City Offices, 900 E. Midvalley Road
Members present:
Staff present:
Mayor Robert Rasmussen
Julie Watson, Recorder
Council Member Destry Griffiths
Dan Jessen, Treasurer
Council Member Steve Johnson
Nick Turner, City Atty.
Council Member Kirk Lovell-absent
Earl Gibson, Public Works
Council Member Gary Wilcken
Jackson Ames, PD Chief
Council Member Mike Olenslager
Robert Dotson, City Manager
Public present: Michelle & Donna Pritchard, Kay Ayers, Cassie Easley, Rich Nielsen, David & Lisa Owens, Courtney Villanueva, Ivan & Patricia Matheson, Dilworth Armstrong, Bob Tingey, Ken & Carolyn Bauer, Michael O'Rourke, Jared & Lisa Baker, Ryan & Melanie Johnson, Dennis Ayers, Ryan Rayburn, Carolyn Jones, Shawn Stoor, Karl Stevens, Tim Beery, Lisa Brown, Bob Graul, Tim Watson, JD Price, Elizabeth Boucher and Gary Zabriskie
1. CALL TO ORDER OF REGULAR COUNCIL MEETING-Called order by Mayor Rasmussen at 6:00pm. He welcomed the audience.
a. Pledge of Allegiance-Led by Council Member Wilcken
b. Invocation-Audience invited to participate-Given by Bob Tingey
c. Inspirational Thought-Given by Council Member Griffiths
d. Approval of Agenda for August 5, 2015-Council Member Olenslager made a motion to approve the agenda. Motion seconded by Council Member Wilcken and all voted in favor.
e. Approval of Minutes for July 15, 2015-Council Member Wilcken made motion to approve the minutes. Motion was seconded by Council Member Griffiths and all voted in favor.
f. Conflict of Interest Declaration for this agenda-none stated
2. APPOINT POLL WORKERS FOR PRIMARY ELECTION-City Recorder
City Recorder, Julie Watson told the Council that our poll workers have served for many years and make our elections run smoothly. She nominated Carolyn Jones, Shirleen Camp and Betty Talbot as poll workers for the Primary Election on August 11th. Council Member Olenslager made a motion to approve the poll workers as named. Motion was seconded by Council Member Wilcken and all voted in favor.
3. DISCUSS AND TAKE ACTION ON MATHESON AGREEMENT PROPOSAL
City Manager Dotson gave the history of the 2007 agreement for a water line easement referring to the history the applicant gave in the packet. The Mathesons gave the City a water line easement for a water line that was installed years ago. There was an agreement drawn up to give the Mathesons a waiver of impact fees, water connection fees and sewer connection fees for one residence located within Enoch City to be designated in the future. The agreement was never signed. Now the Matheson's are dealing with their father's estate and trying to get things settled. They are asking this Council to approve the former agreement. Council Member Wilcken
Enoch City Council Meeting
1
confirmed we owe them these fee concessions for the water line easement. It was noted the quit claim deed for the easement was signed but the agreement was not. Ivan said they want it on the record so it is valid and complete for a future time. City Manager Dotson said our attorneys checked and could not find any agreement on file. City Attorney Turner said the Council can motion tonight and then submit the agreement which will be updated with the current date and correct names to sign. Council Member Wilcken made a motion to accept the agreement as outlined and that it goes onto the record and when they want to make the claim they present the documents. The motion was seconded by Council Member Johnson and all voted in favor. Ivan asked when this is all put together that we call them to sign it.
4. DISCUSS CHANGES TO SIGN ORDINANCE
Mayor Rasmussen asked City Manager Dotson to explain this. He said last City Council meeting we discussed changing the sign ordinance because currently no signs are allowed in public right-of- ways. At the Council's request and after discussing this with our City attorneys who say we cannot regulate content per the Supreme Court, he and Chief Ames propose to add item 1 to 10-449-A. This clause is an exception for political signs within 21 days before an election and to be removed 24 hours after the election. That is their recommendation because currently most political signs are in violation of our ordinance. City Attorney Turner said this is a great suggestion and if not for the Supreme Court decision they would approve it. Now anytime there is a content based restriction which this is, if sued it would not stand up in court. As our attorneys they cannot recommend this be passed as amended.
Council Member Wilcken suggested we get rid of the sign ordinance altogether for the election. City Attorney Turner suggested we take out subpart A and sub category 1 of the sign ordinance. The real question is, "do we want people to be able to post signs on public property"? If you allow one type of sign you have to allow all signs. Council Member Wilcken said for clarification as it is now no one could post any sign in City rights-of-way. City Manager Dotson said we have a situation now because almost all signs are posted illegally. He discussed the need for the handbill portion of the ordinance to control littering. Our idea was not to have an ordinance we don't enforce and that is why it came up.
Council Member Wilcken said much of the current wording is archaic and refers to things we don't have such as bridges and telegraph poles. He proposes to eliminate this ordinance and have staff rewrite it so it makes sense. City Attorney Turner said the direction staff needs is to answer the question do you want signs to be allowed on public property. If so, you have to allow all signs at all times. There was a discussion of offensive signs and people removing or stealing signs. City Attorney Turner said to clarify the Supreme Court does not define public right-of-way. Mayor Rasmussen said his concern is any type of sign posted anywhere and cleaning it up. Council Member Wilcken said he would like staff to rewrite it so it is simpler and allows signs to be posted in public rights-of-way. City Manager Dotson said as of right now we are not enforcing the law and signs are illegally posted. We know this does not meet Supreme Court standards however this ruling is so new almost no one has had time to implement it and court challenges are out in the future.
Council Member Johnson said he would like to abolish the whole ordinance. Council Member Griffiths suggested the Council pass this tonight and then come back and rework it later so signs currently posted are not in violation. Council Member Wilcken said City Attorney Turner suggested striking letter A and item 1. City staff can come back with something else later. That way we are not unprotected. He said he is not in favor of having the signs removed. He also wants to have an ordinance we are able to enforce. City Attorney Turner said staff needs to know if the Council wants to impose other restrictions such as size, type etc. There was more discussion of issues with signs in public rights-of-way and noted that when signs are placed by people's homes they need to have permission as that appears to be an endorsement of the candidate. We want to protect against that and not make it a nuisance. Most municipalities allow political signs in public rights-of-way. City Manager Dotson said we will have all signs removed if they don't pass this. If the Council chooses to take out Item A and #1 then the signs will remain in place. We will still have the handbill clause.
5. ORDINANCE NO. 2015-08-05-A AN ORDINANCE AMENDING THE ENOCH CITY CODE OF REVISED ORDINANCES, CHAPTER 10-449 REGARDING CAMPAIGN SIGNS
Council Member Wilcken made a motion to strike letter A and item 1 and keep B, C & D with instruction to staff to rewrite an ordinance for future approval. Motion was seconded by Council Member Griffiths and a roll call vote was held as follows:
Council Member Griffiths-yes
Council Member Olenslager-no
Council Member Johnson-no Council Member Wilcken-yes
Council Member Lovell-absent
Mayor Rasmussen-yes (to break tie)
Motion passed
City Manager Dotson was assigned to rewrite the ordinance for next Council meeting.
6. PUBLIC HEARING ON NUISANCE ORDINANCE
Mayor Rasmussen asked for motion to enter the public hearing. Council Member Johnson so moved. Motion seconded by Council Member Wilcken and all voted in favor.
Mayor Rasmussen invited public comments. There were no comments.
Mayor Rasmussen asked for motion to end the public hearing. Council Member Olenslager made a motion to end the public hearing. Motion seconded by Council Member Wilcken and all voted in favor.
7. DISCUSS AND GIVE DIRECTION ON NUISANCE ORDINANCE WORDING
City Manager Dotson said Council Member Johnson submitted his changes to the Council by email. Council Member Johnson said he took the attorneys suggestions on his original version and removed all mention of God and religion from it. He gave more details about inalienable rights, citizens resolving disputes themselves and the right to face our accusers. He said he also added in some state nuisance items. He took what City Manager Dotson submitted and he added an element which bases nuisances on inalienable rights which is core of American life. Nuisances can be many things and he thought about just going with City Manager Dotson's version but he sees encroachments on our freedoms. Accepting informed risk is included even though our attorney did not see what that had to do with nuisances. There was more discussion of that point and laws that mitigate risk, such as seatbelt laws. There was also more discussion of the right to face your accusers and factors related to that.
Mayor Rasmussen said we have two proposals on the table; the Staff version which is largely based on State Code and Council Member Johnson's revised version. Council Member Wilcken said we have talked about this for months and he appreciates Council Member Johnson's efforts. He said City Manager Dotson cleared this up and made it better and he proposes we accept the staff version as written as the new nuisance ordinance with the understanding that the Council can make changes as needed when circumstances come up.
Council Member Wilcken made a motion to write the ordinance using the staff recommendations and put it on the next agenda for action. Council Member Olenslager seconded the motion to approve the staff recommendation for the nuisance ordinance. This was not an action item so the Council will vote on the finalized ordinance at the next meeting. Staff was instructed to write the ordinance for the August 19 th meeting.
Enoch City Council Meeting
8. DISCUSS PLANNING COMMISSION RECOMMENDATION FOR CHANGES TO THE ZONING ORDINANCE
Mayor Rasmussen invited David Owens and JD Price of the Economic Development Committee (EDC) to come up and give background on this item. David said basically they wanted to make changes to the commercial zoning ordinance. The ordinances we have now are very vague and outdated. City Manager Dotson said the ECD was assigned to look at ordinances to see if there are things that hamstring or create more challenges for economic development. This was also a charge from the Governor's Office of Economic Development for municipalities to review ordinances and remove roadblocks to commercial development. They worked on this project for months and months. David Owens added that as a committee they also had questions about zoning ordinances and whether they are proper or violate rights.
It was noted that when the Planning Commission sent this to the City Council they had some negative responses opposing zoning. David Harris, Planning Commission Chairman who had to be out of town tonight wrote a letter to the Council. JD Price read the letter. (See attached letter). The letter essentially said that eliminating zoning would not be beneficial and he wanted to highlight the reasons they made this recommendation. One is to better communicate to developers what is allowed in the various commercial zones. These things were not communicated well in the current ordinance. The advantages are to give the community some control over uses which in turn enhances property values. JD stressed this is a plan. The current Zoning Ordinance was disorganized and they basically organized it to be a guide for businesses considering coming into Enoch. This is about property rights and protecting them. This is the most unrestrictive way to not infringe on others rights so all can live together and be compatible.
Council Member Wilcken asked how long they worked on the plan and was told about one year. He said the City Council has had this for only four days and they need more time to review it. Council Member Wilcken said he would like to table this tonight so they can digest it better. He has questions about landscaping requirements for one. Council Member Johnson said he appreciates the hard work and time that went in to this but he also thinks the public should be able to hear more about the example of Houston that he likes. Our country is progressing and trying to exert more control. He does not want more government control and wants freedoms. He cited more comments about Houston and their lack of zoning policies. He thinks this is too strict and will repel business. Mayor Rasmussen said the Planning Commission went through a process including holding a public hearing. He added the City Council would be open to people getting in touch with them so they can decide this matter in the best interests of the community as a whole. JD Price quoted Benjamin Franklin saying "failing to plan is planning to fail". David Owens added there are elements of state law in here that we can't change.
City Manager Dotson clarified what this says. The EDC started the process by viewing different types of commercial entities and what the property looks like. In the Zoning Ordinance now the Neighborhood Commercial (N-C) and Community Commercial (C-C) were very brief so they elaborated to clarify and make it mean something. He referred to the zoning map saying Regional Commercial (R-C) is where you go to do business not in the residential neighborhoods. Regional Commercial zones are where transportation comes together and has sufficient land to manage big business. Almost anything can come in on Highway 91 or Minersville Highway. Those types of businesses make no sense in context of Neighborhood Commercial (N-C). We see an example of that on 200 North in Cedar City where many homes have been converted to small commercial businesses. The new ordinance puts more specifics into force to protect the neighbors from something that could change property values. He explained the Community Commercial (CC) and Regional Commercial (R-C) where we reduced restrictions for big stores who already know what they are doing from past experience. He explained the Administrative and Professional Office (P-O) zone and the Research/Industrial Park (R/I-P).
Council Member Wilcken said to clarify this does not change any zoning in the City but just redefines it. Council Member Olenslager said he was in attendance at the Planning Commission meetings and they did a good job. Those meetings are public meetings and the Council keeps putting things off. Businesses tend to flock together and we are trying to provide the environment for that. Cam Findlay, also an EDC member added they took a lot from other cities that have paid big fees to have their plans made. Much comes from Lehi which attracts more business than anywhere else in the State. This helps us plan for the future so we don't have to reinvent the wheel each time a business wants to come in.
Mayor Rasmussen asked the City Council when they would like to vote on this. City Attorney Turner added that City Attorney Kuhlmann looked this over and is good with it. Using Lehi is one of the best examples we could have. Council Member Wilcken suggested giving them a month to study this. Mayor Rasmussen asked for a motion to table. Council Member Wilcken made a motion to table the changes to the Zoning Ordinance until September 3rd. The motion was seconded by Council Member Griffiths and all voted in favor except Council Member Olenslager who voted no. Motion passed 3 to 1.
9. ORDINANCE NO. 2015-08-05-B AN ORDINANCE AMENDING THE ENOCH CITY ZONING ORDINANCE, CHAPTERS 17 AND 18 TO FURTHER DEFINE REQUIREMENTS IN COMMERCIAL ZONES
Tabled until September 3, 2015.
10. PRESENTATION FROM HALF MILE ROAD RESIDENTS ON FUNDING OF CURB, GUTTER AND SIDEWALK
City Manager Dotson said he and Melanie Johnson have discussed this at length and he recapped the discussion adding the sewer re-compaction has been completed and all tests were above 90% with the average at 94%. All culverts have been realigned and the barrow ditches are 4 inches deeper to allow for weed block and gravel between culverts. He clarified that the asphalt to be laid is paid for from Class C road funds which can only be used for that purpose. Some are concerned that the drainage discussion will be over if asphalt is laid but that is not so.
City Manager Dotson said we want to be part of a solution and it is not just Half Mile Road that needs to be considered. One thing that needs to happen is a comprehensive storm drainage plan. We have a basic plan in the Capital Facilities Plan (CFP) but it is not comprehensive enough to cover the whole City. The challenge is what the standard should be in relation to all roads. When you change any structure you affect others. He gave more details about the drainage plan in the CFP and what we could afford at the time it was prepared. In discussion with Melanie, the engineers and with Gary Zabriskie of Five County Association of Governments they came up with a challenge. One is financing a change in Half Mile Road and how to pay for that but also how any change there would affect others. A plan is needed.
City Manager Dotson introduced Gary Zabriskie who explained how the CIB Board makes decisions. They receive revenue from federal lands leased for mineral extraction; coal, natural gas and oil mainly. Half of the royalties from extracted materials goes to the federal government and half comes to Utah and then to the Community Impact Board or CIB to alleviate impacts from mineral extraction. Any municipality can apply for funding as all are affected. Iron County is considered a non-producing county. Typically projects in non-producing counties can only get low interest loans and the applicant might have to match 50%. They generally approve projects that will benefit the whole community not just one area and that is the main issue. Melanie said the last time they presented to the City Council she had hoped they understood the residents of Half Mile Road are not just concerned about their street but care about all of Enoch and would love to see a plan in place. Gary said the CIB wants well planned projects. The standard interest rate is 2 ½ %. If you have a revenue stream to fund a loan then there is no problem on getting a loan from CIB. He gave examples in the "five county area" of projects that have been funded. He recommends doing the planning study first for the whole community to determine a drainage plan and to know what you need for cost estimates. This project has been included on our prioritized lists for many years. There was a brief discussion of the culinary well and that this drainage planning project would not compete with that for funding because planning is separate from a construction project.
City Manager Dotson said we do have basic drainage plans. The issue for staff is fixing the choke points. We have a fund now for storm drainage to be used to fix choke points and we need to continue to do that anyway. The NRCS project was huge and solved some problems but not all. If the Council chooses to create a comprehensive drainage plan we can use that plan for various things including for our impact fee analysis. We can't implement a fee without the study. A comprehensive plan could require some ordinance changes too. Now when development occurs we make sure the storm water goes by the property. We may want to require a developer to retain water on the property. He gave the example of The Ridge, Phase 11B which will be a retention pond instead of a house.
City Manager Dotson said to be sustainable we request that we go forward to create a comprehensive drainage plan and apply to CIB for the funding. That will protect properties and would be for the whole City. This will be planned by an engineer and it makes sense to do that for the whole City for a certain size event. The City Council is representing everyone and we would be doing our job in this area.
Council Member Wilcken asked about the asphalt for Half Mile Road expressing concern about getting that done now. It was noted again that the paving is covered by Class C road funds and could go ahead now. There was more discussion about details of the drainage study and what the definition of "comprehensive" could mean. Right now there are unknown factors like what size event we should plan for. In talking with different engineers we could be looking at $30,000 to $40,000 for this planning grant of which the City would pay half. If this includes an impact fee study it could be a bit more. Gary Zabriskie confirmed that is realistic based on his experience.
City Manager Dotson said zoning makes a big difference in this too. If zoning creates hard surfaces where water runs off that is a factor. Council Member Wilcken asked Gary Zabriskie about the timetable on this noting that prairie dog issues held up our NRCS project and caused us to be working in the winter to meet deadlines. Gary said all we are talking about now is the planning which does not have deadlines. We then move to construction are there timeframes for that but it would be a separate project.
Gary explained the CIB cycles. Next October is application time. Funding is in June. Council Member Wilcken asked if we do the planning for a citywide project does that commit us to build the whole thing. Gary said CIB expects follow through but the actual construction can be in phases. There would be a loan element in each phase and there are bonding costs and legal costs. We would do that in accordance with the plan if we are able to cover the funding and repayment schedule with our City revenue. Gary said the plan will decide the phasing and match it to revenue from fees. The study can look at the fees to see if they are adequate Gary said.
Council Member Olenslager said we would have to increase our fees significantly for these loans. City Manager Dotson said we don't know the numbers and need the planning study first. They want the City Council to give them consent to apply for the planning grant. Dan said tonight we are asking for the money to put up the match for the study and with that we get an impact fee study too. Gary said doing the planning gives a leg up for funding for the project later on. The CIB will buy into this when it is well planned. City Manager Dotson said the trade-off is administratively we were saving money to fix a little problem here and there. Fixes are based on choke points so we are reacting to an issue when it happens and we often don't know how that affects others down the road. Our CFP is not a comprehensive plan and a comprehensive long term plan will help us. Council Member Johnson said we can either fix choke points or we can buy a plan. City Manager Dotson said we will still do fixes as needed throughout this process. It is not either/or. Dan said the drainage fund accumulated $35,000 last year and will get $42,000 this year so the City Council could appropriate up to $77,000 to be spent this year.
There was more discussion of other details about time frames for the study to be done. Council Member Olenslager expressed concerns about being able to finance projects with limited revenue. It was noted that things change when homes are built but existing roads won't change. The CIB does not limit the time frame. City Manager Dotson said if you create a plan and don't do anything what good is it. We do not have a Capital facilities finance plan. That has to come to be able to finance these things. Dan concurred this has to include a look at our fee structure and a study would help. Our current fees won't cover much. A fee is a tax we levy and is for a specific service. We will have to review that too. When we get to an actual construction project the Council will have to look at what the financial obligation is.
Gary Zabriskie said the CIB loves to fund this type of project. Enoch is currently on the list for drainage. The culinary well is #1 and then storm water drainage improvements. Nothing would preclude the City Council from applying for a cash match. He has to vet projects like this and it is clearly needed in this community.
11. DISCUSS AND TAKE ACTION ON HALF MILE ROAD ISSUES
Mayor Rasmussen said it is proposed to apply to the CIB for the funding of the comprehensive drainage study. Gary Zabriskie said the application requires a separate public hearing between now and the time of application. Council Member Wilcken made a motion to authorize moving forward with the comprehensive drainage plan application from CIB funds knowing we have to pay a 50% match. Council Member Griffiths seconded the motion and all voted in favor except Council Member Olenslager who voted no. Motion passed 3 to 1.
Council Member Johnson said there is one more aspect of this. A resident of Half Mile Road came to him and adamantly wished to have Half Mile paved before this winter so we have to act now noting this is paid with Class C Road Funds. Council Member Johnson made a motion to pave Half Mile Road now and finish all else later. Council Member Olenslager seconded the motion and all voted in favor.
12. PUBLIC COMMENTS
Kay Ayers made comments about our community being safe and secure. Last month her son ran away and while others looked for him she called the police. The officer came out and she described the child. The officer called her to say he stopped a child who said he was not Wyatt Ayers although it turned out it was him. She expressed concern that the officer did not ask for a picture of the child before searching adding this is the quality of PD for which we spend ½ million. She added they need better training although the City should not pay for that. She expressed concern about the security of the City Office that her child had just wandered through unattended during the meeting.
David Owens said he has seen more action taken tonight than all year and he thanked the City Council. He said the Half Mile Road situation has been the source of much frustration and a comprehensive drainage plan is a good first step to fix all problems.
Lisa Baker thanked the City Council for finally making a plan adding this is a good first step. She said the City has to plan with zoning and drainage and she thanked City Manager Dotson. Now we can act and be productive. She said her daughter fell into one of the open drainage ditches at the Pioneer Day parade and was injured. Open trenches are not a good plan for the City and this is setting us up for lawsuits.
Cam Findley said he too wanted to thank the City Council for approving CIB application for the drainage plan. He reiterated that paving the street is getting it back to normal which is a street that was flooding often and as plan goes forward Half Mile Road should stay a priority. Make that clear.
Melanie Johnson added her thanks too.
13. CORRESPONDENCE-none
14. COUNCIL/STAFF REPORTS
Council Member Olenslager said he has been to Planning Commission meetings and they do a lot of good work there. They are trained and knowledgeable and the City Council should not disregard their recommendations.
Council Member Griffiths said in regard to the Half Mile Road situation sometimes we put things off but sometimes you have to take the time to get good information. They have been trying to gather the best options before action was taken and better ideas came out. He also addressed Kay Ayers regarding the PD in defense of them. Mayor Rasmussen interrupted to say we should not address comments in this forum.
Earl Gibson said he will call the contractor to get the asphalt ordered for Half Mile Road.
Dan Jessen said we need to remember the road paving is a multi-step process. The first patch will
still be messy but it will be flush coated later before winter to smooth it out.
Tim Watson, City Engineer said to the Council to make sure they look into all options for zoning and planning. He cited a case in Cedar City he is working on where a large development was stopped due to issues like this. The lack of planning has caused development not to go in.
City Manager Dotson passed out a memo saying the power will be out next Monday, August 10 th from 1:00am to 11:00am. He met with Rocky Mountain Power today and this planned outage is a great opportunity to exercise our emergency plans. Utility interruption is a Level 2 emergency. He gave details of how a drill would work and how staff will practice their various duties for this emergency. We will use Facebook, Twitter, the newspaper, the website and on Citizen Alert, formerly reverse 911, to send a message to all residents registered with cell phones or land lines. This is an opportunity to practice for a long term outage event.
15. ADJOURN-Council Member Olenslager made a motion to adjourn. Council Member Johnson seconded the motion and all voted in favor. The meeting ended at 8:35pm.
___________________________________
Julie Watson, Recorder Date
Members of the Enoch City Council,
I understand that one of the items on the agenda for Wednesday is regarding planning and zoning. It has been suggested that eliminating zoning and planning for the city would somehow be beneficial to Enoch city. I respectfully disagree with this opinion. As the planning commission chairman, I can safely say that the planning commission I have worked with has always strived to allow property owners as much latitude as possible to do what they would like with their land. We have had very few issues that have come before the commission in which zoning has been in conflict with people's desired land use. It has, however, prevented conflict between neighbors on several occasions.
The city of Houston has been brought up as the only major city without traditional zoning, and how we would do well to be more like Houston. I have investigated that situation, and I assure you that the idea of Houston having no zoning is not entirely accurate. While they may not have traditional zoning, which could allow the occasional strip club to be located next to a day care center, or pig farm next to a restaurant, Houston does have many restrictions, regulations, codes, and ordinances that have effectively replaced the traditional zoning in most cases. You can read the articles I have attached to learn more.
I believe that eliminating zoning will quickly lead to a situation in which people will demand more ordinances and codes that will effectively replace the zoning that you have eliminated. There is a good reason that every major city except Houston has zoning laws: they are wanted and needed. In Houston's case, people have demanded laws to compensate for less zoning and planning.
Please look closely at this issue and don't take it lightly. As a community, there are things that we inevitably share, whether we like it or not. The zoning and planning are designed to help us live in close proximity with one another while decreasing potential conflict. I feel that it has worked well. As you have probably witnessed in the past, there are many unintended consequences associated with decisions made in government. I think there will be many negative, unintended consequences without zoning and planning.
I would like to be in attendance at the city council meeting on Wednesday, but will be unable to be there. I hope you don't feel it inappropriate for me to express my thoughts beforehand. I do so with respect and appreciation for each of you.
Thanks,
David Harris
Enoch City Planning Commission http://www.planetizen.com/node/109
http://urbanleasing.com/blog/five-ways-houstons-lack-of-zoning-affects-city-life
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MINNESOTA STATE LOTTERY GAME PROCEDURES FOR THE LOTTO GAME "POWERBALL "
EFFECTIVE: July 1, 2017
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MINNESOTA STATE LOTTERY GAME PROCEDURES FOR THE LOTTO GAME "POWERBALL "
1.0. Name of Game
The name of the Multi-State Lottery Association's lotto game in Minnesota is "POWERBALL ".
1.1. Definitions
A. "Director" means the Director of the Minnesota State Lottery.
B. "Drawing" means the formal process of selecting winning numbers which determine the number of winners for each prize level of the game.
C. "Game Board" or "Boards" means that area of the play slip which contains two (2) sets of numbered squares to be marked by the player, the first set containing sixty-nine (69) squares, number one (1) through sixty-nine (69) and the second set containing twenty-six (26) squares, number one (1) through twenty-six (26).
D. "Game Numbers" means the numbers selected for each purchase made.
E. "Game Ticket" or "Ticket" means an acceptable evidence of play which is a ticket produced by a retailer terminal for the POWERBALL game.
F "Lottery" means the Minnesota State Lottery.
G. "Lottery Retailer" or "Retailer" means a person or entity authorized by the Lottery to sell lottery game tickets.
H. "Lotto Game" means the lottery game wherein a player selects numbers out of a larger predetermined set or sets of numbers.
I. "MUSL Board" or "Board" means the governing body of the MUSL which is comprised of the chief executive officer of each party lottery.
J. "MUSL Finance & Audit Committee" means the committee established by the MUSL Agreement.
K. "MUSL" means the Multi-State Lottery Association.
L. "MUSL POWERBALL Product Group" means the group of lotteries that have joined together to offer the POWERBALL lottery game pursuant to the terms of the MUSL agreement and the POWERBALL Product Group's rules.
1
M. "Panel" means an area of a play slip which has to be marked by the player to select the numbers to play and the amount to be played.
N. "MUSL Annuity Factor" shall mean the annuity factor as determined by the MUSL central office through a method approved by the MUSL Finance and Audit Committee and which is used as described in these Rules
O. "Participating Lottery" or "Selling Lottery" means a state lottery or lottery of a political subdivision or entity which is participating in selling the Powerball® game and which is a member of the Product Group.
P. "Party Lottery" means a state lottery or lottery of a political subdivision or entity which has joined the MUSL and has joined in selling the games offered by the MUSL Powerball® Product Group.
Q. "Play" means the six (6) numbers, the first five (5) from a field of sixty-nine (69) numbers and the last one (1) from a field of twenty-six (26) numbers that appear on a ticket as a single lettered selection and are to be played by a player in the game.
R. "Play slip" means a card used in marking a player's game plays and containing one (1) or more boards.
S. "Quick Pick" means the random selection of two-digit numbers by the computer terminal which appears on a ticket and is played by a player in the game.
T. "Set prize" means all other prizes except the grand prize that are advertised to be paid by a single cash payment and, except in instances outlined in these procedures, will be equal to the prize amount established by these procedures for the prize level.
U. "Terminal" means a device which is authorized by the Lottery to function in an interactive mode with the Lottery's computer system, for the purpose of issuing lottery tickets and entering, receiving, and processing lottery transactions, including purchases, validating tickets, and transmitting reports.
V. "Winning numbers" means the six (6) numbers, the first five (5) from a field of sixty-nine (69) numbers and the last one (1) from a field of twenty-six (26) numbers randomly selected at each drawing, which shall be used to determine winning plays contained on a game ticket.
2.0. Game Description
POWERBALL is a five (5) out of sixty-nine (69) plus one (1) out of twenty-six (26) lotto game which pays the grand prize, at the election of the player made in accordance with these procedures, either on an annuitized pari-mutuel basis or as a cash lump sum payment of the total cash held for this prize pool on a pari-mutuel basis. Except as provided in these procedures, all other prizes are paid on a set cash basis. To play POWERBALL a player shall select five (5) different numbers, between one (1) and sixty-nine (69) and one (1) additional number between one (1) and twentysix (26), for input into a terminal operated by a retailer. The additional number may be the same as one (1) of the first five (5) numbers selected by the player. The player may select each set by communicating the six (6) numbers to the retailer, or by marking six (6) numbered squares in any one (1) game board on a play slip and submitting the play slip to the retailer or by requesting a "quick pick" from the retailer. The retailer will then issue a ticket, via the retailer terminal, containing the selected set or sets of numbers, each of which constitutes a game play.
2.1. Claims
A ticket shall be the only proof of a game play or plays and the submission of a winning ticket to the issuing Lottery or an authorized retailer shall be the sole method of claiming a prize or prizes. A play slip has no pecuniary or prize value and shall not constitute evidence of ticket purchase or of numbers selected. A terminal produced paper receipt has no pecuniary or prize value and shall not constitute evidence of a ticket purchase or of numbers selected.
2.2. Cancellations Prohibited
A ticket may not be voided or canceled by returning the ticket to the selling retailer, including tickets that are printed in error.
2.3. Player Responsibility
It shall be the sole responsibility of the player to verify the accuracy of the game play or plays and other data printed on the ticket. The placing of plays is done at the player's own risk through the retailer who is acting on behalf of the player in entering the play or plays.
2.4. Price of Ticket
A. The price of each POWERBALL play shall be $2.00 and shall contain one (1) play.
B. A retailer may discount the sales price of a ticket in this game, if the reduction in price is part of a store-wide discount promotion on all purchases (lottery and non-lottery) made by the player. The discount of the price shall not relieve the retailer from the obligation to pay the Lottery the full price of a ticket as stated in this section.
2.5. Play Slip and Ticket Characteristics and Restrictions
A. The player shall select, or request selection by computer, six (6) numbered squares on a play slip. Play slips shall be available at no cost to the purchaser. The minimum entry is $2. A play slip has no pecuniary or prize value and does not constitute evidence of purchase or numbers selected.
B. To purchase a ticket, players shall, in addition to the purchase price and any fee associated with a ticket purchase, submit the completed play slip, or request number selection by quick pick to an authorized retailer to have issued a standard game ticket which shall contain the six (6) number selections played in each game grid, the drawing date, amount bet, and validation number data. This standard game ticket shall be the only valid proof of the bet placed, and the only valid receipt for claiming a prize. The standard game ticket shall only be valid for the drawing date or dates printed on the ticket.
C. If play slips are unavailable, plays may also be given to an authorized retailer in groups of six (6) number selections for each $2 wagered. The selections shall be manually entered into the computer terminal by the retailer.
D. A player may select numbers for up to fourteen (14) drawings, specifically the next drawing and the thirteen (13) subsequent drawings.
E. No ticket may be purchased or issued for a drawing within a specified time, to be designated by the Director, of that drawing.
F. Plays may only be entered manually using the Lottery terminal's keyboard, or by means of a play slip provided by the Lottery and hand-marked by the player or by such other means approved by the Lottery.
G. A retailer may not permit the use of facsimiles of play slips, copies of play slips, or other materials that are inserted into the lottery's computer terminal's play slip reader that are not printed or approved by the Lottery.
H. A retailer may not permit any device to be connected to the Lottery's computer terminal to enter plays, except as approved by the Lottery.
2.6. Time, Place and Manner of Conducting Drawing
A. Time of Drawing POWERBALL drawings will be held twice a week at 9:59 p.m. central standard time on Wednesday and Saturday, provided that the Director or the MUSL POWERBALL Product Group may change the time of the drawing without notice.
B. Place of Drawing POWERBALL drawings will be conducted by MUSL in places designated by the MUSL POWERBALL Product Group.
C. Manner of Conducting drawings MUSL will draw at random, five (5) numbers between one (1) and sixty-nine (69) and one (1) number between one (1) and twenty-six (26), which will be known as the winning numbers.
3.0. Prize Pool
The prize pool for all prize categories shall consist of fifty percent (50%) of each drawing period's sales, including tax, after the prize pool accounts and prize reserve accounts are funded to the amount set by the MUSL POWERBALL Product Group. Any amount remaining in the prize pool at the end of this game shall be carried forward to a replacement game or expended in a manner as directed by the members of the MUSL POWERBALL Product Group.
3.1. Prize Pool Accounts and Prize Reserve Accounts
An amount up to five percent (5%) of sales, including tax, shall be placed in one (1) or more prize pool accounts and prize reserve accounts until the prize pool accounts and prize reserve accounts reaches the amount designated by the MUSL POWERBALL Product Group. Once the prize reserve account exceeds the designated amount, the excess shall become part of the prize pool. Any amount remaining in a prize reserve account at the end of this game shall be carried forward to a replacement prize pool account and prize reserve account or expended in a manner as directed by the MUSL POWERBALL Product Group.
3.2. Expected Prize Payout Percentages
A. The grand prize shall be determined on a pari-mutuel basis. Except as provided in these procedures, all other prizes awarded shall be paid as set cash prizes with the following expected prize payout percentages:
Prize Pool
B. The prize money allocated to the grand prize category shall be divided equally by the number of plays winning the grand prize.
C. The set prize pool (for cash prizes of one million dollars ($1,000,000.00) or less) shall be carried forward to subsequent draws if all or a portion of it is not needed to pay the set prizes awarded in the current draw. If the total of the set prizes awarded in a drawing exceeds the percentage of the prize pool allocated to the set prizes, then the amount needed to fund the set prizes, including Power Play prizes, awarded shall be drawn from the following sources, in the following order: (1) the amount allocated to the set prizes and carried forward from previous draws, if any; and (2) an amount from the set prize reserve account, if available, not to exceed forty million dollars ($40,000,000.00) per drawing. If, after these sources are depleted, there are not sufficient funds to pay the set prizes awarded, including Power Play prizes, then the highest set prize shall become a pari-mutuel prize. If the amount of the highest set prize, when paid on a pari-mutuel basis, drops to or below the next highest set prize and there are still not sufficient funds to pay the remaining set prizes awarded, then the next highest set prize shall become a pari-mutuel prize. This procedure shall continue down through all set prize levels, if necessary, until all set prize levels become pari-mutuel prize levels. In that instance, the money available from the funding sources listed in this procedure shall be divided among the winning plays in proportion to their respective prize percentage. Powerball Set Prizes and Power Play prizes will be reduced by the same percentage.
3.3. Probability of Winning
The following table sets forth the probability of winning and the probable distribution of winners in and among each prize category, based upon the total number of possible combinations in POWERBALL . The overall odds of winning a prize are 1:24.8671.
Any four (4) of first set
3.4. Grand Prizes
A. Grand prizes shall be paid per a winner annuity except a player may elect to receive the grand prize in a single cash payment provided the election is made by the player within 60 days after the player becomes entitled to the prize. The election to take the single cash payment may be made at the time the prize is claimed or within 60 days following the date that the Lottery determines that the player is entitled to the grand prize. An election made by a player to receive the prize via an annuity or in a single cash payment is final and cannot be revoked, withdrawn or otherwise changed.
B. Shares of the grand prize shall be determined by dividing the cash available in the grand prize pool equally among all winning plays of the grand prize. Winner(s) who elected cash payment shall be paid their share(s) in a single cash payment. The annuitized option prize shall be determined by multiplying a winner's share of the grand prize by the MUSL Annuity Factor. The MUSL Annuity Factor is determined through a process as approved by the Finance and Audit Committee. Neither MUSL nor the Lottery shall be responsible or liable for changes in the advertised or estimated annuity prize from the time the drawing occurs and the date that the player makes the election regarding method of prize payment.
C. In certain instances announced by the MUSL POWERBALL Product Group, the grand prize shall be a guaranteed amount and shall be determined pursuant to Section 3.10.
D. If the individual shares of the cash held to fund an annuity is less than $250,000, the MUSL POWERBALL Product Group, in its sole discretion, may elect to pay the winners their share of the cash held in the grand prize pool.
E. All annuitized prizes shall be paid in thirty (30) payments with the initial payment being made in cash, to be followed by twenty-nine (29) payments funded by the annuity. The initial payment of an annuitized prize may be made by the Lottery upon validation of the winning ticket. Each subsequent payment shall increase each year by a rate as determined by the MUSL POWERBALL Product Group. Prize payments may be rounded down to the nearest one thousand dollars ($1,000.00). Annual payments after the initial payment shall be made on the anniversary date of the selection of the grand prize winning numbers or if such date falls on a non-business day, the first business day following the anniversary date.
F. In the event of the death of a lottery prize winner and upon petition of the estate of the lottery prize winner, the MUSL POWERBALL Product Group may accelerate payment of all remaining proceeds from the winning ticket to the estate of the lottery winner by transferring to the estate the securities and/or cash being held to satisfy the prize requirements, or paying the estate the present value of the remaining payments of the lottery winner's prize. The valuation of the securities and determination of the present value of the accelerated lottery payments shall be at the sole discretion of the MUSL POWERBALL Product Group.
3.5. Cash Prize Payments
All low-tier cash prizes (all prizes except the grand prize) shall be paid in cash by the Lottery. The Lottery may begin paying low-tier cash prizes after receiving authorization to pay from the MUSL central office.
3.6. Rollover
If the grand prize is not won in a drawing, the prize money allocated for the grand prize shall roll over and be added to the grand prize pool for the following drawing.
3.7. Limited to Highest Prize Won
The holder of a winning ticket may win in only one (1) prize per board in connection with the winning numbers drawn, and shall be entitled only to the prize won by those numbers in the highest matching prize category.
3.8. Prize Claim Period
Prize claims must be submitted within one (1) year of the drawing date except, if the one (1) year deadline is a Saturday, Sunday, or a legal holiday, a claim must be submitted by close of business the following business day. This Section 3.8 applies to all prize claims without regard to the method used to purchase a POWERBALL® ticket.
3.9. Prizes Rounded
Annuitized payment of the grand prize or a share of the grand prize may be rounded to facilitate the purchase of an appropriate funding mechanism. Breakage on an annuitized grand prize win shall be added to the first cash payment to the winner or winners. Prizes other than the grand prize, which under these rules may become single-payment, pari-mutuel prizes, may be rounded down so that prizes can be paid in multiples of whole dollars. Breakage resulting from rounding these prizes shall be carried forward to the prize pool for the next drawing.
3.10. Funding of Guaranteed Prizes
The MUSL POWERBALL Product Group may offer guaranteed minimum grand prize amounts or minimum increases in the grand prize amount between drawings or make other changes in the allocation of prize money where the MUSL POWERBALL Product Group finds that it would be in the best interest of the game. If a minimum grand prize amount or a minimum increase in the grand prize amount between drawings is offered by the MUSL POWERBALL Product Group, then the grand prize shares shall be determined as follows. If there are multiple grand prize winners during a single drawing, each selecting the annuitized option prize, then a winner's share of the guaranteed annuitized grand prize shall be determined by dividing the guaranteed annuitized grand prize by the number of winning plays. If there are multiple grand prize winners during a single drawing and at least one (1) of the grand prize winners has elected the annuitized option prizes, then the best bid submitted by MUSL's preapproved qualified brokers shall determine the cash pool needed to fund the guaranteed annuitized grand prize. If no winner of the grand prize during a single drawing has elected the annuitized option prize, then the amount of cash in the grand prize pool shall be an amount equal to the guaranteed annuitized amount divided by the MUSL Annuity Factor. Changes in the allocation of prize money shall be designed to retain approximately the same prize allocation percentages, over a year's time, set out in these procedures. Minimum guaranteed prizes or increases may be waived if the alternate funding mechanism as set out in Section 3.2.C. becomes necessary. Approval of the Group is required to change the minimum Grand Prize amounts or minimum increases in the Grand Prize amount. Any reduction in the minimum Grand Prize amount or reduction in the minimum increases to the Grand Prize amount shall not become effective until after a Grand Prize win following the action taken by the Group.
3.11. Procedure for Claiming a Prize
A. To claim a prize of five hundred and ninety-nine dollars and ninety-nine cents ($599.99) or less, a player must sign the back of the ticket in the space designated on the ticket and present the winning ticket to any retailer that sells POWERBALL game tickets. The retailer shall verify the claim through use of the retailer terminal and, if valid, make payment of the amount due the player. In the event the retailer cannot verify the claim, the retailer shall provide the player with a claim form and instruct the player on how to file a claim with the Lottery. If the claim is validated by the Lottery, a check shall be forwarded to the player in the amount due. In the event the claim is not validated, the claim shall be denied and the player shall be notified promptly.
B. To claim a prize less than fifty thousand and one dollars ($50,001.00), but greater than five hundred and ninety nine dollars and ninety-nine cents
($599.99), the player must sign the winning ticket, fill out a claim form, and present both at any Lottery Regional Office or at the Lottery's main office in Roseville, Minnesota, or mail both to the Minnesota State Lottery, P.O. Box 131000, Roseville, MN 55113. If the claim is validated by the Lottery, the check in the appropriate amount will be forwarded to the player less any applicable Federal and State withholding tax and debt owed under Minnesota Statutes 270A.03. In the event that the claim is not validated by the Lottery, the claim shall be denied and the player shall be notified promptly.
C. To claim a prize greater than fifty thousand dollars ($50,000.00), the player must sign the winning ticket, fill out a claim form, and present both at the Lottery's main office in Roseville, Minnesota. If the claim is validated by the Lottery, the check in the appropriate amount will be forwarded to the player, less any applicable Federal and State withholding tax and debt owed under Minnesota Statutes 270A.03. In the event that the claim is not validated by the Lottery, the claim shall be denied and the player shall be notified promptly.
4.0. Ticket Responsibility
A. A POWERBALL prize claim is deemed to be submitted by the person whose name appears on the ticket or, in the case of a ticket not completed with name and address, by the person holding the ticket.
B. The Lottery will not be responsible for lost or stolen POWERBALL tickets.
C. The purchaser of the POWERBALL ticket has the sole responsibility for checking the accuracy and condition of the data printed on the ticket.
D. The Lottery will not be responsible for POWERBALL tickets redeemed in error by a player from a retailer.
4.1. Ticket Validation Requirements
A. Valid Tickets. To be a valid POWERBALL ticket, the following conditions shall be met:
1. The ticket validation number shall be present in its entirety and shall correspond, using the computer validation file, to the selected numbers printed on the ticket for the date printed on the ticket.
2. The ticket shall be intact.
3. The ticket may not be mutilated, altered, reconstituted or tampered with.
4. The ticket may not be counterfeit or an exact duplicate of another winning ticket.
5. The ticket shall have been issued by the Lottery through a retailer in an authorized manner.
6. The ticket may not have been stolen or canceled.
7. The ticket data shall have been recorded on the central computer system prior to the drawing and the ticket data shall match this computer record in every respect.
8. The player selected or computer selected numbers, the validation number data and the drawing date of an apparent winning ticket shall appear on the official file of winning tickets, and a ticket with that exact date may not have been previously paid.
9. The ticket may not be misregistered, defectively printed or printed or produced in error to an extent that it cannot be processed by the Lottery.
10. The ticket shall pass other confidential security checks of the Lottery.
B. Invalid or Defective Tickets - Disputes. A ticket not passing the validation checks in Subsection A will be considered invalid and will not be paid.
1. In cases of doubt, the determination of the Director of the Lottery is final and binding. The Lottery may replace an invalid ticket with a ticket of equivalent sale price from a current lottery game.
2. If a defective ticket is purchased or if the Director determines to adjust an error, the sole and exclusive remedy will be the replacement of the defective or erroneous ticket with a ticket of equivalent sale price from a current lottery game.
3. If a ticket is not paid by the Lottery and a dispute occurs as to whether the ticket is a winning ticket, the Lottery may replace the ticket as provided in Paragraph 2. This is the sole and exclusive remedy of the holder of the ticket.
4.2. Allowance for Delay of Payment
A. The Lottery may delay payment of the prize pending a final determination by the Director, under any of the following circumstances:
1. if a dispute occurs, or it appears likely that a dispute may occur, regarding the prize;
2. if there is any question regarding the identity of the claimant;
3. if there is any question regarding the validity of the ticket presented for payment; or
4. if the claim is subject to any setoff for delinquent debts owed by the claimant under Minnesota Statutes, Section 349A.08, subdivision 8.
B. The Lottery may delay payment of a grand prize pending a claimant election of payment method as provided under Section 3.4., Paragraph A.
C. The Lottery may delay payment of a grand prize for up to fifteen (15) days as permitted by MUSL POWERBALL Product Group rules.
D. Liability for interest for any delay shall accrue to the benefit of the claimant pending payment of the claim.
5.0 Ticket Ownership
A. Until such time as a signature is placed upon the back portion of a ticket in the space designated therefor, a ticket shall be owned by the physical possessor of said ticket. When a signature is placed on the back of the ticket in the space designated therefor, the player whose signature appears in that area shall be the owner of the ticket and shall be entitled to any prize attributable thereto.
B. Notwithstanding any name or names submitted on a claim form or name or names on the back of the ticket, the Director may make payment to each person who has agreed to share the prize so long as the prize being claimed is more than $599.99. If the prize to be shared is the grand prize, each person's share of the prize will be determined under Section 3.4, and each person must make an election as to the method of payment as provided by that section. If the prize being claimed is less than six hundred dollars ($600.00), the Director will require that one (1) of those players whose name appears on the back of the ticket or is party to the prize sharing agreement be designated to receive payment by submission of the agreement among the players that has been approved by the Director. If the prize to be shared is the grand prize, each person sharing the prize must designate whether the prize will be paid via an annuity or a single cash payment as provided under Section 3.4.
C. The Lottery shall not be responsible for lost or stolen game tickets.
6.0. Governing Law
In purchasing a ticket, the player agrees to comply with, and abide by, these procedures for POWERBALL ; Minnesota Statutes, Chapter 349A (the State Lottery Law); the Lottery's Prize Payment Rules, MUSL rules; MUSL POWERBALL Product Group rules; and all final decisions of the Director.
7.0. Ineligible Players
A Minnesota State Lottery POWERBALL lottery ticket may not be purchased by, and a prize won by any such ticket may not be paid to:
a) a MUSL employee, officer or director;
b) a contractor or consultant under agreement with the MUSL to review the MUSL audit and security procedures;
c) an immediate family member of an individual described in subsections (a) and (b) and residing in the same household;
d) a person prohibited by Minnesota statutes; or
e) a person prohibited by contract.
8.0. Retailer's Conduct, Bulk Purchase Restrictions
A. A Lottery retailer authorized to sell lottery tickets for lotto games, or an employee of a retailer may not request, demand, or accept gratuities or additional compensation from any person, or agent thereof, in exchange for the purchase of POWERBALL lottery tickets.
B. A Lottery retailer authorized to sell lottery tickets for lotto games must make POWERBALL lottery tickets available for sale to the public during the hours that sale of POWERBALL tickets are authorized to be sold and that business is open to the public.
C. A Lottery retailer authorized to sell lottery tickets for lotto games may only sell POWERBALL lottery tickets on the premises described in the retailer's contract, except as specially authorized in writing by the Director. No transaction, or any part thereof, of POWERBALL lottery tickets may be made at the general corporate office of any retailer unless that office is open to the public and has contracted with the Lottery as a separate Lottery retailer.
D. A Lottery retailer authorized to sell lottery tickets for lotto games may not enter into any special agreement with any person, group of persons, or agent thereof, for the purchase of over $500 of POWERBALL lottery tickets for any one (1) draw.
E. A Lottery retailer authorized to sell lottery tickets for lotto games must immediately report to the Lottery any attempt made by any person, or group of persons, or an agent thereof, to purchase more than 50% of the number combinations for POWERBALL for any one (1) draw.
F. A Lottery retailer authorized to sell lottery tickets for lotto games must obtain the name and address of any person purchasing more than $5,000 in POWERBALL lottery tickets for any one (1) draw and report the information to the Lottery before the sale.
G. A person may not purchase a ticket or combinations of tickets and a lottery retailer may not directly or knowingly sell a ticket or combination of tickets to any person which would guarantee the purchaser a grand prize win.
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Nespresso Ecolaboration TM MID-TERM report june 2011
© Nestlé Nespresso SA, Corporate Communications
Ecolaboration™ MID-TERM report, June 2011 Nespresso on track with its Ecolaboration™ sustainability commitments
Lausanne, Switzerland, 4 July 2011 – Nestlé Nespresso SA today reported strong progress towards its 2013 commitments for Ecolaboration™, the company's sustainability development platform. Nespresso is honouring the commitment it made in 2009 to report back on progress when it launched Ecolaboration™ to incorporate sustainability across its entire value chain.
" Two years after launching Ecolaboration ™, we have made concrete, measurable progress towards the commitments we had made for coffee production, capsule recycling and carbon reduction, " said Richard Girardot, CEO of Nestlé Nespresso SA.
" Even more important than the progress we've achieved towards our targets is how embedded sustainability has truly become into the way we are doing business, " said Mr Girardot. " For Nespresso, creating sustainable business success means developing a sustainability approach that fits with our unique business model and supports our strategy to create sustainable business growth. "
Tangible, measurable progress
In 2010, Nespresso sourced 60% of its green coffee from its unique AAA Sustainable Quality ™ Program. The company is on track with its commitment to source 80% of its coffee from the program, including Rainforest Alliance certification, by 2013.
had increased to 60% its capacity to recycle used capsules by putting in place collection systems.
By the end of 2010, Nespresso Therefore, Nespresso will reach its 2013 commitment of 75% capacity two years early.
By the end of 2010, the company had reduced by 11% the carbon footprint required for producing each cup of Nespresso coffee, compared to 2009, and against a carbon reduction target of 20% by 2013.
" The progress we've made reflects the passion and commitment of our employees and our Ecolaboration ™ partners," said Guillaume Le Cunff, International Marketing and Strategy Director at Nestlé Nespresso SA. " We've learned that pursuing our targets enables us to be a catalyst for greater impact and better outcomes for everyone in the value chain, from the farmers to the consumers."
Continuing journey
For Nespresso, the sustainability journey is never over. " Our targets are milestones on our journey, not the destination itself. With the insights gained with our Ecolaboration ™ partners, we will continue to work on improving quality and sustainability. Our progress so far confirms our conviction that sustainability is the foundation on which to build the future of our company, " said Mr Girardot.
To provide an update on its sustainability journey, Nespresso today published its Ecolaboration ™ Progress Report. This report is available in English, French and German as of 4 July 2011 on www.ecolaboration.com/mediacenter.
Contacts
H-Joachim Richter
Corporate Communications Director
E firstname.lastname@example.org
T+41 21 796 96 20
Julian Liew
Corporate PR and Public Affairs Manager
E email@example.com
T+41 21 796 97 42
© Nestlé Nespresso SA, Corporate Communications www.ecolaboration.com
Ecolaboration™ MID-TERM report, June 2011
Progress toward our 2013 Ecolaboration™ Coffee Target
2013 Commitment
80% of Nespresso green coffee will be sourced from its AAA Sustainable Quality™ Program, including Rainforest Alliance certification, by 2013.
2010 update
In 2010, we sourced 60% of our coffee from the unique Nespresso AAA Sustainable Quality™ Program.
Program Progress
Out of the some 817,000 bags of coffee that Nespresso bought in 2010, more than 490,000 bags came from farms in the AAA Program.
By the end of 2010, Nespresso had rolled out its AAA Program in six of the nine countries of origin.
Last year, Nicaragua joined Brazil, Colombia, Mexico, Guatemala and Costa Rica as countries in the AAA Program.
By the end of 2010, more than 40,000 farmers had joined our AAA Program, up from 33,000 farmers in 2009.
Measurements of the impacts of the AAA Program in Central America show that on average, Real Farmer Income for farms in the AAA Program was 27% higher than for farms that were not part of the AAA Program.
Quality, Sustainability and Productivity
Working together with our own network of agronomists and our partners to increase quality and yields, while reducing environmental impact.
Providing training, technical assistance and better access to finance for investments directly to farmers.
Investing in a number of locally managed projects that seek to help farmers improve the quality of their crop, increase Real Farmer Income and reduce waste.
What we learned
about the 1 st "A": quality
Working with farmers to protect the supply of highest quality coffee is the first essential step towards creating shared value for all stakeholders, from the farmers to the consumers.
In general, only 1-2% of the world's coffee crop meets the stringent Nespresso requirements for taste, aroma and quality. At the farm level, some 30% of each harvest from farms that Nespresso works with meets those stringent requirements.
The remainder of the crop provides farmers with a valuable supply for the wider sustainable coffee market.
The introduction of sustainable practices helps improve the quality of the coffee grown and reduce waste during the postharvesting process, thus raising the absolute volume of quality coffee we can buy from each farm.
about the 2 nd "A": sustainability
By encouraging a growing number of farmers to achieve Rainforest Alliance certification, we have helped create a new supply of Rainforest Alliance Certified ™ coffee which farmers can sell for a premium in the market.
Since 2009, Nespresso has offered coffee farmers demonstrating progress in the AAA Program the opportunity to apply for Rainforest Alliance certification. This certification is beneficial for farmers as they have the opportunity to secure additional premiums for the coffee that they choose not to sell to Nespresso, thus increasing their incomes. To help groups of farmers take this step, Nespresso pays the first year of certification audits. By the end of 2010, more than 2,200 AAA Program farms had achieved Rainforest Alliance certification.
Protecting the future of the highest quality coffee Nespresso requires also means protecting the environment that produces this coffee, as well as social conditions, to ensure a future for farmer families.
Research suggests that coffee – like many other tropical crops – has a high potential for environmentally sustainable agriculture production.
© Nestlé Nespresso SA, Corporate Communications www.ecolaboration.com
SUSTAINABLE
VALUE
CREATION
Quality
First
Sustainability
Second
Productivity
Third
About the 3 rd "A": productivity
At the outset, the focus was on integrating the Nespresso quality requirements and sustainability standards. Based on our field experience in recent years, we have learned that productivity is an essential ingredient for economically viable and sustainable coffee farming.
Productive and efficient coffee farms, producing the highest-quality sustainable coffee will be more profitable and will lead directly to improvement in rural development.
Productivity and sustainability go hand in hand with stable long term economics for farmers.
The economic dimension includes price premiums of 30% plus access to on-going investment.
The economic dimension, which is a fundamental part of the AAA Program, is vital to achieving lasting change.
On the Ground – Focus on COLOMBIA
Colombia, representing 25% of Nespresso coffee sourcing, leads in terms of volume and high quality coffee.
Since 2003, the AAA Program has been operative in five main regional districts : Cauca, Nariño, Caldas, Antioquia and Huila, working with smallholder farms, often of less than 1 ha, and impacting 130,000 people.
Around 100 dedicated agronomists, financed by Nespresso, operate in the field to visit and train farmers, supporting them to make progress on the three challenges (quality, sustainability, productivity).
We actively work with partners to co-fund and roll out key projects, including FNC (Federación National de Cafeteros de Colombia) and Cafexport, as well as USAID, Acdi Voca, and Acción Social, among others.
Projects for improving quality, sustainability and productivity
Operations in micro central mill started in municipality of Jardín (Antioquia) in December 2010.
Quality and volume of AAA coffee to be doubled thanks to process consistency.
Water use to be reduced by half and 100% treated, while the farms will reach compliance with the SAN standard.
Net farmer income to grow an estimated 30%.
Next Challenges
Expanding the farmer community :
Engage with the remaining 40,000 farmers from which Nespresso sources its coffee (bringing it to a total of 80,000 farms).
Expand the AAA Program in new countries (for example, India joined March 2011).
Develop new regions in current countries of origin.
Expand current clusters.
Farm Performance Visibility :
Track the quality, sustainable agriculture practices and improvements in farm management.
Continuous improvement :
Bring quality, yield and environmental standards to higher levels to enable farms to prepare for Rainforest Alliance certification.
Investment :
Work with key partners to secure on-going investment to allow more farmers greater and faster access to the tools and means to achieve certification.
What Ecolaboration TM Partners say :
"Nespresso has worked diligently to meet its ambitious goals, mobilising its own technical, creative and financial resources, as well as those of farmers, research organizations and local coffee associations. This far-flung coalition strives to meet the social, economic and environmental challenges to sustainability that are as diverse as the smallholder farms. The Rainforest Alliance and other members of the Sustainable Agriculture Network are carefully monitoring progress. Nespresso has developed state-of-the-art data-gathering technology."
Chris Wille,
Chief of Sustainable Agriculture for the Rainforest Alliance www.ecolaboration.com
© Nestlé Nespresso SA, Corporate Communications
2013 Commitment
Nespresso will put collection systems in place to increase our capacity to recycle used capsules to 75%.
2010 update
By the end of 2010, the global collection capacity in place to collect used Nespresso capsules reached above 60%, with about 6,100 dedicated collection points around the world.
program progress
At the end of 2010, 15 countries – from Australia to Austria and from the UK to the US – had systems in place to collect used capsules.
In 2010, Sweden accepted the collection of used Nespresso capsules as part of its national used packaging recovery system (REPA).
Nespresso is taking leadership responsibility by putting in place customised solutions that make it easier for its Club Members to return their used capsules. Nespresso has installed collection points in Nespresso boutiques, located collection points within the community and worked with courier companies to enable doorstep collection in select countries.
In France, Nespresso was the creator and a founding member of Club du Recyclage des Emballages Légers en Aluminium et Acier (or CELAA – Club for Aluminium and Steel Light Packaging) in 2009. Its mission is simple : improve the collection and valorisation of small packaging materials made of aluminium by optimising selective sorting. Specifically, CELAA intends to work with stakeholders to ensure the recycling of light aluminium and steel waste packaging, as part of the national packaging recovery system, thus harmonising waste sorting for consumers.
What we learned
Today, we consider aluminium the best material for protecting our highest quality coffee.
Aluminium has the advantage of being infinitely recyclable. An estimated one-third of world aluminium demand is met by recycled sources and 75% of the aluminium ever produced is still in circulation 1 .
Recycling aluminium saves approximately 95% of the energy required for primary aluminium production and produces only 5% of the CO 2 emissions compared with primary production 2 .
To increase Club Member participation in recycling, we have to make it as easy as possible for our Club Members and consumers to return used capsules for recycling.
For our consumers, the easiest way to recycle used capsules is to throw the used capsules into national or supranational packaging recovery schemes. That's why we are working with our partners to put forward the case that used capsules should be categorised as packaging (and not a product). That would allow them to be collected in national or supranational packaging recycling schemes.
The complexities of the recycling process and logistics of capsule recovery around the world, coupled with varying levels of public engagement and legislation, make a standardized approach to collecting used capsules difficult.
According to a life cycle assessment (LCA) conducted by Quantis, a leading global LCA consultancy, recycling used Nespresso capsules reduces the carbon footprint required to make a cup of Nespresso coffee. In fact, according to the LCA, a Nespresso capsule sent to recycling has a significantly lower environmental impact than the alternatives studied.
1 European Aluminium Association
2 "Global Aluminium Recycling : A Cornerstone of Sustainable Development ", International Aluminium Institute, 2006
© Nestlé Nespresso SA, Corporate Communications www.ecolaboration.com
key metrics
Markets
Australia
Austria
Belgium
Brazil
Canada
France
Germany
Luxembourg
The Netherlands
Portugal
Spain
Sweden
Switzerland
UK
USA
Used capsule collection systems in place
Collection points in Nespresso boutiques since 2010
Nespresso collection system since 2009. Now around 600 collection points, located in Nespresso boutiques, at retail partners and within the community.
Collection in Nespresso boutiques. Doorstep collection and Club Members can take their used capsules to 550 Kiala points.
Collection points in Nespresso boutiques.
Collection points in Nespresso boutiques.
Nespresso collection system since 2008. Now around 2,500 collection points in boutiques in the community and at Mondial Relay points. Doorstep collection in Toulon and Marseille with delivery service Nespresso "Your Time" and in Paris with courier. Pilot with regional packaging recovery systems in three departments (06, 83 and 46).
National used packaging recovery system - Green Dot Duales System, since 1993.
Collection in Nespresso boutique. Doorstep collection and our Club Members can take their used capsules to 50 Kiala points.
Doorstep collection and collection points inNespresso boutiques. Collection at Kiala points to be rolled out in 2011.
More then 230 collection points in Nespresso boutiques and retail partners.
More then 220 collection points in Nespresso boutiques and retail partners. Also Puntos Verdes in Barcelona, consisting of 100 collection points at fixed points across the city and on mobile trucks.
National used packaging recovery system - Green Dot (REPA), since 2010.
Nespresso collection system since 1991. Over 2,400 collection points inNespresso boutiques, retail partners, offices and in the community.
Collection in Nespresso boutiques and doorstep collection in London, Bristol and Bath, to be rolled out throughout the UK in 2011.
Collection points in Nespresso boutiques and doorstep collection in NYC.
Next Challenges
Meeting our commitment means increasing the number of collection points for used capsules located in close proximity to our Club Members, so that we can offer the capacity to collect up to 75% of all capsules sold worldwide.
The percentage of capsules recycled depends on the participation of our Club Members. That is why Nespresso will continue to actively engage with and encourage our Club Members to bring back their used capsules for recycling afterwards.
One area of improvement for Nespresso is the recycling of capsules used by our business customers. These capsules are different in shape and composition (including the amount of aluminium used) to the capsules used by Club Members. We are currently exploring solutions to recover the aluminium from these capsules and we will report on our progress later in 2011.
What Ecolaboration TM Partners say :
"The leadership of Nespresso has been instrumental in bringing various stakeholders together in France under the CELAA banner and in driving the implementation of the unique aluminium recovery technology that we have installed in Pizzorno packaging sorting centre. This solution is proving to be a valuable tool to increase the recycling rate of small aluminium materials."
David Valour,
Pizzorno packaging sorting centre in France www.ecolaboration.com
© Nestlé Nespresso SA, Corporate Communications
Ecolaboration™ MID-TERM report, June 2011
Progress toward our 2013 Ecolaboration™ carbon Target
2013 Commitment
Between 2009 and 2013, we will reduce the carbon footprint per cup of Nespresso coffee by 20%.
2010 update
By the end of 2010, we had reduced the carbon footprint per cup of coffee by 11%.
program Progress
This progress came mainly through the introduction of new Nespresso machine ranges equipped with an automatic stand-by mode (such as the CitiZ range) or an automatic power-off function (such as PIXIE).
Since 2009, all new Nespresso machine ranges, such as CitiZ, have been equipped with an automatic stand-by mode or power-off.
PIXIE, our latest innovation, automatically switches off after nine minutes of inactivity, consuming 40% less energy than a model rated as "A " according to FEA / CECED labelling.
We have built environmental efficiencies into our production centre in Avenches, Switzerland, where an innovative energy recovery system reduces the amount of energy needed to roast green coffee by approximately 15%.
We supported the launch of a Climate Friendly farming module in Guatemala, which helps farmers go above and beyond the Sustainable Agriculture Network (SAN) standards to further mitigate their own greenhouse gas emissions.
Machine use
Distribution
Packaging supply
Coffee farming
and supply
Production centre
Capsule production
2008
CARBON FOOTPRINT
Source: LCA analysis, Quantis
2010
Capsule recycling
What we learned
Life cycle assessment (LCA) studies show that the biggest environmental impact comes from using the Nespresso machine and growing the coffee. The main focus for Nespresso is on reducing the carbon emissions from these areas.
Going beyond carbon, we are taking action to improve the environmental impact of every aspect of our business, from the cherry to the cup, including: coffee cultivation, our operations, our machines and the disposal of capsules.
Recycling aluminium produces only 5% of the CO 2 emissions compared with primary production 1 . That's why Nespresso is continuing to actively engage with its Club Members and encourage them to bring back their used capsules for recycling.
On the Ground – Focus on the coffee value chain
In partnership with the Colombian Coffee Federation (FNC), we have invested in upgrading thousands of installations, including around 10,000 sun driers, 5,000 fermentation tanks and 8,000 water treatment units in Cauca and Nariño, Colombia, to improve environmental management of coffee farms in the region.
Beyond this, our focus on reducing our carbon footprint has led us to support the recent launch of a Climate Friendly farming training module in Guatemala. This education program was created by our partners, including the Sustainable Agriculture Network (SAN), a local university, our sourcing partner EFICO and many others. The module includes voluntary guidelines to help farmers mitigate their own greenhouse gas emissions and better prepare for the new challenges that climate change is already bringing to coffee growing regions.
The warehousing facilities of our sourcing partner, EFICO, are equipped with a highly efficient system to cool, warm, ventilate and sterilize the environment and onsite green energy production is provided by 4,600 solar photovoltaic cells.
As well as reducing the carbon footprint of our operations, we are building additional environmental efficiencies into our production centres and logistics networks. For example, at Avenches, nearly 7,300 cubic metres of rain water, equivalent to two and a half Olympic swimming pools, are collected per year in a special collection tank on the roof. That water is used for various activities, including flushing the toilets and watering the green areas.
1 " Global Aluminium Recycling : A Cornerstone of Sustainable Development ", International Aluminium Institute, 2006
© Nestlé Nespresso SA, Corporate Communications www.ecolaboration.com
Next Challenges
Our efforts to improve our environmental sustainability can only be successful if we have a deeper understanding of our impacts across our entire business. While we have robust measuring and reporting systems in place for our own operations, the impacts of coffee growing are not as well understood. That is why we are investing in a solid, integrated and long-term measurement and reporting program for our sustainability performance, particularly in the countries from where we source our coffee. For example, we are working with Quantis, a leading global LCA consultancy, on a project to measure qualitative and quantitative effects of TASQ ™, our sustainability self-assessment tool for coffee farmers. TASQ ™ includes criteria such as wastewater management and coffee replanting.
We are also launching our own AAA Sustainable Quality™ database to gather, analyse and share information about sustainability with coffee farmers, to help them plan for the future. It will allow us to tailor support in environmental management to farmers' individual needs, as well as providing a global overview of our program implementation and the adoption of sustainability best practice (Cluster monitoring & decision tool, traceability and geo-localisation).
Furthermore, to ensure that we are helping to protect biodiversity in coffee growing regions, we need to measure the impacts we have on local ecosystems. We are developing a long-term project with IUCN to better understand the biodiversity impacts of our operations in coffee countries of origin, especially around coffee growing. A part of this work involves designing a robust eco-monitoring system to evaluate possible future initiatives.
What Ecolaboration TM Partners say :
" The approach that Nespresso is taking to measure their carbon footprint and to set realistic and measureable targets to reduce it throughout the entire value chain is a commendable approach to addressing a serious issue."
Yves Loerincik, CEO, Quantis
© Nestlé Nespresso SA, Corporate Communications www.ecolaboration.com
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Nadejda Hriptievschi
Legal Resources Centre from Moldova
Director of Programs,
1
april 2018
Justice Sector Challenges Undermine the Rule of Law in the Republic of Moldova
POLICY BRIEF
EXECUTIVE SUMMARY
Justice sector reform has continually been on Moldova's agenda since the political changes in 2009, but with very little impact. Moldova's reform of the justice sector has stalled, with many critical areas unresolved regardless of the implementation of the Justice Sector Reform Strategy (JSRS, 2011 – 2017). Even the loss of EU budgetary support caused by unfulfilled commitments in the justice sector did not change the attitude of the authorities. The JSRS was part of the EU-Moldova Association Agenda for 2014-2016. Independence of the judiciary is among the key priorities of the EU-Moldova Association Agenda for 2017-2019, including a series of crucial short and medium-priorities to strengthen judicial independence and accountability. Respect for rule of law is a precondition for EU macro-financial assistance to be provided to Moldova, agreed upon in 2017.
Several issues seriously affect rule of law and independence of the judiciary in Moldova. The selection and promotion of judges is still not merit-based, mainly due to selective approach and promotion of several candidates with serious integrity issues. Judges are still nominated for an initial mandate of 5 years, condition that may seriously affect their independence. The Parliament continues to play a dominant role in appointing judges of the Supreme Court, which politicizes the appointment of Supreme Court judges. The Superior Council of Magistracy takes most of the decisions behind closed doors and poorly reasons them. Signs of selective justice became visible, in particular after 2015. This refers to the use of criminal justice against outspoken judges and political opponents, enhanced prosecutorial bias in the judiciary and closed hearings in several high profile cases for no legitimate reasons. The
1 www.crjm.org/en/
2 Institute for Public Policies, Public Opinion Barometer, November 2011 and November 2017: www.ipp.md.
3 Adopted by the Moldovan Parliament on 25 November 2011 (Law no. 231), in force from 6 January 2012.
4 See for details: https://eeas.europa. eu/headquarters/headquartershomepage/33723/moldova-eu-cutsbudget-support-programme-justice- reforms_en.
5 Chapter 2.2 Political Dialogue, Good Governance and Strengthening Institutions, EU-Moldova AA, 2017-2019.
public trust in the judiciary decreased in recent years and remains at a low level today, in spite of the implementation of the JSRS during 2011-2017. According to public opinion surveys, the share of distrust in the judiciary was 76% in November 2011 and reached 79% in November 2017. 2
Urgent measures to ensure judiciary and law enforcement bodies' impartiality and professionalism are necessary. Only real reforms with proven results can restore the credibility of the justice sector in Moldova. The authorities shall amend the primary and secondary legislation to ensure merit-based appointment and promotion of judges and provide track-record of merit-based appointments and promotion of judges. The legislation and practice changes shall be promoted to ensure an effective disciplinary mechanism for judicial accountability, including an accessible mechanism for public complaints and a functionally independent and accountable Judicial Inspection. The Parliament shall amend the Constitution in line with Venice Commission recommendation to provide important safeguards for judicial independence, in particular by removal of the initial 5-year appointment for judges, changing the composition and strengthening the role of the SCM, as well as removing the Parliament appointment of judges of the Supreme Court). Legislation should be amended to ensure transparency in the decision-making process of the Superior Council of Magistracy. The right to a public hearing and publishing of all court judgments shall be ensured in all cases, except legitimate exceptions. Any selective justice elements shall be excluded, such as the use of criminal justice against political opponents, selective judicial practices, unjustified use of closed hearings and intimidation of independent judges through various legal proceedings, including criminal justice.
INTRODUCTION
A Justice Sector Reform Strategy (JSRS) for 2011-2016 was adopted in 2011. 3 In 2016, the JSRS was prolonged for one more year, to allow the implementation of the unfulfilled activities, as well as for drafting a new strategy. The JSRS implementation was part of the EU-Moldova Association Agreement Agenda for 2014-2016. In 2013, EU and Moldova concluded a Financing Agreement through which EU offered EUR 60 million as budgetary support implementation of the justice sector reform strategy. In October 2017, EU announced that it would not transfer EUR 28 million to the state budget of the Republic of Moldova due to the fact that the Moldovan authorities have shown insufficient commitment to reforming the justice sector between 2014 and 2015. 4 This was an important decisions that should have determined the Moldovan authorities to swift actions and effective reform initiatives. This has not yet happened.
Independence of the judiciary is among the key priorities in the EUMoldova Association Agreement Agenda for 2017-2019, which includes several key short and medium-term priorities for further reforming the justice sector, in particular for ensuring its independence, impartiality, professionalism and efficiency. 5 The brief includes information on the following short-term priorities: recruitment and promotion of judges, effective implementation of safeguards for the independence of judges, effective implementation of disciplinary rules for judges and the autonomy of the Judicial Inspection, transparency in the decision-making process of the Superior Council of Magistracy. No progress has yet been achieved in any of these areas.
The 2017 Memorandum of Understanding between EU and Moldova on macro-financial assistance also provides for the respect of rule of law and strengthening of judicial independence by Moldovan authorities as
pre-conditions for the EU assistance, as well as a special conditionality regarding the composition and independence of the Superior Council of Magistracy (SCM, action 28). As outlined below, a draft law to amend the Constitution has been registered with the Parliament regarding the SCM role, but it still needs to be adopted. Increasing trends of selective justice significantly affect the rule of law in Moldova.
According to public opinion surveys, the share of distrust in the judiciary was 76% in November 2011 and reached 79% in November 2017. 6 According to a national survey conducted in December 2017 for the Superior Council for Magistracy 7 , 81% of the general population did not trust the judiciary. The survey included a booster sample only for persons that had court experience in the last two years. Surprisingly, the results are very similar, 81% of those that had contact with the courts did not trust the judiciary. This is an alarming result, as usually the level of trust of persons that had contact with courts is higher than that of the general population. The trust in the Government and Parliament is even lower (85-86% of the general population and 91% of those with prior court experience), confirming a general distrust of the population in main state institutions. The results regarding the judicial system are particularly alarming in the context of the Justice Sector Reform Strategy implementation during 20112017. The same survey indicates that 75% of the general population and 83% of those with court experience perceive that justice sector is corrupt. 73% of the general population and 77% of those with court experience believe that the courts will convict an ordinary person of a crime, though innocent, and at the same time, a similar high percentage (79% and 80% correspondently) posit that the courts will exonerate a rich person that is surely guilty. exclude that the courts can declare not guilty an ordinary person charged with a crime that he or she didn't commit. The incidence of such responses, especially among the respondents with court experience, confirms that the perception about selective justice is widespread among court users and the general population. Thus, urgent measures are necessary to boost the impartiality of the judiciary and law enforcement bodies, and their professionalization. Only such efforts can restore the public trust in the justice sector.
MAJOR ISSUES OF CONCERN
This brief highlights seven key issues that need to be addressed immediately if Moldova is to restore at least some level of trust in the justice sector and ensure basic prerequisites for a rule of law based society. This requires both legislative and implementation measures.
1. A comprehensive policy framework for justice sector reform is not yet in place.
The Justice Sector Reform Strategy (JSRS) was implemented from 2011 to 2017. Significant progress was achieved, mostly on the technical and resources levels, such as established full audio-recordings of court hearings and random assignment of cases functioning in all courts, 8 or increased number of court staff (judicial assistants per each judge, with three assistants per judge for the Supreme Court) and higher salaries for judges and court staff, including improvements of several laws. However, much needed qualitative improvements are still lagging behind, particularly regarding the system of appointments and promotion of judges, reasoning of court judgments and judicial accountability. A new
6 Institute for Public Policies, Public Opinion Barometer, November 2011 and November 2017: www.ipp.md.
7 Survey conducted for the Superior Council of Magistracy by Open Justice, USAID funded program, and Increased Efficiency, Accountability and Transparency of Courts in Moldova (ATRECO), EU funded project, 2018, available at: http://crjm.org/wpcontent/uploads/2018/02/Brosura_finala. compressed.pdf.
8 Random assignment of cases is functioning in all courts, but the system is vulnerable to manipulations. The Integrated Case Management System, through which random assignment is done, shall be adjusted to exclude the current vulnerabilities.
9 Minister Alexandru TANASE, appointed at the end of 2017. He resigned in March 2018 and was replaced by Minister Victoria IFTODI, appointed on 19 March 2018, who committed to continue the announced reforms.
10 Document available in Romanian at http://justice.gov.md/public/files/ Document_de_concept.pdf.
11 See for details Public Policy Document: Selection and Promotion of Judges: Challenges and Needs, Legal Resources Centre from Moldova, 2017, available at http://crjm.org/wp-content/ uploads/2017/12/CRJM-Selectia-si-carierajud-2017-ENG.pdf.
12 Justice Sector Reform Strategy of the Republic of Moldova, Review of Implementation, Assessment and Recommendations, Council of Europe, Directorate General Human Rights and Rule of Law, 5 December 2017, available at https://crjm.org/wp-content/ uploads/2018/02/Moldova-JSRS_ assessment.pdf, para. 125.
law on prosecution service was adopted in 2016, but qualitative changes have yet to come. Contrary to positive expectations from the Strategy, in the past two years selective justice has become a serious issue.
Moldova entered into 2018 without a new strategic document for reforming the justice sector. Partially, this resulted from the changes of the leadership of the Ministry of Justice (MoJ) at the end of December 2017. Only on 30 January 2018, the new Minister of Justice 9 announced several short-term directions for justice sector reform 10 to be carried out in 2018. These include positive initiatives like amending the legal framework to ensure merit-based appointments and promotion of judges, improved disciplinary procedures, amendments to reduce abusive pre-trial arrests, reform the Supreme Court of Justice (SCJ) and improved transparency of courts. Given the electoral year in 2018, it is unlikely that most of them can be fulfilled unless the MoJ shows excellent effectiveness and receives full support from the parliamentary majority. This also refers to several important pending draft laws that MoJ should promote (noted below). Above all, the MoJ has to develop a new justice sector strategy addressing all the existing deficiencies, to advance it in the Parliament prior to elections, and to ensure the continuity of freshly started reforms irrespective of the 2018 elections' outcomes.
2. The system for selection and promotion of judges has deficiencies.
Merit-based appointments and promotion within the judiciary system is a serious problem, highlighted from 2014-2017. 11 The Council of Europe assessment of the level of implementation of the JSRS 2011-2016 has also concluded that the intervention area regarding selection and evaluation of judges has not been achieved, particularly as a result of disregarding procedures, selective approaches, and issues with candidate's integrity, despite adopting formal criterial and legal framework. 12
The first major shortcoming refers to inadequate selection and appointment criteria for judges, and the lack of a coherent unified methodology applied by the Selection and Career Board. Practically, among currently used criteria there are aspects of little relevance for judiciary activity such as scientific or academic background or candidate's personal motivation that attributes significant points (almost one quarter) in the evaluation. This type of criteria encourages a less objective and more discretionary evaluation of candidates, hindering a fair merit-based assessment.
Secondly, the Superior Council of Magistracy (SCM) selects or promotes judges overlooking the points awarded by the Selection and Career Board, and without reasoning its decisions. Such a system creates grounds for suspecting rigged selection of judges. Between January 2013 and May 2017, only 115 out of 150 judges proposed by the SCM for appointment were selected based on contests with more than two participants. 83 candidates out of 115 proposed in contests (or 72%) were candidates who scored lower than others. SCM did not provide any reasoning for ignoring the scores. During the same period, 5 out of 12 judges promoted to the Supreme Court based on contests (or 42%) had lower scores than other contestants. These figures prove that either the judges were not appointed /promoted based or merits or that the appointment /promotion rules are inadequate.
Thirdly, the SCM organizes a selection process (contest) for each vacancy in the judiciary system, without using a transparent system that would clearly list all available vacancies, the names of the contenders and publishing the final outcomes of the selection contest. This means that the candidates
can apply simultaneously for several positions at different courts. The same candidates can be rejected for some courts and accepted later for other courts. This lack of transparency and clarity of rules encourages corrupt practices and develops a sort of dependency of the candidates on the SCM. This severely undermines the meritocracy principles and impedes correct and professional judges from entering the judiciary, which ultimately negatively impacts their independence and the public trust in the judiciary.
The need for merit-based appointments and promotion in the judiciary is recognized as a problem both by MoJ and the SCM. A draft law proposed in September 2017 by the MoJ aims at solving the above mentioned deficiencies, but it needs further improvement. It provides for periodic organization of contests for selecting and promotion of judges as opposed to organization of contests for each vacancy, higher weight to National Institute of Justice (NIJ) studies and judges' performance evaluation in the selection and promotion criteria, in this way limiting the discretionary criteria for selection. At the same time, the draft law does not clearly extend the principles proposed for selection to promotion of judges, the NIJ studies and performance evaluation of judges' weight could be increased, the SCM functioning could be improved by more transparent organization of its sittings and by improving the way of publishing its decisions. The Parliament should adopt the draft law in May-July 2018, before the electoral campaign for the 2018 parliamentary elections begins.
2. Constitutional amendments to strengthen judicial independence are necessary.
Under the Justice Sector Reform Strategy (JSRS) 2011-2016, extended for 2017, the Moldovan authorities undertook to amend the Constitution to strengthen judicial independence. 13 A draft law in this regard was registered with the Parliament in 2016, but did not receive the necessary number of votes within one year of the registration and, hence, became null and void 14 . A similar new draft law was initiated, subjected to public consultations and adopted by the Government in 2017. On 5 December 2017 the Constitutional Court provided a positive opinion on the draft law and on 27 December 2017 the Ministry of Justice asked the Venice Commission to provide an opinion on the draft law. On 18 January 2018, the draft law was registered with the Parliament (draft law no. 10).
The draft law includes the following main amendments: a) the President of the country will appoint all judges (currently the Parliament appoints the judges of the Supreme Court, which contributes to politicization of judicial appointments); b) the 5-year probationary period for appointment of judges is annulled 15 , and c) the role of the Superior Council of Magistracy (SCM) is expressly defined as "the guarantor of independence of the judicial authority" and the mandate is extended from 4 to 6 years, prohibiting a consecutive appointment for another term. The composition of the SCM is changed. It shall be composed of judges, constituting "an important part of the SCM" and civil society representatives (instead of law professors), with no ex-officio members. 16
The Venice Commission concluded that the proposed amendments are generally positive and in line with the applicable standards. 17 Regarding the appointment of the Supreme Court judges by the President instead of the Parliament, the Venice Commission recalled its Report on Judicial Appointments according to which the "involvement of parliament in the process may result in the politicization of judicial appointments. In the light of European standards the selection and career of judges should
13 The amendments are also part of the implementation of the National Action Plan for the Republic of Moldova - EU Association Agreement for the period of 2017-2019.
14 Under art. 142.3 of the Constitution, constitutional amendments shall be adopted within one year from the registration with the Parliament.
15 The current system of appointing judges for an initial mandate of 5 years and only afterwards for life tenure creates unnecessary risks for judges' dependency on the appointing body, subsequently diminishing judges' independence.
16 Currently, the SCM is composed of 12 members, out of which 6 are judges, of all three court levels, elected by their peers, 3 law professors, appointed by the Parliament, and 3 ex-officio members: the Minister of Justice, the Prosecutor General and the President of the Supreme Court of Justice.
17 See Venice Commission, Opinion on the draft law on amending and supplementing the Constitution of the Republic of Moldova (Judiciary), CDL-AD(2018)003, 19 March 2018, available at http://www.venice. coe.int/webforms/documents/?pdf=CDLAD(2018)003-e.
18 See for details Venice Commission, Report on Judicial Appointments, CDLAD(2007)028, 22 June 2007, available at http://www.venice.coe.int/webforms/ documents/default.aspx?pdffile=CDLAD%282007%29028-e.
19 Recommendation Rec(2010)12 of the Committee of Ministers of the Council of Europe on judges: independence, efficiency and responsibilities, para 27.
20
either by the Judicial Inspection ex-
Disciplinary proceedings can be started officio, or following a complaint. Judicial
manifestly ill-founded complaints. All other
Inspection has 10 days to dismiss the complaints have to be proceeded through
Board and can be appealed to the the admissibility panels of the Disciplinary
Disciplinary Board. However, the Judicial complaints as manifestly ill-founded,
Inspection dismisses a high number of including outside of the legal deadline of
Inspection dismissed 72% of all complaints
10 days. For example, in 2015, the Judicial as manifestly unfounded, in 2016 – 81%
be appealed only to the admissibility and in 2017 – 83%. These dismissals can
panels and never reach the Disciplinary to dismiss the disciplinary complaints as
Board. The Judicial Inspection's decisions manifestly ill-founded are not published.
be 'based on merit, having regard to qualifications, integrity, ability and efficiency'. Elections by parliament are discretionary acts, therefore even if the proposals are made by a judicial council, it cannot be excluded that an elected parliament will not self-restrain from rejecting candidates. Consequently, political considerations may prevail over the objective criteria." 18 In addition, the President can veto only once the proposal of the SCM. Hence, the Commission concluded that shifting the competence of the appointment of the judges of the Supreme Court to the President is likely to contribute to depoliticizing these appointments. It remains to be seen if this amendment will have the expected practical outcome.
The Venice Commission recommended that the draft law be clarified by determining in a clear manner the part of the judges in the SCM, recalling the Council of Europe standards that require that at least half of the members should be "judges chosen by their peers from all levels of the judiciary and with respect for pluralism inside the judiciary." 19 The Venice Commission also recommended that the method of selection of the SCM members from civil society be clarified. The draft law excludes all ex-officio members of the SCM. The Venice Commission mentioned that there are no common standards on the membership of these ex officio members in the judicial council. At the same time, the presence of the ex officio members allows for the SCM to be a formal forum of exchange of views between the different stakeholders that enables regular consultations on the functioning of the judiciary. Hence, if the ex-officio members are excluded, other channels of institutional dialogue should be established at the legislative level. The exclusion of the Minister of Justice from the SCM was not included in the version of the draft law subjected for public consultation. This exclusion is questionable, since the real necessity is to limit the Minister's participation in decision-making regarding judges' career. As a member of the SCM, the Minister can play a positive role by ensuring cooperation, as well as "checks and balances" between judiciary and executive powers.
The draft law should be improved by determining in a clear manner the part of the judges in the SCM. The other two amendments can be implemented either by constitutional amendments or by secondary legislation, as long as they follow strictly the Venice Commission recommendations. Constitutional amendments are recommended, in order to ensure that the secondary legislation does not fall behind the standards. However, secondary legislation would also be acceptable if it is promoted in parallel with the constitutional amendments. Any substantive amendments of the draft law would require a new Constitutional Court opinion, which is usually provided within a short time limit. The draft law can be adopted no earlier than 6 months (18 July 2018) and not later than one year (18 January 2019) since its registration with the Parliament (18 January 2018). The Parliament should adopt the law in July 2018, before the electoral campaign for the 2018 parliamentary elections begins, in order to avoid missing again the legal timeline for adopting the amendments.
4. The mechanism of disciplinary responsibility of judges contains flaws.
The current mechanism of disciplinary responsibility of judges is not effective. It provides a limited role for Judicial Inspection to present the accusation and disciplinary case of a judge before the Disciplinary Board and contains insufficient provisions to keep Judicial Inspection accountable for its work in disciplinary cases. At the same time, this mechanism allows extensive discretion to Judicial Inspection in declaring inadmissible the disciplinary complaints at the beginning of the proceedings. 20 In addition,
Judicial Inspection is fully dependent on SCM as it is the SCM that elects all members of the Judicial Inspection, with no competence of the head of the Judicial Inspection in the selection process of the judicial inspectors. The Judicial Inspection does not have a separate administrative staff or budget, all being allocated by and directly administered by the SCM. The quality of Judicial Inspection investigations is often questionable. This is due both to limited human resources available to the Judicial Inspection, as well as lack of will to carry out thorough and independent investigations. The disciplinary procedures are cumbersome and unjustifiably long, partially because it involves five bodies able to examine a complaint and quash the decision of the previous body. This mechanism was introduced by the law no. 178, adopted in 2014 (in force in January 2015), and actually ignored the Venice Commission's opinion on the draft law that is still valid 21 .
In September 2017, the MoJ initiated a draft law on judiciary, including for implementing the 2014 Venice Commission recommendations regarding the mechanism of judicial responsibility of judges. The draft law only partially tackles the problems in the system by introducing provisions on disciplinary offences and the work of the Disciplinary Board. However, no amendments are proposed for improving the disciplinary procedure and clarifying the role of the Judicial Inspection in these proceedings, providing sufficient checks and balances throughout the disciplinary procedures. Legislative amendments are necessary to improve the system of disciplinary responsibility of judges.
5. Transparency and accountability of courts are negatively affected by excessive anonymization of court judgments.
In particular, since 2016, the courts started using anonymization of court judgments (using "XXX" instead of names) for names of the parties involved in the trial, including the legal entities, and, in some cases, even hiding the names of judges, prosecutors and state authorities. Such practices contradict the standards on data protection and represent a severe barrier for investigative journalists. A regulation adopted by SCM in October 2017 on publishing of court judgments allows publishing the names of the parties as a rule, with exceptions for protection of personal data, including for the protection of minors. On 22 February 2018, the SCM sent a written note to all courts, reminding them of the new regulation that requires publication of the names of the parties as a rule, with limited exceptions, and publication in all cases of the names of the judges, prosecutors, lawyers and legal entities. The 2017 regulation and the SCM proactive approach are positive developments. On the other hand, the National Center for Data Protection initiated a draft law in October 2017 that proposes the anonymization of all court judgments as a rule, irrespective of the case type (e.g. corruption case). If adopted, this law can impede journalists and civil society from effectively monitoring cases of public interest (eg. cases related to the 2014 banking fraud). In a state of endemic corruption, including in the judiciary, anonymizing court judgments would also become a huge impediment to effectively fight corruption. The respective draft law has not yet been finalized and sent to the Government.
6. Transparency in the decision-making process of the Superior Council of Magistracy (SCM)
The SCM is a public body in charge of judicial self-administration. The quality of SCM functioning and decisions is essential for the entire judicial system, given the large competences that the SCM has. However, the
21
ODIHR, Joint Opinion on the draft law on
See for details Venice Commission and the disciplinary liability of judges, CDL-
at http://www.venice.coe.int/webforms/
AD(2014)006, 24 March 2014, available documents/?pdf=CDL-AD(2014)006-e.
22 First instance court judgments of 27 June 2016, maintained by appeals court on 11 November 2016 and on 22 February 2017, the Supreme Court rejected his appeal, in written procedure.
23 On 21 June 2016, just six days before issuing the sentence in Mr. Filat's case, SCM adopted a new Regulation on publishing the court decisions, according to which decisions on the cases examined behind closed doors are not to be published on its website. The previous regulation, dated from 2008, did not provide such a limitation and all court decisions were published. The new SCM regulation, mentioned below, maintains the same rule.
24 Billion "theft" refers to the disappearance of approx. 1 billion USD from Moldovan banking sector, including the nearly a third of the National Bank Reserves, or the equivalent of 15% of Moldovan GDP, within several years, with the information publicly released at the end of 2014. For a detailed explanation of the issue see http://www.transparency. md/2016/12/20/radiography-of-a-bankfraud-in-moldova-from-money-launderingto-billion-fraud-and-state-debt/.
25 According to NAC, Chirtoacă has given instructions to the deputy mayor Nistor GROZAVU, who was chairman of the Commission for selecting companies to implement the parking project in Chisinau, to sign the contract with a certain company without the approval of the Municipal Council.
26 According to NAC, between 2012-January 2017, the Municipality of Chisinau, represented by its mayor Chirtoacă, concluded 81 agreements that provided the monetary value for apartments that the municipality was supposed to provide following court decisions. NAC claims that the apartments were supposed to be provided for temporary use while in official position and not for private property, hence the conclusion of the respective agreements was illegal.
procedure by which decisions are taken and the poor reasoning of SCM decisions significantly reduce SCM's transparency. All SCM decisions are taken in closed sessions, where no one except the SCM members participates, similar to the adoption of court decisions (the so-called procedure in "deliberation"). The SCM is the only collegial public institution where decisions are taken behind closed doors. Neither the Parliament, nor the Government have such closed procedures, with their adversarial discussions and decisions taking place in public, with limited exceptions. The Superior Council of Prosecutors (SCP) does not take decisions in deliberation either. Moreover, the law does not require the provision of the exact number of votes in the SCM decisions, neither the number of votes "pro" and "against". The decision often includes a general statement that it has been adopted by the majority of members, which is impossible to verify for the parties concerned. In addition, the reasoning of the SCM decisions is generally poor or does not exist. If the SCM continues taking the majority of decisions behind closed doors and with insufficient reasoning, the public's perception of the judiciary will continue to deteriorate. The SCM example is also very important for the judiciary as a whole, and one cannot expect courts and individual judges to act with responsibility, transparency and offer well-reasoned decisions when the body that represents the system, ignores such basic rules.
7. Selective justice is taking roots
Closed hearings are increasingly used in high profile cases. Closed hearings in high profile cases, visible since 2016, set dangerous precedents and create pre-conditions for selective justice, reducing significantly the judiciary's accountability. This refers to the case of the ex-prime-minister Vladimir FILAT, sentenced for passive corruption and traffic of influence, 22 entirely examined in closed hearings. Only the decision of the Supreme Court was published, although anonymized ("XXX" was used instead of names of legal entities and parties). 23 Two other notorious cases related to the "billion theft" 24 were examined entirely behind closed doors. The first case is that of Veaceslav PLATON, a businessman sentenced for a fraud that led to the "billion theft". The second case is that of Ilan SHOR, mayor of Orhei and former President of the Board of the Economy Bank of Moldova, one of the banks involved in the "billion theft". The judgements in the Platon and Shor cases are not published. The secrecy in which the trials mentioned above were conducted deprived the public of the right to learn about the "billion theft" case, which has had disastrous effects on national economy and public welfare since late 2014 and provoking protests of thousands of people in 2015. There were no legitimate reasons to hear all these cases behind closed doors. This was perhaps done to shield the ruling party and/ or other participants in the "billion theft".
Criminal justice is used for exercising pressure on political opponents. The way in which the cases of Dorin CHIRTOACĂ, the former mayor of Chisinau municipality and the first deputy chairman of the Liberal Party (LP), were handled raised concerns of selective justice. The first case initiated against him involves accusations of traffic of influence 25 , publicly announced on 25 May 2017 when officers of the National Anticorruption Centre (NAC) apprehended the then mayor, and the second one refers to the breach of official authority 26 , publicly announced in September 2017. Both cases are pending. The first case was initiated shortly after the leadership of the Liberal Party refused to support the change of the electoral system as proposed by the Democratic Party of Moldova. During the period when both cases were instituted, Mr. Chirtoacă remained under home arrest and was released only on 10 November 2017.
During the first case, at the request of the prosecutor, a judge of Chişinău court removed the ex-mayor's lawyers from the case, allegedly because they would have delayed carrying out procedural actions and would have intentionally created impediments to the conduct of criminal investigations. The Criminal Procedure Code does not allow removing defence lawyers in such circumstances. The Bar Union of the Republic of Moldova qualified it as an abuse in July 2017, and requested the General Prosecutor's Office to take all necessary measures to prevent such abuses in the future.
At the prosecutor's office request, the court swiftly suspended Chirtoacă from his mayor's office in July 2017, in order to prevent him from influencing the witnesses, while his deputy Mr. Grozavu replaced him, despite being under similar criminal charges. Unlike in the case of Chirtoacă, the mayor of Orhei, Ilan SHOR, sentenced 27 by the first instance court to seven years and six months of imprisonment, was not suspended from the mayor's office neither during the criminal investigation, nor after his conviction. In September 2017, the judges rejected Mr. Chirtoacă's request to be allowed to attend an event of the Congress of Local Public Authorities of Europe, where he serves as deputy chairperson. However, the courts allowed the mayor of Orhei, Ilan Shor, to go for a visit to Strasbourg on 6 October 2017. These two cases show different approaches applied to similar cases by judiciary and prosecution office.
There are worrying trends regarding the use of criminal justice to pressure local leaders to adhere to the ruling party, the Democratic Party. According to a journalistic investigation published on 3 November 2017 28 , between 2013 and 2017 the prosecutors initiated over 100 criminal cases regarding mayors and regional ("rayon", administrative units of secondary level) presidents. Local leaders from the opposition were the most targeted. For instance, in 2013-2014, the National Anticorruption Centre conducted 51 criminal cases regarding local mayors. Almost half of them were members belonging to the Liberal Democratic Party and one third to the Communist Party. 29 The journalists received information from the National Anticorruption Centre (NAC) in the beginning of 2015, prior to local elections of 2015, and submitted information requests for information as of 2017. The NAC, Anticorruption Prosecution Office and the Ministry of Interior refused to provide information on investigations involving local leaders as for 2017. In an interview of January 2018 30 , the Executive Director of the Congress of Local Authorities of Moldova (CALM) emphasized that the interest for the local leaders increased after the introduction of the uninominal constituencies (mixed voting system). According to him, the local mayors are politically dependent due to unfinished financial decentralization reform. Around 600 out of total 898 mayors are members of DPM, exceeding the number of the mayors associated with ruling party when the country was run by the Communist Party. At the meeting with the US Ambassador to Moldova, on 28 February 2018, the representatives of CALM reported that the high number of criminal cases against mayors incites fear among local administration authorities.
A recent case of the mayor of Ghelauza village, Nicolata MALAI, under criminal investigation since November 2017 for irregularities related to public tenders, raises serious concerns. The respective mayor, elected on Liberal Party lists, was allegedly proposed to adhere to the Democratic Party 2017, but she refused. Soon after, she was apprehended and then placed under house arrest. However, on 12 March 2018 home arrest was replaced with pre-trial arrest, allegedly for refusing to provide statements to the prosecutor's office. 31 It is questionable whether her placement under pre-trial arrest was sufficiently justified, in the context of her being the only parent present in Moldova taking care of a 9 year old daughter. The case is pending.
27 The sentence refers to the damages and money laundering activity through nonperforming loans contracted from Banca de Economii (the billion theft's case).
28
https://anticoruptie.md/ro/investigatii/
Independent Centre for Journalism:
justitie/primari-penali.
29 The journalists received information from the National Anticorruption Centre (NAC) in the beginning of 2015, prior to local elections of 2015.
30 Interview of 15 January 2018, available in Romanian at https://www.europalibera. org/a/interviu-viorel-furdui-primari-anelectoral-moldova/28977091.html.
31 See for details https://www.zdg.md/ stiri/stiri-justitie/cna-despre-primara-deghelauza-care-si-a-pierdut-cunostinta-insala-de-judecata.
32 Criminal investigations against judges, except for corruption related cases, can be initiated by the prosecution office only with the SCM authorization.
33 At that time, legislation provided for periodic mandatory verification of judges by SIS and judge Manole was due for such verification in 2017.
34 Communication of her separate opinion to a TV station in a defamation case concerning the Speaker of the Parliament, before the case was irrevocable.
35 The press release in English is available at http://constcourt.md/libview. php?l=en&idc=7&id=1104&t=/Media/ Noutati/Verification-of-judges-by-theSecurity-and-Intelligence-Serviceunconstitutional/.
36 Data on acquittal rate according to the Prosecution General Office annual reports for 2009 – 2017, available at
www.procuratura.md.
Criminal cases used to intimidate outspoken judges or promote
prosecutorial bias. Criminal cases against judges constitute a severe form of intimidation, with potentially grave consequences for the judicial independence for the years to come. This trend is exemplified by the case of Judge Domnica MANOLE who is prosecuted for a judgment, issued in April 2016, obliging the Central Electoral Commission to allow a national referendum on introducing direct elections of the President of the country. The judge gave an interpretation of a constitutional article due to contradictory provisions of the Constitution regarding the necessary conditions for organizing a referendum, with no judicial precedent on this matter. The Supreme Court annulled Judge Manole's judgment, while also interpreting the Constitution. The referendum initiative approved by Judge Manole was called by an opposition party and denied by the ruling Democratic Party. The Superior Council of Magistracy (SCM) authorized the criminal investigation against Judge Manole on 31 May 2016. 32 The judge appealed the SCM decision to the Supreme Court, which rejected the appeal after almost one and a half years, on 7 December 2017, keeping criminal investigation ongoing. Such lengthy proceedings raise serious questions about the fairness of the proceedings.
In separate proceedings, on 4 July 2017, the SCM dismissed Judge Manole on the basis of risk factors highlighted in an opinion issued by the Security and Intelligence Service (SIS) 33 and inappropriate third party communication 34 . The judge appealed the dismissal decision to the Supreme Court in July 2017. In parallel, the judge asked the President not to issue the dismissal decree until the case is solved by the Supreme Court. However, the President issued the decree dismissing the judge shortly after the SCM decision. The judge contested the decree too, but the courts declined to examine it, claiming lack of jurisdiction. Judge Manole challenged the constitutionality of the legal provisions allowing for periodic verification of judges by SIS before the Constitutional Court. The Supreme Court suspended the examination of judge Manole case until the decision of the Constitutional Court. On 5 December 2017, the Constitutional Court 35 declared the provisions allowing SIS to periodically verify judges as unconstitutional, since they affect judicial independence. This ruling is very important for strengthening the judicial independence in Moldova. Based on this ruling, Judge Manole requested the SCM to revise its decision on her dismissal. The SCM rejected the request in February 2018. The case is still pending before the Supreme Court of Justice.
Apart from her judgement on referendum, Domnica MANOLE is known for publicly expressed critical positions regarding the functioning of the SCM and the state of judiciary, particularly the case of the Russian money-laundering scheme involving Moldova and various EU countries. The actions taken by the authorities against this judge raise serious concerns about the position of judges who are critical of the leadership of the judiciary. The message sent to other judges is that of obedience and hierarchical subordination. It is an outrageous case of harassment of a judge by various legal proceedings. The outcomes of the case will have a significant impact on judicial independence in Moldova.
The prosecutorial bias in the judiciary is quite strong in Moldova, a remnant of the soviet regime where the prosecution was stronger than judiciary. The low acquittal rate is one indicator in this respect. In 2017 the acquittal rate was the lowest since 2009, when the communist party domination was ended. In 2009 the acquittal rate was of 2,1%, while in 2017 it was 1,65% at first instance level and 1,5% at appeal courts level 36 . The criminal cases against judges should be analysed in this context. In this respect, another problematic criminal case was initiated at the beginning of 2017
against Judge Dorin MUNTEANU, with the SCM's approval, for refusing the prosecutor's request to prolong the preventive arrest of a defendant. Several civil society organizations have expressed their concern with such a negative precedent undermining the judicial independence. 37 The judge contested the SCM's consent to initiate the criminal case against him before the Supreme Court. The judge also challenged the constitutionality of several provisions of the Law on the SCM regarding the latter competence in examining the requests for criminal investigations against judges. In its judgment of 27 June 2017, the Constitutional Court declared the provisions according to which the SCM was not supposed to look into the quality and authenticity of the materials presented by the prosecution when issuing the SCM's consent for criminal investigations against judges unconstitutional. This was an important judgment raising the role and responsibility of the SCM regarding criminal investigations against judges. In December 2017, the Supreme Court dismissed the judge Munteanu's appeal to the SCM decision that approved the criminal investigation against him. The Supreme Court did not go into the merits of whether the SCM fulfilled this obligation when issuing the consent regarding the investigation of judge Munteanu, but limited itself to examine the procedural matters of the SCM decision and concluded that the SCM's consent was issued according to the law. The criminal case of judge Munteanu was sent to the first instance court and is still pending.
CONCLUSION AND RECOMMENDATIONS
Independence and accountability of the judiciary is significantly undermined in Moldova. Important legislative amendments have been lagging behind in the past two years, and new worrisome trends of selective justice became more visible. Moldovan authorities should take several immediate measures to increase public trust in the judiciary, to ensure that Moldova judges can effectively uphold the rule of law. The Moldovan authorities should develop and adopt a new Strategy to continue the implementation of initiated reforms, not fulfilled under the previous JRSJ 2011-2017. Given Moldova's backsliding on justice reform in the last few years, a strategic document is crucial for outlining a national vision for justice reform before requesting any foreign assistance. The latter should only be made available if the government demonstrate a clear commitment to reform and deliver on its outstanding obligations in line with Association Agreement and European standards.
Recommendations for Moldovan authorities
The following measures are recommended as a priority for advancing justice reform:
y y Ensure merit-based appointment and promotion of judges through revising the selection and promotion criteria in line with international standards and best practices. Legislation should provide that the best-scored applicants have the right to choose from the list of vacant positions, periodic contests (2-3 times per year) for all vacancies in the judiciary system should be introduced, and a track record of merit-based appointments and promotions of judges should be provided.
y y Adopt the draft law no. 10 on Constitutional amendments regarding the judiciary, registered with the Parliament on 18 January 2018, in line with the Venice Commission opinion on the draft law. 38
37
1 February 2017 available in Romanian
See for details the public statement of
at http://crjm.org/wp-content/ uploads/2017/02/17-01-31-CRJM-apelDorin-Munteanu.pdf.
38 Provisions regarding the initial 5-year appointment for judges, composition of the Superior Council for Magistracy and appointment of judges of the Supreme Court.
y y Amend the legal framework on disciplinary responsibility of judges with a view to strengthen the objectivity, efficiency and transparency of the system and ensuring full independence and adequate competences for Judicial Inspection.
y y Ensure effective transparency of courts by duly implementing the right to a public hearing in all cases, except the legitimate exceptions, and publishing of full court judgments, especially in high profile cases. Court judgments should be anonymized strictly according to the exceptions provided by law.
y y Amend the Law on Superior Council of Magistracy by excluding the provisions that regard the adoption of decisions in closed sittings. The SCM is to issue decisions in closed sittings only when case circumstances justify examining the whole matter behind closed doors or when the SCM examines the complaint in a disciplinary case (acting as a quasi-judicial body). The SCM should include the exact number of votes in its decisions and provide an adequate reasoning of its decisions.
y y Ensure a fair and timely examination of Judge Manole and Judge Munteanu cases, in line with national law and international standards on judicial independence. The SCM should examine every case to see whether the Prosecutor General has substantiated the requests for criminal investigation of judges for issuance of an illegal decision (art. 307 of the Criminal Code) and not provide consent for unsubstantiated requests.
y y Refrain from using criminal justice as a tool of intimidation against political opponents.
Recommendation for the European Union
Moldovan authorities failed to show sufficient will for justice sector reform, which endangers all other reforms. Therefore, we call on the EU not to resume any justice sector budget support unless the Moldovan authorities show evidence-based improvements and fulfillment of the key short-term priorities included in the EUMoldova Association Agenda, in particular:
y y Amend the primary and secondary legislation to ensure merit-based appointment and promotion of judges and provide track-record of merit-based appointments and promotion of judges;
y y Amend the legislation to ensure an effective disciplinary mechanism for judicial accountability, including an accessible mechanism for public complaints and a functionally independent and accountable Judicial Inspection;
y y Amend the Constitution in line with Venice Commission recommendation (remove the initial 5-year appointment for judges, change the composition and strengthen the role of the SCM and remove the Parliament appointment of judges of the Supreme Court);
y y Amend the legislation to provide for transparent decision-making process of the Superior Council of Magistracy;
y y Ensure transparency of courts by ensuring the right to a public hearing and publishing of all court judgments, except legitimate exceptions;
y y Effectively implement the safeguards of judicial independence and equal application of the law, including by excluding any selective justice elements.
We also call on the EU to continue following closely the individual cases that deepen and expose significant dysfunctions of the justice system.
|
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No Significant Effect of Dietary Carbohydrate versus Fat on the Reduction in Total Energy Expenditure During Maintenance of Lost Weight: A Secondary Analysis
Kevin D. Hall, Ph.D. and Juen Guo, Ph.D.
National Institute of Diabetes and Digestive and Kidney Diseases, Bethesda, MD 20892
Abstract
The question of whether the ratio of dietary carbohydrates to fat substantially impacts total energy expenditure (TEE) or body fat has been investigated for decades, with most studies pointing to no clinically meaningful effect. However, a recent study by Ebbeling et al.
(https://doi.org/10.1136/bmj.k4583) reported substantial differences in TEE between diets varying in their ratio of carbohydrate to fat. The original pre-registered statistical analysis plan for the primary study outcome of Ebbeling et al. addressed the question of whether the reduction in TEE during weight loss maintenance compared to the pre-weight loss baseline depended on the dietary carbohydrate to fat ratio. However, the final analysis plan was modified to make the diet comparisons with the TEE measurements collected in the immediate post-weight loss period rather than at the pre-weight loss baseline. Here, we reanalyzed the data according to the original plan we found that the TEE differences were no longer statistically significant between the diet groups and the nominal diet differences of ~100 kcal/d were much smaller than the ~250 kcal/d differences reported in the publication. In other words, when conducting the analysis originally planned by the authors we found that the significant increases in TEE with the low carbohydrate diet that were reported by Ebbeling et al. disappeared. Furthermore, the TEE effect modification by baseline insulin secretion also disappeared.
Introduction
The question of whether the ratio of dietary carbohydrates to fat substantially impacts total energy expenditure (TEE) or body fat has been investigated for decades, with most studies pointing to no clinically meaningful effect 1 . However, a recent study by Ebbeling et al. reported substantial differences in TEE between diets varying in their ratio of carbohydrate to fat 2 . This study was remarkable in that it provided the subjects with all their food and employed the gold-standard doubly labeled water method to measure free-living TEE during a prolonged 20-week period of weight loss maintenance. In a model of open and transparent communication that facilitated our analysis below, the authors provided access to the original clinical protocol, all protocol amendments, much of the individual subject data, statistical analysis plan, and well-documented statistical analysis code on the Open Science Framework website.
The original pre-registered statistical analysis plan for the primary study outcome of Ebbeling et al. addressed the question of whether the reduction in TEE during weight loss maintenance compared to the pre-weight loss baseline depended on the dietary carbohydrate to fat ratio – a design similar to a previous study by many of the same authors 3 . However, the final analysis plan was modified to make the diet comparisons with the TEE measurements collected in the immediate post-weight loss period rather than at the pre-weight loss baseline. Here, we reanalyzed the data according to the original plan we found that the TEE differences were no longer statistically significant between the diet groups and the nominal diet differences of ~100 kcal/d were much smaller than the ~250 kcal/d differences reported in the publication. In other words, when conducting the analyses originally planned by the
for use under a CC0 license. This article is a US Government work. It is not subject to copyright under 17 USC 105 and is also made available (which was not peer-reviewed) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. The copyright holder for this preprint . http://dx.doi.org/10.1101/476655 doi: bioRxiv preprint first posted online Nov. 28, 2018;
authors we found that the significant increases in TEE with the low carbohydrate diet that were reported by Ebbeling et al. disappeared. Furthermore, the TEE effect modification by baseline insulin secretion also disappeared.
Methods
We downloaded the individual subject data and SAS statistical analysis code on the Open Science Framework website (https://osf.io/rvbuy/). We used SAS (version 9.4). To ensure that we understood the well-documented SAS code, we first successfully reproduced the results reported by Ebbeling et al. regarding the primary TEE outcome and its effect modification by baseline insulin secretion when using the immediately post-weight loss anchor as the point of comparison. We then modified the SAS code to use the pre-weight loss baseline as the point of comparison. The data are reported as mean±SE.
Results and Discussion
Unlike most diet trials that test the effects of counseling people to change their diets, Ebbeling et al. provided the subjects with all their food and reported several biomarkers indicating that the different diet groups likely consumed significantly different amounts of dietary carbohydrate. However, the authors did not report that the total energy intake provided to the subjects was substantially less than TEE during the weight loss maintenance period such that subjects in the intention to treat group consumed (mean ± SE) 460 ± 46 kcal/d less than they expended (p<0.0001) and the subjects in the perprotocol group who maintained body weight to within ±2 kg of their post-weight loss value at randomization consumed 422 ± 47 kcal/d less than expended (p<0.0001). While weight stability is not necessarily indicative of unchanging body energy stores, and the measured body fat changes have yet to be reported, such large energy deficits indicate that the subjects were likely consuming a substantial amount of unaccounted food despite the controlled-feeding design.
When using the original statistical plan to compare the effect of the weight loss maintenance diets to the pre-weight loss baseline TEE, we found no significant diet differences in the reduction of TEE in the per protocol group; with the low, moderate, and high carbohydrate groups decreasing TEE by 262 ±72 kcal/d, 254±75 kcal/d, and 356±80 kcal/d, respectively, compared with the pre-weight loss baseline period (p=0.59 for the test of equivalence between the diets). The mean absolute weight losses at 10 and 20 weeks compared to the pre-weight loss baseline were well-matched and within 250 g between all diet groups (p>0.9), so differences in mean weight loss could not have obscured any diet effects. In the intention to treat group, we also found no significant differences in TEE between diet groups compared with the pre-weight loss baseline period; with the low, moderate, and high carbohydrate groups decreasing TEE by 240 ±64 kcal/d, 322±66 kcal/d, and 356±67 kcal/d, respectively (p=0.43 for the test of equivalence between the diets). Pairwise comparisons of TEE diet differences with respect to the pre-weight loss baseline were not significant between diets in either the intention to treat (p>0.21) or the per protocol groups (p>0.35) (Figure 1A). Similar results were obtained using weight-normalized TEE data or when considering only the final 20-week time point as was planned in the original protocol rather than the average of the 10-week and 20-week TEE values as reported in the publication (not shown).
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bioRxiv preprint first posted online Nov. 28, 2018;
This article is a US Government work. It is not subject to copyright under 17 USC 105 and is also made available
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for use under a CC0 license.
One possible reason why the final analysis plan of Ebbeling et al. led to a substantial apparent TEE increase with the low carbohydrate diet in the per-protocol group was the unlucky event that the immediate post-weight loss period led to TEE values that happened to decrease by 392±71 kcal/d in the low-carbohydrate group, whereas TEE decreased by only 271±73 kcal/d and 282±75 kcal/d in the moderate and high carbohydrate groups, respectively (Figure 1B). Despite these measurements being obtained prior to diet randomization, and not being statistically significantly different, the ~100 kcal/d greater TEE decrease in immediately post-weight loss in the low carbohydrate group compared to the other diet groups makes it possible that simple regression to the mean resulted in the subsequent reported increases in TEE in the low-carbohydrate group when using the post-weight loss anchor point. Indeed, there was no significant TEE difference between the moderate and high carbohydrate groups even using the post-weight loss TEE anchor as specified in the final analysis plan, but this comparison was not reported by Ebbeling et al.
The substantial effect modification of TEE by baseline insulin secretion observed by Ebbeling et al. in the per protocol group when using the post-weight loss TEE measurement as the anchor point was no longer significant when using the pre-weight loss TEE as the anchor point (p=0.36 for the test of equivalence between the diets). While not statistically significant, TEE was nominally 383±196 kcal/d greater in the low carbohydrate group than the high carbohydrate group for those subjects in the highest insulin secretion tertile (p=0.053). Normalizing TEE by body weight also did not result in a significant overall TEE effect modification by baseline insulin secretion (p=0.29 for the test of equivalence between the diets), but the TEE difference between the low and high carbohydrate diets in the highest insulin secretion tertile was 386±173 kcal/d (p=0.03).
Did the measured components of energy expenditure corroborate the suggested TEE differences between low and high carbohydrate groups in the per-protocol subjects in this highest insulin secretion tertile? They did not. Differences in resting energy expenditure (-32±49 kcal/d; p=0.52), total physical activity (45754±47821 counts/d; p=0.34), moderate to vigorous physical activity (-5±6 min/d; p=0.4), sedentary time (-9±30 min/d; p=0.77), skeletal muscle work efficiency at 10W (1±0.9 %; p=0.27), 25W (1.2±1.1 %; p=0.28) and 50W (0.5±0.8 %; p=0.48) were all not-significantly different between the low and high carbohydrate diets when compared to the pre-weight loss baseline. Nevertheless, we cannot rule out possible differences in the thermic effect of food, sleeping energy expenditure, or some other unmeasured factor contributing to TEE. Alternatively, the apparent TEE diet differences in this high insulin secretion group may have been due to chance. None of the p-values above have been adjusted for multiple comparisons.
As justification for our reanalysis, we note that most of the history of the study (7 of 8 versions of the protocol spanning from 2014-2016) the planned primary outcome calculations used the pre-weight loss TEE baseline as the anchor point for the subsequent diet comparisons during weight loss maintenance. Prior to unmasking the randomization blind, but after all cohorts had completed the trial, the final protocol amendment in 2017 altered the previously planned statistical analysis to use the post-weight loss TEE measurement as the anchor point to make the subsequent diet comparisons.
The reasons for the change in the analysis plan were not provided in the protocol amendment or the final statistical analysis plan, but the Supplemental Materials in the final publication provided three reasons. First, the post-weight loss TEE measurement was chosen as the new anchor point because it occurred closer to the point of diet randomization. Second, the pre-weight loss TEE measurement would
doi:
The copyright holder for this preprint.
http://dx.doi.org/10.1101/476655
bioRxiv preprint first posted online Nov. 28, 2018;
This article is a US Government work. It is not subject to copyright under 17 USC 105 and is also made available
(which was not peer-reviewed) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity.
for use under a CC0 license.
be "strongly confounded by weight loss". How this might happen and why the post weight loss measure would not be similarly affected is difficult to imagine. Finally, Ebbeling et al. argued that the pre-weight loss baseline would have been inappropriate because the TEE measurements were insufficiently accurate or precise and therefore the study would be under-powered. However, the power calculations in the protocol were based on TEE data from a pilot study using the pre-weight loss TEE measurements as the basis for comparing how different diets affected the absolute reduction in TEE during weight loss maintenance 3 . The pilot study did not measure TEE in the period immediately post-weight loss and therefore could not have been used to power the recent study in question.
Despite a request by the BMJ Editors to report the results of their original analysis plan, Ebbeling et al. refused because they were "concerned that the additional analysis would provide no meaningful biological insights – that is, no useful information about the nature of the relationship between dietary composition and energy expenditure. Rather, inclusion of the additional analysis would tend to elevate and give undue attention to an error, and therefore potentially cause confusion."
We believe that the revised analysis plan has caused confusion and that the original statistical analysis plan that used pre-weight loss TEE as the anchor point is preferable for several reasons. First, it specifically addresses the question of whether the typical reduction in TEE that accompanies maintenance of lost weight depends on the carbohydrate to fat ratio of the weight loss maintenance diet. Second, the revised plan is potentially confounded by the substantial adaptive thermogenesis that occurs immediately post-weight loss that typically becomes less severe after a period of energy balance and weight loss maintenance 4 5 . Finally, the pre-weight loss baseline TEE measurements were obtained in the situation where the doubly labeled water method is routinely employed: free-living people maintaining their habitual weight. Ideally, a post-weight loss TEE measurement should have first stabilized subjects at the lower body weight for several weeks prior to dosing with doubly labeled water. In contrast, the post-weight loss TEE measurements conducted by Ebbeling et al. were obtained during the same 2-week weight stabilization period when diet calories were being progressively increased at a rate determined by each individual subject's recent rate of weight loss. While the doubly labeled water method generally provides a robust and valid estimate of TEE, this situation of simultaneous refeeding immediately post-weight loss potentially introduces uncertainty into the conversion of CO2 production into TEE. For example, the daily respiratory quotient during this period was clearly not equal to the food quotient as was assumed by Ebbeling et al. While such an effect can be appropriately modeled 6 , this was not done in their TEE calculations.
In conclusion, when analyzed using the original statistical plan that was not confounded by the immediate post-weight loss period, the data of Ebbeling et al. do not support the conclusion that the ratio of dietary carbohydrate to fat affects the reduction in TEE during weight loss maintenance. While there are many reasons people could benefit from consuming healthy low carbohydrate diets 7 , such diets are unlikely to substantially offset the usual reduction in TEE during maintenance of lost weight.
References
1. Hall KD, Guo J. Obesity Energetics: Body Weight Regulation and the Effects of Diet Composition. Gastroenterology 2017;152(7):1718-27 e3. doi: 10.1053/j.gastro.2017.01.052 [published Online First: 2017/02/15]
for use under a CC0 license. This article is a US Government work. It is not subject to copyright under 17 USC 105 and is also made available (which was not peer-reviewed) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. The copyright holder for this preprint . http://dx.doi.org/10.1101/476655 doi: bioRxiv preprint first posted online Nov. 28, 2018;
2. Ebbeling CB, Feldman HA, Klein GL, et al. Effects of a low carbohydrate diet on energy expenditure during weight loss maintenance: randomized trial. Bmj 2018;363:k4583. doi: 10.1136/bmj.k4583 [published Online First: 2018/11/16]
3. Ebbeling CB, Swain JF, Feldman HA, et al. Effects of dietary composition on energy expenditure during weight-loss maintenance. Jama 2012;307(24):2627-34.
4. Hall KD. Computational Modeling of Energy Metabolism and Body Composition Dynamics. In: Krentz AW, Heinemann L, Hompesch M, eds. Translational Research Methods for Diabetes, Obesity and Cardiometabolic Drug Development. London: Springer-Verlag 2015:265-82.
5. Weinsier RL, Nagy TR, Hunter GR, et al. Do adaptive changes in metabolic rate favor weight regain in weight-reduced individuals? An examination of the set-point theory. Am J Clin Nutr 2000;72(5):1088-94.
6. Hall KD, Guo J, Chen KY, et al. Methodologic Issues in Doubly Labeled Water Measurements of Energy Expenditure During Very Low-Carbohydrate Diets. bioRxiv 2018 doi: 10.1101/403931
7. Hall KD, Chung ST. Low-carbohydrate diets for the treatment of obesity and type 2 diabetes. Curr Opin Clin Nutr Metab Care 2018;21(4):308-12. doi: 10.1097/mco.0000000000000470 [published Online First: 2018/04/21]
Figure Legend
Figure 1. A) Differences in total energy expenditure (TEE) in the per-protocol group consuming low and moderate carbohydrate diets compared to subjects consuming a high-carbohydrate diet. The green bars illustrate the significant effect of the low carbohydrate diet on average TEE during 10 and 20 weeks of weight loss maintenance as compared to the immediate post-weight loss period. The gray bars indicate the lack of significant effect of either diet on average TEE during 10 and 20 weeks of weight loss maintenance as compared to the pre-weight loss baseline period. B) Per-protocol changes in TEE for low, moderate, and high carbohydrate diet groups with respect to the pre-weight loss baseline period as assessed in the immediate post-weight loss period prior to diet randomization (blue bars) and during 10 and 20 weeks of weight loss maintenance (orange bars). Error bars are ±SE.
A
B
Figure 1
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Mass Intentions
Sacrificial Giving
Gift Certificate Program – Last week we sold a total of $200 with a profit of $10.00. The next scrip order is due July 15th and can be picked up the weekend of July 21/22. Remember that gift cards for Weis and Giant are cash and carry after any Mass or during the week in the parish office. If you have any questions please contact Dawn Smith at 717-965-2559.
Tender Care Pregnancy Center currently has an ongoing need for the following items: Diapers sizes 4 & 5, Baby Wipes, Pull Ups, Summer toddler clothing in sizes 2T, 3T and 4T (boys and girls). Items may be dropped off at Tender Care, 300 John St. in Hanover during the hours of Monday through Thursday from 9:00 a.m. until 5:00 p.m. Thank you for your consideration.
SATURDAY -Saint Kateri Tekakwitha
4:30 p.m.
Living and deceased members of the Louis and Margaret Smith Family (Michael and Teresa Smith)
SUNDAY -Fifteenth Sunday in Ordinary Time
8:00 a.m. People of the Parish
10:15 a.m. Dennis M. Smith (10th Ann.) (Joan Smith and
Family)
MONDAY -Our Lady of Mount Carmel
7:30 a.m. Mary Pennings
TUESDAY
7:30 a.m. Donna Yake (Ann.)
WEDNESDAY -Saint Camillus de Lellis
7:30 a.m. Leonara and John Farley (Lee and Theresa
Stewart)
THURSDAY - NO MASS
FRIDAY -Saint Apollinaris
NO MASS
SATURDAY -Saint Lawrence of Brindisi; Blessed Virgin Mary
4:30 p.m. Fred J. Smith (Ann.) John and Sara Sneeringer
NEXT SUNDAY -Sixteenth Sunday in Ordinary Time
8:00 a.m. Deceased members of the Decker and Martin
Families (Mary Martin)
10:15 a.m. People of the Parish
The Week Ahead
Wednesday - Parish Office - Closed Senior Friends of IC - Monthly dinner at Longhorn at 2:30 p.m.
A special thanks to Clark's Body Shop for sponsoring an ad in our weekly bulletin. Please remember to support our weekly sponsors.
YOU'RE INVITED! Please join us at Immaculate Conception BVM, New Oxford for our annual Adult Faith Formation retreat on Saturday, August 25 from 8:00 a.m. until 3:00 p.m. This year's event features author, speaker, and Breadbox Media show host Allison Gingras. Allison will share easy and powerful ways to incorporate Prayer, Sacrament, and Scripture into our everyday ordinary lives. Cost is $20 and includes lunch. Contact Pete Socks at email@example.com or 717-521-3137 to register.
Sacred Heart Basilica will hold it's "Good Ole Fashion Country Picnic" on Saturday, July 21 at the Woods at 3113 Centennial Road, Hanover. Our famous Chicken Corn Soup made in a kettle over an open fire can be bought by the container (NO plastic please) beginning at 9:00 a.m. Our Picnic officially begins at 11:00 a.m. and runs until 9:00 p.m. We will have Pit Beef, hamburgers, hot dogs, a Bake Sale with homemade goodies, Chicken Corn Soup, and All-You-Can-Eat fried chicken dinner beginning at 3:00 p.m. Live music, kids games, 13-jars, raffles and much more. Come out for a day of fun, food and entertainment. NO PETS PLEASE.
picnic setup, cooking, organizing children games and tear down. Thank you in advance.
VOLUNTEERS NEEDED: Interested in helping make this year's parish picnic another success? Please attend our picnic planning meeting on Wednesday, July 11 at 6:30 p.m. in the cafeteria. We need volunteers to help with July signups,
SAVE THE DATE! Our Annual parish picnic will be held on Sunday, August 12 at the New Oxford Social Pavilion. Signups will begin at all Masses July 14/15. Volunteers needed! Please contact Pete Socks at 717-521-3137.
"Before the foundation of the world God chose us in Christ." Are you discerning that the vocation which God has chosen for you in Christ may be to serve the Church in the consecrated life or priesthood? Contact Fr. Brian Wayne at 717-657-4804.
"I didn't know that!" Listeners often comment on how entertaining and informative the programs are on WHYF AM 720, Catholic Radio for the Diocese of Harrisburg. A mix of devotional offerings to aid in your prayer life along with call in programs in the afternoon help you to learn more about your faith. Tune in while driving home or at home for an opportunity to grow in your faith. You can also listen to this independent non-profit station online at www.720whyf.com.
Donations Needed for Interfaith Shelter for Homeless Families - The Interfaith Shelter for Homeless Families (a Catholic Charities residential program located in suburban Harrisburg) is in need of: women's deodorant, lotions, bath towels, new bed pillows, and general cleaning products. If you can help, please call the shelter at 717-652-8740. Thank you for your generosity!
A man should turn his full attention to this throne of mercy, and should gaze at him hanging on the cross, full of faith, hope and charity, devoted, full of wonder and joy, marked by gratitude, and open to praise and jubilation.
-St. Bonaventure (1221-1274) Doctor of the Church
Delone Catholic High School is currently accepting applications for the following positions for the 2018-19 school year: Full-time French and Spanish Teacher, Full-time Family and Consumer Science Teacher and Part-time Cafeteria Aide—Assistance Server (2.5 hours Monday through Friday). Preferred teacher applicants would have PA teaching certification, be a practicing Catholic and be able to support application with a pastor's recommendation. Interested applicants should send their resume and cover letter to Mr. Richard La Rocca, Principal, Delone Catholic HS, 140 South Oxford Avenue, McSherrystown, PA 17344 or firstname.lastname@example.org.
Many families will be enjoying quality time together during vacations and fun activities like our Parish Festivals this summer. Unfortunately, many children in the foster care system won't have that opportunity. You can make a difference in the life of a child by opening your home to a child in need. Start today. To find out more, please contact Nicole or Kelly at Catholic Charities Specialized Foster Care at (717) 564-7115 or email email@example.com or firstname.lastname@example.org.
Get your tickets for the Seton Shrine's new Living History Tour called Catherine Comes Home. Step back into 1842 with the daughter of Elizabeth Ann Seton, Catherine, and her contemporaries. With a guide, you'll see Catherine as she visits Emmitsburg for the first time since her mother died in 1821 and reunited with old friends. The tours take place most Sundays in July and August at 3 p.m., 3:30 p.m.4 p.m., 4:30 p.m. and 5 p.m. Please check setonshrine.org for updates on availability. Tickets can be bought online at setoneshrine.org/living-history-tour or ordered by phone at 301-447-7050. The tour begins at the Shrine's Visitor Center and lasts about 45 minutes. The Seton Shrine is located at 339 S. Seton Avenue, Emmitsburg, MD 21727.
Save the Date for the 1978 Delone Catholic Class Reunion September 15, 2018 at The Pike in Gettysburg. Additional details to follow. For questions, please contact Laurie Smith Brant at 717 -977-6235 or 717-530-8899.
The Fortieth Annual Men's Retreat, sponsored by Corpus Christi Parish, will be held on the August 3rd weekend on the beautiful campus of Mount St. Mary's University, Emmitsburg, MD. It is open to all men in the Diocese, age 14 and older. MARK YOUR CALENDAR NOW, so you'll remember this weekend to renew your spirit, and His Love in your life. The Most Reverend Ronald Gainer, Bishop of Harrisburg, will lead us this year. Reservations require a minimum $60 deposit and should be made early to ensure a room is held for you. Contact Pete Socks at 717-521-3137 for more details.
Volunteer Opportunities
Oxford and Delivery help in Hanover and Gettsyburg on Tuesdays. Please contact Michelle at email@example.com.
Desk, pantry and warehouse help on Tuesdays in New
Wish List:
Deodorant
Toothpaste
Toilet paper
Peanut butter
Canned tuna
CAMP VOLUNTEERs...all that is missing is U! The Diocesan Summer Camp for Adults with Intellectual & Developmental Disabilities is seeking volunteers willing to assist at its residential camp, August 12-17, 2018. The camp takes place at Camp Kirchenwald in Lebanon County and serves the needs of approximately 40 adults. The camp has been held annually for the past 32 years, and is primarily dependent on volunteer support. Last year, volunteers from 21 parishes participated alongside volunteers from other faith communities to make this event a success. Anyone 16+ is welcome to volunteer for full-time or part -time duties; there is a particular need for male volunteers, 18 or older, who are able to spend the night, and for volunteers skilled at running an arts and crafts program. All volunteers are required to complete the Diocesan Clearance process and attend a brief training session prior to helping at camp. A deadline of June 30, 2018 for expressing volunteer interest is requested in order to facilitate planning efforts.
Sponsor a Camper - Would you like to sponsor a campership for a person with a disability who might not otherwise be able to afford camp? The Diocese of Harrisburg is seeking donations to defray the cost for campers to ensure that each individual who would like to attend camp is able to do so, regardless of finances. A full week of camp costs $575, but donations in any amount will be welcomed. They can be sent to the Office of Ministry with People with Disabilities, 4800 Union Deposit Road, Harrisburg, PA 17111. Checks should be made payable to the Diocese of Harrisburg. For more information on volunteering or sponsoring a camper, please contact Larry Kiley at 717-657-4804, Ext. 322, or email firstname.lastname@example.org.
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DEVELOPMENT OF A RIDGE PROFILE WEEDER
by
E. U. Odigboh and S. F. Ahmed Department of Agricultural Engineering University of Nigeria, Nsukka.
(Original manuscript received September 1979 and in revised from March 20, 1980)
ABSTRACT
The prototype weeder described in this paper consists of a ground-driven rotating horizontal short shaft which is connected by universal joints to two gangs of rotary hoe weeders. With the short shaft nearly at the bottom of a furrow between two ridges, the gangs of weeders lie on the sides of the two ridges. The universal joints make it possible to angle the weeder gangs with respect to the horizontal shaft to make the gangs conform to the profiles of the sides of the ridges facing the common furrow. The operator walks in the furrow and simply pushes the weedier along to weed one side each of two ridges. Thus the weeder can handle any crop planted on ridges, irrespective of the height of the plants. The shares on the gangs of the rotary hoe weeders are independently adjustable to facilitate reaching the surface of any ridge. Field tests show that this weeder is very effective in controlling young weeds where only light earthling up is required.
1. INTRODUCTION
In an Operation Feed the Nation (OFN) sponsored national seminar on crop mechanization held at the Durbar Hotel in Kaduna on 30th and 31st October,1978 it was determined that weeding accounts for 75-90% of farm labour in Nigeria. As such, weeding constitutes a major bottle-neck limiting agricultural production in the country. Weeding of root crops and other crops planted on ridges poses a special problem because mechanical weeders available from overseas are mostly for crops planted on the flat and are usually too big or too expensive for the small farmer. The Kaduna seminar recommended among other things, that agricultural engineers in the country should be challenged to develop machines suitable for solving the problems of weeding Nigerian farms. The development of the ridge profile weeder described in this paper was undertaken as a contribution towards meeting that challenge
2. DESIGN PRINCIPLES AND THEORY
The ridge profile weeder designed on the principle of the rotary tiller. It may be hand pushed or powered by a small I-C engine. In either case, only a small earthling up, enough to remove small young weeds, will be done. This is in order to keep draught requirements at a minimum as this design is intended for small/medium size farms. The theory of operation on which the design of the weeder is based is presented as follows.
Fig.1 is the sketch of a rotary hoe with a number of shares denoted as, A1, A2,.... An .... Az. The sketch shows the mechanism of operation and various parameters of the soil slice. The radius of the hoe is R and depth of cut is denoted by a. Let Vm and be the forward speed of the implement and the angular velocity of the hoe, respectively. So, as the implement moves forward a distance of Vmt, the hoe rotates through an angle of and the shares assume the positions .. ..Az'. The coordinates of say referred to the x and y axes are given by x =
+ R
(1a)
2.1 Conditions for cutting off a soil slice:
The equations given in (1) describe the absolute motion of the share to trace the locus of over time as
sketched in fig.1. Let denote the position of A1 as it begins to cut through the soil. Denoting the depth of cut by a, the angle through which AI rotates to get to is given by ϕo which equals such that from equation, 1b), = 1 - a/R (2) As AI starts to penetrate the soil at its direction of motion is vertically down. Afterwards, its motion will be opposite to the direction of implement forward travel as it cuts off a soil slice. This means that there is a point of inflexion in the locus traced by at which the absolute velocities of the share in the x direction is zero and may be given by
= - Rω = 0 (3a)
and
= Rω = 1/
which defines λ as,
λ = (Rω)/ (3c)
From equation (2),λ may be given as
λ = R/(R-a) = 1/(1-m) (4)
where m is the ratio of a/R. The
Expressions in (3) give the necessary condition for cutting off a soil slice. If the relative
(3b)
magnitudes of the peripheral velocity of the shares, and the implement forward speed, V are such that dx/dt has the same direction as the implement travel after penetrating the soil, then the share withdraws from the soil without cutting off a soil slice. The different possible paths of a share through the soil for various values of are illustrated in fig.2 which shows that cutting off a soil slice is possible only when is greater than unity. Therefore, for any weeding to occur with a rotary hoe weeder, the ratio / must be greater than unity.
2.2 FORWARD TRAVEL PER SLICE:
travel per revolution of hoe is given by,
Taking the number of shares on the hoe as Z, and since every share cuts off a soil slice per revolution, then the forward travel per slice may be given by, Xz = (2ПR)/( Z) (6) Thus, for given valuesof R and A, the greater the number of shares, Z, the smaller the soil slices. The thickness of the soil slice designated by fig.1(b) may be computed as,
Referring again to fig.1, Xz denotes the distance between two consecutive points of contact of two adjacent shares, say AI and A2, with the soil surface at A1,0' and A2,O respectively. Xz is called the 'forward travel per slice'[1] Since the time of one revolution of the rotary hoe is 2/, the forward or in terms of m(cf = 1-a/R = 1-m), = (2m-) 1/2 (7b)
From (7), it is clear that, apart from the effect of the number of shares, the
thickness of the soil slice is decreased by increasing the radius of the share, R and decreasing the depth of cut, a. This means that decreasing m decreases the thickness of the soil slice which, of course, leads to increased, pulverization.
2.3 DETERMINING THE VALUE OF λ
Fig. l shows the wave form of the surface worked by a rotary hoe weeder. The value of the amplitude of that wave, denoted by h in fig. l(b), is influenced by the value of λ. Therefore, it is desirable to be able to choose a value of λ which would keep the ripple at the worked surface to a desired form. To determine λ as a function of λ, the co-ordinates of the wave peak at B may be given as,
= + /2
Since x1 is the x-co-ordinate of A1 when it has rotated through t equals to П/2, x1 may be computed as,
= (П/2ω)=(R П)/ ) So, recalling that equals (2 ПR)/( z), xh be given as xh= (ПR/ )(1/2 + 1/z) (10) From equations (9a) and (10) П(1/2 + 1/z) = + λ (11) From eqn. (9a), = 1-h/R) = 1-h/R) ) (12) and = (1/R)(2Rh- ) 1/2 substituting the values and of (12) into eqn.(11) yields an expression for λ as a function of h as follows,
Expression (13) is useful in determining the value of λ which will give a desired value of h and therefore a desired wave form of the worked surface. For thorough weeding, he should be chosen in relation to a in such a way that no weed escapes the action of the shares.
3. THE DESIGN CONCEPT
The Emcot weeder is commercially available and in limited use in Northern Nigeria for weeding cereal crops planted on ridges. That weeder consists of two gangs of rotary hoes which straddle and weed two sides of one ridge. It is built with enough clearance to avoid injury to young cereal plants. The operator walks in the furrow as he pushes the weeder along on the ridge.
One of the major shortcomings of the Emcot weeder is its unsuitability for weeding tall crops like cassava and staked yam crops. The ridge profile weeder is designed to remedy that defect among others. As illustrated in fig.3, it consists of a rotating horizontal shaft which is connected by two universal joints to two gangs of rotary hoe weeders. With the shaft nearly at the bottom of the furrow between two ridges, the gangs of weeders lie on the sides of the two ridges. The universal joints make it possible to angle the gangs with respect to the horizontal shaft to make the gangs conform to the profiles of the sides of the ridges facing the common furrow. The operator walks in the furrow and simply pushes the weeder along to weed one side each of two ridges. Thus, the weeder can handle any crop planted on ridges irrespective of the height of the plants. The shares on the gangs of the rotary hoe weeders are independently adjustable to facilitate reaching the surface of any ridge.
Since the weeder is to be manually pushed, the arrangement shown in fig.4 is used to ensure that the rpm of the rotary weeder satisfies the condition, Rω/ >1, discussed in section 2.1. In fig.4, A, B, C and D are the weeder wheels, rear and front sprockets and a roller is designated at a maximum of a 25mm which has been determined to be deep enough to remove the type of young weeds which commonly, grow in fields of root crops planted on ridges especially during the crops growth phase when weed control is agronomically ally most crucial. the peak of the wave of worked surfaces, denoted as h in fig. 1(b), is fixed at about 10mm. Each gang of the rotary hoe weeder has three discs with six knives (z = 6) of 200mm radius (R = 200mm) on each disc. From expression (13)Of section 2.3 a value of λ is calculated as 2.71.
chain respectively. Another sprocket, E mounted on the shaft, C drives a smaller sprocket, F through a roller chain, G. These socket F is keyed on the horizontal shaft, H which is coupled to the two gangs of rotary hoe weeders, K through two universal joints, J. Let N be the rpm of drive wheel. Denoting the number of teeth on the various sprockets by T B , T C, T E and T F , the arrangement is such that T B >T C ; T E >T C and T E > T F let the speeds of the various sprockets be N B , N C , N E and N F , then, for a given rpm, N of the drive wheels of diameter D, the following relationships hold:
From expressions (3c), and (15),the value of λ may be calculated as
The ratios R/D, TB/TC and TE/TF are selected to give the desired value of λ as explained in section 5.
4. DESCRIPTION OF THE PROTOTYPE
The prototype weeder was built to the specification out lined in section 3 and on the basics of the theory of section 2. Details of the construction are shown in the photographs of fig. 5. Each wheel of the weeder is made up of two bicycle wheels welded together to a common hub, with the bicycle spokes replaced with 6mm dia. Mild steel rods for greater strength. The frame of the weeder is mounted on the common axle of the wheels and provides attachment positions for all the other parts of the weeder.
) (15) Using the same notations as in the drive train of fig. 4. The sprocket B, C, E and F, in the prototype have 27, 9, 42 and 21 teeth, respectively. The diameter of the wheels is 0.7m. so from expression (16) the actual value of λ is computed as 3.43 which is practically the same ass the value from expression (13) .The prototype weeder is provided with a handle for pushing it. The handle is adjustable to any position that suits the operator. The weeder has two small wheel s located as shown in fig.5 between the drive wheels and the ganged of rotary hoes. The small wheels serve mainly to take up the weight of the hoes. Otherwise, the operator would have to push down on the handle to hold the hoes up in position. With the small sheels in place, the weeder is stabilized and the operator pushes only to move it along.
5. PROTOTYPE PERFORMANCE
The dependence of degree of pulverization on the value of λ was explained in the theory of section 2. So, the value of λ for the prototype is designed to be about 3.0 in order to deep power expenditure for pulverization low while ensuring good weeding. Also, to minimize the power requirement of the weeder, the depth of cut, a, the construction of the prototype weeder was completed only in the past month and is infact still being developed. However, preliminary tests show that this weeder is very effective in controlling young weeds where light earthling up is required. It is designed that, optionally, the weeder can be powered by a small1-C engine. It is estimated that the weeder may sell at N2 00.00 or N5 00.00 if powered.
REFERENCE
1. Bainer, R., Kepner, R.A. and Barger, E.L.(1960): Principles of farm machinery. John Wiley &son, Inc., New York London.
ACKNOWLEDGEMENT
Funds for the development of the prototype weeder described in this paper were provided in part by the National Science and Technology Development Agency (NSTDA) which is hereby gratefully acknowledged. The UNN Agricultural Engineering Departmental workshop technologists and technicians who fabricated the prototype are also acknowledged. Lastly, Mr.G.I. Nwandikom who worked on the prototype as his final year student project, is hereby recognized.
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43048
and attaching Inline XBRL documents to EDGAR submissions are described in a new subsection 5.2.5 of EDGAR Filer Manual, Volume II.
Along with the adoption of the Filer Manual, we are amending Rule 301 of Regulation S–T to provide for the incorporation by reference into the Code of Federal Regulations of today's revisions. This incorporation by reference was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51.
The updated EDGAR Filer Manual will be available for Web site viewing and printing; the address for the Filer Manual is http://www.sec.gov/info/ edgar.shtml. You may also obtain paper copies of the EDGAR Filer Manual from the following address: Public Reference Room, U.S. Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m.
Since the Filer Manual and the corresponding rule changes relate solely to agency procedures or practice, publication for notice and comment is not required under the Administrative Procedure Act (APA). 4 It follows that the requirements of the Regulatory Flexibility Act 5 do not apply.
The effective date for the updated Filer Manual and the rule amendments is July 1, 2016. In accordance with the APA, 6 we find that there is good cause to establish an effective date less than 30 days after publication of these rules. The EDGAR system upgrade to Release 16.2 is scheduled to become available on June 13, 2016. The Commission believes that establishing an effective date less than 30 days after publication of these rules is necessary to coordinate the effectiveness of the updated Filer Manual with these system upgrades.
Statutory Basis
We are adopting the amendments to Regulation S–T under Sections 6, 7, 8, 10, and 19(a) of the Securities Act of 1933, 7 Sections 3, 12, 13, 14, 15, 23, and 35A of the Securities Exchange Act of 1934, 8 Section 319 of the Trust Indenture Act of 1939, 9 and Sections 8, 30, 31, and 38 of the Investment Company Act of 1940. 10
4 5 U.S.C. 553(b).
5 5 U.S.C. 601–612.
6 5 U.S.C. 553(d)(3).
7 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a).
8 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll.
9 15 U.S.C. 77sss.
10 15 U.S.C. 80a–8, 80a–29, 80a–30, and 80a–37.
List of Subjects in 17 CFR Part 232
Incorporation by reference, Reporting and recordkeeping requirements, Securities.
Text of the Amendment
In accordance with the foregoing, title 17, chapter II of the Code of Federal Regulations is amended as follows:
PART 232—REGULATION S–T— GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS
■ 1. The authority citation for part 232 continues to read in part as follows:
Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 77z–3, 77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 78ll, 80a–6(c), 80a–8, 80a–29, 80a–30, 80a–37, and 7201 et seq.; and 18 U.S.C. 1350, unless otherwise noted.
* * * * *
■ 2. Section 232.301 is revised to read as follows:
§ 232.301 EDGAR Filer Manual.
Filers must prepare electronic filings in the manner prescribed by the EDGAR Filer Manual, promulgated by the Commission, which sets out the technical formatting requirements for electronic submissions. The requirements for becoming an EDGAR Filer and updating company data are set forth in the updated EDGAR Filer Manual, Volume I: ''General Information,'' Version 24 (December 2015). The requirements for filing on EDGAR are set forth in the updated EDGAR Filer Manual, Volume II: ''EDGAR Filing,'' Version 37 (June 2016). Additional provisions applicable to Form N–SAR filers are set forth in the EDGAR Filer Manual, Volume III: ''N– SAR Supplement,'' Version 5 (September 2015). All of these provisions have been incorporated by reference into the Code of Federal Regulations, which action was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You must comply with these requirements in order for documents to be timely received and accepted. The EDGAR Filer Manual is available for Web site viewing and printing; the address for the Filer Manual is http://www.sec.gov/info/ edgar.shtml. You can obtain paper copies of the EDGAR Filer Manual from the following address: Public Reference Room, U.S. Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m. You can also inspect the document at the National Archives and Records Administration (NARA). For information on the
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availability of this material at NARA, call 202–741–6030, or go to: http:// www.archives.gov/federal_register/ code_of_federal_regulations/ibr_ locations.html.
By the Commission. Dated: June 13, 2016.
Brent J. Fields,
Secretary.
[FR Doc. 2016–15510 Filed 6–30–16; 8:45 am]
BILLING CODE 8011–01–P
SOCIAL SECURITY ADMINISTRATION
20 CFR Part 404
[Docket No. SSA–2006–0140]
RIN 0960–AF35
Revised Medical Criteria for Evaluating Neurological Disorders
AGENCY
: Social Security Administration.
ACTION
: Final rule.
SUMMARY: We are revising the criteria in the Listing of Impairments (listings) that we use to evaluate disability claims involving neurological disorders in adults and children under titles II and XVI of the Social Security Act (Act). These revisions reflect our program experience; advances in medical knowledge, treatment, and methods of evaluating neurological disorders; comments we received from medical experts and the public at an outreach policy conference; responses to an advance notice of proposed rulemaking (ANPRM); and public comments we received in response to a Notice of Proposed Rulemaking (NPRM) and a Federal Register notice that reopened the NPRM comment period. DATES: This rule is effective September 29, 2016.
FOR FURTHER INFORMATION CONTACT: Cheryl A. Williams, Office of Disability Policy, Social Security Administration, 6401 Security Boulevard, Baltimore, Maryland 21235–6401, (410) 965–1020. For information on eligibility or filing for benefits, call our national toll-free number 1–800–772–1213, or TTY 1– 800–325–0778, or visit our Internet site, Social Security Online, at http:// www.socialsecurity.gov.
SUPPLEMENTARY INFORMATION:
Background
We are making final the rule for evaluating neurological disorders that we proposed in an NPRM published in the Federal Register on February 25, 2014 (79 FR 10636). In the preamble to the NPRM, we discussed the revisions to our current rule for the neurological
body system and our reasons for proposing those revisions. To the extent that we are adopting the proposed rule as published, we are not repeating that information here; interested readers may refer to the NPRM preamble. We incorporated into the final rule the portions of Social Security Ruling (SSR) 87–6, ''Titles II and XVI: The Role of Prescribed Treatment in the Evaluation of Epilepsy'' that continue to be relevant to the treatment of epilepsy. As part of the publication of this final rule, we are rescinding SSR 87–6. We also respond to public comments on the NPRM and explain what changes we are making based on those comments in the ''Public Comments on the NPRM'' section of the preamble.
Why are we revising the listings for evaluating neurological disorders?
We are comprehensively revising the listings for evaluating neurological disorders to update the medical criteria, provide additional methods of evaluating neurological disorders, provide more information on how we evaluate neurological disorders, make other changes that reflect our program experience, and address adjudicator questions. We last comprehensively revised the listings for the neurological disorders body system in a final rule published on December 6, 1985. 1 We have made only a few changes since then to meet program purposes. 2
Summary of Public Comments on the NPRM
In the NPRM, we provided the public with a 60-day comment period that ended on April 28, 2014. We reopened the comment period for 30 days on May 1, 2014 (70 FR 24634). The last of the two comment periods closed on June 2, 2014. We received and posted 2,103 public comments during the initial period for public comments on the NPRM, and received and posted an additional 921 when we extended the NPRM comment period. We also received and posted 55 comments when we initially made the public aware of our efforts to update this rule, when we
1 50 FR 50068.
2 On December 12, 1990, we raised the IQ limit in 11.07A, 111.02B1, 111.07B1, and 111.08B2 from 69 to 70 (55 FR 51204). We published a final rule adding section 11.00F for traumatic brain injury on August 21, 2000 (65 FR 50746); made technical revisions to most of the body systems on April 24, 2002 (67 FR 20018), which included some changes to the neurological body system; revised listing 11.10 for Amyotrophic lateral sclerosis (ALS) on August 82, 2003 (68 FR 51689); moved the listings for malignant brain tumors to the body system for malignant neoplastic diseases on November 15, 2004 (69 FR 67018); and made a technical correction in listing 111.09 on March 24, 2011 (76 FR 16531).
published the ANPRM. The comments came from members of the public, medical professionals, national medical organizations, advocacy groups, disability examiners and other adjudicators, and a national association representing disability examiners in the State agencies that make disability determinations for us.
The majority of the comments was repetitive and expressed support of or agreement with identical recommendations submitted by a few national organizations. For example, we received just over 1,100 comments that repeated, or were in support of recommendations submitted by a few Huntington's disease organizations; approximately 800 comments that repeated, or were in support of recommendations submitted by various headache organizations; and approximately 350 repeat comments that were in support of recommendations from various Parkinson's disease organizations.
In general, the recommendations and concerns raised by the majority of public commenters were very similar or identical. We received several comments suggesting that we create separate listings for various neurological disorders that we address in one comment below. Some commenters noted provisions with which they agreed and did not make suggestions for changes in those provisions. For example, over 300 comments were testimonials from commenters sharing their personal experience with various neurological disorders. Approximately 300 comments were outside the scope of the neurological NPRM, several of those were relevant to other body system disorders; we shared those comments with the appropriate body systems policy teams for consideration. We did not summarize or respond to comments that were in agreement with, or outside the scope of the neurological NPRM. We addressed repetitive comments that raised identical issues as one comment.
We carefully considered all of the relevant comments we received and we responded to all of the significant issues raised by the commenters that were within the scope of this rule. We provide our reasons for adopting or not adopting the comment recommendations in our responses below.
General Comments
Comment: Several commenters suggested that we create separate listings for various neurological disorders, such as migraine, cluster headaches and other severe headache disorders, fetal alcohol syndrome,
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cervical dystonias, atypical facial pain, and trigeminal neuralgia. One commenter expressed opposition to creating a separate listing for migraine headaches because the symptoms are too subjective. Other commenters suggested adding several neurological disorders to specific listings.
Response: We did not adopt these comments. While we do not have listings for every neurological condition, we are able to evaluate unlisted neurological disorders in several ways under our sequential evaluation process. We will determine whether your impairment medically equals a listing. If your impairment does not medically equal the criteria of a listing, you may or may not have the residual functional capacity to perform your past relevant work or adjust to other work that exists in significant numbers in the national economy, which we determine at the fourth and, if necessary, the fifth steps of the sequential evaluation process. As we work on the next iteration of revisions to the neurological rule, we will consider the suggestions for adding new listings and will consider comments expressing opposition to adding certain new listings.
Comment: We received a number of comments related to how we evaluate migraines and other chronic headache disorders. As we mentioned in the previous comment, several commenters asked that we recognize migraines as a disabling impairment and suggested we create a specific listing. Other commenters suggested listing criteria for us to consider. One commenter raised concerns about evaluating chronic headache disorders because of the subjective nature of the disorders.
Response: We acknowledge the commenters' concerns. We realize it is appropriate to provide impairmentspecific guidance on how we evaluate migraines and other chronic headache disorders. We will address these concerns in training to ensure all adjudicators know how to establish migraine and other chronic headache disorders as medically determinable impairments (MDIs). Once we establish the existence of an MDI(s), we follow the remaining steps in the sequential evaluation process (See §§ 404.1520, 416.920, and 416.924). As noted in the response above to the comments about creating additional listings, we are able to evaluate unlisted neurological disorders in several ways under our sequential evaluation process.
Comment: We received several comments expressing concern that the proposed functional criteria for determining disability in individuals with Huntington's disease (HD) and
Parkinson's disease still rely on the presence of physical limitations and do not adequately address the common non-physical manifestations of these diseases. The commenters suggested we include the mental criteria from the mental body system in the neurological disorders body system to evaluate the mental aspects of neurological disorders in the absence of physical limitations commonly seen in HD and in Parkinson's disease. They indicated the proposed criteria should include criteria specific to mental functioning in order to address the full range of symptoms often experienced by people who suffer with HD and Parkinson's disease. The commenters also suggested that the proposed introductory text sections where we discuss HD and Parkinson's disease direct adjudicators beyond listing 12.02 to expand to the entire mental body system, as appropriate, when they need to evaluate mental symptoms associated with neurological disorders.
Response: We partially adopted this comment. For program purposes, we consider all impairments under all applicable body systems as part of our disability evaluation. In the listings, we describe each of the major body systems impairments we consider severe enough to be disabling, and we list requirements that demonstrate a level of severity and duration consistent with the definition of disability set by Congress under the Act. We evaluate the person's impairment(s) under the most appropriate body system(s). We recognize that neurological disorders may co-occur with impairments we evaluate in other body systems; however, we intend the listings in this final rule to address only neurological disorders and the complications from those disorders. When only mental aspects of neurological disorders are present in the absence of physical limitations commonly seen in HD and Parkinson's disease, we evaluate those limitations under the appropriate mental disorders body system listings. However, when mental aspects of neurological disorders are present and co-occur with the physical limitations of these disorders, we evaluate limitations in physical and mental functioning under the neurological listings. In response to this and similar comments, we provided additional guidance in the introductory text explaining how we evaluate mental disorders under these listings.
We modified our functional criteria and severity rating scale to address the common mental aspects of neurological disorders. Our intent in the new functional criteria for adults is to provide a way to evaluate impairments and determine disability appropriately, even when those impairments are difficult to evaluate based on medical criteria alone. With functional criteria, we can evaluate the functional impact associated with any neurological impairment in broad areas of physical and mental functioning. The four areas of mental functioning are understanding, remembering, or applying information; interacting with others; concentrating, persisting, or maintaining pace; and adapting or managing oneself. For example, a person with a neurological disorder may demonstrate a limitation in the ability to walk (as addressed under the physical functioning criterion). He or she may also have a mental impairment resulting from the neurological disorder, which is demonstrated by a limitation in the ability to concentrate.
Comment: A commenter stated that the definition of social functioning in proposed section 11.00G3 should not focus solely on limitations caused by physical ailments. The commenter suggested that the social functioning criteria should include interpersonal interactions, as well as non-physical symptoms such as irritability, aggression, and perseveration.
Response: We adopted this comment. We mentioned in the previous comment we modified our functional criteria to focus on the common mental aspects of neurological disorders. We also changed the criterion from ''social functioning'' to ''interacting with others'' to be consistent with the way mental functions are described in the Diagnostic and Statistical Manual of Mental Disorders, Fifth Edition. 3
Comment: Several commenters noted that proposed section 11.00C states, ''Medical research shows that these neurological conditions may improve after a period of treatment.'' The commenters pointed out this statement is false and we should correct it because Parkinson's disease never improves.
Response: We adopted this comment. It was not our intent to indicate in listing 11.06 that Parkinson's disease itself may improve with treatment, as the disease is progressive. We removed the statement.
Comment: Several commenters asked that we revise proposed section 11.00K to clarify that motor and non-motor symptoms can be equally disabling in Parkinsonian syndromes, and to reflect that symptoms can fluctuate
3 American Psychiatric Association: Diagnostic and Statistical Manual of Mental Disorders, Fifth Edition, Arlington, VA, American Psychiatric Association, 2013.
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significantly from hour to hour and minute to minute, often making job performance in a professional environment very difficult.
Response: We partially adopted this comment. We agree that non-motor symptoms can be as disabling as motor symptoms in Parkinsonian syndromes. However, limitations resulting from non-motor symptoms are highly variable and we evaluate them on a case-by-case basis. The new functional criteria enable adjudicators to evaluate non-motor symptoms associated with Parkinsonian syndromes under listing 11.06B. We mention that neurological disorders may manifest in a combination of limitations in physical and mental functioning in the adult section, 11.00G. We will also provide guidance in training to adjudicators about the variable manifestations of neurological disorders, such as Parkinsonian syndrome.
Comment: One commenter expressed disappointment that the revised epilepsy listing does not include any discussion of how to ''deal with claimants who suffer from a mix of tonic-clonic and dyscognitive seizures.'' The commenter stated that ''although the revised listing explicitly acknowledges that individuals may suffer from a mix of tonic-clonic and dyscognitive seizures, 4 there is no guidance as to how to evaluate a claimant experiencing both types of seizures.''
Response: We do not agree with the commenter. In section 11.00H4c, we provide guidance on how to count dyscognitive seizures that progress into generalized tonic-clonic seizures. However, we do not believe that it is possible to address every permutation of the dyscognitive and tonic-clonic mixed seizure types. The signs and symptoms of such seizure types will vary from person to person. Adjudicators evaluate limitations caused by mixed seizures on a case-by-case basis.
Comment: One commenter was pleased that we included a more detailed explanation for the term ''marked'' in 11.00G2 but was concerned that this definition relied on the term ''seriously,'' as in ''interfere seriously'' and ''seriously limit,'' which we did not define. This commenter believed that not defining the term ''seriously,'' while repeatedly relying on it to define the term ''marked,'' creates a significant ambiguity in the listings. The commenter was concerned that adjudicators will apply the term ''marked'' inconsistently unless we
4 See NPRM 11.00H(4)(c).
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include a definition for the term ''seriously.''
Response: We partially adopted this comment. In the modified final section 11.00D of the introductory text, we include criteria for how to establish disorganization of motor function, descriptions for how to evaluate those criteria, and a definition of an extreme limitation in disorganization of motor function. If we do not find that a person is disabled on the basis of disorganization of motor function alone, as explained in 11.00D, we will find that the person's neurological disorder is incompatible with the ability to do any gainful activity if it results in marked limitation in physical functioning and marked limitation in one of four areas of mental functioning. In the modified final section 11.00G of the introductory text, we provide definitions for marked limitations drawn from our currently used definitions in section 7.00G4 of the listing of impairments for hematological disorders and section 1.00B of the listing of impairments for musculoskeletal disorders. We also provide descriptions of the considerations for physical and mental functioning in 11.00G2 and 11.00G3.
Comment: One commenter suggested that we not remove the intelligence quotient (IQ) requirement from the neurological listings, as the commenter believes it is the best indicator of mental capability.
Response: We did not adopt this comment. As we explained in the preamble to the NPRM, we are removing the criterion of an IQ score from our neurological listings because advances in medical knowledge of cerebral palsy (for adults and children), epilepsy (for children), spinal cord insults (for children), and our program experience indicate that an IQ score does not provide the best measure of limitations in cognitive functioning associated with these disorders. Therefore, it may not indicate listing-level severity under the neurological listings and would be more appropriately used to evaluate mental disorders under our mental disorders body system.
Comment: One commenter expressed that scales rating function into categories such as ''mild,'' ''moderate,'' and ''severe,'' are clearly subjective on the part of the rater and their meaningfulness is questionable.
Response: The word ''severe'' in the disability program separates step 2 from step 3 in the sequential evaluation process that we use to evaluate a person's physical or mental impairment or combination of impairments. If we find at step 2 that a person does not have a ''severe'' medically determinable impairment (MDI) or combination of MDIs that meet the duration requirement, we will find the person is not disabled. If we find at step 2 that the person has a ''severe'' MDI or combination of MDIs, we will continue evaluating the impairment(s) at step 3 of the sequential evaluation process. (See §§ 404.1520(a), 416.920(a) and 416.924(a).) With respect to the terms, ''mild'' and ''moderate,'' we have used those terms in a five-point rating scale in the mental disorders body system (consisting of none, mild, moderate, marked, and extreme) since 1985 (§§ 404.1520a and 416.920a). We have also used the terms ''marked'' and ''extreme'' limitation in childhood functional equivalence policy (§§ 416.926a). Such scales and ratings continue to be standard medical practice, and continue to be effective for evaluating degrees of impairmentrelated limitation(s). Moreover, in the modified final introductory text (11.00D2, 11.00G2, and 11.02D2), we include guidance for our adjudicators on the meaning and use of these terms.
Comment: One commenter said a significant feature of the proposed new criteria is that we will presume individuals (with many different neurological disorders) are disabled if they are unable to stand from a sitting position and are not presently working. The commenter noted that it appears obvious from casual observation that many individuals successfully work in a wide variety of different sedentary positions, such as Wal-Mart greeter, office worker, and physician. Because significant numbers of these individuals work on a regular basis in the national economy, it is quite easy for a lay observer to think it inappropriate for the Social Security Administration to presume that all individuals unable to stand are also unable to work.
Response: We did not adopt this comment. As we explain in 11.00D2a, an inability to stand up from a seated position means that, once seated, you are unable to stand and maintain an upright position without the risk of falling unless you have the assistance of another person or the use of an assistive device, such as a walker, two crutches, or two canes. The severity of such a limitation is set at a standard much higher than that applicable to a person who is able to do sedentary work; it thereby constitutes an inability to do any gainful activity in the national economy.
Comment: One commenter suggested that when referring to spinal cord insults we use the term ''spinal cord
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disorders'' instead of ''spinal cord insults.''
Response: We agree with the commenter and adopted this comment.
Comment: Some commenters asked how we would evaluate adherence to prescribed treatment for epilepsy patients when we removed the requirement for serum drug levels, particularly for patients prescribed newer antiepileptic drugs.
Response: We describe how we consider adherence to prescribed treatment under 11.00C. We consider whether you have taken medications or followed other treatment procedures as prescribed by a physician for three consecutive months. We no longer require serum drug levels. When we last revised the listings in 1985, blood drug levels were strong indicators for prescribed treatment compliance because therapeutic ranges had been established for antiepileptic drugs (AEDs) and the ranges were often noted on laboratory results. Many newer AEDs do not have established therapeutic levels, which makes lab results difficult for our adjudicators to interpret. We removed the requirement for obtaining blood drug levels to address this adjudicative issue and to simplify evaluation of seizures that satisfy the listing criteria. However, we will continue to consider blood drug levels available in the evidence in the context of all evidence in the case record.
What is our authority to make rules and set procedures for determining whether a person is disabled under the statutory definition?
The Act authorizes us to make rules and regulations and to establish necessary and appropriate procedures to implement them. 5
When will we begin to use this final rule?
We will begin to use this final rule on its effective date. We will continue to use the current listings until the date the final rule becomes effective. We will apply the final rule to new applications filed on or after the effective date of the final rule and to claims that are pending on or after the effective date. 6
5 42 U.S.C. 405(a), 902(a)(5), and 1383(d)(1).
6 This means that we will use the final rule on and after their effective date in any case in which we make a determination or decision. We expect that Federal courts will review the Commissioner's final decisions using the rule that were in effect at the time we issued the decisions. If a court reverses the Commissioner's final decision and remands a case for further administrative proceedings after the effective date of the final rule, we will apply the final rule to the entire period at issue in the decision we make after the court's remand.
How long will this final rule be effective?
This final rule will remain in effect for 5 years after the date it becomes effective, unless we extend it, or revise and issue it again.
Regulatory Procedures
Executive Order 12866, as Supplemented by Executive Order 13563
We consulted with the Office of Management and Budget (OMB) and determined that this final rule meets the criteria for a significant regulatory action under Executive Order 12866, as supplemented by Executive Order 13563. Therefore, OMB reviewed it.
Regulatory Flexibility Act
We certify that this final rule will not have a significant economic impact on a substantial number of small entities because it affects only individuals. Therefore, the Regulatory Flexibility Act, as amended, does not require us to prepare a regulatory flexibility analysis.
Paperwork Reduction Act
These rules do not create any new or affect any existing collections and, therefore, do not require OMB approval under the Paperwork Reduction Act.
(Catalog of Federal Domestic Assistance Program Nos. 96.001, Social Security— Disability Insurance; 96.002, Social Security— Retirement Insurance; 96.004, Social Security—Survivors Insurance; and 96.006, Supplemental Security Income).
List of Subjects in 20 CFR Part 404
Administrative practice and procedure, Blind, Disability benefits, Old-age, Survivors, and Disability Insurance, Reporting and recordkeeping requirements, Social Security.
Carolyn W. Colvin,
Acting Commissioner of Social Security.
For the reasons set out in the preamble, we are amending 20 CFR part 404, subpart P as set forth below:
PART 404—FEDERAL OLD-AGE, SURVIVORS AND DISABILITY INSURANCE (1950–)
Subpart P—Determining Disability and Blindness
■ 1. The authority citation for subpart P of part 404 continues to read as follows:
Authority: Secs. 202, 205(a)–(b) and (d)– (h), 216(i), 221(a), (i), and (j), 222(c), 223, 225, and 702(a)(5) of the Social Security Act (42 U.S.C. 402, 405(a)–(b) and (d)–(h), 416(i), 421(a), (i), and (j), 422(c), 423, 425, and 902(a)(5)); sec. 211(b), Pub. L. 104–193, 110 Stat. 2105, 2189; sec. 202, Pub. L. 108–203, 118 Stat. 509 (42 U.S.C. 902 note).
■ 2. Amend appendix 1 to subpart P of part 404 as follows:
■ a. Revise item 12 of the introductory text before part A;
■ b. Amend part A by revising the body system name for section 11.00 in the table of contents;
■ c. In section 1.00 of part A, revise the introduction to paragraph K;
■ d. Revise section 11.00 of part A;
■ e. In section 12.00 of part A, revise paragraph D10, listing 12.01, listing 12.09E, and listing 12.09I;
■ f. Amend part B by revising the body system name for section 111.00 in the table of contents;
■ g. In section 101.00 of part B, revise the last sentence of paragraph B1;
■ h. In section 101.00 of part B, revise the last sentence of paragraph B1 and paragraph K; and
■ i. Revise section 111.00 of part B to read as follows:
APPENDIX 1 TO SUBPART P OF PART 404—LISTING OF IMPAIRMENTS
* * * * * 12. Neurological Disorders (11.00 and 111.00): September 29, 2021.
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Part A
* *
11.00 *
1.00
* * *
Neurological Disorders
* * *
Musculoskeletal System
* * * * *
K. Disorders of the spine, listed in 1.04, result in limitations because of distortion of the bony and ligamentous architecture of the spine and associated impingement on nerve roots (including the cauda equina) or spinal cord. Such impingement on nerve tissue may result from a herniated nucleus pulposus, spinal stenosis, arachnoiditis, or other miscellaneous conditions.
* * * * *
11.00 NEUROLOGICAL DISORDERS A. Which neurological disorders do we evaluate under these listings? We evaluate epilepsy, amyotrophic lateral sclerosis, coma or persistent vegetative state (PVS), and neurological disorders that cause disorganization of motor function, bulbar and neuromuscular dysfunction, communication impairment, or a combination of limitations in physical and mental functioning. We evaluate neurological disorders that may manifest in a combination of limitations in physical and mental functioning. For example, if you have a neurological disorder that causes mental limitations, such as Huntington's disease or early-onset Alzheimer's disease, which may limit executive functioning (e.g., regulating attention, planning, inhibiting responses, decision-making), we evaluate your limitations using the functional criteria under these listings (see 11.00G). Under this body system, we evaluate the limitations resulting from the impact of the neurological disease process itself. If your neurological disorder results in only mental impairment
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or if you have a co-occurring mental condition that is not caused by your neurological disorder (for example, dementia), we will evaluate your mental impairment under the mental disorders body system, 12.00.
B. What evidence do we need to document your neurological disorder?
1. We need both medical and non-medical evidence (signs, symptoms, and laboratory findings) to assess the effects of your neurological disorder. Medical evidence should include your medical history, examination findings, relevant laboratory tests, and the results of imaging. Imaging refers to medical imaging techniques, such as x-ray, computerized tomography (CT), magnetic resonance imaging (MRI), and electroencephalography (EEG). The imaging must be consistent with the prevailing state of medical knowledge and clinical practice as the proper technique to support the evaluation of the disorder. In addition, the medical evidence may include descriptions of any prescribed treatment and your response to it. We consider non-medical evidence such as statements you or others make about your impairments, your restrictions, your daily activities, or your efforts to work.
2. We will make every reasonable effort to obtain the results of your laboratory and imaging evidence. When the results of any of these tests are part of the existing evidence in your case record, we will evaluate the test results and all other relevant evidence. We will not purchase imaging, or other diagnostic tests, or laboratory tests that are complex, may involve significant risk, or that are invasive. We will not routinely purchase tests that are expensive or not readily available.
C. How do we consider adherence to prescribed treatment in neurological disorders? In 11.02 (Epilepsy), 11.06 (Parkinsonian syndrome), and 11.12 (Myasthenia gravis), we require that limitations from these neurological disorders exist despite adherence to prescribed treatment. ''Despite adherence to prescribed treatment'' means that you have taken medication(s) or followed other treatment procedures for your neurological disorder(s) as prescribed by a physician for three consecutive months but your impairment continues to meet the other listing requirements despite this treatment. You may receive your treatment at a health care facility that you visit regularly, even if you do not see the same physician on each visit.
D.
What do we mean by disorganization of motor function?
1. Disorganization of motor function means interference, due to your neurological disorder, with movement of two extremities; i.e., the lower extremities, or upper extremities (including fingers, wrists, hands, arms, and shoulders). By two extremities we mean both lower extremities, or both upper extremities, or one upper extremity and one lower extremity. All listings in this body system, except for 11.02 (Epilepsy), 11.10 (Amyotrophic lateral sclerosis), and 11.20 (Coma and persistent vegetative state), include criteria for disorganization of motor function that results in an extreme limitation in your ability to:
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*
a. Stand up from a seated position; or b. Balance while standing or walking; or
c. Use the upper extremities (including fingers, wrists, hands, arms, and shoulders).
2. Extreme limitation means the inability to stand up from a seated position, maintain balance in a standing position and while walking, or use your upper extremities to independently initiate, sustain, and complete work-related activities. The assessment of motor function depends on the degree of interference with standing up; balancing while standing or walking; or using the upper extremities (including fingers, hands, arms, and shoulders).
a. Inability to stand up from a seated position means that once seated you are unable to stand and maintain an upright position without the assistance of another person or the use of an assistive device, such as a walker, two crutches, or two canes.
b. Inability to maintain balance in a standing position means that you are unable to maintain an upright position while standing or walking without the assistance of another person or an assistive device, such as a walker, two crutches, or two canes.
c. Inability to use your upper extremities means that you have a loss of function of both upper extremities (including fingers, wrists, hands, arms, and shoulders) that very seriously limits your ability to independently initiate, sustain, and complete work-related activities involving fine and gross motor movements. Inability to perform fine and gross motor movements could include not being able to pinch, manipulate, and use your fingers; or not being able to use your hands, arms, and shoulders to perform gross motor movements, such as handling, gripping, grasping, holding, turning, and reaching; or not being able to engage in exertional movements such a lifting, carrying, pushing, and pulling.
E. How do we evaluate communication impairments under these listings? We must have a description of a recent comprehensive evaluation including all areas of communication, performed by an acceptable medical source, to document a communication impairment associated with a neurological disorder. A communication impairment may occur when a medically determinable neurological impairment results in dysfunction in the parts of the brain responsible for speech and language. We evaluate communication impairments associated with neurological disorders under 11.04A, 11.07C, or 11.11B. We evaluate communication impairments due to nonneurological disorders under 2.09.
1. Under 11.04A, we need evidence documenting that your central nervous system vascular accident or insult (CVA) and sensory or motor aphasia have resulted in ineffective speech or communication. Ineffective speech or communication means there is an extreme limitation in your ability to understand or convey your message in simple spoken language resulting in your inability to demonstrate basic communication skills, such as following onestep commands or telling someone about your basic personal needs without assistance.
2. Under 11.07C, we need evidence documenting that your cerebral palsy has
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resulted in significant interference in your ability to speak, hear, or see. We will find you have ''significant interference'' in your ability to speak, hear, or see if your signs, such as aphasia, strabismus, or sensorineural hearing loss, seriously limit your ability to communicate on a sustained basis.
3. Under 11.11B, we need evidence documenting that your post-polio syndrome has resulted in the inability to produce intelligible speech.
F. What do we mean by bulbar and neuromuscular dysfunction? The bulbar region of the brain is responsible for controlling the bulbar muscles in the throat, tongue, jaw, and face. Bulbar and neuromuscular dysfunction refers to weakness in these muscles, resulting in breathing, swallowing, and speaking impairments. Listings 11.11 (Post-polio syndrome), 11.12 (Myasthenia gravis), and 11.22 (Motor neuron disorders other than ALS) include criteria for evaluating bulbar and neuromuscular dysfunction. If your neurological disorder has resulted in a breathing disorder, we may evaluate that condition under the respiratory system, 3.00.
G. How do we evaluate limitations in physical and mental functioning under these listings?
1. Neurological disorders may manifest in a combination of limitations in physical and mental functioning. We consider all relevant information in your case record to determine the effects of your neurological disorder on your physical and mental functioning. To satisfy the requirement described under 11.00G, your neurological disorder must result in a marked limitation in physical functioning and a marked limitation in at least one of four areas of mental functioning: Understanding, remembering, or applying information; interacting with others; concentrating, persisting, or maintaining pace; or adapting or managing oneself. If your neurological disorder results in an extreme limitation in at least one of the four areas of mental functioning, or results in marked limitation in at least two of the four areas of mental functioning, but you do not have at least a marked limitation in your physical functioning, we will consider whether your condition meets or medically equals one of the mental disorders body system listings, 12.00.
2. Marked Limitation. To satisfy the requirements of the functional criteria, your neurological disorder must result in a marked limitation in physical functioning and a marked limitation in one of the four areas of mental functioning (see 11.00G3). Although we do not require the use of such a scale, ''marked'' would be the fourth point on a five-point scale consisting of no limitation, mild limitation, moderate limitation, marked limitation, and extreme limitation. We consider the nature and overall degree of interference with your functioning. The term ''marked'' does not require that you must be confined to bed, hospitalized, or in a nursing home.
a. Marked limitation and physical functioning. For this criterion, a marked limitation means that, due to the signs and symptoms of your neurological disorder, you are seriously limited in the ability to
independently initiate, sustain, and complete work-related physical activities (see 11.00G3). You may have a marked limitation in your physical functioning when your neurological disease process causes persistent or intermittent symptoms that affect your abilities to independently initiate, sustain, and complete work-related activities, such as standing, balancing, walking, using both upper extremities for fine and gross movements, or results in limitations in using one upper and one lower extremity. The persistent and intermittent symptoms must result in a serious limitation in your ability to do a task or activity on a sustained basis. We do not define ''marked'' by a specific number of different physical activities or tasks that demonstrate your ability, but by the overall effects of your neurological symptoms on your ability to perform such physical activities on a consistent and sustained basis. You need not be totally precluded from performing a function or activity to have a marked limitation, as long as the degree of limitation seriously limits your ability to independently initiate, sustain, and complete work-related physical activities.
b. Marked limitation and mental functioning. For this criterion, a marked limitation means that, due to the signs and symptoms of your neurological disorder, you are seriously limited in the ability to function independently, appropriately, effectively, and on a sustained basis in work settings (see 11.03G3). We do not define ''marked'' by a specific number of mental activities, such as: The number of activities that demonstrate your ability to understand, remember, and apply information; the number of tasks that demonstrate your ability to interact with others; a specific number of tasks that demonstrate you are able to concentrate, persist or maintain pace; or a specific number of tasks that demonstrate you are able to manage yourself. You may have a marked limitation in your mental functioning when several activities or functions are impaired, or even when only one is impaired. You need not be totally precluded from performing an activity to have a marked limitation, as long as the degree of limitation seriously limits your ability to function independently, appropriately, and effectively on a sustained basis, and complete work-related mental activities.
3. Areas of physical and mental functioning.
a. Physical functioning. Examples of this criterion include specific motor abilities, such as independently initiating, sustaining, and completing the following activities: Standing up from a seated position, balancing while standing or walking, or using both your upper extremities for fine and gross movements (see 11.00D). Physical functioning may also include functions of the body that support motor abilities, such as the abilities to see, breathe, and swallow (see 11.00E and 11.00F). Examples of when your limitation in seeing, breathing, or swallowing may, on its own, rise to a ''marked'' limitation include: Prolonged and uncorrectable double vision causing difficulty with balance; prolonged difficulty breathing requiring the use of a prescribed
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assistive breathing device, such as a portable continuous positive airway pressure machine; or repeated instances, occurring at least weekly, of aspiration without causing aspiration pneumonia. Alternatively, you may have a combination of limitations due to your neurological disorder that together rise to a ''marked'' limitation in physical functioning. We may also find that you have a ''marked'' limitation in this area if, for example, your symptoms, such as pain or fatigue (see 11.00T), as documented in your medical record, and caused by your neurological disorder or its treatment, seriously limit your ability to independently initiate, sustain, and complete these workrelated motor functions, or the other physical functions or physiological processes that support those motor functions. We may also find you seriously limited in an area if, while you retain some ability to perform the function, you are unable to do so consistently and on a sustained basis. The limitation in your physical functioning must last or be expected to last at least 12 months. These examples illustrate the nature of physical functioning. We do not require documentation of all of the examples.
b. Mental functioning.
(i) Understanding, remembering, or applying information. This area of mental functioning refers to the abilities to learn, recall, and use information to perform work activities. Examples include: Understanding and learning terms, instructions, procedures; following one- or two-step oral instructions to carry out a task; describing work activity to someone else; asking and answering questions and providing explanations; recognizing a mistake and correcting it; identifying and solving problems; sequencing multi-step activities; and using reason and judgment to make work-related decisions. These examples illustrate the nature of this area of mental functioning. We do not require documentation of all of the examples.
(ii) Interacting with others. This area of mental functioning refers to the abilities to relate to and work with supervisors, coworkers, and the public. Examples include: Cooperating with others; asking for help when needed; handling conflicts with others; stating your own point of view; initiating or sustaining conversation; understanding and responding to social cues (physical, verbal, emotional); responding to requests, suggestions, criticism, correction, and challenges; and keeping social interactions free of excessive irritability, sensitivity, argumentativeness, or suspiciousness. These examples illustrate the nature of this area of mental functioning. We do not require documentation of all of the examples.
(iii) Concentrating, persisting, or maintaining pace. This area of mental functioning refers to the abilities to focus attention on work activities and to stay ontask at a sustained rate. Examples include: Initiating and performing a task that you understand and know how to do; working at an appropriate and consistent pace; completing tasks in a timely manner; ignoring or avoiding distractions while working; changing activities or work settings without being disruptive; working close to or with others without interrupting or
distracting them; sustaining an ordinary routine and regular attendance at work; and working a full day without needing more than the allotted number or length of rest periods during the day. These examples illustrate the nature of this area of mental functioning. We do not require documentation of all of the examples.
(iv) Adapting or managing oneself. This area of mental functioning refers to the abilities to regulate emotions, control behavior, and maintain well-being in a work setting. Examples include: Responding to demands; adapting to changes; managing your psychologically based symptoms; distinguishing between acceptable and unacceptable work performance; setting realistic goals; making plans for yourself independently of others; maintaining personal hygiene and attire appropriate to a work setting; and being aware of normal hazards and taking appropriate precautions. These examples illustrate the nature of this area of mental functioning. We do not require documentation of all of the examples.
4. Signs and symptoms of your disorder and the effects of treatment.
a. We will consider your signs and symptoms and how they affect your ability to function in the work place. When we evaluate your functioning, we will consider whether your signs and symptoms are persistent or intermittent, how frequently they occur and how long they last, their intensity, and whether you have periods of exacerbation and remission.
b. We will consider the effectiveness of treatment in improving the signs, symptoms, and laboratory findings related to your neurological disorder, as well as any aspects of treatment that may interfere with your ability to function. We will consider, for example: The effects of medications you take (including side effects); the time-limited efficacy of some medications; the intrusiveness, complexity, and duration of your treatment (for example, the dosing schedule or need for injections); the effects of treatment, including medications, therapy, and surgery, on your functioning; the variability of your response to treatment; and any drug interactions.
H. What is epilepsy, and how do we evaluate it under 11.02?
1. Epilepsy is a pattern of recurrent and unprovoked seizures that are manifestations of abnormal electrical activity in the brain. There are various types of generalized and ''focal'' or partial seizures. However, psychogenic nonepileptic seizures and pseudoseizures are not epileptic seizures for the purpose of 11.02. We evaluate psychogenic seizures and pseudoseizures under the mental disorders body system, 12.00. In adults, the most common potentially disabling seizure types are generalized tonic-clonic seizures and dyscognitive seizures (formerly complex partial seizures).
a. Generalized tonic-clonic seizures are characterized by loss of consciousness accompanied by a tonic phase (sudden muscle tensing causing the person to lose postural control) followed by a clonic phase (rapid cycles of muscle contraction and relaxation, also called convulsions). Tongue
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biting and incontinence may occur during generalized tonic-clonic seizures, and injuries may result from falling.
b. Dyscognitive seizures are characterized by alteration of consciousness without convulsions or loss of muscle control. During the seizure, blank staring, change of facial expression, and automatisms (such as lip smacking, chewing or swallowing, or repetitive simple actions, such as gestures or verbal utterances) may occur. During its course, a dyscognitive seizure may progress into a generalized tonic-clonic seizure (see 11.00H1a).
2. Description of seizure. We require at least one detailed description of your seizures from someone, preferably a medical professional, who has observed at least one of your typical seizures. If you experience more than one type of seizure, we require a description of each type.
3. Serum drug levels. We do not require serum drug levels; therefore, we will not purchase them. However, if serum drug levels are available in your medical records, we will evaluate them in the context of the other evidence in your case record.
4. Counting seizures. The period specified in 11.02A, B, or C cannot begin earlier than one month after you began prescribed treatment. The required number of seizures must occur within the period we are considering in connection with your application or continuing disability review. When we evaluate the frequency of your seizures, we also consider your adherence to prescribed treatment (see 11.00C). When we determine the number of seizures you have had in the specified period, we will:
a. Count multiple seizures occurring in a 24-hour period as one seizure.
b. Count status epilepticus (a continuous series of seizures without return to consciousness between seizures) as one seizure.
c. Count a dyscognitive seizure that progresses into a generalized tonic-clonic seizure as one generalized tonic-clonic seizure.
d. We do not count seizures that occur during a period when you are not adhering to prescribed treatment without good reason. When we determine that you had good reason for not adhering to prescribed treatment, we will consider your physical, mental, educational, and communicative limitations (including any language barriers). We will consider you to have good reason for not following prescribed treatment if, for example, the treatment is very risky for you due to its consequences or unusual nature, or if you are unable to afford prescribed treatment that you are willing to accept, but for which no free community resources are available. We will follow guidelines found in our policy, such as §§ 404.1530(c) and 416.930(c) of this chapter, when we determine whether you have a good reason for not adhering to prescribed treatment.
e. We do not count psychogenic nonepileptic seizures or pseudoseizures under 11.02. We evaluate these seizures under the mental disorders body system, 12.00.
5. Electroencephalography (EEG) testing. We do not require EEG test results; therefore,
we will not purchase them. However, if EEG test results are available in your medical records, we will evaluate them in the context of the other evidence in your case record.
I. What is vascular insult to the brain, and how do we evaluate it under 11.04?
1. Vascular insult to the brain (cerebrum, cerebellum, or brainstem), commonly referred to as stroke or cerebrovascular accident (CVA), is brain cell death caused by an interruption of blood flow within or leading to the brain, or by a hemorrhage from a ruptured blood vessel or aneurysm in the brain. If you have a vision impairment resulting from your vascular insult, we may evaluate that impairment under the special senses body system, 2.00.
2. We need evidence of sensory or motor aphasia that results in ineffective speech or communication under 11.04A (see 11.00E). We may evaluate your communication impairment under listing 11.04C if you have marked limitation in physical functioning and marked limitation in one of the four areas of mental functioning.
3. We generally need evidence from at least 3 months after the vascular insult to evaluate whether you have disorganization of motor functioning under 11.04B, or the impact that your disorder has on your physical and mental functioning under 11.04C. In some cases, evidence of your vascular insult is sufficient to allow your claim within 3 months post-vascular insult. If we are unable to allow your claim within 3 months after your vascular insult, we will defer adjudication of the claim until we obtain evidence of your neurological disorder at least 3 months post-vascular insult.
J. What are benign brain tumors, and how do we evaluate them under 11.05? Benign brain tumors are noncancerous (nonmalignant) abnormal growths of tissue in or on the brain that invade healthy brain tissue or apply pressure on the brain or cranial nerves. We evaluate their effects on your functioning as discussed in 11.00D and 11.00G. We evaluate malignant brain tumors under the cancer body system in 13.00. If you have a vision impairment resulting from your benign brain tumor, we may evaluate that impairment under the special senses body system, 2.00.
K. What is Parkinsonian syndrome, and how do we evaluate it under 11.06? Parkinsonian syndrome is a term that describes a group of chronic, progressive movement disorders resulting from loss or decline in the function of dopamineproducing brain cells. Dopamine is a neurotransmitter that regulates muscle movement throughout the body. When we evaluate your Parkinsonian syndrome, we will consider your adherence to prescribed treatment (see 11.00C).
L. What is cerebral palsy, and how do we evaluate it under 11.07?
1. Cerebral palsy (CP) is a term that describes a group of static, nonprogressive disorders caused by abnormalities within the brain that disrupt the brain's ability to control movement, muscle coordination, and posture. The resulting motor deficits manifest very early in a person's development, with delayed or abnormal progress in attaining developmental milestones. Deficits may
become more obvious as the person grows and matures over time.
2. We evaluate your signs and symptoms, such as ataxia, spasticity, flaccidity, athetosis, chorea, and difficulty with precise movements when we determine your ability to stand up, balance, walk, or perform fine and gross motor movements. We will also evaluate your signs, such as dysarthria and apraxia of speech, and receptive and expressive language problems when we determine your ability to communicate.
3. We will consider your other impairments or signs and symptoms that develop secondary to the disorder, such as post-impairment syndrome (a combination of pain, fatigue, and weakness due to muscle abnormalities); overuse syndromes (repetitive motion injuries); arthritis; abnormalities of proprioception (perception of the movements and position of the body); abnormalities of stereognosis (perception and identification of objects by touch); learning problems; anxiety; and depression.
M. What are spinal cord disorders, and how do we evaluate them under 11.08?
1. Spinal cord disorders may be congenital or caused by injury to the spinal cord. Motor signs and symptoms of spinal cord disorders include paralysis, flaccidity, spasticity, and weakness.
2. Spinal cord disorders with complete loss of function (11.08A) addresses spinal cord disorders that result in a complete lack of motor, sensory, and autonomic function of the affected part(s) of the body.
3. Spinal cord disorders with disorganization of motor function (11.08B) addresses spinal cord disorders that result in less than a complete loss of function of the affected part(s) of the body, reducing, but not eliminating, motor, sensory, and autonomic function.
4. When we evaluate your spinal cord disorder, we generally need evidence from at least 3 months after your symptoms began in order to evaluate your disorganization of motor function. In some cases, evidence of your spinal cord disorder may be sufficient to allow your claim within 3 months after the spinal cord disorder. If the medical evidence demonstrates total cord transection causing a loss of motor and sensory functions below the level of injury, we will not wait 3 months but will make the allowance decision immediately.
N. What is multiple sclerosis, and how do we evaluate it under 11.09?
1. Multiple sclerosis (MS) is a chronic, inflammatory, degenerative disorder that damages the myelin sheath surrounding the nerve fibers in the brain and spinal cord. The damage disrupts the normal transmission of nerve impulses within the brain and between the brain and other parts of the body, causing impairment in muscle coordination, strength, balance, sensation, and vision. There are several forms of MS, ranging from mildly to highly aggressive. Milder forms generally involve acute attacks (exacerbations) with partial or complete recovery from signs and symptoms (remissions). Aggressive forms generally exhibit a steady progression of signs and symptoms with few or no remissions. The effects of all forms vary from person to person.
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2. We evaluate your signs and symptoms, such as flaccidity, spasticity, spasms, incoordination, imbalance, tremor, physical fatigue, muscle weakness, dizziness, tingling, and numbness when we determine your ability to stand up, balance, walk, or perform fine and gross motor movements. When determining whether you have limitations of physical and mental functioning, we will consider your other impairments or signs and symptoms that develop secondary to the disorder, such as fatigue; visual loss; trouble sleeping; impaired attention, concentration, memory, or judgment; mood swings; and depression. If you have a vision impairment resulting from your MS, we may evaluate that impairment under the special senses body system, 2.00.
O. What is amyotrophic lateral sclerosis, and how do we evaluate it under 11.10? Amyotrophic lateral sclerosis (ALS) is a type of motor neuron disorder that rapidly and progressively attacks the nerve cells responsible for controlling voluntary muscles. We establish ALS under 11.10 when you have a documented diagnosis of ALS. We require documentation based on generally accepted methods consistent with the prevailing state of medical knowledge and clinical practice. We require laboratory testing to establish the diagnosis when the clinical findings of upper and lower motor neuron disease are not present in three or more regions. Electrophysiological studies, such as nerve conduction velocity studies and electromyography (EMG), may support your diagnosis of ALS; however, we will not purchase these studies.
P. What are neurodegenerative disorders of the central nervous system, such as Huntington's disease, Friedreich's ataxia, and spinocerebellar degeneration, and how do we evaluate them under 11.17? Neurodegenerative disorders of the central nervous system are disorders characterized by progressive and irreversible degeneration of neurons or their supporting cells. Over time, these disorders impair many of the body's motor, cognitive, and other mental functions. We consider neurodegenerative disorders of the central nervous system under 11.17 that we do not evaluate elsewhere in section 11.00, such as Huntington's disease (HD), Friedreich's ataxia, spinocerebellar degeneration, Creutzfeldt-Jakob disease (CJD), progressive supranuclear palsy (PSP), earlyonset Alzheimer's disease, and frontotemporal dementia (Pick's disease). When these disorders result in solely cognitive and other mental function effects, we will evaluate the disorder under the mental disorder listings.
Q. What is traumatic brain injury, and how do we evaluate it under 11.18?
1. Traumatic brain injury (TBI) is damage to the brain resulting from skull fracture, collision with an external force leading to a closed head injury, or penetration by an object that enters the skull and makes contact with brain tissue. We evaluate TBI that results in coma or persistent vegetative state (PVS) under 11.20.
2. We generally need evidence from at least 3 months after the TBI to evaluate whether you have disorganization of motor function under 11.18A or the impact that your
disorder has on your physical and mental functioning under 11.18B. In some cases, evidence of your TBI is sufficient to determine disability within 3 months postTBI. If we are unable to allow your claim within 3 months post-TBI, we will defer adjudication of the claim until we obtain evidence of your neurological disorder at least 3 months post-TBI. If a finding of disability still is not possible at that time, we will again defer adjudication of the claim until we obtain evidence at least 6 months after your TBI.
R. What are coma and persistent vegetative state, and how do we evaluate them under 11.20? Coma is a state of unconsciousness in which a person does not exhibit a sleep/wake cycle, and is unable to perceive or respond to external stimuli. People who do not fully emerge from coma may progress into a persistent vegetative state (PVS). PVS is a condition of partial arousal in which a person may have a low level of consciousness but is still unable to react to external stimuli. In contrast to coma, a person in a PVS retains sleep/wake cycles and may exhibit some key lower brain functions, such as spontaneous movement, opening and moving eyes, and grimacing. Coma or PVS may result from TBI, a nontraumatic insult to the brain (such as a vascular insult, infection, or brain tumor), or a neurodegenerative or metabolic disorder. Medically induced comas are not considered under 11.20 and should be considered under the section pertaining to the underlying reason the coma was medically induced and not under this section.
S. What are motor neuron disorders, other than ALS, and how do we evaluate them under 11.22? Motor neuron disorders such as progressive bulbar palsy, primary lateral sclerosis (PLS), and spinal muscular atrophy (SMA) are progressive neurological disorders that destroy the cells that control voluntary muscle activity, such as walking, breathing, swallowing, and speaking. We evaluate the effects of these disorders on motor functioning, bulbar and neuromuscular functioning, oral communication, or limitations in physical and mental functioning.
T. How do we consider symptoms of fatigue in these listings? Fatigue is one of the most common and limiting symptoms of some neurological disorders, such as multiple sclerosis, post-polio syndrome, and myasthenia gravis. These disorders may result in physical fatigue (lack of muscle strength) or mental fatigue (decreased awareness or attention). When we evaluate your fatigue, we will consider the intensity, persistence, and effects of fatigue on your functioning. This may include information such as the clinical and laboratory data and other objective evidence concerning your neurological deficit, a description of fatigue considered characteristic of your disorder, and information about your functioning. We consider the effects of physical fatigue on your ability to stand up, balance, walk, or perform fine and gross motor movements using the criteria described in 11.00D. We consider the effects of physical and mental fatigue when we evaluate your physical and mental functioning described in 11.00G.
U. How do we evaluate your neurological disorder when it does not meet one of these listings?
1. If your neurological disorder does not meet the criteria of any of these listings, we must also consider whether your impairment(s) meets the criteria of a listing in another body system. If you have a severe medically determinable impairment(s) that does not meet a listing, we will determine whether your impairment(s) medically equals a listing. See §§ 404.1526 and 416.926 of this chapter.
2. If your impairment(s) does not meet or medically equal the criteria of a listing, you may or may not have the residual functional capacity to perform your past relevant work or adjust to other work that exists in significant numbers in the national economy, which we determine at the fourth and, if necessary, the fifth steps of the sequential evaluation process in §§ 404.1520 and 416.920 of this chapter.
3. We use the rules in §§ 404.1594 and 416.994 of this chapter, as appropriate, when we decide whether you continue to be disabled.
11.01 Category of Impairments, Neurological Disorders
11.02 Epilepsy, documented by a detailed description of a typical seizure and characterized by A, B, C, or D:
A. Generalized tonic-clonic seizures (see 11.00H1a), occurring at least once a month for at least 3 consecutive months (see 11.00H4) despite adherence to prescribed treatment (see 11.00C); or
B. Dyscognitive seizures (see 11.00H1b), occurring at least once a week for at least 3 consecutive months (see 11.00H4) despite adherence to prescribed treatment (see 11.00C); or
C. Generalized tonic-clonic seizures (see 11.00H1a), occurring at least once every 2 months for at least 4 consecutive months (see 11.00H4) despite adherence to prescribed treatment (see 11.00C); and a marked limitation in one of the following:
1. Physical functioning (see 11.00G3a); or 2. Understanding, remembering, or applying information (see 11.00G3b(i)); or
3. Interacting with others (see
11.00G3b(ii)); or
4. Concentrating, persisting, or maintaining pace (see 11.00G3b(iii)); or
5. Adapting or managing oneself (see 11.00G3b(iv)); or
D. Dyscognitive seizures (see 11.00H1b), occurring at least once every 2 weeks for at least 3 consecutive months (see 11.00H4) despite adherence to prescribed treatment (see 11.00C); and a marked limitation in one of the following:
1. Physical functioning (see 11.00G3a); or
2. Understanding, remembering, or applying information (see 11.00G3b(i)); or
3. Interacting with others (see
11.00G3b(ii)); or
4. Concentrating, persisting, or maintaining pace (see 11.00G3b(iii)); or
5. Adapting or managing oneself (see 11.00G3b(iv)).
11.03 [Reserved]
11.04 Vascular insult to the brain, characterized by A, B, or C:
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A. Sensory or motor aphasia resulting in ineffective speech or communication (see 11.00E1) persisting for at least 3 consecutive months after the insult; or
B. Disorganization of motor function in two extremities (see 11.00D1), resulting in an extreme limitation (see 11.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities, persisting for at least 3 consecutive months after the insult; or
C. Marked limitation (see 11.00G2) in physical functioning (see 11.00G3a) and in one of the following areas of mental functioning, both persisting for at least 3 consecutive months after the insult:
1. Understanding, remembering, or applying information (see 11.00G3b(i)); or
2. Interacting with others (see
11.00G3b(ii)); or
3. Concentrating, persisting, or maintaining pace (see 11.00G3b(iii)); or
4. Adapting or managing oneself (see 11.00G3b(iv)).
11.05 Benign brain tumors, characterized by A or B:
A. Disorganization of motor function in two extremities (see 11.00D1), resulting in an extreme limitation (see 11.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities; or
B. Marked limitation (see 11.00G2) in physical functioning (see 11.00G3a), and in one of the following:
1. Understanding, remembering, or applying information (see 11.00G3b(i)); or
2. Interacting with others (see
11.00G3b(ii)); or
3. Concentrating, persisting, or maintaining pace (see 11.00G3b(iii)); or
4. Adapting or managing oneself (see 11.00G3b(iv)).
11.06 Parkinsonian syndrome, characterized by A or B despite adherence to prescribed treatment for at least 3 consecutive months (see 11.00C):
A. Disorganization of motor function in two extremities (see 11.00D1), resulting in an extreme limitation (see 11.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities; or
B. Marked limitation (see 11.00G2) in physical functioning (see 11.00G3a), and in one of the following:
1. Understanding, remembering, or applying information (see 11.00G3b(i)); or
2. Interacting with others (see
11.00G3b(ii)); or 3. Concentrating, persisting, or maintaining pace (see 11.00G3b(iii)); or
4. Adapting or managing oneself (see 11.00G3b(iv)).
11.07 Cerebral palsy, characterized by A, B, or C:
A. Disorganization of motor function in two extremities (see 11.00D1), resulting in an extreme limitation (see 11.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities; or
B. Marked limitation (see 11.00G2) in physical functioning (see 11.00G3a), and in one of the following:
1. Understanding, remembering, or applying information (see 11.00G3b(i)); or
2. Interacting with others (see 11.00G3b(ii)); or
3. Concentrating, persisting, or maintaining pace (see 11.00G3b(iii)); or
4. Adapting or managing oneself (see 11.00G3b(iv)); or
C. Significant interference in communication due to speech, hearing, or visual deficit (see 11.00E2).
11.08
Spinal cord disorders, characterized by A, B, or C:
A. Complete loss of function, as described in 11.00M2, persisting for 3 consecutive months after the disorder (see 11.00M4); or
B. Disorganization of motor function in two extremities (see 11.00D1), resulting in an extreme limitation (see 11.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities persisting for 3 consecutive months after the disorder (see 11.00M4); or
C. Marked limitation (see 11.00G2) in physical functioning (see 11.00G3a) and in one of the following areas of mental functioning, both persisting for 3 consecutive months after the disorder (see 11.00M4):
1. Understanding, remembering, or applying information (see 11.00G3b(i)); or
2. Interacting with others (see
11.00G3b(ii)); or 3. Concentrating, persisting, or maintaining pace (see 11.00G3b(iii)); or
4. Adapting or managing oneself (see 11.00G3b(iv)).
11.09 Multiple sclerosis, characterized by A or B:
A. Disorganization of motor function in two extremities (see 11.00D1), resulting in an extreme limitation (see 11.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities; or
B. Marked limitation (see 11.00G2) in physical functioning (see 11.00G3a), and in one of the following:
1. Understanding, remembering, or applying information (see 11.00G3b(i)); or
2. Interacting with others (see
11.00G3b(ii)); or
3. Concentrating, persisting, or maintaining pace (see 11.00G3b(iii)); or
4. Adapting or managing oneself (see 11.00G3b(iv)).
11.10 Amyotrophic lateral sclerosis (ALS) established by clinical and laboratory findings (see 11.00O).
11.11 Post-polio syndrome, characterized by A, B, C, or D:
A. Disorganization of motor function in two extremities (see 11.00D1), resulting in an extreme limitation (see 11.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities; or
B. Unintelligible speech (see 11.00E3); or
C. Bulbar and neuromuscular dysfunction (see 11.00F), resulting in:
1. Acute respiratory failure requiring mechanical ventilation; or
2. Need for supplemental enteral nutrition via a gastrostomy or parenteral nutrition via a central venous catheter; or
D. Marked limitation (see 11.00G2) in physical functioning (see 11.00G3a), and in one of the following:
1. Understanding, remembering, or applying information (see 11.00G3b(i)); or
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2. Interacting with others (see 11.00G3b(ii)); or
3. Concentrating, persisting, or maintaining pace (see 11.00G3b(iii)); or
4. Adapting or managing oneself (see 11.00G3b(iv)).
11.12 Myasthenia gravis, characterized by A, B, or C despite adherence to prescribed treatment for at least 3 months (see 11.00C):
A. Disorganization of motor function in two extremities (see 11.00D1), resulting in an extreme limitation (see 11.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities; or
B. Bulbar and neuromuscular dysfunction (see 11.00F), resulting in:
1. One myasthenic crisis requiring mechanical ventilation; or
2. Need for supplemental enteral nutrition via a gastrostomy or parenteral nutrition via a central venous catheter; or
C. Marked limitation (see 11.00G2) in physical functioning (see 11.00G3a), and in one of the following:
1. Understanding, remembering, or applying information (see 11.00G3b(i)); or
2. Interacting with others (see 11.00G3b(ii)); or
3. Concentrating, persisting, or maintaining pace (see 11.00G3b(iii)); or
4. Adapting or managing oneself (see 11.00G3b(iv)).
11.13 Muscular dystrophy, characterized by A or B:
A. Disorganization of motor function in two extremities (see 11.00D1), resulting in an extreme limitation (see 11.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities; or
B. Marked limitation (see 11.00G2) in physical functioning (see 11.00G3a), and in one of the following:
1. Understanding, remembering, or applying information (see 11.00G3b(i)); or
2. Interacting with others (see 11.00G3b(ii)); or
3. Concentrating, persisting, or maintaining pace (see 11.00G3b(iii)); or
4. Adapting or managing oneself (see 11.00G3b(iv)).
11.14 Peripheral neuropathy, characterized by A or B:
A. Disorganization of motor function in two extremities (see 11.00D1), resulting in an extreme limitation (see 11.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities; or
B. Marked limitation (see 11.00G2) in physical functioning (see 11.00G3a), and in one of the following:
1. Understanding, remembering, or
applying information (see 11.00G3b(i)); or
2. Interacting with others (see
11.00G3b(ii)); or
3. Concentrating, persisting, or maintaining pace (see 11.00G3b(iii)); or
4. Adapting or managing oneself (see 11.00G3b(iv)).
11.15 [Reserved]
11.16 [Reserved]
11.17 Neurodegenerative disorders of the central nervous system, such as Huntington's disease, Friedreich's ataxia, and
spinocerebellar degeneration, characterized by A or B:
A. Disorganization of motor function in two extremities (see 11.00D1), resulting in an extreme limitation (see 11.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities; or
B. Marked limitation (see 11.00G2) in physical functioning (see 11.00G3a), and in one of the following:
1. Understanding, remembering, or applying information (see 11.00G3b(i)); or
2. Interacting with others (see
11.00G3b(ii)); or
3. Concentrating, persisting, or maintaining pace (see 11.00G3b(iii)); or
4. Adapting or managing oneself (see 11.00G3b(iv)).
11.18 Traumatic brain injury, characterized by A or B:
A. Disorganization of motor function in two extremities (see 11.00D1), resulting in an extreme limitation (see 11.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities, persisting for at least 3 consecutive months after the injury; or
B. Marked limitation (see 11.00G2) in physical functioning (see 11.00G3a), and in one of the following areas of mental functioning, persisting for at least 3 consecutive months after the injury:
1. Understanding, remembering, or applying information (see 11.00G3b(i)); or
2. Interacting with others (see
11.00G3b(ii)); or
3. Concentrating, persisting, or maintaining pace (see 11.00G3b(iii)); or
4. Adapting or managing oneself (see 11.00G3b(iv)).
11.19 [Reserved]
11.20 Coma or persistent vegetative state, persisting for at least 1 month.
11.21 [Reserved]
11.22 Motor neuron disorders other than ALS, characterized by A, B, or C:
A. Disorganization of motor function in two extremities (see 11.00D1), resulting in an extreme limitation (see 11.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities; or
B. Bulbar and neuromuscular dysfunction (see 11.00F), resulting in:
1. Acute respiratory failure requiring invasive mechanical ventilation; or
2. Need for supplemental enteral nutrition via a gastrostomy or parenteral nutrition via a central venous catheter; or
C. Marked limitation (see 11.00G2) in physical functioning (see 11.00G3a), and in one of the following:
1. Understanding, remembering, or applying information (see 11.00G3b(i)); or
2. Interacting with others (see 11.00G3b(ii)); or
3. Concentrating, persisting, or maintaining pace (see 11.00G3b(iii)); or
4. Adapting or managing oneself (see 11.00G3b(iv)).
* * * * * 12.00 MENTAL DISORDERS
* * * * *
D. * * *
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10. Traumatic brain injury (TBI). In cases involving TBI, follow the documentation and evaluation guidelines in 11.00Q.
* * * * *
12.01 Category of Impairments, Mental
Disorders
* * * * *
12.09 * * *
E. Peripheral neuropathy. Evaluate under
11.14.
* * * * *
I. Seizures. Evaluate under 11.02.
* * * * *
Part B
* * * * *
111.00 Neurological Disorders
* * * * *
101.00 MUSCULOSKELETAL SYSTEM
* * * * *
B. Loss of function.
1. General. * * * We evaluate
impairments with neurological causes under
111.00, as appropriate.
* * * * *
K. Disorders of the spine, listed in 101.04, result in limitations because of distortion of the bony and ligamentous architecture of the spine and associated impingement on nerve roots (including the cauda equina) or spinal cord. Such impingement on nerve tissue may result from a herniated nucleus pulposus, spinal stenosis, arachnoiditis, or other miscellaneous conditions.
* * * * *
111.00 NEUROLOGICAL DISORDERS
A. Which neurological disorders do we evaluate under these listings? We evaluate epilepsy, coma or persistent vegetative state (PVS), and neurological disorders that cause disorganization of motor function, bulbar and neuromuscular dysfunction, or communication impairment. Under this body system, we evaluate the limitations resulting from the impact of the neurological disease process itself. If you have a neurological disorder(s) that affects your physical and mental functioning, we will evaluate your impairments under the rules we use to determine functional equivalence. If your neurological disorder results in only mental impairment or if you have a co-occurring mental condition that is not caused by your neurological disorder (for example, Autism spectrum disorder), we will evaluate your mental impairment under the mental disorders body system, 112.00.
B. What evidence do we need to document your neurological disorder?
1. We need both medical and non-medical evidence (signs, symptoms, and laboratory findings) to assess the effects of your neurological disorder. Medical evidence should include your medical history, examination findings, relevant laboratory tests, and the results of imaging. Imaging refers to medical imaging techniques, such as x-ray, computerized tomography (CT), magnetic resonance imaging (MRI), and electroencephalography (EEG). The imaging must be consistent with the prevailing state of medical knowledge and clinical practice as the proper technique to support the
evaluation of the disorder. In addition, the medical evidence may include descriptions of any prescribed treatment and your response to it. We consider non-medical evidence such as statements you or others make about your impairments, your restrictions, your daily activities, or, if you are an adolescent, your efforts to work.
2. We will make every reasonable effort to obtain the results of your laboratory and imaging evidence. When the results of any of these tests are part of the existing evidence in your case record, we will evaluate the test results and all other relevant evidence. We will not purchase imaging, or other diagnostic tests or laboratory tests that are complex, may involve significant risk, or that are invasive. We will not routinely purchase tests that are expensive or not readily available.
C. How do we consider adherence to prescribed treatment in neurological disorders? In 111.02 (Epilepsy) and 111.12 (Myasthenia gravis), we require that limitations from these neurological disorders exist despite adherence to prescribed treatment. ''Despite adherence to prescribed treatment'' means that you have taken medication(s) or followed other treatment procedures for your neurological disorder(s) as prescribed by a physician for three consecutive months but your impairment continues to meet the other listing requirements despite this treatment. You may receive your treatment at a health care facility that you visit regularly, even if you do not see the same physician on each visit.
D.
What do we mean by disorganization of motor function?
1. Disorganization of motor function means interference, due to your neurological disorder, with movement of two extremities; i.e., the lower extremities, or upper extremities (including fingers, wrists, hands, arms, and shoulders). By two extremities we mean both lower extremities, or both upper extremities, or one upper extremity and one lower extremity. All listings in this body system, except for 111.02 (Epilepsy) and 111.20 (Coma and persistent vegetative state), include criteria for disorganization of motor function that results in an extreme limitation in your ability to:
a. Stand up from a seated position; or b. Balance while standing or walking; or
c. Use the upper extremities (
e.g., fingers,
wrists, hands, arms, and shoulders). 2. Extreme limitation means the inability to stand up from a seated position, maintain balance in a standing position and while walking, or use your upper extremities to independently initiate, sustain, and complete age-appropriate activities. The assessment of motor function depends on the degree of interference with standing up; balancing while standing or walking; or using the upper extremities (including fingers, hands, arms, and shoulders).
a. Inability to stand up from a seated position means that once seated you are unable to stand and maintain an upright position without the assistance of another person or the use of an assistive device, such as a walker, two crutches, or two canes.
b. Inability to maintain balance in a standing position means that you are unable
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to maintain an upright position while standing or walking without the assistance of another person or an assistive device, such as a walker, two crutches, or two canes.
c. Inability to use your upper extremities means that you have a loss of function of both upper extremities (e.g., fingers, wrists, hands, arms, and shoulders) that very seriously limits your ability to independently initiate, sustain, and complete ageappropriate activities involving fine and gross motor movements. Inability to perform fine and gross motor movements could include not being able to pinch, manipulate, and use your fingers; or not being able to use your hands, arms, and shoulders to perform gross motor movements, such as handling, gripping, grasping, holding, turning, and reaching; or not being able to engage in exertional movements such a lifting, carrying, pushing, and pulling.
3. For children who are not yet able to balance, stand up, or walk independently, we consider their function based on assessments of limitations in the ability to perform comparable age-appropriate activities with the lower and upper extremities, given normal developmental milestones. For such children, an extreme level of limitation means developmental milestones at less than one-half of the child's chronological age.
E. What do we mean by bulbar and neuromuscular dysfunction? The bulbar region of the brain is responsible for controlling the bulbar muscles in the throat, tongue, jaw, and face. Bulbar and neuromuscular dysfunction refers to weakness in these muscles, resulting in breathing, swallowing, and speaking impairments. Listings 111.12 (Myasthenia gravis) and 111.22 (Motor neuron disorders) include criteria for evaluating bulbar and neuromuscular dysfunction. If your neurological disorder has resulted in a breathing disorder, we may evaluate that condition under the respiratory system, 103.00.
F. What is epilepsy, and how do we evaluate it under 111.02?
1. Epilepsy is a pattern of recurrent and unprovoked seizures that are manifestations of abnormal electrical activity in the brain. There are various types of generalized and ''focal'' or partial seizures. In children, the most common potentially disabling seizure types are generalized tonic-clonic seizures, dyscognitive seizures (formerly complex partial seizures), and absence seizures. However, psychogenic nonepileptic seizures and pseudoseizures are not epileptic seizures for the purpose of 111.02. We evaluate psychogenic seizures and pseudoseizures under the mental disorders body system, 112.00.
a. Generalized tonic-clonic seizures are characterized by loss of consciousness accompanied by a tonic phase (sudden muscle tensing causing the child to lose postural control) followed by a clonic phase (rapid cycles of muscle contraction and relaxation, also called convulsions). Tongue biting and incontinence may occur during generalized tonic-clonic seizures, and injuries may result from falling.
b. Dyscognitive seizures are characterized by alteration of consciousness without
convulsions or loss of muscle control. During the seizure, blank staring, change of facial expression, and automatisms (such as lip smacking, chewing or swallowing, or repetitive simple actions, such as gestures or verbal utterances) may occur. During its course, a dyscognitive seizure may progress into a generalized tonic-clonic seizure (see 111.00F1a).
c. Absence seizures (petit mal) are also characterized by an alteration in consciousness, but are shorter than other generalized seizures (e.g., tonic-clonic and dyscognitive) seizures, generally lasting for only a few seconds rather than minutes. They may present with blank staring, change of facial expression, lack of awareness and responsiveness, and a sense of lost time after the seizure. An aura never precedes absence seizures. Although absence seizures are brief, frequent occurrence may limit functioning. This type of seizure usually does not occur after adolescence.
d. Febrile seizures may occur in young children in association with febrile illnesses. We will consider seizures occurring during febrile illnesses. To meet 111.02, we require documentation of seizures during nonfebrile periods and epilepsy must be established.
2. Description of seizure. We require at least one detailed description of your seizures from someone, preferably a medical professional, who has observed at least one of your typical seizures. If you experience more than one type of seizure, we require a description of each type.
3. Serum drug levels. We do not require serum drug levels; therefore, we will not purchase them. However, if serum drug levels are available in your medical records, we will evaluate them in the context of the other evidence in your case record.
4. Counting seizures. The period specified in 111.02A or B cannot begin earlier than one month after you began prescribed treatment. The required number of seizures must occur within the period we are considering in connection with your application or continuing disability review. When we evaluate the frequency of your seizures, we also consider your adherence to prescribed treatment (see 111.00C). When we determine the number of seizures you have had in the specified period, we will:
a. Count multiple seizures occurring in a 24-hour period as one seizure.
b. Count status epilepticus (a continuous series of seizures without return to consciousness between seizures) as one seizure.
c. Count a dyscognitive seizure that progresses into a generalized tonic-clonic seizure as one generalized tonic-clonic seizure.
d. We do not count seizures that occur during a period when you are not adhering to prescribed treatment without good reason. When we determine that you had a good reason for not adhering to prescribed treatment, we will consider your physical, mental, educational, and communicative limitations (including any language barriers). We will consider you to have good reason for not following prescribed treatment if, for example, the treatment is very risky for you due to its consequences or unusual nature, or
if you are unable to afford prescribed treatment that you are willing to accept, but for which no free community resources are available. We will follow guidelines found in our policy, such as § 416.930(c) of this chapter, when we determine whether you have a good reason for not adhering to prescribed treatment.
e. We do not count psychogenic nonepileptic seizures or pseudoseizures under 111.02.We evaluate these seizures under the mental disorders body system, 112.00.
5. Electroencephalography (EEG) testing. We do not require EEG test results; therefore, we will not purchase them. However, if EEG test results are available in your medical records, we will evaluate them in the context of the other evidence in your case record.
G. What is vascular insult to the brain, and how do we evaluate it under 111.04?
1. Vascular insult to the brain (cerebrum, cerebellum, or brainstem), commonly referred to as stroke or cerebrovascular accident (CVA), is brain cell death caused by an interruption of blood flow within or leading to the brain, or by a hemorrhage from a ruptured blood vessel or aneurysm in the brain. If you have a vision impairment resulting from your vascular insult, we may evaluate that impairment under the special senses body system, 102.00.
2. We generally need evidence from at least 3 months after the vascular insult to determine whether you have disorganization of motor function under 111.04. In some cases, evidence of your vascular insult is sufficient to allow your claim within 3 months post-vascular insult. If we are unable to allow your claim within 3 months after your vascular insult, we will defer adjudication of the claim until we obtain evidence of your neurological disorder at least 3 months post-vascular insult.
H. What are benign brain tumors, and how do we evaluate them under 111.05? Benign brain tumors are noncancerous (nonmalignant) abnormal growths of tissue in or on the brain that invade healthy brain tissue or apply pressure on the brain or cranial nerves. We evaluate their effects on your functioning as discussed in 111.00D. We evaluate malignant brain tumors under the cancer body system in 113.00. If you have a vision impairment resulting from your benign brain tumor, we may evaluate that impairment under the special senses body system, 102.00.
I. What is cerebral palsy, and how do we evaluate it under 111.07?
1. Cerebral palsy (CP) is a term that describes a group of static, nonprogressive disorders caused by abnormalities within the brain that disrupt the brain's ability to control movement, muscle coordination, and posture. The resulting motor deficits manifest very early in a child's development, with delayed or abnormal progress in attaining developmental milestones; deficits may become more obvious as the child grows and matures over time.
2. We evaluate your signs and symptoms, such as ataxia, spasticity, flaccidity, athetosis, chorea, and difficulty with precise movements when we determine your ability to stand up, balance, walk, or perform fine
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and gross motor movements. We will also evaluate your signs, such as dysarthria and apraxia of speech, and receptive and expressive language problems when we determine your ability to communicate.
3. We will consider your other impairments or signs and symptoms that develop secondary to the disorder, such as post-impairment syndrome (a combination of pain, fatigue, and weakness due to muscle abnormalities); overuse syndromes (repetitive motion injuries); arthritis; abnormalities of proprioception (perception of the movements and position of the body); abnormalities of stereognosis (perception and identification of objects by touch); learning problems; anxiety; and depression.
J. What are spinal cord disorders, and how do we evaluate them under 111.08?
1. Spinal cord disorders may be congenital or caused by injury to the spinal cord. Motor signs and symptoms of spinal cord disorders include paralysis, flaccidity, spasticity, and weakness.
2. Spinal cord disorders with complete loss of function (111.08A) addresses spinal cord disorders that result in complete lack of motor, sensory, and autonomic function of the affected part(s) of the body.
3. Spinal cord disorders with disorganization of motor function (111.08B) addresses spinal cord disorders that result in less than complete loss of function of the affected part(s) of the body, reducing, but not eliminating, motor, sensory, and autonomic function.
4. When we evaluate your spinal cord disorder, we generally need evidence from at least 3 months after your symptoms began in order to evaluate your disorganization of motor function. In some cases, evidence of your spinal cord disorder may be sufficient to allow your claim within 3 months after the spinal cord disorder. If the medical evidence demonstrates total cord transection causing a loss of motor and sensory functions below the level of injury, we will not wait 3 months but will make the allowance decision immediately.
K. What are communication impairments associated with neurological disorders, and how do we evaluate them under 111.09?
1. Communication impairments result from medically determinable neurological disorders that cause dysfunction in the parts of the brain responsible for speech and language. Under 111.09, we must have recent comprehensive evaluation including all areas of affective and effective communication, performed by a qualified professional, to document a communication impairment associated with a neurological disorder.
2. Under 111.09A, we need documentation from a qualified professional that your neurological disorder has resulted in a speech deficit that significantly affects your ability to communicate. Significantly affects means that you demonstrate a serious limitation in communicating, and a person who is unfamiliar with you cannot easily understand or interpret your speech.
3. Under 111.09B, we need documentation from a qualified professional that shows that your neurological disorder has resulted in a comprehension deficit that results in ineffective verbal communication for your
age. For the purposes of 111.09B, comprehension deficit means a deficit in receptive language. Ineffective verbal communication means that you demonstrate serious limitation in your ability to communicate orally on the same level as other children of the same age and level of development.
4. Under 111.09C, we need documentation of a neurological disorder that has resulted in hearing loss. Your hearing loss will be evaluated under listing 102.10 or 102.11.
5. We evaluate speech deficits due to nonneurological disorders under 2.09.
L. What are neurodegenerative disorders of the central nervous system, such as Juvenileonset Huntington's disease and Friedreich's ataxia, and how do we evaluate them under 111.17? Neurodegenerative disorders of the central nervous system are disorders characterized by progressive and irreversible degeneration of neurons or their supporting cells. Over time, these disorders impair many of the body's motor or cognitive and other mental functions. We consider neurodegenerative disorders of the central nervous system under 111.17 that we do not evaluate elsewhere in section 111.00, such as juvenile-onset Huntington's disease (HD) and Friedreich's ataxia. When these disorders result in solely cognitive and other mental functional limitations, we will evaluate the disorder under the mental disorder listings, 112.00.
M. What is traumatic brain injury, and how do we evaluate it under 111.18?
1. Traumatic brain injury (TBI) is damage to the brain resulting from skull fracture, collision with an external force leading to a closed head injury, or penetration by an object that enters the skull and makes contact with brain tissue. We evaluate a TBI that results in coma or persistent vegetative state (PVS) under 111.20.
2. We generally need evidence from at least 3 months after the TBI to evaluate whether you have disorganization of motor function under 111.18. In some cases, evidence of your TBI is sufficient to determine disability. If we are unable to allow your claim within 3 months post-TBI, we will defer adjudication of the claim until we obtain evidence of your neurological disorder at least 3 months post-TBI. If a finding of disability still is not possible at that time, we will again defer adjudication of the claim until we obtain evidence at least 6 months after your TBI.
N. What are coma and persistent vegetative state, and how do we evaluate them under 111.20? Coma is a state of unconsciousness in which a child does not exhibit a sleep/ wake cycle, and is unable to perceive or respond to external stimuli. Children who do not fully emerge from coma may progress into persistent vegetative state (PVS). PVS is a condition of partial arousal in which a child may have a low level of consciousness but is still unable to react to external stimuli. In contrast to coma, a child in a PVS retains sleep/wake cycles and may exhibit some key lower brain functions, such as spontaneous movement, opening and moving eyes, and grimacing. Coma or PVS may result from a TBI, a nontraumatic insult to the brain (such as a vascular insult, infection, or brain
tumor), or a neurodegenerative or metabolic disorder. Medically induced comas should be considered under the section pertaining to the underlying reason the coma was medically induced and not under this section.
O. What is multiple sclerosis, and how do we evaluate it under 111.21?
1. Multiple sclerosis (MS) is a chronic, inflammatory, degenerative disorder that damages the myelin sheath surrounding the nerve fibers in the brain and spinal cord. The damage disrupts the normal transmission of nerve impulses within the brain and between the brain and other parts of the body causing impairment in muscle coordination, strength, balance, sensation, and vision. There are several forms of MS, ranging from slightly to highly aggressive. Milder forms generally involve acute attacks (exacerbations) with partial or complete recovery from signs and symptoms (remissions). Aggressive forms generally exhibit a steady progression of signs and symptoms with few or no remissions. The effects of all forms vary from child to child.
2. We evaluate your signs and symptoms, such as flaccidity, spasticity, spasms, incoordination, imbalance, tremor, physical fatigue, muscle weakness, dizziness, tingling, and numbness when we determine your ability to stand up, balance, walk, or perform fine and gross motor movements, such as using your arms, hands, and fingers. If you have a vision impairment resulting from your MS, we may evaluate that impairment under the special senses body system, 102.00.
P. What are motor neuron disorders, and how do we evaluate them under 111.22? Motor neuron disorders are progressive neurological disorders that destroy the cells that control voluntary muscle activity, such as walking, breathing, swallowing, and speaking. The most common motor neuron disorders in children are progressive bulbar palsy and spinal muscular dystrophy syndromes. We evaluate the effects of these disorders on motor functioning or bulbar and neuromuscular functioning.
Q. How do we consider symptoms of fatigue in these listings? Fatigue is one of the most common and limiting symptoms of some neurological disorders, such as multiple sclerosis and myasthenia gravis. These disorders may result in physical fatigue (lack of muscle strength) or mental fatigue (decreased awareness or attention). When we evaluate your fatigue, we will consider the intensity, persistence, and effects of fatigue on your functioning. This may include information such as the clinical and laboratory data and other objective evidence concerning your neurological deficit, a description of fatigue considered characteristic of your disorder, and information about your functioning. We consider the effects of physical fatigue on your ability to stand up, balance, walk, or perform fine and gross motor movements using the criteria described in 111.00D.
R. How do we evaluate your neurological disorder when it does not meet one of these listings?
1. If your neurological disorder does not meet the criteria of any of these listings, we must also consider whether your
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impairment(s) meets the criteria of a listing in another body system. If you have a severe medically determinable impairment(s) that does not meet a listing, we will determine whether your impairment(s) medically equals a listing. See § 416.926 of this chapter.
2. If your impairment(s) does not meet or medically equal a listing, we will consider whether your impairment(s) functionally equals the listings. See § 416.926a of this chapter.
3. We use the rules in § 416.994a of this chapter when we decide whether you continue to be disabled.
111.01 Category of Impairments, Neurological Disorders
111.02 Epilepsy, documented by a detailed description of a typical seizure and characterized by A or B:
A. Generalized tonic-clonic seizures (see 111.00F1a), occurring at least once a month for at least 3 consecutive months (see 111.00F4) despite adherence to prescribed treatment (see 111.00C); or
B. Dyscognitive seizures (see 111.00F1b) or absence seizures (see 111.00F1c), occurring at least once a week for at least 3 consecutive months (see 111.00F4) despite adherence to prescribed treatment (see 111.00C).
111.03 [Reserved]
111.04 Vascular insult to the brain, characterized by disorganization of motor function in two extremities (see 111.00D1), resulting in an extreme limitation (see 111.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities, persisting for at least 3 consecutive months after the insult.
111.05 Benign brain tumors, characterized by disorganization of motor function in two extremities (see 111.00D1), resulting in an extreme limitation (see 111.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities.
111.06 [Reserved]
111.07 Cerebral palsy, characterized by disorganization of motor function in two extremities (see 111.00D1), resulting in an extreme limitation (see 111.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities.
111.08 Spinal cord disorders, characterized by A or B:
A. Complete loss of function, as described in 111.00J2, persisting for 3 consecutive months after the disorder (see 111.00J4); or
B. Disorganization of motor function in two extremities (see 111.00D1), resulting in an extreme limitation (see 111.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities persisting for 3 consecutive months after the disorder (see 111.00J4).
111.09 Communication impairment, associated with documented neurological
disorder and one of the following:
A. Documented speech deficit that significantly affects (see 111.00K1) the clarity and content of the speech; or
B. Documented comprehension deficit resulting in ineffective verbal communication (see 111.00K2) for age; or
C. Impairment of hearing as described under the criteria in 102.10 or 102.11.
111.10 [Reserved]
111.11 [Reserved]
111.12 Myasthenia gravis, characterized by A or B despite adherence to prescribed treatment for at least 3 months (see 111.00C):
A. Disorganization of motor function in two extremities (see 111.00D1), resulting in an extreme limitation (see 111.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities; or
B. Bulbar and neuromuscular dysfunction (see 111.00E), resulting in:
1. One myasthenic crisis requiring mechanical ventilation; or
2. Need for supplemental enteral nutrition via a gastrostomy or parenteral nutrition via a central venous catheter.
111.13 Muscular dystrophy, characterized by disorganization of motor function in two extremities (see 111.00D1), resulting in an extreme limitation (see 111.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities.
111.14 Peripheral neuropathy, characterized by disorganization of motor function in two extremities (see 111.00D1), resulting in an extreme limitation (see 111.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities.
111.15 [Reserved]
111.16 [Reserved]
111.17 Neurodegenerative disorders of the central nervous system, such as Juvenileonset Huntington's disease and Friedreich's ataxia, characterized by disorganization of motor function in two extremities (see 111.00D1), resulting in an extreme limitation (see 111.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities.
111.18 Traumatic brain injury, characterized by disorganization of motor function in two extremities (see 111.00D1), resulting in an extreme limitation (see 111.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities, persisting for at least 3 consecutive months after the injury.
111.19 [Reserved]
111.20 Coma or persistent vegetative state, persisting for at least 1 month.
111.21 Multiple sclerosis, characterized by disorganization of motor function in two extremities (see 111.00D1), resulting in an extreme limitation (see 111.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities.
111.22 Motor neuron disorders, characterized by A or B:
A. Disorganization of motor function in two extremities (see 111.00D1), resulting in an extreme limitation (see 111.00D2) in the ability to stand up from a seated position, balance while standing or walking, or use the upper extremities; or
B. Bulbar and neuromuscular dysfunction (see 111.00E), resulting in:
1. Acute respiratory failure requiring invasive mechanical ventilation; or
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* Federal eRulemaking Portal: http:// www.regulations.gov. Follow the instructions for submitting comments. Comments submitted electronically, including attachments, to http:// www.regulations.gov will be posted to the docket unchanged. Because your comment will be made public, you are solely responsible for ensuring that your comment does not include any confidential information that you or a third party may not wish to be posted, such as medical information, your or anyone else's Social Security number, or confidential business information, such as a manufacturing process. Please note that if you include your name, contact information, or other information that
identifies you in the body of your comments, that information will be posted on http://www.regulations.gov.
* If you want to submit a comment with confidential information that you do not wish to be made available to the public, submit the comment as a written/paper submission and in the manner detailed (see ''Written/Paper Submissions'' and ''Instructions'').
Written/Paper Submissions
Submit written/paper submissions as follows:
* For written/paper comments submitted to the Division of Dockets Management, FDA will post your comment, as well as any attachments, except for information submitted, marked and identified, as confidential, if submitted as detailed in ''Instructions.''
* Mail/Hand delivery/Courier (for written/paper submissions): Division of Dockets Management (HFA–305), Food and Drug Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
Instructions: All submissions received must include the Docket No. FDA– 2015–D–1839. Received comments will be placed in the docket and, except for those submitted as ''Confidential Submissions,'' publicly viewable at http://www.regulations.gov or at the Division of Dockets Management between 9 a.m. and 4 p.m., Monday through Friday.
* Confidential Submissions—To
submit a comment with confidential information that you do not wish to be made publicly available, submit your comments only as a written/paper submission. You should submit two copies total. One copy will include the information you claim to be confidential with a heading or cover note that states ''THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' The Agency will review this copy, including the claimed confidential information, in its consideration of comments. The second copy, which will have the claimed confidential information redacted/blacked out, will be available for public viewing and posted on http:// www.regulations.gov. Submit both copies to the Division of Dockets Management. If you do not wish your name and contact information to be made publicly available, you can provide this information on the cover sheet and not in the body of your comments and you must identify this information as ''confidential.'' Any information marked as ''confidential'' will not be disclosed except in accordance with 21 CFR 10.20 and other applicable disclosure law. For more information about FDA's posting of
PO 00000
2. Need for supplemental enteral nutrition via a gastrostomy or parenteral nutrition via a central venous catheter.
[FR Doc. 2016–15306 Filed 6–30–16; 8:45 am]
BILLING CODE 4191–02–P
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Food and Drug Administration
21 CFR Part 101
[Docket No. FDA–2015–D–1839]
The Food and Drug Administration's Policy on Declaring Small Amounts of Nutrients and Dietary Ingredients on Nutrition Labels; Guidance for Industry; Availability
AGENCY: Food and Drug Administration, HHS.
ACTION
: Notification of availability.
SUMMARY: The Food and Drug Administration (FDA, we, or the Agency) is announcing the availability of a guidance for industry entitled ''FDA's Policy on Declaring Small Amounts of Nutrients and Dietary Ingredients on Nutrition Labels: Guidance for Industry.'' The guidance explains to manufacturers of conventional foods and dietary supplements our policy on determining the amount to declare on the nutrition label for certain nutrients and dietary ingredients that are present in a small amount.
DATES: The guidance is available on July 1, 2016. Submit either electronic or written comments on FDA guidances at any time.
ADDRESSES: You may submit comments as follows:
Electronic Submissions
Submit electronic comments in the following way:
|
ANGLEC
Anguilla Electricity Company Limited
Annual Report 2002
We Power Paradise...We Power Paradise...We Power Paradise...We Power Paradise...We Power Paradise...
1
Corporate Information
REGISTERED OFFICE
AUDITORS
Main Office The Valley Anguilla
Power Station
Corito
Anguilla
Mailing Address P.O. Box 400 The Valley, Anguilla
Telephone: (264) 497-5200
Fax: (264) 497-5440
E-mail: email@example.com
Web site: www.anglec.com
KPMG LLC Caribbean Commercial Centre The Valley, Anguilla
Mailing Address P.O. Box 136 The Valley, Anguilla
ATTORNEYS-AT-LAW
Caribbean Juris Chambers Hannah-Waver House The Valley, Anguilla
Mailing Address
P.O. Box 328
The Valley, Anguilla
2
TABLE OF CONTENTS
CONTENTS
22
3
Chairman's Message
Once again, it is my pleasure to report on the highlights of Anglec's activities over the year 2002. Undoubtedly the most significant factor was the reduced growth rate in demand and sales of electricity – an experience shared by a number of other Electric Utilities in the region where tourism activity is one of the main propellers of the economy.
Notwithstanding the adverse economic conditions that affected Anguilla, we at Anglec can feel very satisfied with our performance during the year under review. For the first time in the history of the operation a net profit of $4,283,207 was achieved and an interim dividend of $814,000 was paid to the principal shareholder, the Government of Anguilla, in December 2002. It was also the first time in many years that all the machines in the Power Station were available at the same time. Restoring all generators to service is noteworthy since this objective was developed a little over two years ago and in this short time frame, the operating staff in the Power Station has been able to achieve this target.
A new paradigm was established in the Transmission & Distribution Division with the first installation of automated Load Break switches which will enhance our ability to restore supplies more expeditiously in the future.
Unfortunately during the year, one of our major consumers closed its operations thereby affecting to a limited extent, our income level and reduction in maximum demand and sales during the year.
A long-term lease was obtained from the Government of Anguilla for 1.52 acres of land for the construction of a new office building located a short distance from our rented space in the Quarter. A sum of $715,000 was paid to the Government of Anguilla for the land. A preferred Architect was selected towards the end of the year and it is expected that design work would be completed in the New Year.
In recent years Management has been exploring the possibility of introducing a Pension Scheme for employees. In this regard, an Actuary was chosen to assist Management in the selection of a provider and it is anticipated that a pension
4
scheme would be established early in 2003.
A burden that has been confronting Anglec since the departure of the Commonwealth Development Corporation in the form of a multi-million dollar lawsuit was finally resolved by way of a settlement negotiated before a Master of the High Court. This therefore cleared the way for any change in ownership structure that may be contemplated in the future.
The Executive Council endorsed a decision by the Government of Anguilla to divest a percentage of its shareholding in Anglec to Anguillians. In spite of an active debate on the pros and cons of a share issue, the Government is hoping to bring finality to its proposal in 2003.
A feature of Anglec's operations that often is taken for granted is Safety, and the Board of Directors wishes to record its extreme satisfaction with the outstanding safety record of the Operating Centres where not a single accident was recorded during the year 2002. The Board exhorts Anglec's employees to strive to maintain this record which is a reflection of the high levels of safety consciousness that exist among workers as they proceed with their daily activities.
The introduction of an Environmental Management Plan and the implementation of major environmental corrective measures are sources of satisfaction to Anglec and to most Anguillians. Reduced emissions from our exhaust stacks, reduced noise levels from our engines and the new look of the Compound in general including soil remediation and installation of containment dykes around equipment are probably the most noticeable changes.
Moderate fuel prices prevailed during the first half of 2002 but towards the end of the year prices tended to escalate, to the point where serious consideration was being given to the implementation of a fuel surcharge.
On my own behalf and on behalf of the Board of Directors, I wish to congratulate the Management and Staff of Anglec on a truly magnificent performance in 2002.
Everet F. Romney, MBE Chairman
5
Financial Performance
REVENUE
The year 2002 saw an improved performance by the Company, although earnings fell below expectation by approximately 8.74%.
Gross Operating Revenue totalled EC$29,015,583, an increase of 5.5% over the EC$27,502,604 reported in 2001.
TRADING PROFITS
For the year ended 31st December, 2002, gross operating profits of EC$9,030,622 exceeded the comparable 2001 figure by 12.1%. Net profit for the year of EC $4,283,207 exceeded last year's figure by 41.5%.
The increase in profits was as a result of the reduction in the price of fuel during the first half of the year and our continued efforts to reduce operating costs while maintaining operational efficiency at all levels of the Organisation.
Some negative factors that militated against an even more successful year were:
1. The level of economic activity was below that for 2001.
2. Weak performance of the tourism sector.
3. Closure of one of our major hotels during the year.
4. The continuing effects of September 2001.
SALES
KWh sales were 48.970 million, an increase of 3% over the 47.541 million recorded in 2001. The hotel
6
Gross Revenue
(
in $ECmillions)
Net Profit
(in $ECmillions)
We Power Paradise...We Power Paradise...We Power Paradise...We Power Paradise...We Power Paradise...
7
Sales by Category (in MWh)
sector accounted for 15.3 million kWh or 31% of sales. Domestic customers accounted for 14.1 million kWh, or 29%. Sales to Government totaled 7.7 million kWh, or 16%. All other sectors accounted for 11.8 million kWh, or 24% of sales.
OPERATING COSTS
Operating costs for the year of EC $23.845 million was 3.68% below the figure recorded for 2001 (EC $24.756 million). This was achieved mainly because of stringent belt tightening regarding ac- tivities associated with Operations and Maintenance. Fuel costs accounted for 44.6% of operating costs, while in the previous year, fuel costs accounted for 43% of operating costs.
Fuel Costs
8
Administrative and customer care costs accounted for 13.3% of sales.
CAPITAL EXPENDITURE
Capital expenditures of EC$2.68m were made in the following areas:
Plant & Equipment $1,441,894
Land and
Building $ 782,292
Furniture & Equipment (inc Computers)$ 454,095
Capital Work in
Progress $ 4,990
TOTAL $2,683,271
The strong financial performance in 2002 can be attributed to two main factors:
1. A relatively low price of fuel for most of the year.
2. Prudent purchasing of products and services and general belttightening by Anglec.
Net Fixed Assets
(in $ECmillions)
9
Although fuel prices tended to escalate towards the end of 2002, our cost/kWh was maintained in order to avoid application of the fuel surcharge.
In an effort to diversify our incomegenerating stream, several maintenance projects were undertaken on Customers' High Voltage installations by the T & D Division and, in the case of the Generation Division, one project was undertaken in St. Maarten for Port de Plaisance Hotel.
Towards the end of 2002, an interim dividend was paid to the Government of Anguilla for the first time in the history of the Utility.
EARNINGS PER SHARE
In 2002, Earnings Per Share (EPS) increased by EC$0.11 over the prior year, to EC$0.37 . This represents an increase of 42.3%.
Generation Division
The Generation Division had one of its most successful years in 2002. This was reflected in the fact that all of the generating sets were available at the same time for the first occasion in the recent past. The re-commissioning of Unit #6, and important mainte-
nance activity in the Power Station as a whole, contributed in no small measure to the achievement of this long sought objective.
The fuel efficiency of the generating units declined slightly over the previous year, principally because the two Wartsila units were approaching their first major over- hauls. The figure of 17.46 kWh/IG was still better than the average figure of 16.62 kWh/IG obtained over the period preceding the installation of the Wartsila sets. Load factor fell by 2.3% mainly because of the closure of one of the major hotels on the Island. Even so, it was still well above the average figure of 61.04% in 1998, 1999 and 2000.
The maximum demand recorded in 2002 was 9.235 Mw, an increase of 5.5% over the 2001 figure of 8.750 Mw. Although this percentage was somewhat less than the average figure of 7% to 9% recorded over the previous four years, it can be considered satisfactory considering the economic climate.
No major overhauls were necessary in 2002 so the opportunity was taken to upgrade the ancillary systems. A single quality lubricating oil is now being used for all generating sets in the Power Station, thereby enabling a centralised oil delivery system to be utilised. This is more efficient and more environmentally sound since spillage when pumping oil from 55-gallon drums is avoided.
An order was placed towards the end of 2002 for a bulk fuel tank monitoring system that would enhance our ability to monitor fuel levels, detect fuel leaks and any incorrect valve positioning.
The final installment payment on the 1.6 Mw Caterpillar diesel set and associated transformer was
due to be made during the first week of January 2003.
During the year, the Power Station log book, containing all plant operational activity, was computerised. This allowed up-to-theminute access to information on Station performance by Management staff not located at Corito.
Station safety was at its highest level, with no recorded accidents in 2002.
During the year, members of Generation's mechanical staff were sent to St. Maarten as consultants to a major hotel which was experiencing operational difficulties with its generating sets. Anglec's staff corrected the mechanical problems and were asked to return to St. Maarten in 2003 to perform further maintenance.
Sandy Ground
It is gratifying to note that the professionalism and skill of Anglec's staff is recognised and sought-after by other organisations, as well as providing additional revenue to the Company.
Transmission & Distribution
12
The Transmission & Distribution Division had a very successful year. System reliability continues to improve and in 2002 a figure of 99.91% was achieved compared to 99.89% in 2001. With a weakened national economic environment, improved system reliability is of paramount importance since poor reliability equates to poor revenue returns.
Efforts continue to be concentrated on reducing the number of trouble reports experienced on the Distribution system. The figure of 6.5 reports per 1000 customers compared to 8 reports per 1000 customers the previous year was a significant improvement. The Division continues to strive to bring the report level to below 5 per 1000 customers which will rank Anglec with the best of Electric Utility companies in the USA. In this regard, a computerised system of tracking and categorising Trouble Reports was introduced in 2002.
Another noteworthy performance objective was achieved in the area of response time to trouble calls. An average response time of 41 minutes from receipt of a trouble call to arrival of technicians on site reflects a 32% improvement over the targeted time of one hour. The T & D Division will continue to strive to further improve
in this area of our activities since our Service Levels and image are enhanced when the response time to trouble calls is short. It also leads to quicker return to consumption of electricity which in turn leads to more revenue.
Most of the poles for the new fifth feeder were planted in 2002. It is expected that the cabling and stringing of conductors would be completed in the 3rd quarter of 2003.
The automation of the Distribution system continues to be a focal point and during the year, two automated Load Break Switches were installed and have been operating very effectively. In 2003, additional automated switches, along with three Auto-reclosers will be installed as we move towards more
extensive use of automation on the T & D system. This will improve our service to customers and lead to higher revenue returns.
In an effort to diversify our operations, and broaden our spectrum of income generation, the T & D Division undertook maintenance activity on a number of high voltage installations throughout the system. This new dimension in our operations has proven to be quite useful to our larger type customers.
No Electric Utility is loss free. Losses are usually categorised in two classes:
1. Technical losses which occur because of impedances inherent in overhead and underground distribution systems. These losses can usually be minimised by prudent selection of transformers, capacitors, conductors, etc. which all have impedance and/or resistance values determined by the characteristics of the material used in their manufacture.
2. Non-technical losses which occur because of metering inaccuracies, billing and meter defects, meter reading errors, electricity theft, etc.
System losses in 2002 totalled 9.5% There has been steady improvement in this area over the years and the figure of 9.5% is 2.7% better than reported in
2001. The figure is derived from the difference between units sent out from the Power Station versus units sold expressed as a percentage.
Human Resources
In 2002 Human Resources activities centered on the establishment of a reliable and functional Human Resource Information system. All employee files were converted to electronic format, thereby facilitating retrieval of personnel information more expeditiously.
August and is expected to return in two years' time.
TRAINING
Approximately 40% of our employees were exposed to training courses that were conducted both locally and overseas. Apart from
Anglec again encouraged staff to continue academic training by introducing a study policy. Four persons who sat examinations at the CXC level were successful in the year. In addition, in keeping with projected professional requirements, Mr. Steve Hodge of the Technical Services Section was awarded a partial scholarship in Electrical Engineering at the University of West England, Bristol, England. Mr. Hodge left in
training courses, two employees visited Blackhills Power Corporation in South Dakota, USA, to familiarise themselves with methodologies and systems in the Administration and IT sections of a well-run Electric Utility. Three employees (the General Manger, Generation Superintendent and Electrical Engineer) attended a conference in Guadeloupe and were afforded the opportunity of seeing a Wind Power installation in operation.
Information Technology
In the area of Information Technology, the focus continued to be one which contributed to the bottom line of the organization, either directly as in the case of the new bill project of late 2001, or indirectly by providing informational content which facilitates sharper and more accurate business decisions. Most of the work undertaken in 2002 was driven by the need to comply with increasingly stringent IT Audit specifications and/or the need for more accurate, purposeful information. The criticality of IT to business processes in Anglec is clear and the reduction of any risk due to this fact continues to be an ongoing driver of projects in IT. At the same time, the use of technology to better our business processes and make them more profitable and customer friendly will also encourage projects such as website development, etc.
A Human Resource Information System was implemented in March of 2002. An antiviral solution was also put in place in 2002, enabling network management from one node. Because of the increasing threats from viruses and the vulnerability of systems due to increased Internet exposure, it became critical to find a means of ensuring up-to-date antiviral protection.
A system of telephone accounting codes was implemented during the year. Each employee was given a unique code for telephone access. Combined with Window-based software to facilitate easier network access, report printing and data extraction, the coding system simplifies the process of monitoring telephone expenditure and employee productivity.
2002 brought numerous PC equipment replacements due to changes in user activity, indicating a greater reliance on the use of computing power in the day-to-day activities of employees. An additional node was added to the network in the Corito Power Station area.
Anglec's presence on the Web was given an overhaul in 2002. This serves as a precursor to the Company's intention to use the Internet as a further means of communication with its customers. The website now includes response forms and the means to contact Customer Care personnel. It hosts up-to-date information on the Company such as the latest annual report, active tenders and items for sale. Proposed improvements for the website include account inquiry access and online bill payment.
Operational Statistics
Production Surpassed 55M kWh
In 2002, Anglec produced 55.2 million kilowatt hours of electricity to meet the demands of the people of Anguilla. This level of production surpassed the previous record set in 2001 of 53.6 million kilowatt hours, an increase of 3%.
Load Factor
The level of consistency in the demand for electricity over a given period of time is reflected in load factor. It is an important indicator of the investment return on generating equipment.
When the load factor is high (the closer normal demand is to the peak demand), then the Company's investment in generating equipment is more profitable.
In 2002, Anglec's load factor decreased slightly from 69.9% in 2001 to 68.3%. This decrease is due in part to the closing of the Sonesta Beach Resort in mid 2002.
Fuel Efficiency
Fuel efficiency decreased in 2002 to 17.46 kWh per Imperial Gallon from 18.21 kWh per gallon in 2001. This decrease in fuel efficiency can be attributed to the accumulation of running hours on the Wartsila engines. As the hours accumulated toward overhaul level, fuel efficiency decreased.
System Load Factor %
System Reliability
System Reliability
On average, electricity was available to Anglec's customers 99.91% of the time. This percentage exceeded the targeted goal of 99.85% and the 2001 average of 99.89%.
Reliability of the distribution system is an important indication of Anglec's service to its customers. It is expressed as a percentage representing the number of hours of available service during the month divided by the number of hours in the month. 99.70% 99.75% 99.80%
Customers
Customer Base
Anglec's customer base of 6000 was virtually unchanged in 2002. This resulted from an effort to remove inactive accounts from the system.
New Connections
While average response time for installation of new connections was unchanged from 2001 to 2002, the average of two days is a 33% improvement over the targeted installation time of three days from payment of installation fees.
Trouble Calls (per 1000 Customers)
Trouble Call Response Times
Trouble Calls
The average time required to respond to a trouble call during 2002 was 40 minutes. This compares very favourably with international standards.
As system reliability directly impacts Anglec's revenue earning potential, it is one of our key operational targets. Efforts continue to be made to investigate the causes of interruptions on the system and corrective action taken to reduce or eliminate them. 60 70
In 2002, the number of trouble call reports decreased to 6.5 per thousand customers from the 80 per thousand reported in 2001, a reduction of 17%. This also represents a 22% reduction from the targeted rate of 9 calls per 1000 customers.
Average Trouble Call Response Time (in Minutes)
AUDITORS' REPORT
To the Shareholders of Anguilla Electricity Company Limited
We have audited the accompanying balance sheet of Anguilla Electricity Company Limited, as at December 31, 2002 and the income statement, the statement of retained earnings and statement of cash flows for the year then ended. These financial statements are the responsibility of the company's management. Our responsibility is to express an opinion on these financial statements based on our audit.
We conducted our audit in accordance with International Standards on Auditing as promulgated by the International Federation of Accountants. Those standards require that we plan and perform an audit to obtain reasonable assurance that the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audit provides a reasonable basis for our opinion.
In our opinion, these financial statements present fairly, in all material respects, the financial position of the company as at December 31, 2002 and the results of its operations and cash flows for the year then ended in accordance with International Financial Reporting Standards promulgated by the International Accounting Standards Board.
Chartered Accountants The Valley Anguilla
July 28, 2003
ANGUILLA ELECTRICITY COMPANY LIMITED Balance Sheet December 31, 2002
Expressed in Eastern Caribbean Dollars (EC$)
| 2002 32,654,507 3,430,307 6,749,227 1,227,810 1,922,272 | 2001 33,484,320 3,508,910 5,600,441 916,418 497,710 |
|---|---|
| 13,329,616 | 10,523,479 |
| 45,984,123 | 44,007,799 |
| 14,536,147 6,704,589 | 14,536,147 3,235,382 |
| 21,240,736 | 17,771,529 |
| 13,346,572 2,455,186 | 14,841,846 2,369,853 |
| 15,801,758 | 17,211,699 |
| 4,303,003 1,829,836 2,460,173 348,617 | 3,523,900 2,590,755 2,460,477 449,439 |
| 8,941,629 | 9,024,571 |
| 45,984,123 | 44,007,799 |
On behalf of the Board
The accompanying notes form an integral part of the financial statements.
Income Statement and Statement of Retained Earnings Year ended December 31, 2002
Expressed in Eastern Caribbean Dollars (EC$)
| 2002 29,015,583 | 2001 27,502,654 |
|---|---|
| (10,643,394) (4,744,897) (4,596,670) | (10,207,649) (48,098) (4,657,069) (4,536,695) |
| (19,984,961) | (19,449,511) |
| 9,030,622 (3,488,332) (371,879) | 8,053,143 (3,844,095) (362,816) (1,100,000) |
| (3,860,211) | (5,306,911) |
| 5,170,411 (1,262,536) 375,332 | 2,746,232 (1,649,190) 420,855 |
| 4,283,207 | 1,517,897 1,508,109 |
| 4,283,207 3,235,382 4,283,207 | 3,026,006 209,376 3,026,006 |
| 7,518,589 (814,000) | 3,235,382 |
| 6,704,589 | 3,235,382 |
| 0.37 | 0.26 |
The accompanying notes form an integral part of the financial statements.
Year ended December 31, 2002
Statement of Cash Flows
Expressed in Eastern Caribbean Dollars
| 2002 4,283,207 3,507,677 134,709 (8,348) | 2001 3,026,006 3,292,445 (316,673) 152,365 345,996 |
|---|---|
| 7,917,245 (1,140,438) (311,392) (56,105) (306) (100,822) | 6,500,139 (2,004,327) (577,657) (305,270) 2,285,272 (1,064,688) (266,804) (2,124,850) |
| 6,308,182 | 2,441,815 |
| (2,677,862) | (2,156,570) |
| (2,677,862) | (2,156,570) |
| (2,256,193) 85,332 (814,000) | (1,374,051) 753,589 |
| (2,984,861) | (620,462) |
| 645,459 (3,026,190) | (335,217) (2,690,973) |
| (2,380,731) | (3,026,190) |
The accompanying notes form an integral part of the financial statements.
Notes to the Financial Statements December 31, 2002
1. The Company
The Company was incorporated in Anguilla on January 11, 1991 under the Companies Act and is governed by the Electricity Ordinance, 1991, as amended. The company is owned by the Government of Anguilla.
The company has an exclusive public supplier's license to generate, transmit and distribute electricity on the island of Anguilla for a period of fifty years from April 1, 1991.
The financial statements were authorised for issue by the Directors on July 28, 2003.
2. Significant accounting policies
(a) Statement of compliance:
The financial statements have been prepared in accordance with International Financial Reporting Standards promulgated by the International Accounting Standards Board ("IASB"), and interpretations issued by the Standing Interpretations Committee of the IASB.
(b) Basis of preparation:
The financial statements are presented under the historical cost convention and are stated in East Caribbean Dollars.
(c) Property, plant and equipment:
Owned assets
Items of property, plant and equipment are stated at cost less accumulated depreciation (refer below) and impairment losses (refer to accounting policy "o"). The cost of self-constructed assets includes the cost of materials, direct labour and an appropriate proportion of production overheads.
Leased assets
Leases in which the Company assumes substantially all the risks and rewards of ownership are classified as finance leases. Plant and equipment acquired by way of a finance lease is stated at an amount equal to the lower of its fair value and the present value of the minimum lease payments at inception of the lease, less accumulated depreciation (refer below) and impairment losses (refer to accounting policy "o").
Subsequent expenditure
Expenditure incurred to replace a component of an item of property, plant and equipment that is accounted for separately, is capitalised with the carrying amount of the existing component being written off. Other subsequent expenditure is capitalised only when it increases the future economic benefits embodied in the item of property, plant and equipment. All other expenditure is recognised in the income statement as an expense as incurred.
Notes to the Financial Statements(Continued) December 31, 2002
2. Significant accounting policies (continued)
(d) Property, plant and equipment:
Depreciation
Depreciation is charged to the income statement on the straight-line basis over the estimated useful lives of items of property, plant and equipment. Land is not depreciated. The estimated useful lives are as follows:
Freehold buildings 40 years
Plant and machinery 10-20 years
Furniture, fittings and equipment 5 years
Motor vehicles 3-5 years
(e) Inventories:
Inventories are valued at the lower of cost and net realisable value. Cost is determined on a weighted average basis.
(f) Trade and other receivables:
Trade and other receivables are stated at their cost less impairment losses (refer to accounting policy 'o').
(g) Cash & cash equivalent:
Cash and cash eqivalent comprises cash balances and term deposits. For the purpose of the statement of cash flows, cash and cash equivalents are presented net of bank overdraft.
(h) Repurchase of share capital:
When share capital recognised as equity is repurchased, the amount of the consideration paid, including directly attributable costs, is recognised as a change in equity. Repurchased shares are presented as a deduction from total equity.
(i) Interest-bearing borrowings:
Interest-bearing borrowings are recognised initially at cost, net of any transaction costs incurred. Subsequent to initial recognition, interest-bearing borrowings are stated at amortised cost.
(j) Revenue:
Revenue from the sale of electricity is recognised in the income statement based on consumption recorded by monthly meter readings, with due adjustment made for unread consumption at year end by apportioning the consumption of the following month.
Notes to the Financial Statements(Continued) December 31, 2002
2. Significant accounting policies (continued)
(k) Trade and other payables:
Trade and other payables are stated at their cost.
(l) Contributions in aid of construction:
Contributions in aid of construction are amounts received from certain customers towards the cost of providing services. These amounts are amortised over the estimated service lives of the related assets at an amount equal to the corresponding annual provision for depreciation. Contributions received in respect of unfinished construction are amortised once the assets are placed in service.
(m) Finance Cost:
All interest and other costs incurred in connection with borrowings are expensed as incurred as part of finance costs. The interest expense component of finance lease payments is recognised in the income statement using the effective interest rate method.
Borrowing costs that are directly attributable to the acquisition, construction or production of qualifying assets are capitalised as a part of the cost of the asset.
(n) Foreign currencies:
Transactions in foreign currencies are converted to EC Dollars, the functional and reporting currency, at the foreign exchange rate ruling at the date of the transaction. Monetary assets and liabilities denominated in foreign currencies at the balance sheet date are translated to EC Dollars at the foreign exchange rate ruling at that date. Foreign exchange differences arising from fluctuations in exchange rates are recognised in the income statement. Nonmonetary assets and liabilities denominated in foreign currencies, which are stated at historical cost, are translated to EC Dollars at the foreign exchange rate ruling at the date of the transaction.
(o) Impairment:
The carrying amounts of the Company's assets are reviewed at each balance sheet date to determine whether there is any indication of impairment. If any such indication exists, the asset's recoverable amount is estimated. An impairment loss is recognized whenever the carrying amount of an asset exceeds its recoverable amount.
(p) Income tax:
No provision is made for income tax since Anguilla does not have any form of income tax.
(q) Comparative information:
Comparative information has been restated to conform to current year presentation where necessary.
December 31, 2002
Notes to the Financial Statements (Continued)
Expressed in Eastern Caribbean Dollars (EC$)
3. Property, plant and equipment
December 31, 2002
Notes to the Financial Statements (Continued)
Expressed in Eastern Caribbean Dollars (EC$)
4. Inventories
December 31, 2002
Notes to the Financial Statements (Continued)
Expressed in Eastern Caribbean Dollars (EC$)
8. Share Capital
"A", "B" and "C" are voting shares and carry equal rights.
"D" and the unclassified are non-voting shares.
Issued and fully paid:
5,400,000 "A" ordinary shares
5,400,000 "B" ordinary shares
6,236,147 "D" ordinary shares
Less: Treasury Stock
5,400,000 "B" ordinary shares
Add:
Discount on treasury stock
5,400,000
5,400,000
6,236,147
17,036,147 (5,400,000)
2,900,000
5,400,000
5,400,000
6,236,147
17,036,147 (5,400,000)
2,900,000
14,536,147 14,536,147
During the year 1998, the Company repurchased 5,400,000 of class "B" ordinary shares at a consideration of EC$2,500,000. The difference between the original issue price and the cost to acquire treasury stock is shown as Discount on treasury stock.
During the year 2002, the Government of Anguilla (GOA), the sole owner of the company, received EC$1 million to transfer 400,000 of class "A" shares to the Social Security Board (SSB). Accordingly, 400,000 shares at EC$2.50 each were transferred to SSB on June 3, 2003.
December 31, 2002
Notes to the Financial Statements (continued)
Expressed in Eastern Caribbean Dollars (EC$)
9. Interest-Bearing Loans
| 2002 144,692 1,231,724 3,514,018 561,296 9,724,678 | 2001 225,371 1,484,888 3,848,850 1,122,593 10,000,104 750,795 |
|---|---|
| 15,176,408 (1,829,836) | 17,432,601 (2,590,755) |
| 13,346,572 | 14,841,846 |
(I) This loan (02 SFR-ANG) was made to the Government of Anguilla on July 18, 1983. The total amount disbursed was US$1,084,751 of which US$463,253 was transferred to the Anguilla Electricity Company Limited on April 1, 1991. The loan is guaranteed by and repaid through the Government of Anguilla in equal quarterly instalments of approximately US$7,700, plus interest at the rate of 4% per annum. The final payment is due in the year 2003.
(II) This loan (03 SFR-ANG) was made to the Government of Anguilla on February 18, 1986. The total amount disbursed was US$1,435,709 which was transferred to the Anguilla Electricity Company Limited on April 1, 1991. The loan is guaranteed by and repaid through the Government of Anguilla in equal quarterly instalments of US$24,754, plus interest at the rate of 4% per annum. The final payment is due on March 31, 2007.
(III) This loan was made to the Company by the Caribbean Commercial Bank (Anguilla) Ltd on May 7, 1998 to refinance the Commonwealth Development Corporation loan. The loan is guaranteed by the Government of Anguilla. The total amount disbursed was US $1,800,000. This loan is repaid in equal semi-annual instalments of US$116,550, including interest at the rate of 7.75% per annum. The final payment is due on May 7, 2010.
(IV) This loan was made to the Company by Lloyds Bank on September 7, 1998 to finance the purchase of a 2.5MW Mirrlees & Blackstone generator. The loan is guaranteed by the Government of Anguilla. The total amount disbursed was US$1,044,001. This loan is repaid in equal semi-annual instalments of US$124,364 including interest at the rate of 6.63% per annum. The final payment is due on December 15, 2003. Borrowing cost of EC $58,382 was capitalised as part of the asset during set up and installation.
December 31, 2002 Notes to the Financial Statements (Continued)
Expressed in Eastern Caribbean Dollars (EC$)
9. Interest-Bearing Loans and Borrowing (Continued)
(V) This loan (02/OR-ANL) was made to the Company by the Caribbean Development Bank in the year 2000 to finance the purchase of two generators. The total amount disbursed was US $3,720,000 This loan is repaid in forty eight (48) equal and consecutive quarterly instalments of US$113,280 including interest at the rate of 5.5% per annum. This will be payable after two (2) years following the expiry of the first disbursement. Borrowing cost of EC$245,743 is capitalised and shown under fixed assets (Note 3). This loan is secured by a legal charge over the company's plant and equipment as well as the freehold property of the company.
(VI) This loan was made to the Company by Caterpillar Financial Services Corporation to finance a generator. The total amount disbursed was US$380,000. This loan is repaid in twelve (12) quarterly instalments. The first eleven (11) shall each be paid in the sum of US$22,245, the first of which shall be due and payable April 1, 2000. The final instalment of US$232,245 was paid on December 27, 2002.
10. Contributions in Aid of Construction
* As per Electricity (rates & charges) Regulations, tariffs shall be subject to a surcharge of 1 cent per unit for every 10 cent per gallon increase in the price of fuel oil over EC$3.64 per gallon. The company imposed the fuel surcharge from October 2000
Notes to the Financial Statements (Continued)
December 31, 2002
Expressed in Eastern Caribbean Dollars (EC$)
12. Other Income
| 2002 104,966 270,366 | 2001 93,000 327,855 |
|---|---|
| 375,332 | 420,855 |
13. Extraordinary Income
This represents the insurance claim received in excess of the net book value of assets relating to Hurricane Lenny that struck Anguilla on November 19, 1999.
14. Personnel Expenses
| 2002 3,373,371 148,831 159,693 285,817 | 2001 3,350,241 145,797 95,850 95,475 |
|---|---|
| 3,967,712 | 3,687,363 |
Average number of employees in the year 2002 was 67 (2001:70).
15. Related Party Transactions and Balances
The Company is fully owned by the Government of Anguilla (GOA) with which the Company has entered into the following transactions/balances:
* Amounts payable to GOA EC$Nil
* Trade receivable from GOA EC$2,905,102 (2001: EC$2,055,824).
* License fees paid to GOA is EC$400,000 for the year 2002 and 2001.
* The Company entered into an agreement on March 28, 1991 with the GOA to take over the electricity supply system of Anguilla.
* The GOA has guaranteed the CDB (02SFR-ANG), CDB (03SFR-ANG), CCB & Lloyds Bank loans borrowed by the Company (see note 9).
Notes to the Financial Statements (Continued)
December 31, 2002
Expressed in Eastern Caribbean Dollars (EC$)
16. Commitments
The directors have approved approximately EC$1,780,000 (2001: EC$68,107) for capital expenditure which had not been spent at December 31, 2002.
17. Employee Compensation
In 2001, a former employee brought an action against the Company claiming EC$7,000,000 as general damages for wrongful dismissal. On May 02, 2002, the case was withdrawn and settled at EC$900,000 being damages and at EC$200,000 being legal fees.
18. Credit Risk and Fair Value Disclosure of Financial Instruments
Financial assets of the Company include cash, term deposits, investments and accounts receivable. Financial liabilities include accounts payable and accruals and claims payable.
(a) Credit Risk
Credit risk on receivables is concentrated in the Government of Anguilla, the largest consumer and also the largest debtor. Credit risk is reflected in the provision for bad and doubtful receivables. (Refer to notes 5 and 15).
(b) Fair Value
The fair values of cash, accounts receivable, accounts payable and accruals and long-term loans are not materially different from their carrying amounts.
Fair value estimates are made at a specific point in time, based on market conditions and information about the financial instrument. These estimates are subjective in nature and involve uncertainties and matters of significant judgement and, therefore, cannot be determined with precision. Changes in assumptions could significantly affect estimates. All nonfinancial instruments such as prepaid expenses, and deferred revenue are excluded from fair value disclosure. Thus the total fair value amounts cannot be aggregated to determine the underlying economic value of the Company.
Everet Romney Chairman
Kent Webster
Leonard Carty
Board of Directors
Jerome Roberts
Kennedy Hodge
Division Managers
Neil McConnie General Manager
Seymour Blackman Chief Engineer
Ivor Ible Transmission & Distribution Superintendent
Erville Hughes Secretary/Financial Controller
Johanne Webster Corporate Systems Officer
Sylvan Brooks Electrical Engineer
Thomas Hodge Generation Superintendent
Maureen Woodley Accountant
MISSION STATEMENT
To meet the energy requirements of the people and businesses of Anguilla, safely, reliably and economically, and operate to the highest technical, managerial and environmental standards
|
Some Periodic Ramblings of the Prior
The Saint Raphael Link
October 2015 (Issue 20)
Dear Members
An old American farmer was once sat on the steps of his small shack chewing on a piece of straw. He was approached by a passing stranger who was looking for a cool drink of water. Wishing to start a conversation with the farmer, the stranger asked, "How is your cotton crop coming on this year?"
"I ain't got none", replied the farmer.
"Didn't you plant any?" asked the stranger.
"Nope," said the farmer, "I was afraid the boll weevils would get it."
"Well," asked the stranger, "how is your corn?"
"Didn't plant any corn either," replied the man, "I was afraid there wasn't going to be any rain."
"If you didn't plant any cotton or corn, what did you plant?' asked the man.
"Nothing," said the farmer. "I just played it safe!"
Well, I guess if you don't plant anything, it makes the harvest a lot easier, doesn't it?
Jesus once told the story about two brothers who were sent to work in their father's vineyard to bring in the harvest; but the harvest Jesus was trying to illustrate was not of cotton, fruit or vegetables. He was sending out workers to bring people into the kingdom of God. He said that there were many souls who were ready to be harvested, but there were not enough workers.
One reason it was hard to find workers was that it is very difficult work. Jesus warned that the workers in his kingdom would often be treated very unkindly. Only the other day I read a newspaper report about a very senior clergyman doing wrong. Is there any wonder
Email: firstname.lastname@example.org / Tele: 07817 825624 that people are very often put off organised religion by those who should know better!
But, Jesus is still looking for people who will work for him and bring people into his kingdom. That is what the church is supposed to do. It won't always be easy. In fact, at times it will be hard.
Then there are people in the church who are like the farmer in our story -- they are "just playing it safe." It has been said that eight out of ten church members have never invited anyone to church and that nine out of ten church members have never won anyone for Christ.
Are you willing to work for Jesus and invite people to come to church? Will you go and tell people about Jesus' love and that he died on the cross so that they could have everlasting life?
There are many souls, who even today, need to be brought into God's kingdom, but there just aren't enough workers.
I am in the business of harvesting souls for Christ – How about you? Amen.
+Geoffrey GRAND PRIOR
Beryl Anderton / Mary Gallagher / Gillian Gaiter / Paul Shaw / Sheila Hogarth / Ivy Holland / Ruth Barr / Kathleen Roberts / Lesley Fudge / Thelma Thompson / Ian & Anne Weatherall / Marlene Addy / Ray & Doreen Connell / Margaret Smith / Tania Walker / John Bartle / Brian Adams / Vicky Grimshaw / Patricia Grant / Brian Barber / Elizabeth Mills / Lidia Flemming / Vera Balmforth / Tracey Rouse / Paul Sheridan / Roy Howard / Elaine Ingham / Brian Sagar / Albert Jones / (Baby) Charlotte Park / Nicole Vendettuoli / Margaret Rixon / Vivienne Ainsworth / Elaine Coope / Ivor MacFarlane / Shaun Humphries / Lucy Riding / David Ford / Veronica Hawcroft / Amelia Radomski / Mary Flannigan / John & Mary Howard / Ida Simpson / Bernadette Delaney / Alexander Stoneham /
Edward Billington / Katie Baker / Mary Cumberbach / Debbie Mundey / Michael Aymes / Gaynor Smith (nee James) / Anne Snell / Beryl & Julie Stelling / Diane Beresford / Doreen Devitt / Joan Armstrong / Brigitte Duffet / Malcolm Corby / Eileen Duffy / Tony Kirby / Ronald Ball / Ian Cameron / Terry Duffy /Jim Raper / Glyn Shipton, priest . Diane Shipton and parents Derek & Delia / Angela Billerness.
Answers to Locations: 1. Carlisle Cathedral / 2, Liverpool / 3. The Eden Project in Exeter.
Calendar of Saints
St Gaspar – Feast Day: 21 st October
Gaspar, who was born in Rome, the son of a chef, in 1786, received his education as a Collegio Romano and was ordained priest in 1808. Shortly after this, Rome was taken by Napoleon's army, and he, with most of the clergy, was exiled for refusing to deny his allegiance to the Holy See. He returned after the fall of Napoleon to find a wide scope for work, as Rome had for nearly five years, been almost entirely without priests and sacraments.
In 1815, Gaspar founded the Congregation of the most Precious Blood with the approval of Pope Pius VII. His wish was to have a house in every diocese, and he chose the most neglected and wicked town or district. The kingdom of Naples was in those days a nest of crime of every kind; no one's life or property was safe, and in 1821 the pope asked Gaspar to found six houses there. He was very happy to do this, but he had many difficulties to overcome before it was accomplished.
In 1824, the houses of the congregation were opened to young clergy who wished to be trained specially as missionaries. In his lifetime, their work covered the whole of Italy.
Journeying from town to town, enduring endless hardships, threatened often even with death, Gaspar always taking the hardest work himself, they preached their message. One of his principles was that everybody should be made to work. He therefore founded works of charity in Rome for young and old, rich and poor of both sexes. He opened the night oratory, where our Lord is worshipped all night by men, many coming to Him, like Nicodemus, by night who would not have the courage to go to confession by day. His last mission was preached in Rome during the cholera outbreak of 1836. Feeling his strength failing, he returned at once to Albano, and made every preparation for death. After the feast of St. Francis Xavier he went to Rome to die.
He received the last sacraments on December 28, and he died the same day. Various miracles had been worked by St. Gaspar during his lifetime, and after his death many graces were obtained by his intercession. He was canonized in 1954.
Story Corner
Once upon a time two brothers who lived on adjoining farms fell into conflict. It was the first serious rift in 40 years of farming side by side, sharing machinery, and trading labour and goods as needed without a hitch. Then the long collaboration fell apart. It began with a small misunderstanding and it grew into a major difference, and finally it exploded into an exchange of bitter words followed by weeks of silence.
One morning there was a knock on John's door. He opened it to find a man with a carpenter's toolbox. "I'm looking for a few days work" he said. "Perhaps you would have a few small jobs here and there. Could I help you?"
"Yes," said the older brother. "I do have a job for you. Look across the creek at that farm. That's my neighbour, in fact, it's my younger brother. Last week there was a meadow between us and he took his bulldozer to the river levee and now there is a creek between us. Well, he may have done this to spite me, but I'll go him one better. See that pile of lumber curing by the barn? I want you to build me a fence eight feet high so I won't need to see his place anymore. Cool him down, anyhow."
The carpenter said, "I think I understand the situation. Show me the nails and the posthole digger and I'll be able to do a job that pleases you."
The older brother had to go to town for supplies, so he helped the carpenter get the materials ready and then he was off for the day.
The carpenter worked hard all that day measuring, sawing, nailing. About sunset when the farmer returned, the carpenter had just finished his job. The farmer's eyes opened wide, his jaw dropped.
There was no fence there at all. It was a bridge; a bridge stretching from one side of the creek to the other! It was a fine piece of work, handrails and all. The neighbour, his younger brother, was coming across, his hand outstretched.
"You are quite a fellow to build this bridge after all I've said and done."
The two brothers stood at each end of the bridge, and then they met in the middle, taking each other's hand. They turned to see the carpenter hoist his toolbox on his shoulder. "No, wait! Stay a few days. I've a lot of other projects for you," said the older brother.
"I'd love to stay on," the carpenter said, "but, I have many more bridges to build."
Cook's Corner:
Ingredients:
2 chicken leg quarters (about 1 1/2 pounds) / 1 tablespoon chopped fresh or 1 teaspoon dried basil / 1 tablespoon chopped fresh or 1 teaspoon dried thyme / 1 tablespoon chopped fresh or 1 teaspoon dried rosemary, crushed / 2 teaspoons olive oil / 1/2 teaspoon salt / 1/4 teaspoon black pepper / 2 whole garlic heads
Preparation
Preheat oven to 375°.
Rinse chicken with cold water; pat dry. Trim excess fat. Loosen skin from thigh and leg by inserting fingers, gently pushing between skin and meat. Combine basil and next 5 ingredients (basil through pepper). Rub herb mixture under loosened skin. Place chicken on a broiler pan.
Insert meat thermometer into meaty part of thigh, making sure not to touch bone. Remove white papery skin from garlic heads (do not peel or separate the cloves). Wrap each head separately in foil; place on broiler pan with chicken. Bake at 375° for 45 minutes. Increase oven temperature to 450° (do not remove chicken from oven). Bake 30 minutes or until thermometer registers 180°. Cover chicken loosely with foil; let stand 10 minutes. Discard skin.
Guess the Locations:
3.
RELIGIOUS JOKES
A 24 year old boy looking out from the train's window shouted…
"Dad, look the trees are going behind!"
Dad smiled and a young couple sitting nearby, looked at the 24 year old's childish behaviour with pity, suddenly he again exclaimed… "Dad, look the clouds are running with us!" The couple couldn't resist and said to the old man…
"Why don't you take your son to a good doctor?" The old man smiled and said…"I did and we are just coming from the hospital, my son was blind from birth, he just got his eyes today.
Every single person on the planet has a story. Don't judge people before you truly know them. The truth might surprise you.
WHERE THE BLESSED FEET HAVE TROD
by: Michael Field [pen name of Katherine Bradley (1846– 1913) and Edith Cooper (1862–1914)]
NOT alone in Palestine those blessed Feet have trod,
For I catch their print,
I have seen their dint
On a plot of chalky ground,
Little villas dotted round;
On a sea-worn waste,
Where a priest, in haste,
Passeth with the Blessèd Sacrament to one dying, frail,
Through the yarrow, past the tamarisk, and the plaited snail:
Bright upon the grass I see
Bleeding Feet of Calvary-And I worship, and I clasp them round! On this bit of chalky, English ground, Jesu, Thou art found: my God I hail, My Lord, my God!
The Legacy
She could not give her children gold, So she gave them faith to have and hold.
She could not give them royal birth... A name renowned throughout the earth. But she gave them seeds and garden spot And shade trees when the sun was hot.
She could not give a silver spoon Or servants waiting night and noon. She gave them love and a listening ear And told them God was always near.
She could not give them ocean trips Aboard majestic sailing ships. But she gave them books and quiet time, Adventures found in prose and rhyme.
She could not give them worldly things But what she gave was fit for kings. For with her faith and books and sod, She made each child aware of God.
—attributed to Alice Leedy Mason
And Finally!
The Professor began his class by holding up a glass with some water in it. He held it up for all to see & asked the students "How much do you think this glass weighs?" '50gms!'….. '100gms!' …..'125 gms' …the students answered.
. "I really don't know unless I weigh it," said the professor, "but, my question is: What would happen if I held it up like this for a few minutes?"…. .
'Nothing' …..the students said.
. 'Ok what would happen if I held it up like this for an hour?' the professor asked.
'Your arm would begin to ache' said one of the student
. "You're right, now what would happen if I held it for a day?"
"Your arm could go numb; you might have severe muscle stress & paralysis & have to go to hospital for sure!"
….. Ventured another student & all the students laughed.
"Very good. But during all this, did the weight of the glass change?" Asked the professor. 'No'…. Was the answer. "Then what caused the arm ache & the muscle stress?"
The students were puzzled.
"What should I do now to come out of pain?"
asked professor again.
"Put the glass down!" said one of the students.
"Exactly!" said the professor.
Life's problems are something like this.
Hold it for a few minutes in your head & they seem OK. Think of them for a long time & they begin to ache. Hold it even longer & they begin to paralyze you. You will not be able to do anything.
. It's important to think of the challenges or problems in your life, But EVEN MORE IMPORTANT is to 'PUT THEM DOWN' at the end of every day before you go to sleep…That way, you are not stressed, you wake up every day fresh & strong & can handle any issue, any challenge that comes your way!
So, when you start your day, Remember friend to 'PUT THE GLASS DOWN TODAY! '
The Healing Teaching & Chivalric Order of St Raphael
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U.S. Department of Justice Federal Bureau of Investigation FBI Academy Library Quantico, Virginia 22135
Subject Bibliography
GANGS
3/2005
Alexander, Claire E. The Asian Gang. New York: Berg, 2000. Call Number: HV 6439.G72A44 2000 Abstract: This book attempts to explore the complex mythologies and realities of contemporary Asian youth experience. Taking the 'gang' at its starting point, the study examines the interaction of representation and reality, ethnicity and masculinity in a textured, in-depth and personal perspective that challenges traditional views on Asian communities and identities.
Allender, David M. "Gangs in Middle America: Are They a Threat?" FBI Law Enforcement Bulletin (December 2001): pp. 1-9.
Abstract: Allender presents an examination of gang history, gang migration and gang structure, along with the efforts of law enforcement to combat and prevent gangs. He offers a review of Indianaoplis, Indiania's experience with gangs to illustrate how a "big small town" in the heart of the US can become a new target for gangs from other areas of the country.
________. "Safe Streets Task Force: Cooperation Gets Results." FBI Law Enforcement Bulletin (March 2001): pp.
1-6. Abstract: Allender discusses the Indianapolis IN Police Department and its cooperative efforts with the FBI and others to shut down the New Breed inner-city gang. Gang members promoted and aided many illegal activities, including drug trafficking and violence. The police department was eventually able to make numerous arrests of gang memmbers.
Bjerregaard, Beth. "Operationalizing Gang Membership: The Impact Measurement on Gender Differences in Gang Self-Identification and Delinquent Involvement." Women & Criminal Justice (June 30, 2002): pp. 79-101. Abstract: This research examines the extent to which the operationalization of gang membership impacts prevalence rates of both gang membership and delinquent involvement and whether this varies by gender.
Collins, Geneva. "Fighting Gangs: Strategic Targeting Vs. Kitchen Sink Model." Community Links (August 2004): pp. 11-13.
Abstract: In L.A. where gangs are so pervasive, the police department has formed gang impact teams to manage investigations. It gives the teams autonomy to address neighborhood gang problems as they see fit. In contrast to the Loudoun County approach--cross jurisdictional partnerships, preventive measures at schools, more teeth in state legislation . "The kitchen sink model. "Let's throw everything we've got at them.'" Gang size, ethnicity, and mobility help police evaluate thr type of violence and crime these groups will likely take up.
Covey, Herbert C. Street Gangs Throughout the World. Springfield, IL: Charles C. Thomas, 2003. Call Number: HV 637.C68 2003
Abstract: This book attempts to summarize much of the research being conducted in many other countries throughout the world where the gang phenomenon is currently developing.
Curry, G. David and et al. "Gang Involvement and Delinquency in a Middle School Population." Justice Quarterly (June 2002): pp. 275-93.
Abstract: The relationship between self-reported gang involvement and self-reported delinquency has been confirmed in a number of studies. However, there have been fewer studies of the relationship between self-reported gang involvement and officially recorded delinquency. This article examines variation in self-reported gang involvement, operationalized as three distinct catergories--no involvement, gang involvement but not membership, and gang membership--and its relation to both self-reported and officially recorded delinquency for a population of middle school youths.
Curry, G. David and Scott H. Decker. Confronting Gangs: Crime and Community. Los Angeles, CA: Roxbury, 2003. Call Number: HV 6439.U5C85 2003
Abstract: focuses on such topics as, number and nature of gangs, the link between gangs and delinquency, female gangs and gang intervention strategy.
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Davis, Brandon et al. "Moving at Their Own Risk." The Chicago Reporter (July/August 2004): pp.8-17. Notes: Available full-text on Infotrac
Abstract: The redevelopment of public housing creates new dangers. The demolition of high-rises has squeezed many competing street gangs and drug dealers into tighter spaces in public housing, often with violent results. At the same time, the relocation process has stirred up territorial diaputes, pitting young men with established gang and drug connections against residents from public housing, where different networks controlled the illegal drug market.
Dimitriadis, Greg. Friendship, Cliques, and Gangs. New York: Teachers College Press, 2003. Call Number: HQ 797.D548 2003
Abstract: Focuses on the importance of "non-traditional" learning settings in the lives of disenfranchised youth, including the complexities of friendships and social networks, the role institutions outside of school play in the development, and the influence of older community mentors.
Domash, Shelly Feuer. "America's Most Dangerous Gang." Police (February 2005): pp. 30-34.
Abstract: Spreading from El Salvador to L.A. and across the United States, Mara Salvatrucha 13 is increasingly well organized and deadly. While the nation focuses on terrorism, the issue of gang violence has taken a lower priority. But to many, the violent acts of MS-13 members are more of an everyday threat that is being overlooked.
```
________. "Under Siege." Police (January 2003): pp. 24, 26-27.
```
Abstract: Hempstead NY's police force copes with a daily influx of commuters and nightly gatherings of unruly youths, drug dealers and violent gangs. Policing this diverse community often seems an impossible task, one that is filled with danger for the officers.
Duffy, Maureen P. and eds. Scott Edward Gillig. Teen Gangs: A Global View. Westport, CT: Greenwood Press, 2004. Call Number: HV 6437.T44 2004
Abstract: Gang activity in 14 countries, including the United States, is discussed within the larger framework of social and economic conditions. Each chapter explains the nature of the gang activity in that country; touches on the causes, such as poverty, marginalization, and self-identity problems; and heavily emphasizes the responses, including education and community-based intervention.
Esbensen, Finn-Aage et al. "Youth Gangs and Definitional Issues: When Is a Gang a Gang, and Why Does It Matter?" Crime and Delinquency (January 2001): pp. 105-31.
Abstract: Utilizes a sample of approximately 6,000 middle-school students to examine the youth gang phenomenon using five increasingly restrictive membership definitions. The least restrictive definition includes all youth who claim gang membership at some point in time.
Griffin, Melody and Mike Meachem. "Gangs in Schools: An Introduction to the Problem and Interventions." Annals of the American Psychotherapy Association (July/August 2002): pp. 15-19.
Notes: Available full-text on infotrac
Abstract: Addresses the problems of gang activity in secondary schools. Descriptions of major gangs are included, as well as interventions that are currently being used to combat this growing problem. The problem reaches well beyond the school to the community and has ramifications nationally and internationally.
Katz, Charles M. "The Establishment of a Police Gang Unit: An Examination of Organizational and Environmental Factors." Criminology (February 2001): pp. 37-73.
Abstract: Using a multimethodological research design, Katz examines the factors that shaped a Midwestern police department's response to its community's gang problem. The results lend support for the institutional perspective.
Kontos, Louis, et al, [eds.]. Gangs and Society. New York: Columbia University Press, 2003. Call Number: HV 6439.U5G3598 2003
Abstract: This collection will show throughout that the complexity of gangs mirrors the complexity of the communities in which they are found.
Langston, Mike. "Addressing the Need for a Uniform Definition of Gang-Involved Crime." FBI Law Enforcement Bulletin (February 2003): pp. 7-11.
Abstract: A key issue in combating youth gangs is providing a uniform definition of them, distinguishing them from troublesome youth groups and adult criminal organizations.
Lemmer, Thomas J. and Rachel M. Johnston. "Reducing Crime Through Juvenile Delinquency Intervention." Police Chief (May 2004): pp. 38 +.
Abstract: The opening of Chicago's first juvenile intervention and support center marks a major turning point that builds upon the Juvenile Gang Intervention Partnership Program, which was first introduced in December 1999 by the Chicago Police Department. Lemmer and Johnston discuss this project, lessons learned and its future direction.
Miller, Jody. One of the Guys: Girls, Gangs, and Gender. New York: Oxford University Press, 2001. Call Number: HV 9104.M546 2001
Abstract: Examines the causes, nature, and meaning of female gang involvement. How and why girls join gangs and how gang involvement shapes girl's participation in delinquency and their risk of victiminization.
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Miranda, Marie. Homegirls . Austin, TX: University of Texas Press, 2003.
Call Number: HV 6439.U7O195 2003
Abstract: The author sheds new light on the politics of gang representation and ethnography, on how inner-city adolescent Chicanas present themselves to various publics, and on how Chicana gangs actually function.
National Drug Intelligence Center. Evolving Role of Outlaw Motorcycle Gangs. Johnstown, PA: National Drug Intelligence Center, 2000. Call Number: HV 6488.E96 2000 Notes: For Official Use Only
Abstract: Outlaw motorcycle gangs are a significant factor in the methamphetamine problem in the United States. Methamphetamine manufacturing and distribution are major sources of income for outlaw motorcycle gangs in at least 47 states. These large, sophisticated criminal organizations are actively increasing membership, changing alliances, and expanding activities both in the United States and abroad. Outlaw motorcycle gang activity will likely contribute to an expansion of methamphetamine operations in the United States.
Petersen, Rebecca D. Understanding Contemporary Gangs in America. Upper Saddle River, NJ: Prentice Hall, 2004. Call Number: HV 6439.U5U53 2004
Abstract: Offers a diversity of gang topics and issues including: understanding and defining gangs; gender issues; race and ethnicity; gangs in prisons and schools; and prevention and intervention programs and policies.
Peterson, Dana, et al. "Gang Membership and Violent Victimization." Justice Quarterly (December 2004): pp. 793-815.
Abstract: Examines the relationship between youth gang membership and violent victimization in a general sample of adolescents.
Schreck, Christopher J., et al. "The Social Context of Violent Victimization: A Study of the Delinquent Peer Effect." Justice Quarterly (March 2004): pp. 23-47.
Abstract: Haynie's (2001) work on the structural dimensions fo peer networks demonstrated how the characteristics of networks may influence individual delinquent behavior. This study extends the network approach to the prediction of violent victimization. The findings indicate that central and popular members of dense conventional groups experienced lower levels of violent victimization, while the opposite was true of similarly situated members of delinquent networks. Implications for victimization and research related to the specification of how delinquent peer associations promote vulnerability are discussed.
Sheehy, Robert D. and Efrain A. Rosario. "Connecting Drug Paraphernalia to Drug Gangs." FBI Law Enforcement Bulletin (February 2003): pp. 1-6.
Abstract: The connection between drug paraphernalia and drug gangs can aid law enforcement agencies in the battle against drug distribution.
Straka, Richard. "The Violence of Hmong Gangs and the Crime of Rape." FBI Law Enforcement Bulletin (February 2003): pp. 12-16.
Abstract: Throughout the US, the number of Hmong gangs and the level of their criminal activity is increasing in severity. The crime of rape , with its violent nature, its strong incorporation into the gang's operational structure, and the serious implications for the victim and the overall Hmong community, represents a particular concern to the law enforcement profession and requires a special focus to find ways of decreasing its occurence.
Valdez, Al. "Biker Gangs: Crime on Wheels." Police (January 2001): pp. 46-48.
Abstract: Outlaw motorcycle gangs have become profilic traders in the drug market. Current estimates indicate that between the US and Canada there are more than 1,000 motorcycle gangs. In the motorcycle gang subculture, certain trends have allowed the gangs to sell and distribute methamphetamine nationally.
________. Gangs: A Guide to Understanding Street Gangs. San Clemente, CA: Law Tech, 2000.
Call Number: HV 6437.V35 2000
Abstract: Presents a system which can be used to examine all types of gangs by noting gang profiles. Not all gangs have the same profile characteristics, nor is the number of characteristics present the determining factor on whether or not a person is a gang member. The profile system is a guide in aiding in the diagnosis of gang activity and membership. This book provides information on the history, progression and activities of street and prison gangs.
Valdez, Al. "How a Group Becomes a Gang." Police (January 2002): pp. 58-60.
Abstract: Valdez discusses how a group becomes a gang. Some street gangs form from a small group of friends, and all too often, a gang influence is introduced into the gruoup that convinces its members to participate in criminal activity.
Valentine, Bill. Gangs and Their Tattoos. Boulder, CO: Paladin Press, 2000. Call Number: HV 6439.U5V355 2000 Abstract: Of all the identifiers used to verify gang membership, tattoos are perhaps the most pervasive and reliable. Not only are they relatively permanent, but they convey a wealth of information about the wearer. Used extensively by gangbangers to announce gang affiliation, tattoos can also denote an individual's rank in the particular gang, his criminal expertise, and , in some cases, specifics such as the number of hits he's performed in service to the gang.
Wood, John. "Hell's Angels and the Illusion of the Counterculture." The Journal of Popular Culture vol. 37, no.
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2(2003): pp. 336-51. Notes: Available full text on Infotrac
Abstract: Describes the decade-long love affair between America counterculture and the Hell's Angels and its abrupt end. Gives a brief history of the establishment of the Hell's Angels.
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Scope
AlfaPeople has localized Microsoft Dynamics 365 FINANCE AND OPERATIONS to comply with the tax requirements of over 12 countries in Latin America. One of them is Peru, to comply with SUNAT regulations (Superintendencia Nacional de Aduanas y Administración Tributaria or National Superintendency of Customs and Tax Administration). The different functionalities defined in the localization for Peru are divided into general and reporting functionalities. In addition, specific characteristics were included for each module. This localization can be used in all private sector companies.
Architecture
The implementation base of the Peru version is constructed under ISV certification parameters established by Microsoft. Functionality includes the following: implementation of privileges; duties; entities; electronic reports for payments; use of LCS (Life Circle Services) tools, such as BPM (Business Process Management), Asset Library and an implementation methodology, among others.
The management approach used is like the one Microsoft has for regionalizations and it can also be activated through a configuration. Activation per company or legal entity lies in making a country association, allowing the tools to fully coexist with other localizations, including ones built by Microsoft.
The available functionalities of the Peru Version localization for the version in question are listed below. In addition, functionalities that will be available for an upcoming version are also listed
Functionalities Included in the Current Scope
| Classification of Characteristics | Description | Improvement – Optimization |
|---|---|---|
| Regulatory | Administration of Sheet Numbers and Correlative Actions | The following processes are included in administration: Physical site Correlative Correlative actions Types of Legal Documents Types of Company Documents |
of financial
| Regulatory | Accounts Payable, Supplier identification | The following processes are included in the accounts payable functionalities: Identification Number Verification Digit Type of ID document Automatic creation of financial dimension | Accounts Payable: Suppliers master list Supplier parameters Corporate Relations |
|---|---|---|---|
| Regulatory | Accounts Receivable module process | The following processes are incorporated in the accounts receivable module: Billing from sales orders Billing of Services Billing from Projects Sales Waybills. Document editing | Sales orders Billing of services Projects (Required Items, Item Tasks, Invoice Proposal) Accounting Logs (Document Editing) |
| Regulatory | Accounts Payable module process | The following processes are incorporated in the accounts payable module: Billing from Purchase Orders Invoice Logs Invoice Registry Logs Document editing | Invoice Logs Invoice Registry Logs Accounting Logs Purchase Orders Expense Journal (Project) |
| Regulatory | Waybill for Transfers | Generating waybills when making transfers between warehouses | Transfer Orders (Inventory Management) |
| Regulatory | Document Duplicity Control | Allows you to enter the same document number, but with a different type of document | Invoices Logs General Logs Purchase Order Invoice Registry |
| Regulatory | Exchange Adjustment | Used to revalue using an exchange rate determined by the company. | Supplier Exchange Adjustment Customer Exchange Adjustment Accounting Exchange Adjustment |
| Regulatory | Withholdings | This functionality is applied in order for the system to automatically calculate a 3% withholding. Withholdings certificate. | Payment Logs Printing of withholdings certificate. |
| Regulatory | Discounts | This functionality is applied in order for the system to automatically calculate discounts when a purchase document is input. In addition, it allows the payment of | Invoice Logs Invoice Registry Logs Accounting Logs Purchase Orders Supplier Payment Logs |
the discount,
Discount Query
| Regulatory | Configuration of Sunat Parameters | Configuration of the Sunat codes required in transactions in order for them to then be reflected in printed and electronic reports |
|---|---|---|
| Regulatory | Sunat Report: 3.2 Cash and Banks | Report that shows information regarding Cash and Bank accounts (the account must be previously configured) |
| Regulatory | Sunat Report: 3.3 Clients | Report that shows information regarding the Clients account per year (the account must be previously configured) |
| Regulatory | Sunat Report: 3.4 Accounts Receivable from Shareholders | Report that shows information regarding accounts receivable from shareholders per year (the account must be previously configured) |
| Regulatory | Sunat Report: 3.5 Accounts Receivable, Miscellaneous | Report that shows information regarding miscellaneous accounts receivable per year (the account must be previously configured) |
| Regulatory | Sunat Report: 3.7 Merchandise, Finished Products | Report that shows information regarding the Merchandise and Finished Product account per year (the account must be previously configured) |
| Regulatory | Sunat Report: 3.11 Payroll Payable | Report that shows payroll information per year (the account must be previously configured) |
| Regulatory | Sunat Report: 3.12 Suppliers | Report that shows supplier information per year (the account must be previously configured) |
| Regulatory | Sunat Report: 3.13 Accounts Payable, Miscellaneous | Report that shows accounts payable information per year (the account must be previously configured) |
per year (the account
| Regulatory | Sunat Report: 3.15 Deferred Profit | Report that shows information regarding the deferred profit account per year (the account must be previously configured) |
|---|---|---|
| Regulatory | Sunat Report: 8.1 Purchases Registry | Purchase Ledger, which shows all of the purchase documents that have been entered per month. |
| Regulatory | Sunat Report: 14.1 Sales Registry | Sales Ledger, which shows all of the sales documents that have been entered per month. |
| Regulatory | Sunat Report: 5.1 Daily Ledger (Daybook) | Daily ledger where the company’s day-to-day economic activity is compiled. |
| Regulatory | Sunat Report: 6.1 General Ledger | General Ledger where groupings are made per accounting account |
| Regulatory | Sunat Report: 3.17 Inventory and Balances Ledger: Verification Balance | Report that shows the balance of all of the accounting accounts used during the year (the account must be previously configured) |
| Regulatory | Electronic File – 4.1 Withholding Agents | Electronic Withholdings Report that displays all of the withholdings generated per month |
| Regulatory | Electronic File – Reports Daily Ledger (Daybook): 5.1 Daily Ledger (daybook) 5.2 Daily Ledger, simplified format 5.3 Daily Ledger – Details regarding the used Accounting Plan 5.4 Daily Ledger, simplified format - Used Accounting Plan | Electronic Daily Ledger Report, a TXT file is generated with the daily transactions. Electronic Daily Ledger Report with accounting plan, a TXT file is generated with the accounts used by the company. |
| Regulatory | Electronic File – 6.1 General Ledger | Electronic General Ledger Report, a TXT file is generated with the input information. |
| Regulatory | Electronic File – Purchases Registry: 8.1 Purchases Registry 8.2 Purchases Registry – Non-domiciled | Electronic Purchases Registry Reports, a TXT file is generated with the purchase transactions that were input monthly. |
subjects
8.3 Simplified
Purchases
| Regulatory | Electronic File –Sales Registry: 14.1 Sales and Income Registry 14.2 Simplified Sales Registry | Electronic Sales Registry Reports, a TXT file is generated with the information that was input monthly. |
|---|---|---|
| Regulatory | Electronic File – 3.17 Inventory and Balances Ledger: Verification Balance | Electronic Verification Balance Report, a TXT file is generated with the balances of all the accounts used during the month. |
| Regulatory | Electronic File – 13.1 Registry of Perpetual Valued Inventory | Electronic Perpetual Valued Inventory Report, a TXT file is generated with the inventory transactions |
| Regulatory | Electronic File – Fixed Assets: 7.1 – Fixed Assets Registry – Detailed Data regarding Revaluated Fixed Assets 7.3 - Fixed Assets Registry – Detailed Data regarding Exchange Differences 7.4 - Fixed Assets Registry - Detailed Data regarding Fixed Assets under the Financial Leasing Method | Electronic Fixed Assets Report, a TXT file is generated with the fixed asset transactions input during the year. |
| Regulatory | Electronic File –Cash and Bank Movement: 1.1 Detailed Data regarding cash movements 1.2 Detailed Data regarding current account movements 3.2 Detailed Data regarding Cash and Bank balances | Electronic Cash and Bank Movement Reports, a TXT file is generated with the transactions that were input monthly |
| Regulatory | Sunat Report: Fees Receipt | Fees Ledger. It shows all of the fees documents |
that have been entered of Fees
| Regulatory | Electronic Billing | Configuration of General Parameters for Electronic Billing Configuration of Maintainers The Electronic Billing documents are: Sales Invoices Service Invoices Sales Credit Note Sales Debit Note Dispatch Waybills Dispatch Waybills Transferences Invoices from Projects Credit Note from Projects Debit Note from Projects Inventory Movement Logs Mandatory default references in sales Mandatory references in Purchases | Sales Orders Service Invoices Project Invoices Inventory Logs Transfer Orders |
|---|---|---|---|
| Regulatory | 4.1 Printed Withholdings Ledger | Printed Withholdings Report that displays all of the withholdings generated per month | Accounting: Peru Version > Withholdings Reporting |
| Regulatory | Electronic File– Accounting Reports: 3.3 Accounts Receivable (Clients) 3.4 Accounts Receivable, Shareholders 3.5 Accounts Receivable, Miscellaneous 3.6 Collection Estimate. 3.7 Detailed information regarding the Merchandise and Finished Product account balances. 3.8 Non-Property Investments 3.9 Intangibles 3.11 Payroll Payable 3.12 Accounts Payable (Suppliers) 3.13 Accounts Payable, Miscellaneous 3.14 Social Benefits 3.15 Deferred Assets and Deferred Liabilities | Electronic Reports, a TXT file is generated with the transactions input monthly | Accounting: Peru Version > Electronic Reporting of: Accounts Receivable Accounts Receivable, Shareholders Accounts Receivable Miscellaneous Collection Estimate Detailed data of Merchandise Account Balance Non-property investments Intangibles Payroll Payable Accounts Payable Accounts Payable Miscellaneous |
Social Benefits
| Regulatory | Electronic File – 9.1 Consignations- Consigner 9.2 Consignations- Consignee | Electronic Reports, a TXT file is generated with the received or delivered consignment transactions. This is a monthly report. | |
|---|---|---|---|
| Regulatory | Electronic File 12.1 Detailed information regarding Perpetual Valued Inventory | Electronic Reports, a TXT file is generated with the input inventory transactions. This is a monthly report | |
| Regulatory | Electronic File- Financial Reports. 3.1 Statement of Financial Position 3.16.1 Detailed data regarding the balance of account 50 3.16.2 Shareholding structure of social shares 3.18 Cash flow statement, direct method 3.20 Statement of Income 3.24 Comprehensive Statement of Income 3.25 Cash flow statement, indirect method | Electronic Report, a TXT file is generated with the balances of the accounts previously configured in the financial catalogues. This is a monthly report Electronic Report, a TXT file is generated with the transactions previously input in the Maintainers, Account 50 Balance and Shareholding | Accounting: Peru |
| | | | Version > Electronic |
| | | | Reporting of: |
| | | | Statement of |
| | | | Financial Position |
| | | | Cash flow |
| | | | statement, direct |
| | | | method |
| | | | Statement of |
| | | | Income |
| | | | Comprehensive |
| | | | Statement of |
| | | | Income |
| | | | Cash flow |
| | | | statement, direct |
| | | | method |
| | | | Detailed data |
| | | | regarding the |
| | | | balance of |
| | | | Account 50 |
| | | | Shareholding |
| AlfaPeople Added Value Services | Documentation and Version Control | List of Scope Functionalities Peru Version | |
| AlfaPeople Added Value Services | Inventory Management | Configuration of Items Groups. Configuration of Inventory Concepts. Configuration of Log Names. | |
| AlfaPeople Added Value Services | Logs Reversal | Optimizes the log reversal process by opening settled transactions, thus automating some standard functionalities. | |
| AlfaPeople Added | Changing of Purchase | Allows the number of the | |
| Value Services | Document Number and Type | invoice to be changed in case of a typing error. |
|---|---|---|
| AlfaPeople Added Value Services | Exchange rate for document date. | In invoice ledgers, the exchange rate is selected from the document date, not from the registry. |
| AlfaPeople Added Value Services | Exchange Adjustment Simulation | A revaluation simulation is carried out to review profit/loss and then register them. |
| AlfaPeople Added Value Services | Customs Codes | Maintains customs agencies with their respective SUNAT codes |
| AlfaPeople Added Value Services | Purchase Invoice Format | Configuration of purchase invoice numerical sequence format |
| AlfaPeople Added Value Services | Reassign check number | Allows a check to be generated with a previously used number. |
| AlfaPeople Added Value Services | Transfer waybill for inventory | Issuing of shipping waybills based on the output direction of the logs |
Product Scope on demand
| Classification of Characteristics | Description | Improvement – Optimization |
|---|---|---|
| Regulatory | Sunat Reports: 7.1 Fixed Assets Registry | Printed report that contains the information associated to the company’s fixed assets |
| Regulatory | Electronic File – Discounts | Electronic Discounts Report |
| Regulatory | IGV perceptions registry | Perceptions registry |
| Regulatory | Electronic file - PDT 697 – Monthly Perception Statement | Electronic Perceptions Report |
| Regulatory | Electronic File- Expenses ledger 10.1 Expenses Registry- Monthly expense items | Electronic Expense Report |
Note: The functionalities incorporated herein are built under a standard version of the Dynamics 365 for Operations product, for the Peru AP version. In order to be implemented, a code review is required (Merge Code) in the Customer's environment, along with a testing plan. Implementation activities are not considered within the scope and release of product updates.
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CITY OF WAHOO, NEBRASKA COMBINED MUNICIPAL UTILITIES FUND
Financial Statements December 31, 2016 and 2015
CITY OF WAHOO, NEBRASKA COMBINED MUNICIPAL UTILITIES FUND December 31, 2016 and 2015 Table of Contents
Independent Auditor's Report
The Honorable Mayor and City Council City of Wahoo Combined Municipal Utilities Fund Wahoo, Nebraska
We have audited the accompanying financial statements of the business type activities of the City of Wahoo, Nebraska, Combined Municipal Utilities Fund, as of and for the years ended December 31, 2016 and 2015, and the related notes to the financial statements as listed in the table of contents.
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 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 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 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 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 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 respective financial position of the business type activities of the City of Wahoo, Nebraska, Combined Municipal Utilities Fund, as of December 31, 2016 and 2015, and the respective changes in its financial position and cash flows thereof for the years then ended in accordance with accounting principles generally accepted in the United States of America.
Emphasis of Matter
As discussed in Note 1, the financial statements present only the Combined Municipal Utilities Fund and do not purport to, and do not present fairly the financial position of the City of Wahoo, Nebraska, as of December 31, 2016 and 2015, the changes in its financial position, or, where applicable, its cash flows for the years then ended in accordance with accounting principles generally accepted in the United States of America. Our opinion is not modified with respect to this matter.
1
Fax: 402.483.5198 Email: email@example.com
Other Matters
Required Supplementary Information
Management has omitted Management's Discussion and Analysis that accounting principles generally accepted in the United States of America require to be presented to supplement the basic financial statements. Such missing information, although not part of the basic financial statements, is required by the Governmental Accounting Standards Board who considers it to be an essential part of financial reporting for placing the basic financial statements in an appropriate operational, economic, or historical context. Our opinion on the basic financial statements is not affected by this missing information.
Other Information
Our audits were conducted for the purpose of forming an opinion on the financial statements of the City of Wahoo, Nebraska, Combined Municipal Utilities Fund, taken as a whole. The other information as listed in the table of contents is presented for purposes of additional analysis and is not a required part of the basic financial statements. This information has not been subjected to the auditing procedures applied in the audits of the basic financial statements and, and accordingly, we do not express an opinion or provide any assurance on them.
Other Reporting Required by Government Auditing Standards
In accordance with Government Auditing Standards, we have also issued our report dated May 2, 2017, on our consideration of the City of Wahoo, Nebraska, Combined Municipal Utilities Fund's internal control over financial reporting and on our tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements and other matters. The purpose of that report is to describe the scope of our testing of internal control over financial reporting and compliance and the results of that testing, and not to provide an opinion on the internal control over financial reporting or on compliance. That report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the City of Wahoo, Nebraska, Combined Municipal Utilities Fund's internal control over financial reporting and compliance.
BMG Certified Public Accountants, LLP
Lincoln, Nebraska
May 2, 2017
CITY OF WAHOO, NEBRASKA COMBINED MUNICIPAL UTILITIES FUND STATEMENTS OF NET POSITION
December 31, 2016 and 2015
CITY OF WAHOO, NEBRASKA COMBINED MUNICIPAL UTILITIES FUND STATEMENTS OF REVENUES AND EXPENSES For the Years Ended December 31, 2016 and 2015
CITY OF WAHOO, NEBRASKA COMBINED MUNICIPAL UTILITIES FUND STATEMENTS OF CHANGES IN NET POSITION For the Years Ended December 31, 2016 and 2015
CITY OF WAHOO, NEBRASKA
For The Years Ended December 31, 2016 and 2015
COMBINED MUNICIPAL UTILITIES FUND STATEMENTS OF CASH FLOWS
CITY OF WAHOO, NEBRASKA COMBINED MUNICIPAL UTILITIES FUND STATEMENTS OF CASH FLOWS For The Years Ended December 31, 2016 and 2015
NOTE 1:
SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES
The City's municipal utilities operate under the direction of the Mayor, the City Council, and the Board of Public Works. The revenues are predominately earned from sales and service of electricity, water, sewer, and gas to residential and commercial customers within the City of Wahoo and other nearby communities. The City Council, as required by City Charter, reserves authority to set rates and charges, to adopt the annual budget, and to incur debt.
The Combined Municipal Utilities Fund represents a major fund of the City of Wahoo. As such, the accompanying financial statements present only the Combined Municipal Utilities Fund and do not purport to, and do not present the financial position of the City of Wahoo, Nebraska, the changes in its financial position, or, where applicable, its cash flows in accordance with accounting principles generally accepted in the United States of America.
The Utilities' financial statements are prepared in accordance with generally accepted accounting principles (GAAP). The Governmental Accounting Standards Board (GASB) is responsible for establishing GAAP for state and local governments through its pronouncements (Statements and Interpretations). Additional significant accounting policies established by GAAP and used by the Utilities are discussed below.
This summary of significant accounting policies of the City of Wahoo is presented to assist in understanding the Utilities' financial statements. The financial statements and notes are representations of the Utilities' management, which is responsible for their integrity and objectivity. The following is a summary of the more significant policies:
Scope of Reporting Entity: In evaluating how to define the government, for financial reporting purposes, management has considered all potential component units. The basic, but not the only, criterion for including a potential component unit within the reporting entity is the governing body's ability to exercise oversight responsibility. The ability to exercise oversight responsibility includes, but is not limited to, the selection of governing authority, the designation of management, the ability to significantly influence operations, and accountability for fiscal matters. A second criterion used to evaluate potential component units for inclusion or exclusion from the reporting entity is the existence of special financing relationships, regardless of whether the government is able to exercise oversight responsibilities. The Utilities has determined it has no component units.
Basis of Accounting: The financial statements are prepared using the accrual basis of accounting. Under this method, revenues are recorded when earned and expenses are recorded at the time liabilities are incurred.
Cash and Investments: Investments are reported at fair value except for short-term investments, which are reported at amortized cost, which approximates fair value. Securities traded on a national exchange are valued at the last reported sales price. Investments that do not have an established market are reported at estimated fair value, based on relevant market information of similar financial instruments. Investments are held by the Utilities with income from the investments allocated to each individual department.
Statutes authorize the Utilities to invest in certificates of deposit, in time deposits, in obligations of the United States Government, and in any securities in which the state investment officer is authorized to invest pursuant to the Nebraska State Funds Investment Act and as provided in the
authorized investment guidelines of the Nebraska Investment Council in effect on the date the investment is made. The Utilities' has no investment policy that would further limit its investment choices.
For the security of the funds deposited, the Utilities shall require the financial institution to give security by furnishing securities or providing a deposit guaranty bond, provided that the sum of said bond or the sum of said pledge of assets shall be the value equal to or greater than the amount of the deposit in excess of that portion of said deposit insured by the Federal Deposit Insurance Corporation (FDIC) or Securities Investor Protection Corporation (SIPC).
Concentration of Credit Risk: The Utilities have uncollateralized receivables from businesses and individuals in the City for charges for service provided.
Bad Debts: The Department of Utilities uses the reserve method in accounting for bad debts. The allowance for bad debts was $9,586 at December 31, 2016 and 2015.
Inventories: Inventories are stated at lower of cost or market on a first-in, first-out basis.
Use of Estimates: The preparation of financial statements in conformity with generally accepted accounting principles requires management to make estimates and assumptions that affect certain reports amounts and disclosures. Accordingly, actual results could differ from those estimates.
Capital Assets: Property and equipment is stated at historical cost at the time of purchase or at estimated fair value at time of donation. The Utilities' policy is to capitalize interest on proprietary funds and construction projects until substantially completed. Major expenditures for property and those that substantially increase useful lives are capitalized. Maintenance, repairs, and minor renewals are expensed when incurred. When capital assets are retired, or otherwise disposed of, their costs and related accumulated depreciation are removed from the accounts and resulting gains or losses are included in income.
Depreciation and Amortization: Depreciation of all exhaustible fixed assets and amortization of debt expenses is charged as an expense against operations. Accumulated amortization has been provided over the length of the corresponding intangible asset using the straight-line method. Depreciation has been provided over the estimated useful lives using the straight-line method. The estimated useful lives are as follows:
Compensated Absences: City employees earn vacation at varying rates. All accumulated vacation time is paid to the employee upon termination. The amounts of unpaid vacation and compensatory time accumulated by City employees are accrued as expenses when incurred in proprietary funds, which use the accrual basis of accounting. City employees also earn sick leave at varying rates. Unused sick leave is forfeited upon termination unless the employee meets certain age and years of
service requirements. Amounts of unpaid sick leave are accrued when an employee is within three years of meeting both requirements.
Cash Equivalents: For purposes of the statement of cash flows, the City considers all highly liquid debt instruments (including restricted assets) purchased with a maturity date of three months or less to be cash equivalents.
Contributions In Aid Of Construction: New water and sewage systems purchased by subcontractors, government grants, etc., that become property of the Department of Utilities are added to the utility plant accounts at cost. The offsetting amount is credited to contributions in aid of construction.
Unbilled Utility Revenues: Consumer usage is billed on a monthly cycle basis in the utility funds. Unbilled revenues, representing estimated consumer usage for the periods between the last billing dates and the balance sheet date, are accrued in the period of consumption.
Operating Revenues and Expenses: Operating revenues are those revenues that are generated directly from the primary activity of the proprietary funds. For the Utilities, these revenues are charges for services for electric, sewer, water, and gas utility services. Operating expenses are necessary costs that have been incurred in order to provide the good or service that is the primary activity of the fund.
Non-operating revenues and expenses consist of those revenues and expenses that are related to financing and investing type of activities.
Expenses by Identifiable Activities:
As of December 31, 2016 and 2015, the City served approximately 7,653 and 7,601 combined utility customers, respectively.
Insurance: The City is a member of the League Association of Risk Management (LARM), which is an interlocal agency that pools together Nebraska municipalities for the ability to jointly self-insure or jointly purchase insurance coverage. There have been no significant reductions in insurance coverage and settlement amounts have not exceeded insurance coverage for the current year. The City's insurance plan covers worker's compensation insurance, as well as property/casualty insurance. The plan costs $114,493 and is set to expire on September 30, 2017.
Goodwill: Goodwill represents the excess of cost over net assets of the gas system that was acquired in 1999 and the cost of the acquisition in 2010 of the right to service an area in northern Wahoo. The original goodwill in the amount of $230,000 is fully amortized. The 2010 acquisition is not required to be amortized.
Interfund Transfers: During the course of normal operations the Utilities has numerous transactions between departments, including expenditures and transfers of resources to provide services, construct assets, and service debt.
Fund Equity: Restricted Net Position — Certain assets are restricted for construction that is being funded with long-term debt and therefore, there are no net restricted assets for these amounts. Assets restricted for the payment of non-current debt service are offset by long-term debt and therefore, there are no restricted assets for these amounts. Assets restricted for the payment of current debt service are included as restricted net position.
Use of Restricted/Unrestricted Net Position: When an expense is incurred for purposes for which both restricted and unrestricted net assets are available, the Utilities' policy is to apply restricted net assets first.
Subsequent Events: Subsequent events have been evaluated through May 2, 2017, which is the date the financial statements were available to be issued.
NOTE 2:
CASH AND INVESTMENTS
Cash:
The Utilities maintain a cash management pool that is available for use by all departments.
At December 31, 2016 and 2015, the Utilities' cash balances consist of:
2016
2015
The above deposits and certificates of deposit are displayed in the December 31, 2016 and 2015, financial statements as follows:
At December 31, 2016, the Utilities' deposits were fully insured or collateralized by the FDIC, U.S. Government securities subject to joint safeguarding receipts issued by the pledging financial institution, and irrevocable letters of credit. No attorney's opinion has been obtained regarding the enforceability of claims that might arise under the custodial agreement.
Investments:
The Utilities' had the following investments, maturities and credit ratings:
December 31, 2016
The Utilities' investments are fully insured by the SIPC and commercial insurance purchased by the brokerage company.
NOTE 3: RESTRICTED ASSETS
The Department of Utilities requires customers to make deposits to insure against nonpayment of billings and/or property damage. Because the deposit remains the property of the customer, the City has established restricted accounts to distinguish these assets from current assets available for operations.
City ordinances authorizing the issuance of revenue bonds required the establishment of certain reserve accounts to provide for the payment of annual principal and interest, prevent default of principal and interest payments and provide for future replacements of property, plant and equipment.
Restricted balances as of December 31, 2016 and 2015 consisted of the following:
The composition of restricted assets is included in the disclosure at Note 2.
NOTE 4: CAPITAL ASSETS
Capital asset activity for the years ended December 31, 2016 and 2015 were as follows:
Public Works
NOTE 5: LONG-TERM LIABILITIES
Long-term liability activity for the years ended December 31, 2016 and 2015 were as follows:
Bonds payable are comprised of the following individual issues as of December 31:
Revenue Bonds:
The annual requirements to amortize all bonded debt outstanding as of December 31, including interest are as follows:
Interest expense for the years ended December 31, 2016 and 2015 was $100,938 and $103,648.
The City of Wahoo signed a loan contract with the NDEQ on December 29, 2009. The maximum amount of the loan was $407,190 and the balance as of December 31, 2016 was $205,475. The interest rate on the loan is 2.00%. The administrative fee is 1% per annum of the loan amount. Principal, interest and administrative fee payments are due semiannually on December 15 and June 15. The principal and interest payments are $9,120 semi-annually and the administrative fee is based on the outstanding loan balance. The final payment is due December 15, 2030.
All payments of principal and interest due on the NDEQ loan shall be limited obligations of the City of Wahoo payable solely out of the Combined Utilities User Charge on a parity with revenue bonds issued pursuant to ordinances approved by the City of Wahoo's City Council.
At December 31, 2016, the annual requirements for the loan with the NDEQ is as follows:
Year Ending December 31,
Principal
Interest
NOTE 6: RETIREMENT PLAN
The Utilities provides retirement benefits for full-time employees through a contributory defined contribution plan, the City of Wahoo, Nebraska 457(B) Plan. Employees are eligible to participate upon attaining certain age and service requirements. Participant contributions are limited by Internal Revenue regulations. The Utilities match employee contributions, up to a maximum of 6% of annual compensation. Participant contributions are fully vested, while Utilities' contributions vest over a period from two to six years of service. Forfeitures may be made available to reinstate previously forfeited account balances of participants and any remaining forfeitures may be used to satisfy any contribution that may be required by the Utilities or to pay administrative expenses. Beginning in 2011, employees were able to make contributions to a 457 plan and Roth retirement plan. The Utilities is not required to match any amount to the 457 or Roth employee contributions.
Contributions to the 457(B) plan were $133,334 for the year ended December 31, 2016, and consisted of $66,667 by the Utilities and $66,667 by employees. Contributions to the 457(B) plan were $139,268 for the year ended December 31, 2015, and consisted of $69,634 by the Utilities and $69,634 by employees. Contributions by employees to the Roth retirement plan for the year ended December 31, 2016 and 2015 were $9,498 and $8,817 respectively. No contributions were made to the 457 plan.
NOTE 7: OTHER POST EMPLOYMENT BENEFITS
The Utilities do not have a plan to provide other post employment benefits to past employees, beneficiaries or dependents.
NOTE 8: CONTRACTS
Electric: The Utilities have two twenty-year power contracts dated January 1, 2002, with Nebraska Public Power District (NPPD) for the purchase of electricity from NPPD and the sale of electricity to NPPD. The contracts require the Utilities to produce and sell electricity to NPPD on an "as needed" basis, as well as allow the Utilities to purchase electricity from NPPD under specified rates and terms.
In December 2015, the Utilities signed two new twenty-year power contracts with NPPD each effective January 1, 2016. These contracts replace the power contracts noted above.
Gas: The Utilities have a five-year contract dated December 18, 2013, with Clayton Energy for assistance in gas transportation and commodity purchasing. The contract requires Clayton Energy to assist the Utilities with the quantities and calls for a monthly payment of $1,650 to Clayton Energy for the services provided. This contract is effective January 1, 2014 and is set to automatically renew annually after the initial five year period unless terminated by either party.
NOTE 9: OTHER COMMITMENTS
Gas Purchase Agreement: On September 27, 2007, the Utilities entered into an inter-local agreement with a number of Iowa municipalities. The inter-local agreement created the Public Energy Financing Authority (PEFA). PEFA was created to give the participating municipalities access to large, long-term, natural gas contracts at reasonable rates. PEFA will enter into agreements with natural gas suppliers for long-term contracts for the purchase of natural gas. The contracts will be secured and paid with the proceeds of tax exempt bonds issued by PEFA. The participating and purchasing municipality will be required to "take or pay" for the gas under contract by PEFA. The "take or pay" provision will require the Utilities to take delivery of and pay for all the gas under the contract, regardless of whether or not the Utilities have the demand and use for the gas. As of December 31, 2016, PEFA has not entered into any long-term contracts to purchase gas.
CITY OF WAHOO, NEBRASKA COMBINED MUNICIPAL UTILITIES FUND
COMBINING SCHEDULE OF REVENUES AND EXPENSES For the Year Ended December 31, 2016
CITY OF WAHOO, NEBRASKA
COMBINED MUNICIPAL UTILITIES FUND COMBINING SCHEDULE OF REVENUES AND EXPENSES For the Year Ended December 31, 2015
CITY OF WAHOO, NEBRASKA COMBINED MUNICIPAL UTILITIES FUND
COMBINING SCHEDULES OF REVENUES AND EXPENSES - ELECTRIC DEPARTMENT For the Years Ended December 31, 2016 and 2015
CITY OF WAHOO, NEBRASKA COMBINED MUNICIPAL UTILITIES FUND
COMBINING SCHEDULES OF REVENUES AND EXPENSES - WATER DEPARTMENT For the Years Ended December 31, 2016 and 2015
CITY OF WAHOO, NEBRASKA
COMBINING SCHEDULES OF REVENUES AND EXPENSES - SEWER DEPARTMENT For the Years Ended December 31, 2016 and 2015
COMBINED MUNICIPAL UTILITIES FUND
CITY OF WAHOO, NEBRASKA
COMBINING SCHEDULES OF REVENUES AND EXPENSES - GAS DEPARTMENT For the Years Ended December 31, 2016 and 2015
COMBINED MUNICIPAL UTILITIES FUND
Independent Auditor's Report on Internal Control over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards
The Honorable Mayor and City Council City of Wahoo Combined Utilities Fund Wahoo, Nebraska
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 the Government Auditing Standards issued by the Comptroller General of the United States, the financial statements of the business-type activities of the City of Wahoo, Nebraska, Combined Municipal Utilities Fund, as of and for the years ended December 31, 2016 and 2015 and the related notes to the financial statements, and have issued our report thereon dated May 2, 2017. Our report disclosed that the City of Wahoo, Nebraska, Combined Municipal Utilities Fund has not presented Management's Discussion and Analysis, which is required supplementary information. Our report also disclosed that the financial statements present only the Combined Municipal Utilities Fund and do not present the financial statements of the City of Wahoo, Nebraska.
Internal Control over Financial Reporting
In planning and performing our audit of the financial statements, we considered the City of Wahoo, Nebraska, Combined Municipal Utilities Fund'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 the City of Wahoo, Nebraska, Combined Municipal Utilities Fund's internal control. Accordingly, we do not express an opinion on the effectiveness of the City of Wahoo, Nebraska, Combined Municipal Utilities Fund'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 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. However, material weaknesses may exist that have not been identified.
Compliance and Other Matters
As part of obtaining reasonable assurance about whether the City of Wahoo, Nebraska, Combined Municipal Utilities Fund's financial statements are free of material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit and, accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards.
We noted certain matters that we reported to management of the City of Wahoo, Nebraska, Combined Municipal Utilities Fund, in a separate letter dated May 2, 2017.
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.
BMG Certified Public Accountants, LLP
Lincoln, Nebraska May 2, 2017
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COUNCIL MEETING NO. 78/20
Minutes of Council Meeting No. 78/20 held Monday, June 22, 2020, Council Chambers, City Hall, commencing at 6:15 p.m. Meeting was conducted via electronic means utilizing Zoom.
MEMBERS PRESENT: Mayor: R. Bater
Councillors: D. Buglas
K. Hawtin
G. Lightfoot
K. Lindgren
K. Steinborn
L. Taylor
ADMINISTRATION PRESENT:
City Manager
City Clerk
City Engineer
City Planner
Director of Corporate Services
Director of Finance
Director of Leisure Services
Director of Operations
Director of Protective Services/Fire Chief
His Worship Mayor R. Bater in the Chair.
Request was made to add discussion of Odd/Even Watering schedule restrictions under New Business.
AGENDA
1288) BE IT RESOLVED that the Agenda as presented for June 22, 2020, be approved, as amended.
Moved by Coun. K. Hawtin and L. Taylor, CARRIED.
MINUTES
1289) BE IT RESOLVED that minutes of Council Meeting No. 77/20 dated June 8, 2020, be adopted as circulated.
Moved by Coun. G. Lightfoot and K. Steinborn, CARRIED.
PUBLIC NOTICE
None
PUBLIC HEARING
None
PRESENTATION
None
DELEGATIONS
COLLEEN SABRAW, EXECUTIVE DIRECTOR, BECIP Re: Natural Play Space – Phase 2
1290) BE IT RESOLVED that the Natural Play Space – Phase 2 as presented by Colleen Sabraw, Executive Director of Battlefords Early Childhood Intervention Program be supported and that the City continue to authorize the assistance of Gord Whitton, Parks Manager to provide on-going safety inspections of the space as well as oversee the installation of the two new pieces of play equipment.
Moved by Coun. K. Steinborn and D. Buglas, CARRIED.
CORRESPONDENCE
LOIS LAING
Re: Contaminated Recycling – Ticketing Costs on Landlords
1291) BE IT RESOLVED that correspondence from Lois Laing regarding the recycling contamination ticketing program and its effect on landlord property owners, be received.
Moved by Coun. L. Taylor and K. Lindgren, CARRIED.
REFERRALS TO COMMITTEES
None
ANNOUNCEMENTS/INQUIRIES
PROCLAMATION
1292) BE IT RESOLVED that the proclamation regarding National Drowning Prevention Week be received.
Moved by Coun. K. Steinborn and K. Hawtin,
CARRIED.
Coun. Hawtin
Asked about the regular practice of dandelion/weed control around the City perimeters.
Dir of Leisure Serv. Advised the weed control is contracted out. Advised the buffer strip along Territorial Drive has been sprayed and is scheduled for mowing.
City Manager
Advised an amendment to the Waterworks bylaw will be brought to July meeting to address the base charge for commercial properties not using water.
Dir of Corp. Serv.
Thanked Mike Hutchinson for providing free use of his electronic signs for COVID 19 messaging to the public.
Coun. Steinborn Asked if the City was still managing crow/raven control.
City Manager
To review past practices and report back.
Dir of Leisure Serv. Advised funding was received from the COVID 19 Emergency Community Support Fund to purchase barriers and sanitation towers.
REPORTS
1293) BE IT RESOLVED that the following reports be received:
DIRECTOR OF FINANCE
Re: Property Tax Enforcement Update
Re: Recycling Enforcement Update
Re: Financial Update as of April 30, 2020
DIRECTOR OF PROTECTIVE SERVICES/FIRE CHIEF
Re: Fire Fighting Activities – May, 2020
Re: Fire Prevention Activities – May, 2020
Re: Fire Response and Needle Pickup Maps – May, 2020
COMMITTEE MEETING MINUTES – UNADOPTED
Re: Planning Committee Mtg. # 31/20 – June 15, 2020
Moved by Coun. L. Taylor and K. Steinborn, CARRIED.
Administration to investigate process to replacing blue bins for black bins in order to prevent contamination of recycling.
UNFINISHED BUSINESS
None
NEW BUSINESS
DIRECTOR OF OPERATIONS
Re: Engineering Services for Potable Water Control System
1294) BE IT RESOLVED that the contract to provide engineering services to upgrade the PLCs and switching over the SCADA program from Wonderware In-touch platform to VTSCADA platform, in the Water Treatment Plants and potable water facilities, be awarded to MPE Engineering for the cost of $382,289.55 including taxes.
Moved by Coun. G. Lightfoot and K. Hawtin, CARRIED.
ADDITION
Re: Odd/Even Watering Restriction Schedule
1295) BE IT RESOLVED that the odd/even watering schedule restrictions be eliminated, effective immediately.
Moved by Coun. D. Buglas and K. Steinborn, CARRIED.
DIRECTOR OF CORPORATE SERVICES
Re: Red Pheasant Development – 15 th Avenue Path Re-alignment
1296) BE IT RESOLVED that the 15 th Avenue path at the intersection of Territorial Drive and 15 th Avenue be re-aligned as part of the overall intersection development project, with an estimated cost of $32,300.00, with the unbudgeted money to be re-allocated from reserves to be repaid internally with interest and included in the 2021 budget.
Moved by Coun. G. Lightfoot and K. Lindgren, CARRIED.
5
Re: Airport CAP Agreement
1297) BE IT RESOLVED that with confirmation of approval of funding from the Ministry of
Highways and Infrastructure, under the 2020 Community Airport partnership grant program, that the budget be amended to make available the needed 50% contribution towards the resurfacing of Runway 12-31 at the Cameron McIntosh Airport with the total estimated cost of the project to be $200,000.00.
Moved by Coun. K. Hawtin and L. Taylor, CARRIED.
Re: Walkway Closure Policy
1298) BE IT RESOLVED that the Walkway Closure Policy which identifies a formal process for making application and the closure of walkways, be adopted.
Moved by Coun. K. Steinborn and K. Lindgren, CARRIED.
Re: Material Testing for Capital Work
1299) BE IT RESOLVED that Clifton Associates Ltd. be contracted to provide material testing services for Capital and UPAR work projects for a term of five years from 2020-2024 with the prices for 2020 at their 2019 rates and for each year thereof, a 2% increase to allow for inflation.
Moved by Coun. K. Hawtin and L. Taylor, CARRIED.
Re: Yellow Sky Subdivision
1300) BE IT RESOLVED that the Mayor and City Clerk be authorized to execute the City's Certificate of Approval for the Yellow Sky Subdivision, legally subdividing Part of Lot 1, Block 500, Plan 99B14633; Lot 3, Block 500, Plan 101971896 and Parcel R, Plan 101971896 in the West 1/2 of Section 4, Township 44, Range 16, West of the 3 rd Meridian; to subsequently approve the land purchase agreement and landscaping access agreement with Walmart Canada Corporation and approve the names of Moosomin Avenue and Yellow Sky Drive.
Moved by Coun.K. Steinborn and L. Taylor, CARRIED.
6
DIRECTOR OF FINANCE Re: Parking Ticket Enforcement Assistance
1301) BE IT RESOLVED that the City enter into a 12-month agreement with Battleford Investigations for the purpose of seizing vehicles for unpaid parking fines, with the option to renew for another four-year period included and that the Mayor and City Clerk be authorized to sign the contract once prepared.
Moved by Coun. L. Taylor and G. Lightfoot, CARRIED.
Re: 2020 City Cell Phone Request for Proposal
1302) BE IT RESOLVED that the City enter into an agreement for up to five years in length with Sasktel five-year commitment offering and that the Mayor and City Clerk be authorized to sign the agreement once prepared.
Moved by Coun. K. Hawtin and L. Taylor, CARRIED.
DIRECTOR OF LEGISLATIVE SERVICES
Re: 2020 Municipal and In-City School Boards Election
1303) BE IT RESOLVED that the following in regards to the Municipal/School Board Election to be held Monday, November 9, 2020, be approved:
the City Clerk to act as the Returning Officer;
enumeration of electors and preparation of a voters' list not be conducted;
the printing of candidates' names on ballots be alphabetical in order of surname;
the provisions under the Mail-in ballot voting system Bylaw be continued;
a bylaw to provide for the disclosure of campaign contributions and expenses not be prepared;
a bylaw to require the provision of Criminal Record Checks pursuant to Section 63.1 of The Cities Act not be prepared;
The City in its entirety be considered one polling area and one polling place be named for such polling area, with the poll to be held at the Civic Centre located at 1902 104 th Street;
that the hours of the poll be set from 9:00 a.m. to 8:00 p.m. on Election Day;
that Polls in Hospitals and Personal Care Facilities be established at the locations and for the durations as outlined in the report;
7
that mobile polls for homebound voting be established with the deadline to accept applications for a Mobile Poll to be received by the Returning Officer no later than 4:30 p.m. on Monday, October 26, 2020;
that the following remuneration schedule for election officials be approved:
Regular and Advance Polls
Election officials that conduct the Advance poll commit to more hours than on election day and be compensated on a pro-rated basis using the set rates per position for calculation purposes.
Moved by Coun. G. Lightfoot and L. Taylor, CARRIED.
MAYOR RYAN BATER
Re: Special Council Meeting – Thursday, June 25, 2020 – COVID 19 Re-opening Plan
1304) BE IT RESOLVED that a Special Council Meeting be held on Thursday, June 25, 2020, starting at 5:15 p.m. to present the COVID 19 Pandemic Reopening Plan for the City of North Battleford.
Moved by Coun. K. Hawtin and K. Lindgren, CARRIED.
BYLAWS
NO. 2090
Re: Automated Vote Counting System at Elections
1305) BE IT RESOLVED that Bylaw No. 2090, a Bylaw to provide for the use of automated vote counting system at elections, be introduced and read a first time.
Moved by Coun. K. Steinborn and G. Lightfoot, CARRIED.
A BYLAW OF THE CITY OF NORTH BATTLEFORD IN THE PROVINCE OF SASKATCHEWAN TO PROVIDE FOR THE USE OF AN AUTOMATED VOTE COUNTING SYSTEM AT ELECTIONS.
1306) BE IT RESOLVED that Bylaw No. 2090 be read a second time.
Moved by Coun. D. Buglas and K. Hawtin, CARRIED.
1307) BE IT RESOLVED that Bylaw No. 2090 be given three readings at this meeting.
Moved by Coun. K. Hawtin and K. Steinborn, CARRIED UNANIMOUS.
1308) BE IT RESOLVED that Bylaw No. 2090 be read a third time and passed.
Moved by Coun. L. Taylor and K. Steinborn, CARRIED.
NO. 2091
Re: Extension of Time to Prepare Assessment Roll
1309) BE IT RESOLVED that Bylaw No. 2091, a bylaw to authorize extension of time to prepare the assessment roll, be introduced and read a first time.
Moved by Coun. K. Hawtin and L. Taylor, CARRIED.
A BYLAW OF THE CITY OF NORTH BATTLEFORD IN THE PROVINCE OF SASKATCHEWAN TO AUTHORIZE AN EXTENSION OF TIME REQUIRED FOR THE PREPARATION OF THE ASSESSMENT ROLL FOR 2020
1310) BE IT RESOLVED that Bylaw No. 2091 be read a second time.
Moved by Coun. K. Steinborn and G. Lightfoot, CARRIED.
1311) BE IT RESOLVED that Bylaw No. 2091 be given three readings at this meeting.
Moved by Coun. K. Hawtin and G. Lightfoot, CARRIED UNANIMOUS.
1312) BE IT RESOLVED that Bylaw No. 2091 be read a third time and passed.
Moved by Coun. L. Taylor and K. Hawtin, CARRIED.
NO. 2092
Re: Amend Bylaw No. 1918
1313) BE IT RESOLVED that Bylaw No. 2092, a Bylaw to amend Bylaw No. 1918, which establishes fees for certain financial services, be introduced and read a first time.
Moved by Coun. K. Hawtin and D. Buglas, CARRIED.
A BYLAW OF THE CITY OF NORTH BATTLEFORD IN THE PROVINCE OF SASKATCHEWAN TO AMEND BYLAW NO. 1918, A BYLAW TO ESTABLISH FEES FOR CERTAIN FINANCIAL SERVICES.
1314) BE IT RESOLVED that Bylaw No. 2092 be read a second time.
Moved by Coun. G. Lightfoot and K. Steinborn, CARRIED.
1315) BE IT RESOLVED that Bylaw No. 2092 be given three readings at this meeting.
Moved by Coun. K. Hawtin and L. Taylor, CARRIED UNANIMOUS.
1316) BE IT RESOLVED that Bylaw No. 2092 be read a third time and passed.
Moved by Coun. G. Lightfoot and L. Taylor, CARRIED.
NOTICE OF MOTION
None
ADJOURNMENT
1317) BE IT RESOLVED that the meeting do adjourn.
Moved by Coun. D. Buglas, CARRIED.
____________________________
MAYOR
____________________________
CITY CLERK
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EVIDENCE
BRIEF
October 2015
STEP UP generates policy-relevant research to promote an evidencebased approach for improving access to family planning and safe abortion.
We work in Bangladesh, northern India, Ghana, Kenya, and Senegal.
Population Council Coordinating Partner
African Population and Health Research Center icddr,b
London School of Hygiene and Tropical Medicine
Marie Stopes International
Partners in Population and Development
Funded by
What are the sexual and reproductive health needs of adolescents in Ghana's slums?
INTRODUCTION
While there is an abundance of information on adolescent sexual and reproductive health (ASRH) in general, few studies have focused on the needs of specific groups of adolescents, such as adolescents living in a particular area. Accordingly, there is little known about the extent or variations in these needs of adolescents in Ghana, including those who live in slums. Moreover, youth-driven health programs are still being implemented in these areas, often with little understanding of the circumstances and needs of the young people they target (Annabel et al. 2007).
KEY POINTS
To address this need for quality evidence on the SRH needs of adolescents in slums, the STEP UP project conducted a study in four slum settings in Brong Ahafo and Greater Accra regions of Ghana. This evidence can be used to improve ASRH programming so that it better meets the needs of slum-dwelling adolescents.
About the study
The overall objective of the study was to generate evidence on the knowledge, perceptions and practices surrounding ASRH within selected slum communities in Ghana. The specific objectives were:
1. To assess the reproductive health knowledge, behaviour and perceptions of adolescents in the slum settings
2. To examine the perceptions of parents, guardians and community members regarding adolescent sexual and reproductive health.
METHODOLOGY
The study team used data from a cross-sectional study that employed both qualitative and quantitative methods to assess ASRH knowledge and perceptions of adolescents, their parents/guardians and community opinion leaders. Data was collected in March 2013 in four urban slums in Ghana: two (2) in the Greater Accra Region (Nima and Ashiaman) and two (2) (Sunyani East and Atebubu) in the Brong Ahafo Region.
- There is a need for a welldesigned, comprehensive sex education curriculum appropriate for each educational level that is taught by well-trained individuals; gender differences in SRH knowledge, attitudes and practices should be taken into account in the curriculum development process.
- Interventions that address sexual coercion and violence should be an integral component of current adolescent reproductive health programs. Such interventions should empower adolescents to know what coercion is, signs of violence as well as where to seek services.
- There is need to involve all stakeholders including parents/guardians and community leaders in addressing adolescent SRH needs. This will, in turn, enhance community participation and address cultural and societal barriers and inhibitions to the optimal realization of adolescent sexual and reproductive health.
Study Subjects
- A total of 1,303 adolescents aged 13-19 years were recruited. More than half of the adolescents (58%) were female. Adolescents aged 18-19 years comprised the highest proportion (40%) of the sample (42% of males and 38% of females).
- A total of 42 community opinion leaders comprising chiefs, assemblymen (local government authority representatives), farmers, traders, Imams and teachers were recruited. Of these, 62% were male.
- A total of 626 parents/guardians were interviewed. About 66% of those interviewed were the biological parents of the adolescents. Other guardians included grandparents (10%) and uncles or aunties (15%).
KEY FINDINGS Profiles of Adolescents
- Nearly all (96%) of the adolescents had ever attended school, with a significantly higher proportion of males compared to females having ever attended school (99% and 95% respectively).
- Slightly over half of the adolescents (57%) had completed primary education. Among respondents who had ever attended school, 75% were still in school (78% of males and 74% of females). They spent about a third of their day in school (32% for the males and 30% for females).
- Over half (55%) were Christian, while 43% were Muslim.
- Nearly all (97%) had at least one living parent. Among those with at least one living parent, 70% reported that a parent was living with them in the same household.
- Slightly over one-quarter (26%) had ever worked for pay. Those who worked earned an average of GH¢ 40 per week. They were engaged in sales (41% street hawking or managing stores), services (30% fetching water, tending to animals, or laundry) and technical services (22% mechanics or dressmaking). It is also worth noting that female adolescents spent relatively more time on unpaid work (19%) compared to males (10%).
Where do adolescents get SRH information?
About 79% of males and 64% of females indicated that they currently receive information on puberty from their school teachers. School teachers also provide 74% of males and 65% of females with information on pregnancy and sexual and reproductive health. This indicates that the school system does provide adolescents with some information on sexual maturation and related issues.
However, many adolescents – primarily girls – would prefer to obtain SRH information from their mothers. On the topic of puberty, 35% of females and 18% of males preferred information from their mothers; on the topic of reproductive health, 29% of females and 14% of males did.
Adolescents Photo credit: www.pen-international.org
When asked if they would want more in-school classes on reproductive health, 80% (both sexes) responded in the affirmative.
Interestingly, almost half of the adolescents (49% of males and 45% of females) obtained information on relationships principally from their friends. Yet some (a higher proportion of females than males) preferred to obtain information on relationships from their mothers (29% and 15% respectively).
The contribution of mass media as a source of SRH information for the adolescents is conspicuously non-existent. However, their relevance cannot be discounted, as newspapers, magazines, radio, television and the internet are sources that are closely associated with literacy and urban residence, which is where the slum study sites were located.
Sexual activity of adolescents
How many adolescents are sexually active? One-third of the adolescents (33%) had ever had sexual intercourse, with no significant difference between male and female respondents (32% and 34% respectively). The proportion of adolescent girls in the study that had ever had sexual intercourse is similar to the proportion found from the 2008 GDHS data -- 37% (GSS et al., 2009). That data from five years apart show that the same proportion of adolescents are sexually active suggests that existing ASRH programmes may not be reaching adolescents, and should be reviewed to make sure they are having the desired impact.
How old are they?: The proportion of adolescent males that had ever had sexual intercourse was highest among those aged 1819 years and lowest among those aged 15 years and below (47% and 8% respectively). The proportion of adolescent girls that had ever had sexual intercourse was more than twice as high among those who had never attended school than among those who had (73% and 32% respectively).
What factors influence whether adolescents are having sex?
Several factors correlated with whether adolescents had ever had sex, including school attendance, parental involvement, work history, and location.
The proportion of adolescents who had ever had sexual intercourse was also highest among those whose parents were not living in the same household than among those with at least one parent living in the household. Further, the proportion that had ever had sexual intercourse was more than twice as high among those who had ever worked for pay than among those who had not (51% and 22% respectively). Additionally, the proportion of adolescent girls who had ever had sex was highest in Brong Ahafo and lowest in the Greater Accra region (41% and 28% respectively).
Unplanned sex, forcible sexual contact, & transactional sex:
Slightly more than one-third of adolescents (36%) reported that their first sexual intercourse was unplanned.
About one-fifth – significantly more females than males – reported that they had ever been forcibly touched on their private parts (24% and 13%, respectively). Among respondents who had ever had sexual intercourse, 15% reported having experienced forced sex (12% of males and 16% of females).
In addition, 5% of the adolescents who had ever had sexual intercourse reported having ever paid money or gifts for sex (9% of males and 2% of females). Similarly, 4% of adolescents who had ever had sexual intercourse reported receiving money or gifts for sex (approximately 4% of both males and females).
Pregnancy Experience and Outcomes
Among adolescents who had ever had sexual intercourse, 8% of the males reported having ever made a girl pregnant while 26% of the females reported having ever been pregnant.
The proportion of girls that had ever been pregnant was significantly higher in Brong Ahafo than in the Greater Accra region (31% and 20% respectively), which is consistent with the fact that more girls had ever had sex in the Brong Ahafo region (see 'sexual activity of adolescents'). This rate was also significantly higher among adolescent girls who were not attending school as compared with those who were attending school at the time of interview (34% and 14% respectively). This is consistent with the view in the literature that keeping girls in school positively influences their SRH outcomes.
For the majority of adolescents who had ever been pregnant or made a girl pregnant (76%), the most recent pregnancy was not wanted (86% of males and 74% of females). In addition, 57% of the males who had ever made a girl pregnant and 23% of the girls who had ever been pregnant reported that the last pregnancy resulted in abortion (Figure 1).
Perceptions of parents & community opinion leaders
Parents: Although the majority (95%) of parents/guardians were not aware of organizations which provide SRH services to adolescents, nine out of ten (91%) were willing to allow their adolescents to receive such services. Further, only 20% had knowledge of the existence of any health facilities. Less than 10% disapproved of the provision of SRH services to adolescents. A high proportion (97%) of guardians wanted SRH information to be provided in schools. About 66% indicated that they themselves needed more information especially on family planning, contraceptive use, STIs, and HIV/AIDS to enable them have more meaningful discussions with their adolescents.
Community opinion leaders: Community opinion leaders believed that the increasing numbers of teenage pregnancies and adolescent commercial sex workers is evidence that most adolescents in their communities are sexually active:
"Teenage pregnancy is increasing in the community. The adolescents are having sex both days and nights…Majority in the ages 13, 14 to 19 are getting pregnant and they take drugs to abort the pregnancy which ends up in death or destruction of their womb. … Some girls give birth to about two without knowing the baby's father…. These babies are left in the care of the adolescents' parents… These babies also grow and start behaving like their adolescent parents and these social vices continue." FGD, Atebubu
Some community opinion leaders approved of the use of contraceptives by adolescents:
"It is true that our religion frowns upon it, but rather than having to do it unprotected and come home with an unwanted pregnancy or be at risk of sexually transmitted infections we will take it like that…They say prevention is better than cure, so it is better for them to prevent than to become pregnant and attempt to abort which can cost them their lives…" FGD, Sunyani
"…Teachers do not teach details about reproductive health, they only teach about effect of sexually transmitted diseases… the adolescents should be given these services to protect them from unwanted pregnancy….the information and services if given to the adolescents is good because it will broaden their knowledge and prevent them from engaging in activities that will destroy their future…." FGD, Atebubu
CONCLUSION
Most of the study findings are consistent with other studies on general adolescent sexual behaviour; there are no significant variations in adolescent SRH knowledge and practices among those living in the slums versus in other areas of the country. This study's findings also re-enforce the importance of education in the lives of adolescents as it has a significant impact on age at first sex and all of the associated impacts on adolescents' lives.
Two broad issues emerged across all the respondents:
- There is an urgent need for ASRH education to equip youth with necessary skills for informed decision making.
- There is demand by both parents and adolescents for quality parent-adolescent communication. This should be improved through intervention programs which focus on building SRH knowledge and communication skills of both youth and their parents.
REFERENCES
1. Erulkar Annabel S., Matheka James K. 2007. Adolescence in the Kibera slums of Nairobi, Kenya.
2. Ghana Statistical Service (GSS), Ghana Health Service (GHS), and ICF Macro. 2009. Ghana Demographic and Health Survey 2008. Accra, Ghana: GSS, GHS, and ICF Macro.
3. Koenig MA, Zablotska I, Lutalo T, Nalugoda F, Wagman J, Gray R. Coerced first intercourse and reproductive health among adolescent women in Rakai, Uganda. Int Fam Plan Perspect. 2004 Dec; 30 (4):156-63. PubMed PMID: 15590381.
4. United Nations Educational, Scientific and Cultural Organization (UNESCO). 2009. International Technical Guidance: An EvidenceInformed Approach for Schools, Teachers and Health Educators, Vol. II. Paris: UNESCO.
Suggested citation
Selina F. Esantsi, Gloria Quansah Asare, Placide Tapsoba. 2015. "What are the sexual and reproductive health needs of adolescents in Ghana's slums?" STEP UP Evidence Brief, October 2015. Accra: Population Council.
"…Teachers do not teach details about RH, they only teach about the effects of STIs… adolescents should be given these services to protect them from unwanted pregnancy…. information and services, if given to the adolescents, is good because it will broaden their knowledge and prevent them from engaging in activities that will destroy their future…." FGD, Atebubu
DISCUSSION
- Lack of adequate and quality SRH information is one of the major barriers to adolescent's access to SRH services. Three in four adolescents in this study indicated that they want more classes on SRH and their parents have also expressed the need for a more comprehensive SRH education in schools. This suggests the need for a review of the current SRH curriculum especially since literature from the United Nations Educational, Scientific and Cultural Organization ((UNESCO) UNESCO 2009) indicates that intensive and prolonged curriculumbased sexual education show promising results on preventing adverse outcomes of adolescent RH challenges.
- A sizable proportion of the adolescents reported engaging in transactional sex and experiencing sexual coercion. Coerced sex has been associated with a range of negative health and reproductive outcomes (Koenig et al., 2004) and transactional sex has been identified as one of the risk factors for increased vulnerability to HIV. This suggests a need to include information on avoiding engaging in transactional sex, and perpetrating coerced sex.
- Half of the adolescents interviewed indicated they received most of their information on relationships from their friends. This could mean that adolescents are gaining limited abilities to negotiate safe sex. Through both the home and school system, adolescents should be given support for developing the skills to negotiate consensual and non-exploitative relationships.
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Rapid literature review November 2013
Siân Herbert
About this report
This rapid review provides a short synthesis of literature examining peace negotiations, agreements and disarmament, demobilisation, and reintegration. It aims to orient policymakers to the key debates and emerging issues. It was prepared for the European Commission's Instrument for Stability, © European Union 2013. The views expressed in this report are those of the author, and do not necessarily reflect the opinions of GSDRC, its partner agencies or the European Commission.
The author wishes to thank Louis Francis Monroy for research assistance.
Expert contributors
Professor Paul Jackson, University of Birmingham
Canan Gündüz, The MediatEUr
Kristian Herbolzheimer, Conciliation Resources
Trevor Findlay, The Norman Paterson School of International Affairs
Suggested citation
Herbert, S. (2013). Lessons from implementing peace agreements: what next for Colombia? Birmingham, UK: GSDRC, University of Birmingham.
About GSDRC
GSDRC is a partnership of research institutes, think-tanks and consultancy organisations with expertise in governance, social development, humanitarian and conflict issues. We provide applied knowledge services on demand and online. Our specialist research team supports a range of international development agencies, synthesising the latest evidence and expert thinking to inform policy and practice.
GSDRC, International Development Department, College of Social Sciences University of Birmingham, B15 2TT, UK
www.gsdrc.org email@example.com
Contents
1. Overview
Conflict in Colombia has deep roots, with over 50 years of armed conflict between state and non-state armed forces, 1 more than 220,000 people estimated dead, and five million internally displaced people (ICG, 2013). Since the 1980s, there have been many formal and informal peace negotiations between the state and the different non-state armed groups. But no agreement to date has brought peace to the country.
In light of current negotiations between the Colombian government and the largest guerrilla group – the Fuerzas Armadas Revolucionarias de Colombia (FARC) – this rapid review gives an overview of the evidence on lessons for international community involvement in the implementation of peace agreements and demobilisation, disarmament and reintegration (DDR) programmes.
The majority of this paper focusses on Colombia; however, in accordance with the research question, this paper also examines relevant examples from the region (particularly El Salvador and Guatemala), and from other parts of the world (Burundi, Kosovo, and Bosnia). The full research question is in Appendix 1.
There is a vast literature examining lessons from the implementation of peace agreements; the implementation of DDR programmes; and the monitoring and verification of peace agreements. There is a wide spread of literature from different sources: academics, practitioners, and (predominantly conflict orientated) think tanks. This rapid review focusses on the most recent literature (predominantly published since 2008, with some exceptions for older literature that is either considered particularly authoritative or is documenting past events). The report examines both English and Spanish literature.
All of the literature used in this paper is qualitative, with a mix of single-country studies, multi-country studies, and some general guidance notes. As the subject area is highly political and contested, the evidence tends to be divided and interpretations are contested. Focussing on literature that details challenges and lessons for international actors means that the evidence is normative. Gender issues are detailed in the evidence.
There is a lot of literature that collates lessons from reintegration in different countries and provides general guidance for reintegration initiatives (e.g. UN, 2007; UNHCR, 2004; World Bank, 2006; EU, 2006). However, while general guidance is useful, much of the literature emphasises that lessons from peace agreements and reintegration programmes are specific to local contexts, and questions the utility of applying lessons from one context to another. Therefore, in line with the research question, and in view of the challenge of applying general lessons to unique country situations, this rapid review examines lessons and evidence from specific country examples.
The first half of the paper focuses on Colombian experiences, examining the lessons from previous peace negotiations, demobilisation of ex-combatants, reintegration initiatives, and the role of the international community in these areas (section 2). The second half of the paper examines lessons from other countries – examining experiences of verification and monitoring of peace agreements in different countries (section 3) and lessons from reintegration initiatives (section 4).
1 The terminology used to describe the different actors in the Colombian conflict is politicised. For neutrality this rapid review uses the term 'non-state armed actors' and 'state actors'; and 'guerrillas' and 'paramilitaries' when distinguishing between the different types of non-state armed actors.
Lessons from peace processes and negotiations and DDR in Colombia include:
[x] Colombian peace processes and negotiations and DDR initiatives have been undermined by the failure of the Colombian government to protect the security of civilians and ex-combatants.
[x] As demobilisation in Colombia has only happened with a few groups, the cycle of violence has not stopped. Some armed groups feel that others have had favourable treatment, despite being responsible for serious crimes.
[x] Some have warned that amnesty laws for combatants have institutionalised impunity.
[x] Reintegration activities have been underfunded. General DDR processes have focused on political dimensions, while neglecting important economic and social reintegration (such as psychosocial support).
[x] Almost half the members of Colombia's armed groups joined the groups as children, and therefore have specific needs during reintegration (such as education).
[x] Only 15 per cent of child combatants have access to DDR programmes.
Lessons from international community engagement in peace and DDR activities in Colombia include:
[x] While Colombia has historically been reluctant to include the international community in its peace processes, there has been an increased internationalisation of the conflict and peace processes since 1999 – this has led to greater opportunities and demands for international community involvement.
[x] The international community can play a variety of roles, notably: a donor role; a diplomatic role; a mediation role; a verification and monitoring role; and an observer role.
[x] The literature emphasises that the international community can play particularly useful roles in: legitimising peace processes; monitoring and verification peace agreements or DDR initiatives; and championing human rights.
[x] Key challenges are the coordination among donors and the focus of donor activities on terrorism and drugs trafficking to the detriment of other issues that matter to achieving peace in Colombia.
Lessons from international community engagement in the monitoring and verification of compliance with peace agreements in other countries include:
[x] In regards to actors, the UN plays the most important role. However, the use of 'Friends Groups' for strategic coordination between third-party actors can support the successful implementation of peace agreements, if the group of countries is small, with a high degree of commitment and similar interests in the conflict. Advances in technology, globalisation and the retreat of the state have led to NGOs playing a greater role in monitoring and verification.
[x] A key challenge in evaluating lessons for the international community is being able to separate out the challenges emanating from domestic actors and those from international actors.
[x] Monitoring teams must be gender-balanced, not gender-blind.
[x] Case study examples provide micro-level lessons on verification in El Salvador, Guatemala, Kosovo and Bosnia.
Lessons from reintegration experiences in other countries include:
[x] The challenges of DDR are leading academics to search for a 'second generation' of DDR programmes, with an identification of needs that is more evidence-based and that focuses on risk factors and resilience at the community level.
[x] Reintegration is widely recognised as a very challenging task, sometimes called the 'forgotten R' of DDR.
[x] Evidence-based programming is a strategic priority for reintegration programmes.
[x] Case study examples provide micro-level lessons of reintegration in El Salvador and Burundi.
2. Lessons from Colombia's experiences with peace agreements and DDR
Conflict in Colombia has deep roots, with over 50 years of armed conflict between state and non-state armed forces. Widely cited statistics estimate that more than 200,000 people have been killed, and five million displaced by the conflict (ICG, 2013). Statistics are contested and heavily politicised. Colombia is home to many small armed non-state groups. Since the 1980s, there have been many formal and informal attempts between the state and different groups to negotiate peace agreements. 2
This section first gives a brief overview of two of the most significant negotiation periods, and suggests reasons why these processes failed to lead to peace. Secondly, it examines the demobilisation phase from 2005 onwards. Thirdly, it gives an overview of the different phases of reintegration in Colombia – with a focus on the M-19 process. Finally it gives an overview of the role of the international community in these initiatives, and collates challenges and lessons that have emerged from this rapid review.
The literature base for this section is large, with extensive literature detailing both the Colombian experiences, and the experiences of international actors. However, there are limited papers that collects and syntheses lessons from across this literature (with the exception of the 2004 Conciliation Resources Accord paper) (García-Durán, 2004, p.4).
2.1 Peace agreements in Colombia – lessons
The first negotiations over peace 3 in 1982 between the state and the FARC led to an amnesty, the demobilisation of some FARC ex-combatants, and the creation of FARC's political party – Unión Patriotica (UP). However, the Colombian state was unable to assure the security of the demobilised ex-combatants, and paramilitary groups later assassinated around 3,000 UP members (Theidon, 2009; UCL Institute of the Americas, 2012). This led to a breakdown in the peace agreement. Gomez-Suarez and Newman (2013, p. 824) suggest that the lack of verification mechanism to monitor the demobilised UP members is
2 An in-depth historic overview and a typology of the different negotiations and accords until 2004 can be found in the 2004 Conciliation Resources publication – from page 80 onwards http://www.c-r.org/accord/colombia
3 'Peace agreements are formal agreements aimed at ending violent conflict and creating the conditions for durable peace. They include ceasefire agreements, interim or preliminary agreements, comprehensive and framework agreements, and implementation agreements,' GSDRC topic guide. See – http://www.gsdrc.org/index.cfm?objectid=68CFDA84-14C2-620Aone factor that created a blurry line between combatant and ex-combatant, and paramilitaries argued that they were fighting the FARC, rather than the UP.
Peace negotiations in 1999 between the state and the FARC led to the establishment of a demilitarized negotiation zone (known as 'El Caguán'). 4 Violent outbursts lead to the end of these negotiations in 2002. Analysts present various arguments about the breakdown of these negotiations.
[x] In a joint report, Bouvier, Chernick, Rettberg, García-Durán and Sarmiento (2012) argue that El Caguán failed to establish clear rules for the demilitarized zone, or mechanisms for the verification of compliance with the agreement; lacked a national policy linking the negotiation to the general construction of peace in society; and ignored civil society actors despite their prior role in the legitimation of the peace talks.
[x] Some argue that the root causes of conflict in Colombia were not discussed in El Caguán, such as the behaviour of political and economic elites, the criminal behaviour of elements within the state and the private sector, corruption, privatisation, and the weakness of political parties (Conciliation Resources & INDEPAZ, 2004). Instead, the talks focused on the organisation of a peace agenda and discussions around the humanitarian exchange of citizens kidnapped by FARC during many years of conflict.
Current day peace negotiations between the government and the FARC started officially in November 2012, and are ongoing at the time of the writing of this report. 5 Notably, the guerrilla group the Ejercito de Liberación Nacional (ELN) refused to participate in the current negotiations. The agenda has been restricted to select areas: rural development; political participation of the FARC; the end of the conflict; and drug trafficking and victims' rights (Gomez-Suarez & Newman, 2013).
In regards to the current peace talks, Gomez-Suarez and Newman (2013, p. 820) argue that academics agree on a number of lessons from previous negotiations:
[x] Substance: talks should start with the central issue of land.
[x] Process: the parties should hold preliminary meetings before the main peace talks; the parties should explore key concession areas in private; talks should be located in a neutral place; and there should be clear objectives for the talks.
It is too early to draw lessons from this phase of negotiations, however Combs and Heine (2013, p. 3) identify a number of improvements to this peace negotiation, including: a smaller 'more manageable agenda' of issues; holding negotiations abroad; the establishment of ground rules (protocol and evaluation mechanisms); and no demilitarised zone.
4 For a timeline of these negotiations, see http://www.lafm.com.co/noticias/colombia/04-09-12/cronologia-de-losprocesos-de--12
5 For a timeline of the current peace negotiations, see http://www.eltiempo.com/Multimedia/especiales/proceso-de-pazcolombia/
2.2 Dismantling guerrilla and paramilitary groups post-2005 – lessons
The demobilisation 6 of the paramilitary group the Autodefensas Unidas de Colombia (AUC) began with the adoption of the two 'Justice and Peace Laws'. 7 The literature reviewed details many challenges and lessons, and not so many successes of the programme. That aside, the fact that, during the period 2003 to 2006, more than 30,000 AUC members were demobilised and a significant number of ex-combatants from other groups demobilised individually, is impressive (Thorsell, 2012). This makes up the largest number of demobilised ex-combatants in Colombia.
Security threats against former combatants
Perhaps the key challenge has been to manage the threats to the security of the demobilised excombatants – many have faced threats, and others have been pressurised to return to combat (UN, 2009b; Morgenstein, 2008). This has parallels to the processes that involved the UP and the guerrilla group 19 April Movement (known as 'M-19').
Limited funding and the need for psychosocial funding
The stipend for ex-combatants (a monthly allowance of US$160 for 18 months) was insufficient for many ex-combatants. Many therefore had to generate additional sources of income rather than attend classes such as psychosocial support sessions (Morgenstein, 2008). Furthermore, Morgenstein (2008) notes that the psychosocial support was sometimes insufficient to deal with serious mental health issues that excombatants had. The UN (2009) recognises psycho-social counselling as a key task than needs further development in the DDR process in Colombia.
Underusing key resources
The Centres for Demobilised Combatants (CRO), funded by USAID and operated by International Migration Office, were underused (Morgenstein, 2008). For example, the CRO had a computer-based database that government officials did not have access to, and was therefore underused (Morgenstein, 2008). There was also a lack of understanding about their support activities by both CRO staff and demobilised combatants.
Problems with vocational training
Morgenstein (2008) reports that the use of the National Learning Service as a mechanism to provide vocational training for ex-combatants was problematic, as it was not prepared to accept demobilised excombatants in its courses. In some cases teachers and students refused to allow the former paramilitaries to join the class (Morgenstein, 2008).
6 The UN defines demobilization as 'the formal and controlled discharge of active combatants from armed forces and groups, including a phase of "reinsertion" which provides short-term assistance to ex-combatants'. See – http://www.un.org/en/peacekeeping/issues/ddr.shtml
7 This includes Law 782, allowing the president to pardon political crimes, but not serious human rights violations committed by AUC members; and Law 975, offering reduced sentences to paramilitaries in exchange for information about crimes.
Institutionalising impunity
Bouvier (2007) notes that the Justice and Peace Law has been accused of institutionalising impunity by dramatically reducing the sentences for demobilised paramilitaries. The author identifies a number of challenges that have emerged through the process, including: overlapping jurisdictional responsibilities for victims' claims; difficulties in tracking down missing persons; difficulties in identifying bodies found in mass graves; and the high vulnerability of victims, investigators and prosecutors.
Different treatment for different groups
Escola de Cultura de Pau (2008) notes that, as demobilisation in Colombia has only happened with a few armed groups, the cycle of violence has not stopped. Some non-state armed groups feel that other groups have had favourable treatment, despite serious crimes. The paper notes that this complicates individuals' understanding of pardon and amnesty.
2.3 Reintegration 8 initiatives in Colombia – lessons
Colombia has had various DDR initiatives. Some were conducted without external assistance (in 1953, and 1984-2002); the current phase has included some external assistance since 2002-2003 (SchulhoferWohl & Nicholas Sambanis, 2010, p. 44-8). 95 per cent of the funds for reintegration are provided by the national government; the international community provides some technical and financial support (Agencia Colombiana para la Reintegración, 2013, p. 2).
The M-19 reintegration process
The M-19 movement emerged in the 1970s in reaction to perceived electoral fraud, and then later initiated a process of demobilisation in 1989, and then became a political party participating in elections at the local and national level. The M-19 process was not a peace negotiation or agreement, but a demobilisation process linked to the introduction of Law 35, which created an amnesty for all guerrilla organisations in exchange for peace and stability (Theidon, 2009, p.10).
Neither the FARC nor the ELN decided to participate in this process. Bouvier (2006, p.7) claims this is because 'FARC is unlikely to enter into serious negotiations without addressing some of the broad structural issues they claim are at the root of the Colombian violence'. The ELN has historically expressed a similar position (Bouvier, 2006).
Garcia, Grabe and Patiño (2008) identify the following key achievements of the M-19 experience:
8 The UN defines reintegration as 'the process by which ex-combatants acquire civilian status and gain sustainable employment and income. It is a political, social and economic process with an open time-frame, primarily taking place in communities at the local level.' Reintegration usually focusses on ex-combatants, but increasingly includes programmes for the local community and for the dependents of ex-combatants (Escola de Cultura de Pau, 2009; EU, 2006). The concept of reintegration can include activities in the following areas: reinsertion; social and economic reintegration; resettlement; rehabilitation; and reconciliation. EU 'reintegration' activities can include providing: 'shelter, food, vocational training, education, tools, micro-credits, employment opportunities, and addressing psychosocial and physical needs' (EU, 2006, p.20). The Agencia Colombiana para la Reintegración (2013) establishes reconciliation as a basic principle of its DDR process.
[x] The M-19 process allowed the creation of new peace processes with other armed groups (Manuel Quintin Lame, EPL and PRT groups) and influenced negotiation efforts with FARC and ELN.
[x] The M-19 process shows that designing a fast and flexible amnesty can provide an easy entry for ex-combatants into politics, while still allowing space for reconciliation.
They also identify the following challenges:
[x] The DDR process focused too much on the political component of the agreements, neglecting economic and social reintegration. Inexperience on both sides also led to errors in the implementation of health, education and productive projects.
[x] 160 M-19 members were assassinated after demobilisation, despite organised security schemes. This indicates the problems in assuring the safety of ex-combatants – this is similar to the UP's experience, although on a smaller scale.
[x] Transitioning from a military structure to a political party was a very difficult task, and the M-19 did not adapt quickly, leading to a loss of cohesion within the group, and some doubts about its management structure.
The amnesty for M-19 ex-combatants and Law 35 has also been criticised as a 'broad statement that left much room for interpretation – and for manipulation… [as] ex-combatants enjoyed complete amnesty' (Theidon, 2009, p.10).
Funding limitations for general reintegration programmes
Guaqueta (2007) notes that the government focused on demobilising ex-combatants, and as some of the former M-19 members turned to politics, other reintegration programmes were neglected. 'Almost every small project failed due to the lack of financing, training or education of its participants and because of insufficient technical assistance and monitoring of the ex-combatants projects,' highlights Koth (2005, p. 14). At the same time, while the international community welcomed the reforms, internal approval did not translate into an effective assistance or collaboration with the DDR process and particularly with the reintegration programme (Guaqueta, 2007). Meanwhile, the UN (2009, p. 52) identifies that Colombia's psycho-social programming – led and funded at sub-national level – has been limited as funding did not extend to individual counselling, and coverage was limited to urban areas.
Reintegration for children, and young adults
Almost half the members of Colombia's armed groups joined the groups as children, therefore while they might not still be children when they demobilise, they still have specific needs during reintegration (such as education) (Agencia Colombiana para la Reintegración, n.d.). UNICEF (2009, p. 11) highlights that an estimated 11,000 to 14,000 children in Colombia are estimated to have served in armed groups. However, only 15 per cent of these children have access to demobilization and reintegration programmes (UNICEF, 2009, p. 11).
Aligning aid with existing power structures
Elwahary (2008) argues that aid distributed through the state, and aligned with its development policies, has become problematic as the demobilisation of paramilitary groups has not translated into the dismantling of their social, economic and political power. She warns that 'supporting economic development as a means of peace-building without understanding the specific dynamics of change that emerged from the violence are likely to have distorted outcomes' (p. 97).
2.4 International community engagement in peace and DDR activities – roles and lessons
Colombia has historically been 'reluctant' to include the international community in its peace processes, however Ramírez Ocampo (2004, p. 76-77) identifies the internationalisation of the conflict and peace process began during the 1999-2002 negotiations. From 1999, international actors provided technical and financial support to negotiations, and also made critical public announcements of the armed actors, thus applying public pressure (Ramírez Ocampo, 2004). Following separate agreements with the FARC and the ELN, two respective Group of Friends were established. In 2000/1 the US government and Colombia launched 'Plan Colombia'. While the EU supported human rights and humanitarian activities (Ramírez Ocampo, 2004).
Roles of the international community
Ramírez Ocampo (2004) argues that a solution to Colombia's conflict is 'unlikely' without the international community's involvement. In regards to peace negotiations, agreements and DDR programmes, the international community can play a variety of roles including:
[x] A donor role (providing financial aid or loans, technical support, etc).
[x] A diplomatic role (carrying out private or public activities to incentivise and pressure actors, making alliances with actors, etc).
[x] A mediation role.
[x] A verification and monitoring role.
[x] And/or an observer role.
Legitimising peace processes
Bayer (2010), reviewing the historical role of the international community in peace negotiations in Colombia, argues that, overall, the international community has played an active and positive role in supporting peace accords (at Madrid and Magunz), and an important facilitator role in the El Caguán process. Bayer (2010) notes that, while the Colombian government saw the international community's involvement as an opportunity to legitimise its peace process, it restricted the role of international actors to that of 'problem solvers'.
Monitoring and verification
Bouvier (2007, p. 38) highlights the importance of third parties in peace processes, and particularly notes that the international community can continue to support peace initiatives by helping with the monitoring and verification of DDR processes. The Colombian government's reintegration policy document particularly identifies the Organisation of American States as playing a key role in the monitoring and evaluation of the disarmament of the AUC in Colombia (Departamento Nacional de Planeación, 2008).
Offering DDR experience from other contexts
The Colombian government's reintegration policy document notes that the international community offers political, technical and financial support – it particularly highlights the role of the international community in being able to draw on experiences of reintegration in other contexts around the world (Departamento Nacional de Planeación, 2008). Bouvier (2006) suggests a role for the EU in providing technical assistance to peace-making operations (giving guidance, sharing lessons and promoting good practice).
Championing human rights
Bayer (2010) identifies that the international community has particularly helped put human rights on the national agenda in Colombia. Government officials noted the EU's contribution in providing assistance to, and promoting the rights of internally displaced people, victims of the armed conflict, and demobilized groups (Bouchier et al., 2012). Colombian civil society organisations as well as UNHCR and UNHCHR officials emphasised "political importance" of the EU's work on human and victims' rights (p. 69). Bouvier (2006) identifies that EU could be involved in peace initiatives in Colombia, by supporting human rights monitoring, early warning systems and human rights advocacy; and to facilitate alliances between social actors and national authorities.
Coordination challenges
At times, too many countries became involved with divergent, uncoordinated views, and this has weakened negotiations (Bayer, 2010). This is particularly true in regards to diverging views about Plan Colombia (Bayer, 2010). An ECDPM publication by Sherriff, Hauck, and Rocca (2013, p.v) echoes this perspective and identifies one of four key objectives for the EU as the 'active engagement of the EU institutions and the Member States', in recognition of the coordination challenges between EU Institutions and the Member States.
The challenge of a terrorism approach to the Colombian conflict
The increasing role of the international community in Colombia was influenced by the changes brought about by the end of the Cold War, with an increased international focus on terrorism and drugs trafficking (Montaña, 2009). Some international actors approach the Colombian conflict as an issue of terrorism, while others approach it as an armed conflict caused by development issues. This has introduced various challenges for engagement – for example, by classifying the FARC, AUC and ELN as terrorist groups, the EU was unable to engage in direct negotiations with the groups.
In view of these different positions, Montaña (2009) identifies three scenarios for international involvement in Colombia's peace processes: (1) international action is limited to responding to Washington's policy towards the region: fighting terrorism and drug trafficking via Plan Colombia and intensifying the efforts for war; (2) left-wing Latin American governments create opportunities for peace negotiations in opposition to the Colombian agenda for 'democratic security'; (3) politically neutral countries – that have good relations with the Colombian government and are trusted by FARC (e.g. Brazil, Sweden and Norway) – help to open up talks abroad.
Specific lessons for the EU
A report by Gündüz and Herbolzheimer (2010, p. 7-8), published by Initiative for Peacebuilding, argues that for the EU to 'increase its performance and impact, there is a need to draw more systematically from lessons of coordinated efforts in support of peace processes, notably the EU's own wealth of experience'. It makes the following recommendations (p. 7-8):
[x] 'Ensure that third-party coordination efforts are part of wider peace process support strategies, and make these a central element of the European External Action Service (EEAS);
[x] Choose a role for the EU that complements that of others, and does not duplicate efforts;
[x] Take a principled approach to participating in coalitions for peace;
[x] Ensure inclusion and effectiveness of coordination efforts;
[x] Systematically assess different options for EU peace process support, in each case, including where it will be in the lead and where it will follow the lead of others;
[x] Promote interest-based and transformative approaches to mediation;
[x] Promote balanced approaches to peace process support to avoid bias;
[x] Habitually assess the impact of EU-backed peace process support, and regularly adapt policy and practice accordingly;
[x] Continue to raise awareness about mediation as a process, and sensitise heads of EU delegations, Special Envoys and relevant parts of the EEAS to the need for coordination and complementarity in peace process support; and
[x] Systematise the accumulated experience in support to peace processes.'
3. Lessons from monitoring and verification of compliance with peace agreements
3.1 Roles of different actors in verification and monitoring activities
The UN is primarily responsible for monitoring and verification activities in peace-keeping or peaceenforcement missions (Boulden, 2000). Arnault (2006, p. 6) explains that if the implementation of a peace agreement is struggling, the UN has three strategies to prevent a breakdown of the process: mediation, substitution, verification.
Groups of Friends. A paper by the International Peace Academy argues that strategic coordination between third-party actors is critical to the successful implementation of peace agreements (Jones, 2001). Drawing on case study analyses of Guatemala, El Salvador and Mozambique, Jones (2001,) argues that 'one of the striking commonalties among cases of successful implementation is the use of a "Friends Groups", or the creation of a deliberate process of bringing together key governments, to ensure a degree of focus and commonality of approaches to the peace process' (p. 21).
The Group of Friends idea was pioneered in El Salvador and was, 'in this instance, an effective and flexible mechanism to ensure the leverage of countries friendly to El Salvador but not aligned to its conflict (Colombia, Mexico, Spain and Venezuela) could be used to further the [UN] secretary-general's efforts' (Whitfield, 2001, p. 34).
Jones (2001) identifies two key lessons that limit its applicability to other contexts. First, the number of international or regional organisations directly involved in the negotiations should be small for effective coordination (p. 4). Second, there should be a 'high degree of international commitment and a rough correspondence of interests of the major powers' (p. 4).
NGOs. Advances in technology, globalisation and the retreat of the state have led to NGOs playing a greater role in monitoring and verification (UNDIR, 2003). UNDIR (2003, p. 23) recognises benefits and challenges to this: 'compared to States or international verification organizations, NGOs are less constrained by questions of diplomacy or bureaucracy. They are able to publicize information immediately. On the other hand, since NGOs rely almost entirely on open sources their information may be inaccurate or incomplete.'
3.2 General principles
There are 16 principles for verification, which were developed by the UN Disarmament Commission, and endorsed by the UN General Assembly in 1988 (UN, 2008). These set out process oriented principles; for example, principle 11 notes that: 'Adequate and effective verification arrangements must be capable of providing, in a timely fashion, clear and convincing evidence of compliance or non-compliance. Continued confirmation of compliance is an essential ingredient to building and maintaining confidence among the parties' (UN, 2008) (see Appendix 2 for the full list of principles).
In 2008, a Panel of Government Experts published 21 recommendations for effective verification (UN, 2008). The recommendations provide a more strategic form of guidance; for example, recommendation 9 notes that: 'Private donors, foundations, non-governmental organizations and international organizations could assist States in ensuring that civil society is aware of its obligations [in verification activities]' (See Appendix 3 for a full list of the recommendations).
3.3 Key challenges for the international community
New methods and technologies
With technological advances, the methods of verification and monitoring have changed significantly, introducing a number of opportunities and challenges (UN, 2008). Capacities for data gathering, processing, storing, sorting and dissemination have improved significantly (p. 10). More actors are now able to access data, and more data is available. However, the volume and quality of this information is variable (p. 9).
GPS and mobile phone technologies now allow communication with, and monitoring of, remote areas, in less intrusive ways. While this increasing the ability of effective monitoring, it also risks violations of privacy (Boulden, 2000).
Gender
Peace agreement and DDR process can often exclude women. Special Representative of the SecretaryGeneral on Sexual Violence Margot Wallström recognised this arguing that 'Monitoring teams must be gender balanced, not gender blind. But, to date, just three ceasefire agreements have included sexual violence.' 9
Non-compliance – who is at fault?
Stanley and Holiday (2002) recognise the difficulties of monitoring roles noting that when parties do not comply with agreements, it is difficult to separate out the causes of non-compliance – e.g. is it due to local factors? Or is the verification team at fault? Arnault (2006, p. 3-6) identifies three types of weaknesses that can undermine the momentum of implementation: capabilities, political constraints,
9 In February 2012 – see http://www.peacewomen.org/security_council_monitor/debate-watch/all-debates/43/securitycouncil-open-debate-on-women-and-peace-and-security-sexual-violence
and vital concerns. In terms of lessons, Arnault (2006, p.3) notes that 'that the UN should not unthinkingly accept responsibility for the implementation of any peace agreement is perhaps the main lesson to emerge from the critical appraisal of failures that occurred in the 90s'.
3.4 Case studies
MINUGUA – UN Mission in Guatemala
In a widely cited book chapter, Stanley and Holiday (2002, p. 26-7) note that, while the UN played a 'crucial role' in the Guatemalan peace agreement, its role in verifying the agreement has been 'controversial' and it is 'less clear' if it has been 'as effective as it might have been'. They underline two key dilemmas the UN faced: 'how much room for action does the [UN] mission actually have? How strongly can it criticize the government without creating a counterproductive backlash either against itself, or against the peace process more broadly?' (Stanley & Holiday, 2002, p. 26-7). The authors also highlight the difficulties of assessing the impact of the UN's role, compared to factors such as the weak accords and the limited domestic implementation capacity (Stanley & Holiday, 2002).
Stanley and Holiday (2002) lay out the following challenges from the MINUGUA:
[x] 'When MINUGUA took over a broader verification mandate…its tasks multiplied, and it had to work with much less concrete benchmarks' (p. 28).
[x] Its broader verification role was 'further complicated by a lack of understanding by most Guatemalans regarding the mission's mandate and functions' (p. 28).
[x] The existence of a strong challenge to the ruling party from a party opposing the peace accord 'constrained the United Nations in criticizing the government and made international donors reluctant to support the present government, despite shortfalls in implementation' – a decision that was criticised by observers (p. 28).
[x] MINUGUA was 'unable to overcome the damage already done to its public image in the early stages of the comprehensive verification mandate' despite a 'belatedly improved' public information strategy (p. 28).
[x] 'It might have been more effective to have selected a different chief of mission' as the leadership of the verification mission was the same as the leadership of the mission that monitored the signing of the peace agreement. Some observers question if this meant the leader had 'too strong a personal stake in defending the peace accords' (p.29).
[x] 'International donors have not always worked together to apply pressure on the government to comply with the accords' (p. 29).
In terms of successes, the article notes that 'excellent coordination within the UN system, and good cooperation' with international financial institutions 'contributed to a greater understanding on their part of the financial requirements of the peace process' (p. 29).
In the conclusion, Stanley and Holiday (2002) draw out two broad lessons for verification of peace agreements from the Guatemala example. First, vaguely designed accords will not lead to substantial change and are more difficult to effectively verify (p. 47). Second, further consultation during the implementation phase has costs – as it can slow implementation and 'risk distributing responsibility so broadly that it is difficult for international verifiers to apply pressure to get things done' (p. 48).
While lack of funding for comprehensive, long-term DDR programmes can be problematic, the Guatemala example is often heralded as a successful case where negotiations over the budget for implementation and a division of responsibilities were made before the peace agreement was signed (Gleichmann et al., 2004; Whitfield, 2001).
ONUSAL – UN Mission in El Salvador
A widely cited journal article by Holiday and Stanley (1993) evaluates the UN mission to El Salvador – ONUSAL. The role of the UN in El Salvador changed over time from observer of the peace negotiations, to an active mediator, and then to verifier of the accords (p. 2). The authors recognise the 'vital' role of the UN in this process (p .2), and specifically that its mediation and verification helped to avert implementation crises. Whitfield (2001) recognises that the early deployment of ONUSAL under its initial mandate (to verify compliance with human rights standards) led to '"an almost immediate decline in the level of grievous human rights abuse; the building of confidence in the process as a whole; and the indelible association of the presence of the United Nations in El Salvador with the promotion of human rights' (p. 36).
Holiday and Stanley (1993) also identify a number of 'pitfalls', including the system of verification (p. 7). Specifically they lament that ONUSAL 'has not always made effective or prompt use of its moral authority and status as an objective interpreter of the accords' and point out that the mission 'avoided making public criticisms of the government on human rights'. They argue that 'forceful public representations could serve to generate pressure within El Salvador for official accountability and, eventually, for structural changes' (p. 12). They also raise concerns about overreliance on international actors – and the unintentional displacement of human rights activities led by NGOs and churches.
Holiday and Stanley (1993) outline the following lessons for the UN from its activities in El Salvador:
[x] Recognise hazards and limitations – particularly that extensive UN involvement in institution building could encourage dependency on aid and external solutions to local problems (p. 19).
[x] Develop a body of experts in peace-building – especially ensure continuity of senior staff from the peace negotiations stage, to the verification stage.
[x] Prepare for issues that fall outside of the mandate – 'The early creation and staffing of a political division within ONUSAL to monitor and mediate the various issues that fell outside the realm of the human rights, police and military divisions would have greatly facilitated ONUSAL's verification efforts' (p. 20).
[x] When the UN acts as both a mediator and a verifier, 'it should explore the possibility of making different sections of a mission accountable to distinct U.N. bodies, thereby deflecting criticism of the U.N. effort as a whole' (p. 20).
[x] The mandate should clearly define the 'responsibilities of the parties to the verifying agencies and the roles of the verification personnel' (p. 20).
Whitfield (2001, p. 35) notes that implantation suffered from a lack of funding. This was a substantial oversight by the UN, as it did not clarify where funds for implementation would be sourced from during the negotiation process. Whitfield (2001) notes it is much easier to secure donor funding before an agreement is signed – this opportunity was missed in El Salvador, as opposed to Guatemala. In addition, a lack of coordination and dialogue with the international financial institutions threatened contradictions between the economic programmes pursued and the peace agreement (Whitfield, 2001, p. 35).
Kosovo's Verification Mission (KVM)
In 1998, the KVM was established to monitor and report violations of ceasefire agreements and human rights to the Organization for Security and Co-operation in Europe (OSCE), the UN Security Council and the government of the former Yugoslavia. An ICG briefing (2004, p. 3-5) argues that the KVM in Kosovo has been a 'failure' as:
[x] 'The mission had the consent of only one of the two parties to the conflict' (p. 4).
[x] There wasn't a genuine ceasefire to verify, and both the Serb army and the guerrillas continued to attack and displace civilians.
[x] The KVM had no physical means for enforcement as it was an unarmed organisation – this weakened their ability to prevent violations, and therefore weakened their credibility.
[x] KVM had limited sanctions at its disposal.
[x] KVM was 'not seen as an independent and important actor in the wider political scene' nationally (p. 5).
Bosnia's Office of the High Representative (OHR)
In 1998, the Office for the High Representative (OHR) in Bosnia was mandated to sanction the violations of the 1995 peace agreement and the rules of the Provisional Election Commission that individuals or political parties would commit. While an ICG (2004, p. 3) briefing describes this case as 'relatively successful', it also details the following lessons:
[x] No legal criteria or process was established to regulate OHR sanctions. This has given the OHR extensive, effective powers (p.7). This allowed the OHR to establish 'definite standards of behaviour' (p. 7), but was criticised by some as being undemocratic, lacking transparency and undermining the credibility of the OHR (p. 5-6).
[x] Without armed forces, the OHR cannot enforce sanctions (p. 6).
4. Lessons from reintegration experiences in other countries
Reintegration is widely recognised as an extremely challenging task – McFate (2010) names it the 'forgotten R' of DDR. A GSDRC literature review notes that many DDR programmes have been judged unsuccessful (Scott, 2010, p. 1)., Many authors underline that the lessons from one context are not necessarily relevant to another context (Scott, 2010, p. 1). The literature base in this area is mixed – some countries have extensive literature documenting reintegration activities (e.g. El Salvador), while others have a much smaller amount of literature publically available (e.g. Guatemala). This section focuses on three in-depth country case studies. 10 Much of the authoritative literature in this area is older, reflecting the period of time when these reintegration initiatives were established.
Evidence based programming as a strategic priority
10 Limited relevant and robust information was available on Peru.
While there is extensive evidence in this area, a report published by the United Nations Institute for Disarmament Research (UNDIR) notes that the United Nations Inter-Agency Working Group (IAWG) on Disarmament, Demobilization and Reintegration has found that 'reintegration programming is not as effective as it could or should be' (Miller & Rudnick, 2012, p. 11). The IAWG has therefore made evidence-based programming in reintegration programmes a 'strategic priority area' (Miller & Rudnick, 2012, p. 11).
The UNDIR currently runs a programme 11 examining how to design evidence-based reintegration programmes. The concept note identifies a 'gap' between 'research findings and their use in programme design' (UNDIR, n.d., p. 1). The programme note recognises that: 'The complex nature of reintegration requires designers to strike a balance between policy goals (i.e. the ideal) and the many kinds of sociocultural, practical, and material features that characterize a given programming context (i.e. the real)' (p. 1).
4.1 Case studies
El Salvador
Following the 1992 end to the civil war in El Salvador, the country adopted a DDR programme. McFate (2010) notes that reintegration was less successful than the disarmament and demobilisation stages, and reintegration fell behind on the timelines established in the peace agreement. Despite this, 'with respect to negotiated conflict settlements and police-military reforms' El Salvador was viewed 'as a major success story' by UN and other actors (Kincaid, 2000, p. 47).
McFate (2010) draws a number of lessons from the experience (p. 10):
[x] Both the armed group (FMLN) and the national armed forces (FAES) were 'widely victimised and shunned in communities' (p. 10).
[x] FMLN combatants were reintegrated into the political system, however the FAES were not.
[x] The distinct needs of male, female and child combatants were not recognised - and they were treated in the same way by the programme.
Córdova Macías (2001, p. 28-29) notes that, overall, economic support for ex-combatants during the disarmament and demobilisation processes 'contributed significantly to the political stability necessary for the implementation of the peace accords'. However, the author also notes that the 'reinsertion' programmes have had 'uneven progress'. In particular, the programmes provided only limited economic support and were not developed as part of a broader development plan for El Salvador (Córdova Macías, 2001).
Whitfield (2001) asks if the 'post-war crime wave' (p. 40) could have been avoided had former-army combatants been prioritised higher in the reintegration programmes. Kincaid (2000) recognises criminal activity and non-political crime is the principal problem affecting security in El Salvador.
Demobilisation left many combatants unemployed and maladjusted. The reintegration programmes didn't address the underlying social and economic problems facing combatants, who therefore continued to cause public insecurity and political instability (p. 32). Chávez (2008) echoes this finding, noting that while DDR was key to maintaining peace in El Salvador, reintegration 'failed to provide the majority of
11 See http://www.unidir.org/research-and-development-on-evidence-based-programme-design-for-reintegration-phase-ii
former combatants sufficient socioeconomic support to build dignified lives' (p. 13). Kincaid (2000) notes that 'rapid demobilisation' left ex-combatants without 'adequate provisions for productively reintegrating them into society' (p. 45).
Moreover, a key feature of reintegration – the land reform programme (PTT) – suffered from logistical problems, bureaucratic challenges and a lack of political will in the country (Whitfield, 2001, p. 37).
Burundi
The World Bank's Multi-country Demobilization and Reintegration Programme (MDRP) largely funded Burundi's reintegration programme from 2004 onwards. In a paper published by the Clingendael Institute, Douma argues that the programme has been a 'dismal failure' (2009, p. 30). According to the paper, reintegration 'largely failed' (p.7) in urban contexts, as the target groups lacked basic skills to be able to successfully reintegrate. Reintegration was "slightly more successful" (p.8) in the rural context as ex-combatants were able to return to family and former livelihoods.
Douma (2009, p. 5-8) explains this failure as due to a number of challenges, including political issues slowing the demobilisation of police officers and soldiers, a 15-month delay in starting the programme, only around half of the budget having been disbursed, and problems in the collaboration between the implementing international agencies and the national mechanism.
The paper offers the following recommendations (p. 9-10):
[x] Design a follow-up DDR programme that allows for security sector reform.
[x] Map high-risk groups and make an inventory of economic opportunities.
[x] Develop a long-term macro-economic perspective for Burundi.
[x] Design and apply appropriate screening methods to distinguish between genuine fighters and opportunistic recruits.
[x] Identify and train soldiers before demobilisation.
[x] Develop community-based reintegration programmes centred on transitional justice and focused on local demand.
[x] Develop an appropriate vocational training structure in Burundi.
[x] Include appropriate monitoring and supervision structures in DDR programmes.
In a meta-review of DDR for the Swedish government's Folke Bernadotte Academy, Schulhofer-Wohl and Sambanis (2014) also identify the transition of the non-state armed group the National Liberation Front (FLN) into a political party during DDR as an example of how DDR can 'transform armed groups into entities that can participate non-militarily in the political and social life of the country (p. 14). The authors recognise this as an important step to bring 'opposing groups into the political system' (p. 14) and to channel conflicts through the political system.
Guatemala 12
1994-1996 Guatemalan peace agreement lead to an agreement on DDR in 1998, and the demobilization of the armed group Unidad Revolucionaria Nacional Guatemalteca (URNG). A progress report published
12 A limited amount of robust evidence on reintegration lessons in Guatemala was found during this rapid review.
in 1999 by MINUGUA notes that the initiation of the reintegration programme had 'a positive impact' but that 'the integration process as a whole is still weak'. 13
Kincaid (2000) recognises the challenge of reintegration in Guatemala and El Salvador with such few job prospects. Gleichmann, et al. (2004) argue that international assistance should focus on 'funding new micro- and small-scale businesses set up through an open reintegration fund' (p. 86) in Guatemala, and other countries such as El Salvador, Mozambique and Ethiopia.
The utility of maintaining links with armed groups, following demobilisation, is highlighted in some of the literature. Patel et al. (2009) notes that recent studies highlight positive effects on female excombatants' reintegration when using support networks, peer assistance, and self-help groups based on former group alliances. The paper refers to Guatemalan female ex-combatants who following demobilisation continued to play political and social activism roles. Meanwhile, Gleichmann, et al. (2004) notes that in Guatemala and El Salvador, the establishment of formal organisations for ex-combatants – like veterans' associations – fostered direct links between ex-combatants, the government and UN agencies working on the reintegration programmes.
4.2 Roles and lessons for the international community
A widely cited journal article by Colletta and Muggah (2009, p. 443) argues that challenges and lessons from DDR initiatives are leading academics to search for 'second generation' DDR programmes, particularly in Latin America and the Caribbean. Such programmes tend to be led more by evidence, based on the identification of country needs, focussed on local risk factors and resilience at the community levels (p. 444). This approach shifts from 'top-down interventions designed by outsiders to more community-designed and executed approaches' (p. 444).
Lessons for the EU
The EU's guidance note on DDR (2006) outlines the following recommendations for its support to DDR activities:
[x] Defining ex-combatants and criteria for eligibility (p. 9). It is inherently difficult to identify excombatants – there can be incentives to enlarge or reduce the actual number. Therefore 'the eligibility criteria need to be tightly defined and expectations need to be carefully managed from the outset'.
[x] Gender (p. 9) – An 'equalised gender approach' should 'offer equal benefits to men and women ex-combatants'. The definition of an ex-combatant should not just include those with arms, but non-fighting ex-combatants that may be more likely to be women.
[x] Children (p .9-10) – DDR activities should be sensitive to the special needs of child combatants, such as reuniting with their families, needs for education and life skills, and healing from trauma. The paper advises that 'immediate support should be offered to children to reintegrate into society, through community-based approaches', and this should be funded through humanitarian budgets, if a formal DDR process has not been initiated.
[x] Funding (p. 10) – 'Providing sufficient funds for reintegration has many times been a problem as often not enough money has been earmarked for this part of the process and reintegration
13 See http://en.wikisource.org/wiki/MINUGUA_-_Fourth_report . This appears to be the only publically available progress report online.
phases have not always been complemented by other programmes, like more extensive, followon community development activities. The international donor community needs to make longterm commitments and sequence support in such a way that it can ensure that sufficient funds are allocated to the entire process.'
[x] Aid modalities (p. 10) – 'Serious consideration should be given to channelling DDR funding through a multi-donor Trust Fund Mechanism with pre-committed financing.' Two 'different windows for different components of the DDR process' could be used, 'one for long-term reintegration of ex-combatants and one for support to affected communities'.
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http://www.tandfonline.com/doi/pdf/10.1080/13533312.2010.546104#.UnKLf3C-2So Holiday, D. & Stanley, W. (1993). Building the peace: preliminary lessons from El Salvador. Journal of International Affairs, 46(2). http://davidholiday.com/publications/building_the_peace.pdf Human Rights Watch. (2009). Paramilitaries' Heirs (Summary and recommendations). Human Rights Watch. http://www.hrw.org/sites/default/files/reports/colombia0210_insert_low_0.pdf ICG. (2004). Monitoring the Northern Ireland ceasefires: lessons from the Balkans. Europe Briefing. ICG. http://www.crisisgroup.org/~/media/Files/europe/10423_n_ireland_lessons_from_balkans.pdf ICG. (2013). Colombia's peace talks: the importance of transitional justice. Video. ICG. http://www.youtube.com/watch?v=ri4iEPhkOr0 Jones, B. D. (2001). The Challenges of Strategic Coordination: Containing Opposition and Sustaining Implementation of Peace Agreements in Civil Wars. International Peace Academy and Center for International Security and Cooperation, Stanford University. http://www.ipinst.org/media/pdf/publications/pdf_report_challenges.pdf Kincaid, A. D. (2000). Demilitarization and security in El Salvador and Guatemala: convergences of success and crisis. Journal of Interamerican Studies and World Affairs, 42(4), 39-58. http://onlinelibrary.wiley.com/doi/10.1111/j.1548-2456.2000.tb00159.x/abstract Koth, M. (2005). To End a War: Demobilization and Reintegration of Paramilitaries in Colombia. Paper 43. Bonn International Center for Conversion. http://www.isn.ethz.ch/DigitalLibrary/Publications/Detail/?ots591=0c54e3b3-1e9c-be1e-2c24-a6a8c7060233&lng=en&id=10864 Manning, C. & Malbrough, M. (2009). Learning the Right Lessons from Mozambique's Transition to Peace. Taiwan Journal of Democracy, 5(1), 77-91. http://www.tfd.org.tw/docs/dj0501/077-092Carrie%20Manning.pdf McFate, S. (2010). The link between DDR and SSR in conflict affected countries. United States Institute of Peace. http://dspace.cigilibrary.org/jspui/bitstream/123456789/28920/1/The%20Link%20Between%20DDR%20a nd%20SSR%20in%20Conflict-%20Affected%20Countries.pdf?1 Miller. D. B. & Rudnick, L. (2012). A Framework Document for Evidence-Based Programme Design on Reintegration. UNDIR. http://www.unidir.org/files/publications/pdfs/a-framework-document-forevidence-based-programme-design-on-reintegration-396.pdf Montaña. T., (2009). Comunidad Internacional y Paz. Red Colombiana de Relaciones Internacionales. http://www.redintercol.org/Montana-Tathiana-Comunidad-internacional-y-paz.pdf Morgenstein, J. (2008). Consolidating disarmament lessons from Colombia's reintegration program for demobilized paramilitaries. United States Institute of Peace. http://dspace.cigilibrary.org/jspui/bitstream/123456789/25273/1/Consolidating%20Disarmament%20%20Lessons%20from%20Colombia's%20Reintegration%20PRogram%20for%20Demobilized%20Paramilitar ies.pdf?1 Organisation of American States (OAS). (2004). Report on the demobilization process in Colombia. Report of the Inter-American Commission on Human Rights. http://www.cidh.org/countryrep/Colombia04eng/toc.htm Patel, A. C., De Greiff, P., & Waldorf, L. (2009). Disarming the past: Transitional Justice and Ex-combatants. Social Science Research Council. http://www.ssrc.org/workspace/images/crm/new_publication_3/%7B465ede38-0c0d-df11-9d32001cc477ec70%7D.pdf Pax Christi. (2011). DDR in the Colombian context. Pax Christi. http://www.ikvpaxchristi.nl/media/files/ddr-inthe-colombian-context-policy-brief-march-2011.pdf Proyecto MER (Movilización de Respuesta Temprana). (2009). Conflictividad y focos de conflicto en Nicaragua, Guatemala, Honduras y El Salvador, una evaluación preliminar. Coordinadora Regional de Investigaciones Económicas y Sociales. http://www.cries.org/wp-content/uploads/2010/05/conflictividad-centroamericaesp.pdf Ramírez Ocampo, A. (2004). The role of the international community in Colombia. Conciliation Resources. http://www.c-r.org/sites/cr.org/files/Accord%2014_15The%20role%20of%20the%20international%20community%20in%20Colombia _2004_ENG.pdf Ribando Seelke. C. (2013). El Salvador Political and Economic Conditions and U.S. Relations. US Congressional Research Service. http://www.fas.org/sgp/crs/row/RS21655.pdf
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UN. (2010). Second generation disarmament, demobilisation and reintegration (DDR): Practices in Peace Operations. UN. http://www.un.org/en/peacekeeping/documents/2GDDR_ENG_WITH_COVER.pdf UNDIR. (2003). A Handbook on Verification and Compliance. UNIDIR.
and-compliance-302.pdf
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http://www.mdrp.org/PDFs/MDRP_Working_Paper1.pdf
Key websites
[x] Agencia Colombiana para la Reintegración (ACR)
http://www.reintegracion.gov.co/
[x] United Nations Disarmament, Demobilization and Reintegration Resource Center http://www.un.org/en/peacekeeping/issues/ddr.shtml
[x] Conciliation Resources, Alternatives to war: Colombia's peace processes http://www.c-r.org/accord/colombia
[x] Conciliation Resources, Colombia (general profile)
http://www.c-r.org/our-work/colombia
[x] International Crisis Group (ICG), Colombia
http://www.crisisgroup.org/en/regions/latin-america-caribbean/andes/colombia.aspx
6. Appendices
Appendix 1 – Full question
Guiding question:
What lessons learned are there from international community involvement in the implementation of peace agreements that are relevant to Colombia's forthcoming peace agreement and its following implementation?
Subsections:
1. Lessons learned from reintegration experiences:
a. How have the international (donor) community been involved in the reintegration of excombatants during the implementation of peace agreements in: (a) the Latin America region (Guatemala, El Salvador, and Peru); and (b) elsewhere (e.g. Northern-Ireland, Burundi, etc.)?
b. What were the challenges, successes and failures of these experiences?
c. What worked? What went wrong? What were the missed opportunities?
d. What are the lessons learned for international (donor) community involvement?
2. Lessons learned from monitoring and verification of compliance with peace agreements:
a. Provide examples of successful and unsuccessful cases of monitoring and verification of compliance with peace agreements.
b. Include mechanisms such as civil society platforms or Groups of Friends.
c. Include case study examples, and general principles.
d. What are the lessons learned for international (donor) community involvement?
3. Lessons learned from Colombia's experiences with peace agreements:
a. Why did previous attempts to achieve a peace agreement in Colombia fail? (general reasons)
b. What were the challenges, successes and failures in the M-19 reintegration process?
c. How were the international (donor) community involved, what opportunities were missed?
d. What are the lessons learned for international (donor) community involvement?
4. Lessons learned from dismantling rebel and paramilitary groups in Colombia's partial DDR (post-2005):
a. What were the challenges, successes and failures of dismantling rebel and paramilitary groups during Colombia's partial DDR process (post 2005)? (general reasons)
b. How were the international (donor) community involved?
c. Why did so many paramilitaries fail to be reintegrated properly?
d. What are the lessons learned for international (donor) community involvement?
Appendix 2 – The 16 principles for verification
These 16 principles for verification were adopted in 1990 by the United Nations Disarmament Commission and recommended by the General Assembly in resolution A/43/78 A (see section 3). 14
1. Adequate and effective verification is an essential element of all arms limitation and disarmament agreements.
2. Verification is not an aim in itself, but an essential element in the process of achieving arms limitation and disarmament agreements.
3. Verification should promote the implementation of arms limitation and disarmament measures, build confidence among States and ensure that agreements are being observed by all parties.
4. Adequate and effective verification requires employment of different techniques, such as national technical means, international technical means and international procedures, including on-site inspections.
5. Verification in the arms limitation and disarmament process will benefit from greater openness.
6. Arms limitation and disarmament agreements should include explicit provisions whereby each party undertakes not to interfere with the agreed methods, procedures and techniques of verification, when these are operating in a manner consistent with the provisions of the agreement and generally recognized principles of international law.
7. Arms limitation and disarmament agreements should include explicit provisions whereby each party undertakes not to use deliberate concealment measures which impede verification of compliance with the agreement
8. To assess the continuing adequacy and effectiveness of the verification system, an arms limitation and disarmament agreement should provide for procedures and mechanisms for review and evaluation. Where possible, time-frames for such reviews should be agreed in order to facilitate this assessment.
9. Verification arrangements should be addressed at the outset and at every stage of negotiations on specific arms limitation and disarmament agreements.
10. All States have equal rights to participate in the process of international verification of agreements to which they are parties.
11. Adequate and effective verification arrangements must be capable of providing, in a timely fashion, clear and convincing evidence of compliance or non-compliance. Continued confirmation of compliance is an essential ingredient to building and maintaining confidence among the parties.
12. Determinations about the adequacy, effectiveness and acceptability of specific methods and arrangements intended to verify compliance with the provisions of an arms limitation and disarmament agreement can only be made within the context of that agreement.
13. Verification of compliance with the obligations imposed by an arms limitation and disarmament agreement is an activity conducted by the parties to an arms limitation and disarmament agreement or by an organization at the request and with the explicit consent of the parties, and is an expression of the sovereign right of States to enter into such arrangements.
14. Requests for inspections or information in accordance with the provisions of an arms limitation and disarmament agreement should be considered as a normal component of the verification process. Such requests should be used only for the purposes of the determination of compliance, care being taken to avoid abuses.
14 See p.25-27, http://www.un.org/disarmament/HomePage/ODAPublications/DisarmamentStudySeries/PDF/DSS_32.pdf
15. Verification arrangements should be implemented without discrimination, and, in accomplishing their purpose, avoid unduly interfering with the internal affairs of State parties or other States, or jeopardizing their economic, technological and social development.
16. To be adequate and effective, a verification regime for an agreement must cover all relevant weapons, facilities, locations, installations and activities are found in the 1978 Tenth Special Session of the United Nations General Assembly, and the 1988 United Nations Disarmament Commission (UNDC) agreed on 16 Principles of Verification (UNDIR, 2003, p.5).
Appendix 3 – The 21 recommendations for verification
These 21 recommendations for verification were published in 2008 in the report of the UN Panel of Government Experts on verification (see section 3). 15
Recommendation 1
24. Non-proliferation, arms control and disarmament treaties, agreements and commitments, when and if appropriate to the circumstances, should be defined in a way such that they can be subject to effective verification.
Recommendation 2
25. Verification approaches should be designed to enable the parties to an agreement to monitor compliance, and detect and collect evidence of possible non-compliance, before that non-compliance threatens the core security objectives of the agreement. To the extent that these objectives can be achieved, it is therefore preferable that treaties, agreements and commitments be supported by an appropriately elaborated set of verification procedures and means that take full account of the nature of the agreement and the relationship among the potential parties.
Recommendation 3
26. If it is determined by States that verification cannot be achieved with confidence in this fashion, States may wish to consider proceeding with the agreement using other appropriate means.
Recommendation 4
27. Analysis could be undertaken of the capability of existing and possible new verification methods to detect significant, deliberate non-compliance or a pattern of non-compliance with obligations.
Recommendation 5
28. Further consideration could be given to responses to withdrawal from treaties where the withdrawing party has misused its technology and technology transfers for peaceful purposes to pursue prohibited weapons-related activities, with specific reference to non-compliance, continuing verification and denying violators the benefits of their violations.
15 See – p.14-22 http://www.un.org/disarmament/HomePage/ODAPublications/DisarmamentStudySeries/PDF/DSS_32.pdf
Recommendation 6
36. Those in a position to do so might consider assisting relevant States and regional groups in developing the legal, institutional and operational capacity to implement their obligations under Security Council embargoes and sanctions. In this regard, the utilization and continued development of effective, low-tech monitoring technologies and methodologies should be fostered, as well as the strengthening of States' tracking of illegal arms flows and enhanced national controls on imports, exports, financial transactions and brokering relating to illicit arms transfers.
Recommendation 7
37. The United Nations could encourage improved coordination among Member States and regional organizations and help affected States to participate actively in monitoring and verifying compliance with arms embargoes and sanctions.
Recommendation 8
38. States Members of the United Nations, in line with Security Council resolution 1540 (2004), should consider the kind of practical assistance they can provide, particularly in the areas of reporting and capacity-building, to help States implement their non-proliferation obligations.
Recommendation 9
39. Private donors, foundations, non-governmental organizations and international organizations could assist States in ensuring that civil society is aware of its obligations.
Recommendation 10
40. Partnerships between or among States, the United Nations, other international organizations and civil society to help build capacity for national implementation of States' obligations, including through research and identification of appropriate legislative models and best practices, might be further encouraged, where appropriate.
Recommendation 11
53. States might usefully examine the lessons learned from past verification experiences, including, the use of inspections, interviews, data mining, multidisciplinary approaches, teams and training.
Recommendation 12
54. States should consider practically how they might go about handling challenge inspections at sensitive sites in order to manage access in a way that builds confidence that the process can demonstrate compliance, while preventing disclosure of confidential information and data not related to the obligation at hand. This could be done for examples through training or table-top exercises and mock inspections with or without involvement of international organizations or other States parties.
Recommendation 13
55. There may be scope for further cooperation between and among States and standing verification mechanisms of relevant international organizations to identify potential synergies and collaborative possibilities.
Recommendation 14
56. Changes in the international security environment can have implications for what States need in their verification toolbox. The creation of new or expanded obligations may require different or new methodologies and techniques (such as, for example, environmental sampling, open-source analysis, interviewing personnel and informal monitoring by civil society). States in a position to do so should continue to research new verification methods and technologies to meet today's challenges and obligations.
Recommendation 15
57. States in a position to do so may wish to consider how best to assist other States in identifying, acquiring and using those verification and monitoring techniques, technologies and methodologies, in particular low-tech, that are best suited to their particular security needs. This could be particularly useful in the area of the illicit transfer of conventional weapons.
Recommendation 16
66. In the context of General Assembly resolutions 42/37 C and 45/57 C, States could consider ways in which they could contribute to making the Secretary-General's mechanism to investigate alleged use of chemical or biological weapons weapons more operational and cost-effective through national measures.
Recommendation 17
67. Consideration should be given to strengthening ties and establishing appropriate standing arrangements with international organizations, including OPCW, States and regional bodies, so as to build upon and make use of their relevant investigative capabilities and make the mechanism more operational and cost-effective.
Recommendation 18
68. States that have not done so should consider providing the names of experts and/or laboratories to facilitate the updating of the relevant lists.
Recommendation 19
69. States could continue to explore the synergies that may exist in the area of techniques and methodologies of monitoring and verification and in addressing situations relating to compliance and non-compliance.
Recommendation 20
70. International organizations mandated to collect information from States in support of monitoring States' compliance with obligations might consider ways and means of alleviating or mitigating the overlap, as well as of improving the ways in which data are collected and disseminated to States.
Recommendation 21
71. Bilateral and regional arrangements could be encouraged to play a role, where appropriate, in promoting compliance, building confidence and detecting, assessing and responding to non-compliance.
|
Pope Francis: The First Year
SFU
19 March 2014
Dear colleagues and friends: Ladies and Gentlemen:
Introduction
Thank you for your warm introduction. I am very happy to be here with you this morning for the lecture arranged by Father Fernando Mignone, the Catholic Chaplaincy and CCO, with a grant from the Simon Fraser Student Society. It is especially a pleasure to mark today the one-year anniversary of the installation of Jorge Mario Bergoglio, Pope Francis, as the Successor of Peter and the 266 th Bishop of Rome.
My task this morning is to suggest to you some of the changes introduced by the present Pope in the longest surviving institution in the western world, the papacy. I will contend that Pope Francis is pointing the Church in a fresh direction – "changing" it, if you will, though that word is loaded. But let me be clear at the outset. Those who think the Pope is about to change the Church's teaching on what are often referred to as hot-button issues are bound to be disappointed. This is not what I am proposing, because it is not what Francis is suggesting. What can, indeed must, change is he way the Church presents and pastorally applies her teaching, making it more persuasive and compelling for individuals. That's the kind of change that
Francis is fostering: a continuity in doctrine, but a change in pastoral approach.
This change can be detected in at least five areas: first, by restoring the popularity of the papacy on the world stage; second; by using social communications in a new way; third, by re-framing the public image of the Church; fourth, by emphasizing our need to go the "periphery"; and fifth, by fostering co-responsibility in the governance of the Church. If time allows, I will deal with each of these.
1. Restoring Popularity by a New Style
Pope Francis, in less than a year, has rebooted the image of the papacy on the world stage. "The most important achievement of Pope Francis is that he has rebranded Catholicism and the papacy. Prior to Francis, if you asked someone on the street, "What is the Catholic Church all about? What does the Pope stand for?" the response would be, "He is against abortion, gay marriage and birth control." Certainly in the media that was what has been portrayed, along with the horrendous scandal of clerical sexual abuse. Today, the response would be different. "He is concerned about compassion, love, especially for the poor." He has even won over the media. The Church is making the front page for something other than criminal activity and scandal. 1
In fact, the Holy Father has made such a positive impact on the world stage that negative comments are almost entirely absent – something quite different from the relentless – and, I believe, unfounded criticism that plagued his predecessor, Benedict XVI.
Just one year after his election, Francis is probably the most respected and beloved person on the planet today. The huge crowds at his every public function, high approval ratings, and the attention paid to his words and actions have had an enormous impact on people.
Accustomed to change at a leisurely, if not glacial pace, something immediately happened when he first stepped onto the balcony of St. Peter's Basilica after his election to greet the crowd. He wore his old metal pectoral cross, which he still wears, began with "buona sera," and shortly thereafter bowed his head before the people, his people, and asked for their prayers. In retrospect, this was an image of things to come – and so a lasting icon of his papacy never to be forgotten.
1.1 What's In a Name?
This papacy begins with a name. Not only is Francis the
1 Cf. Thomas Reese, "Pope Francis after a Year."
first Latin American and the first Jesuit Pope in history, he is the first one to take the name of the most beloved of all Saints in the calendar, and not only by Catholics but by other Christians and adherents of other faiths.
Why did he take this name on March 13 last year?
The choice, coming after 12 Piuses, 14 Clements, 16 Benedicts and 23 Johns, is clearly and pointedly personal. In his first audience with journalists and media people very soon after his election, the new Pope told us why he chose the name:
Some people wanted to know why the Bishop of Rome wished to be called Francis. Some thought of Francis Xavier, Francis De Sales, and also Francis of Assisi. I will tell you the story. During the election, I was seated next to the Archbishop Emeritus of São Paolo and Prefect Emeritus of the Congregation for the Clergy, Cardinal Claudio Hummes: a good friend, a good friend!
When things were looking dangerous, he encouraged me. And when the votes reached two thirds, there was the usual applause, because the Pope had been elected. And he gave me a hug and a kiss, and said: "Don't forget the poor!" And those words came to me: the poor, the poor. Then, right away, thinking of the
poor, I thought of Francis of Assisi. Then I thought of all the wars, as the votes were still being counted, till the end. Francis is also the man of peace. That is how the name came into my heart: Francis of Assisi. For me, he is the man of poverty, the man of peace, the man who loves and protects creation How I would like a Church which is poor and for the poor! 2
Since the choice of the name was so spontaneous, it can hardly be said that he had long intended it to set the program for his papacy if he were to be elected, as apparently had nearly been the case in the conclave of 2005. But the Saint of Assisi has stamped his pontificate.
1.2 Symbolic Gestures of Simplicity
A lot of Francis' popularity, I think, has to do with his style, which is both simple and profound. He strikes a cord with ordinary people. By putting aside the gleaming Mercedes and replacing it with a modest car, a Ford Focus; by living not in the papal apartments in the Apostolic Palace but in two ordinary rooms at the Santa Marta Residence, sometimes referred to as the Vatican's "B and B," the same kind of accommodation reserved for those who work in the Roman Curia; by returning to
2 Francis, Address to Representatives of the Media (16 March 2013).
the Casa del Clero after his election and paying his bill in person; by getting down from his Popemobile and tenderly embracing a very handicapped young man in his arms by kissing and washing the feet of incarcerated young people on Holy Thursday, including a Muslim girl. All of these are reasons why he has endeared himself to the public. In an age when many are deeply troubled by the vanity of celebrities and the wealth of plutocrats, the Pope has swiftly become the leading global symbol of compassion and humility.
Pope Francis, they say, is relentlessly personal, a one-on-one person, who exudes a compellingly attractive warmth and who talks all the time. And he has admitted as much. When asked why he didn't move into the papal apartments he just said: "I cannot live alone or with just a few people! I need people, I need to meet people, to talk to people." 3
Part of the enthusiastic response to Francis is the sense that you are entering into a relationship with a father figure. People catch that sense of spiritual paternity and think, "This could be my father." Unlike the gentle and shy Benedict who took to the sidelines, never drawing attention to himself, Francis is more atuned to what people want in a leader. The sheep want a
3 Francis, Interview on Papal Flight from Rio to Rome (28 July 2013).
pastor who demonstrates that he knows his sheep. In a technological world, people are hungry for this kind of relationship. And Francis is giving them that. As an editorial in The Tablet put it: He "accepts human nature as frail and does not demand perfection. This is a pope who, rather than wag his finger, puts his arm around the shoulder." 4 He understands that people need to be loved; to know that God loves them unconditionally.
A couple of weeks ago the Pope was interviewed by Il Corriere della Sera of Milan, the New York Times of Italy, and was asked: "You have said that the Francis-mania will not last long. Is there something in your public image that you don't like?" Francis replied:
4 Editorial, The Tablet (5 October 2013), 2.
I like being among the people. Together with those who suffer. Going to parishes. I don't like the ideological interpretations, a certain "mythology of Pope Francis." When it is said, for example, that he goes out of the Vatican at night to walk and to feed the homeless on Via Ottaviano. It has never crossed my mind. If I'm not wrong, Sigmund Freud said that in every idealization there is an aggression. Depicting the Pope to be a sort of superman, a type of star, seems offensive to me. The Pope is a man who laughs, cries, sleeps calmly and has friends like everyone. A normal person. 5
2. Developing a New Communications Strategy
A second significant change in this pontificate is the way in which the Holy Father approaches the media. We might say he is developing a new communications strategy. And I just don't mean his wildly popular twitter account Francis@Pontifex.
In private and in public utterances, Pope Francis talks freely, very freely, and without spin doctors of any kind. Indeed, since July at least three major "interviews" or informal statements have made headlines around the world in a way that his first encyclical,
5 Francis, Interview, Il Corriere della Sera (5 March 2014).
Lumen Fidei, admittedly primarily the work of his predecessor Benedict XVI, caused only a polite ripple of response. We might consider that a new form of magisterial teaching, one to be added to encyclicals, exhortations, apostolic letters, homilies and discourses is emerging: the papal interview.
As in so many other ways, however, Francis has been following Benedict's lead. Already in 2010, Peter Seewald published his book, Light of the World, which was the fruit of his conversations with Pope Benedict at Castel Gandolfo that summer. But, as in other steps he is taking, Francis pushes the envelope just a little further, and with the help of a much more favorable press. A great deal of what Francis is doing is putting flesh and blood on the teaching which Benedict had already, at least in part, articulated.
Initially, he did not adopt the form of the interview to communicate with the faithful and the world. In fact, on his trip to World Youth Day in late July, he told the journalists on the plane: "It is true that I do not give interviews, but why, I do not know, I can't, it's just like that. For me it is quite an effort to do so." 6 But since the experience in Rio, he has changed his mind. And
6 Francis, Meeting with Journalists on Route to World Youth Day in Rio de Janeiro (22 July 2013).
mightily. Now it seems no effort at all. On the return trip from Brazil, he granted a long question-and-answer and no-holds-barred interview on any topic presented to him.
The most fascinating, revealing and charming interview – an absolutely "must read" – was the one published last September in La Civiltà Cattolica, a semi-official organ of the Holy See, and in English in the Jesuit magazine America. 7 It was the fruit of a series of conversations between the Pope and Father Antonio Spadaro, editor in chief of La Civiltà Cattolica. It was put down in writing with great care and was checked word for word by the author before it was given to the press.
With good reason, therefore, this interview rightly can be considered, say many commentators, as if it were the first true "encyclical" of Pope Francis. The interview, then, is now an established papal literary genre, one aimed at facilitating the reading and fostering of its widespread diffusion. But we are still not yet used to it as a form of papal discourse. When the Pope speaks in this still untraditional way, the world bends its ear to hear him. The novel appeal of an informal, conversational Pope opens up possibilities for engaging audiences otherwise
7 Antonio Spadaro, "A Big Heart Open to God: A Conversation with Pope Francis," America, vol. 209:8 (30 September 2013), 14-38.
unreceptive or tuned out the Gospel.
In granting interviews, and not only to in-house Vatican officials but also to the most popular Italian papers like La Repubblica and Il Corriere della Sera, Francis is aware of the risks that he runs. During informal conversation, a speaker is thinking out loud, he can omit important qualifications to categorical statements. He can take premises for granted and be unaware of how what he says, when taken out of context, might lend itself to misinterpretation, innocent or malicious. Some feel that conversational phrases such as these compromise the weight that should always be given to what the Pope says. Others have criticized the lack of careful scrutiny by people of trust as imprudent, since it is common practice for public figures to have their oral and written texts reviewed by others.
Benedict was often criticized for communications problems during his pontificate. The difference between his approach and Francis' efforts is that between night and day. Benedict wasn't terribly interested in meeting with reporters. And people were not expecting Cardinal Bergoglio to be either. He wasn't out giving interviews in Argentina. But now he is running his own communications shop – and very well, thank you. How, then, can we describe Pope Francis' media strategy? As one reporter put it: "Get out of the way; Francis is in town and doing his thing and winning over the masses."
3. Re-framing the Image of the Church
A third item of what we can loosely call the Pope's "renewal agenda" is his evident desire to re-frame the public's view of what the Church is about. Like St. Francis, he knows that people don't want a Church laden with a bureaucratic and officious attitude. People need a Church that loves in practical ways.
3.1 The Church as a Womb of Mercy and Field Hospital
The Holy Father is obliging them. He wants the world to know that the Church isn't here to condemn them. For him, that is a false understanding of the Church. Francis wants a Church that is always reluctant to condemn but never hesitant to offer mercy. And he uses two particularly striking images to convey this: the Church is like a mother who never gives up on a wayward child; and second, the Church is like a field hospital in time of warfare; she tends the wounded.
Likening the Church to a mother who never gives up on her children, even when they err, the Holy Father has said:
She is a merciful mother who understands, who has always sought to help and encourage even those of her children who have erred or are erring; she never closes the door to home. She does not judge but offers God's forgiveness, she offers his love which invites even those of her children who have fallen into a deep abyss to continue on their way. 8
8 Francis, General Audience (18 September 2013), 2.
Elsewhere, the Pope has said that he believes that this is "the season of mercy" 9 for the Church. The many problems in the Church – like the poor witness given by some priests, problems of ecclesial corruption, abuse and clericalism, for example, have left many people hurt. What is the Pope's answer? "The Church is a mother: she has to go out to heal those who are hurting, with mercy. If the Lord never tires of forgiving, we have no other choice than this: first of all, to care for those who are hurting. The Church is a mother, and she must travel this path of mercy. And find a form of mercy for all." 10
There is no doubt in my mind that a major leitmotif of Pope Francis's fledgling papacy is this emphasis on the mercy of God, which, in turn, the Church must manifest. "We need a Church capable of rediscovering the maternal womb of mercy," he has said. "Without mercy we have little chance nowadays of becoming part of a world of 'wounded' persons in need of understanding, forgiveness, love." 11
9 Francis, Interview on Papal Flight from Rio to Rome (28 July 2013).
10 Francis, Interview on Papal Flight from Rio to Rome (28 July 2013).
11 Francis, Address to the Bishops of Brazil (28 July 2013).
The Pope's point of departure for this emphasis on mercy is his looking at himself. In his interview with La Civiltà Cattolica, Father Spadaro records that he asked the Pope point-blank: "Who is Jorge Mario Bergoglio?" He replied: "I do not know what might be the most fitting description. . . . I am a sinner. This is the most accurate definition. It is not a figure of speech, a literary genre. . . . I am a sinner whom the Lord has looked upon." 12
This emphasis on mercy was evident right from the very beginning of his pontificate. The words he used upon accepting his election were: "I am a sinner, but I trust in the infinite mercy and patience of our Lord Jesus Christ." 13 As Paul Vallely, the Pope's biographer has remarked, "Judging by his personal history, the themes of sinning, forgiveness and mercy are an
12 Antonio Spadaro, "A Big Heart Open to God: A Conversation with Pope Francis," America, vol. 209:8 (30 September 2013), 16. His motto is "Miserando atque Eligendo," "By Having Mercy and By Choosing Him." This is illustrated in Caravaggio's painting of the call of St. Matthew in San Luigi dei Francesi in Rome: Jesus is at one and the same time "having mercy" on the publican and "choosing" him to share in his mission. As Michael Holman notes: "This is language many Jesuits will associate with the opening sentence of the second decree of the thirty-second General Congregation of the Society of Jesus in 1974, at which Fr. Jorge Bergoglio, then Jesuit provincial in Argentina, was a delegate. 'What is it to be a Jesuit?' the decree asked. 'It is to know that one is a sinner yet called to be a companion of Jesus as Ignatius was'" (Michael Holman, "Decoding Pope Francis," The Tablet (28 September 2013), 6.
13Antonio Spadaro, "A Big Heart Open to God: A Conversation with Pope Francis," America, vol. 209:8 (30 September 2013), 16.
autobiographical as well as a theological preoccupation." 14
Perhaps the most original of Pope Francis' images of how he views the Church is that of the "field hospital" where wounds are healed. Again, to cite his interview with Father Spadaro:
14 Paul Vallely, Decoding Pope Francis," The Tablet (28 September 2013), 6.
I see clearly that the thing the Church needs most today is the ability to heal wounds and to warm the hearts of the faithful; it needs nearness, proximity. I see the Church as a field hospital after battle. It is useless to ask a seriously injured person if he has high cholesterol and about the level of his blood sugars! You have to heal his wounds. Then we can talk about everything else. Heal the wounds, heal the wounds. . . . And you have to start from the ground up. 15
15 "A Big Heart Open to God: A Conversation with Pope Francis," America, vol. 209:8 (30 September 2013); cf. Francis, Meeting with Priests (6 March 2014): "Today we can think of the Church as a 'field hospital.' This, excuse me, I repeat, because I see it like this, I feel it so: a 'field hospital.' There is need to cure the wounds, so many wounds! So many wounds! There are so many wounded people, by material problems, by scandals, also in the Church Wounded people by the illusions of the world We, priests, must be there, close to these people. Mercy means first of all to cure the wounds. When one is wounded, one needs this immediately, not analyses, such as the significance of cholesterol, of glycaemia But the wound is there, cure the wound, and then we will look at the analyses. Then the specialist cures will be made, but first the open wounds must be cured. For me this, at this moment, is the most important. And there are also hidden wounds, because there are people who move away, so that their wounds are not seen."
The physician, the Church, on the field of battle is to treat major wounds and to try desperately to stop the bleeding. What we find today, he thinks, are people who are spiritually gravely wounded: alienated from God, struck in the no-man's land of moral relativism, adrift in an abyss with no sense of direction or purpose.
They need healing – and fast. 16 They need the consolation of knowing they are loved by God, and "the chance to live life on a higher plane." 17
3.2 Pastoral Approach: First the Essential
When the Church addresses "tough" issues which touch the intimate, especially sexual, lives of people, they have to be talked about within the context of the full Gospel. Stated in another way, it is a question of knowing the priorities, of knowing what is of greater and what is of lesser importance, and of scrupulously observing that order, never fashioning one's message so that what is secondary is what is first proposed.
16 Cf. Robert Barron, "The Church Is a Home for Everybody," Catholic Register (13 October 2013), 13.
17 Francis, Evangelii Gaudium, 10.
"The Church sometimes has locked itself up in small things, in small-minded rules," Francis has said. "The most important thing is the first proclamation: Jesus Christ has saved you. And the ministers of the Church must be ministers of mercy above all." 18 Here he is not saying that rules – moral, liturgical, canonical and so on – are unimportant or unnecessary. But he is suggesting that they can make sense only in light of what is primary: encountering the mercy of the living Christ.
With insistence he made the same point later in Evangelii Gaudium, where the Pope laments that, because of the media attention given to certain moral issues, the heart of the Gospel is obscured and a moralism is falsely equated with its message:
In today's world of instant communication and occasionally biased media coverage, the message we preach runs a greater risk of being distorted or reduced to some of its secondary aspects. In this way certain issues which are part of the Church's moral teaching are taken out of the context which gives them their meaning. The biggest problem is when the message we preach then seems identified with those secondary
18Antonio Spadaro, "A Big Heart Open to God: A Conversation with Pope Francis," America, vol. 209:8 (30 September 2013).
aspects which, important as they are, do not in and of themselves convey the heart of Christ's message. . . . [And here he gets to the specific point he has to make] When we adopt a pastoral goal and a missionary style which would actually reach everyone without exception or exclusion, the message has to concentrate on the essentials, on what is most beautiful, most grand, most appealing and at the same time most necessary. 19
4. Going to the Periphery
A fourth way in which we can draw attention to the changes being introduced by the Pope Francis is to look at his emphasis on "going to the periphery." This ties in both with his particular emphasis on the need for the faith community to go out of itself, and of being a "poor Church for the poor."
4.1 To the Margins
Pope Benedict XVI worried that Christians were being sidelined from mainstream culture in the West, yet they could still serve as a "creative minority," a leaven in an increasingly secular world. Benedict was interested in putting the internal house of
19 Francis, Evangelii Gaudium, 34, 35; cf. 128: "always keeping in mind the fundamental message: the personal love of God who became man, who gave himself up for us, who is living and who offers us his salvation and his friendship." See also Antonio Spadaro, "A Big Heart Open to God: A Conversation with Pope Francis," America, vol. 209:8 (30 September 2013):
the Church in order, ensuring that God was at the center of the Church, including the Liturgy. Certainly he proposed, like his own predecessor, a "new evangelization." But Pope Francis goes one step further. He is concerned that the faithful are too insular and have retreated from outreach to the work, with the risk of slipping into a tribal mentality. He wants to open the Church's doors to the world outside. It is for the whole world. And he wants this message seen, heard and understood.
"At this time of crisis we cannot be concerned solely with ourselves, withdrawing into loneliness, discouragement and a sense of powerlessness in the face of problems. Please do not withdraw into yourselves!" the Pope challenged thousands of people from the ecclesial movements on the Vigil of Pentecost. Then he warned that "when the Church becomes closed, she becomes an ailing Church, she falls ill! . . . .Think of a room that has been closed for a year. When you go into it there is a smell of damp, many things are wrong with it. A Church closed in on herself is the same, a sick Church." 20
20 Francis, Address to the Ecclesial Movements, Vigil of Pentecost (18 May 2013).
Bringing the Church "nearer to people" 21 is on Francis's mind. Speaking of the parish, for example, he warns that it must "not become a useless structure out of touch with people or a self-absorbed cluster made up of a chosen few." 22 He is constantly telling people where they should go: to the margins and fringes of society, to where they do not feel comfortable, to where people most need their presence and to hear the message of the Gospel. By his own admission, Francis says: "I therefore like using the expression "to go toward the outskirts," the outskirts of existence." 23 He wants his people to go to the margins, from where there is physical and real poverty to where there is intellectual poverty, which for him is equally real.
4.2 Bringing the Good News to the Poor
Going out to the periphery for Pope Francis, to the margins and fringes of the world, also includes a specific group who have the first right to have the first claim, so to speak, to attention. There is a group of favourite sons and daughters – and those are the poor.
21 Francis, Evangelii Gaudium, 28.
22 Francis, Evangelii Gaudium, 28.
23 Francis, Address to the Ecclesial Convention of the Diocese of Rome (17 June 2013).
"A poor Church for the poor." This is becoming a slogan of Francis' papacy. In taking this path, the Pope is imitating his namesake, St. Francis, who, "longed for a poor Church that took care of others, that received material help and used it in order to support others, with no thought for herself. Eight hundred years have passed and times have greatly changed, but the ideal of a poor and missionary Church still holds. This is, in any case, the Church that Jesus and his disciples preached." 24
The Church herself must be poor if she is to imitate her Lord authentically and convincingly, with all the power her witness can muster, to preach the Good News to the poor (cf. Lk 4:18). Why does he speak so frequently about the poor? He has told us, lest we confuse his intention with an ideology:
24 Interview with Pope Francis, by the Founder of the Italian Daily La Repubblica (1 October 2013), in L'Osservatore Romano, Weekly edition in English, n. 41(9 October 2013).
Poverty for us Christians is not a sociological, philosophical or cultural category, no. It is theological. I might say this is the first category, because our God, the Son of God, abased himself, he made himself poor to walk along the road with us. This is our poverty: the poverty of the flesh of Christ, the poverty that brought the Son of God to us through his Incarnation. A poor Church for the poor begins by reaching out to the flesh of Christ. If we reach out to the flesh of Christ, we begin to understand something, to understand what this poverty, the Lord's poverty, actually is; and this is far from easy. 25
25 Francis, Address to the Ecclesial Movements, Vigil of Pentecost (18 May 2013); cf. Evangelii Gaudium, 198: "For the Church, the option for the poor is primarily a theological category rather than a cultural, sociological, political or philosophical one."
For Francis, preaching the Gospel to the poor is to have pride of place for the Church. Why? Because "God's heart has a special place for the poor, so much so that he himself 'became poor' (2 Cor 8:9)." 26 The Gospel is destined "for the poor first of all, for all those who all too often lack what they need in to live a dignified life." What's the take-away from all this? The Holy Father could hardly be more straightforward and directive: "Go to the poor first of all: this is the priority. At the moment of the Last Judgement, as we can read in Matthew 25, we shall all be judged on this." 27
Because of the clarity of the criterion for judgment, Francis insists on the practical service the Church must offer to the marginalized and her obligation to carry out the corporal works of mercy. Each individual Christian and every community, parish and movement is called to be "an instrument of God for the liberation and promotion of the poor, and for enabling them to be fully a part of society. This demands that [they] we be docile and attentive to the cry of the poor and to come to their aid." 28 They
26 Francis, Evangelii Gaudium, 197.
27 Francis, Address to the Ecclesial Convention of the Diocese of Rome (17 June 2013).
28 Francis, Evangelii Gaudium, 187.
come to the aid of the marginalized by working in at least three related areas: the provision of their ordinary and daily needs for food, shelter, education, employment, health care and so on; the elimination of the structural causes of poverty and injustice; and the promotion of the integral human and spiritual development of the poor, including their evangelization. 29
5. Curia Reform and Collaborative Governance
29 Cf. Francis, Evangelii Gaudium, 188, 192.
The Pope has embodied not just a refreshing humility but a collegial style of governance. This is my fifth and final point. In doing this he is following the mandate he received from the cardinals who elected him. 30 They asked that he set up a commission cardinals, now called the Council of Eight Cardinals, as a body, outside the structure of the Roman Curia, to be his special consultors or advisors. Talking with Father Spadaro he said:
The consistories [of cardinals], the synods [of bishops] are, for example, important places to make real and active this consultation. We must, however, give them a less rigid form. I do not want token consultations, but real consultations. The consultation group of eight cardinals, this "outsider" advisory group, is not only my decision, but it is the result of the will of the cardinals, as it was expressed in the general congregations before the conclave. And I want to see that this is a real, not ceremonial consultation. 31
30 Cf. Francis, Interview, Il Corriere della Sera (5 March 2014): "I began to govern seeking to put into practice that which had emerged in the debate among cardinals in the various congregations. In my way of acting, I wait for the Lord to give me inspiration."
31Antonio Spadaro, "A Big Heart Open to God: A Conversation with Pope Francis," America, vol. 209:8 (30 September 2013).
In the interview coming back from World Youth Day in Rio de Janeiro, he explained: "This is entirely in keeping . . . with the maturing of the relationship between synodality and primacy. In other words, having these eight Cardinals as his advisors will favour synodality; they will help the various episcopates of the world to express themselves in the very government of the Church." 32
During the Council of Cardinals' first meeting in October, Father Lombardi, the Vatican spokesman, said they made a plan to review each of the Vatican's nine congregations and twelve councils "one by one."
Pope Francis seems to know where his gifts lie and where he can profit from the assistance of his colleagues in ministry. Whether the issue at hand is the viability of the Vatican Bank or the workings of various offices of the Curia, the Holy Father does not come across as attached to any one plan of action, but to what best advances the mission of Christ in today's world.
For Francis, the Church needs greater shared governance, collegiality in practice between himself and the world's bishops, as well as a heightened awareness of co-responsibility and communio among all the baptized. Collaborative governance
32 Francis, Interview on Papal Flight from Rio to Rome (28 July 2013).
needs to mean more than calling on the advice and competence of others to make up for episcopal shortcomings. Rather, governance involves seeking how God is revealing his work through others in the community. That's the reason behind the recent questionnaire sent by the Holy See to local Churches around the world inquiring about the state of marriage and family life.
5.1 Criticism of the Roman Curia
Pope Francis seems to be suspicious toward the Roman Curia in its present form. And not without some reason. The biggest obstacle he faces in his resolve to decentralize the Church's central governance apparatus is the simple fact that his immediate two predecessors spent decades centralizing that very structure. "The papacy and the central structures of the universal Church also need to hear the call to pastoral conversion," 33 he wrote in Evangelii Gaudium. Else he even defined its courtly aspect as "the plague of the papacy" 34 and castigated the Curia for focusing inward, and with having a narrow vision rather than being of service to the wider Church:
33 Francis, Evangelii Gaudium, 32.
34 Interview with Pope Francis, by the Founder of the Italian Daily La Repubblica (1 October 2013), in L'Osservatore Romano, Weekly edition in English, n. 41(9 October 2013).
It [the Curia] has one defect: it is Vatican-centered. It looks after and cares for the Vatican's interests, which are still to a great extent temporal. This Vatican-centered vision ignores the world around it. I do not share this vision and I will do all I can to change it. The Church is and must become again a community of the People of God and the clergy, parishes, the bishops who are charged with the care of souls, are at the service of the People of God. This is what the Church is. 35
At the Mass concelebrated with the new cardinals last month, the Pope reminded them: "A Cardinal – I say this especially to you – enters the Church of Rome, my brothers, not a royal court. May all of us avoid, and help others to avoid, habits and ways of acting typical of a court: intrigue, gossip, cliques, favouritism and partiality." 36
Last February 24, Pope Francis announced the first major overhaul of the Vatican's outdated and inefficient bureaucracy in a quarter-century, creating an Economics Secretariat to control all
35 Interview with Pope Francis, by the Founder of the Italian Daily La Repubblica (1 October 2013), in L'Osservatore Romano, Weekly edition in English, n. 41(9 October 2013).
36 Francis, Homily, Mass with the New Cardinals (23 February 2014).
economic, administrative, personnel and procurement functions of the Holy See. Australian Cardinal George Pell was named its prefect. The aim of the new structure is to simplify and consolidate the existing management structures, improve oversight, internal controls and transparency – and provide more support for the Vatican's works for the poor.
5.2 Slowness of Reform
What's the hold-up for major reform? Part of the answer is that Pope Francis has named several advisory bodies, in addition to existing ones, to help him in the reform process. Their tasks sometimes overlap, and that complicates things.
A few weeks ago, for example, the Vatican experienced a virtual gridlock of committees, councils and consistories. There's the committee on administrative and economic reforms and a separate committee on the future of the Vatican bank, both of which have reported to the Council of Eight. Then there is the "Council of 15," an advisory body of cardinals established by Pope John Paul II to monitor financial affairs. The Pope's concern is how to ensure that the financial structures of the church are "at the service ... of the world and not at the operational service of the Vatican itself." The Vatican has also hired outside consulting agencies to help simplify and coordinate its bureaucratic
structures, especially in communication. And so on.
Remember: all these entities are advisory. Essentially, Pope Francis will decide when to decide.
Conclusion
Does what I have said lead to the conclusion that the first year of Pope Francis' ministry has been one of significant changes? A lot depends on the weight given to how you understand "change." In any case, Pope Francis has set the Church on a path of renewal that even a year ago would have been unthinkable.
J. Michael Miller, CSB
Archbishop of Vancouver
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APPENDIX D
STATEMENT OF THE MARINE MAMMAL COMMISSION
Statement of John E. Reynolds, III, Ph.D. Chairman, Marine Mammal Commission Submitted to the House Committee on Resources, Subcommittee on Fisheries Conservation, Wildlife, and Oceans 11 October 2001
Thank you for providing the Marine Mammal Com mission with the opportunity to advise the Committee on actions that have been taken to implement the 1994 amend ments to the Marine Mammal Protection Act, problems that have arisen concerning implementation, and possible amendments. The Commission submitted a comprehensive statement concerning these subjects to the Committee on 29 June 1999 and provided additional testimony at a 6 April 2000 hearing that reviewed progress being made to imple ment the regime governing the taking of marine mammals incidental to commercial fishing operations. Rather than revisiting these matters, the Commission asks that its previous statements, which are appended, be made a part of the record of this hearing. This will enable us to provide an update, focusing on more recent developments, those places where action is still needed, and proposed amendments.
reduction teams to help develop plans to reduce the mortality and serious injury of strategic marine mammal stocks to below the stock's potential biological removal level, and eventually to a level approaching a zero rate. As noted in our earlier testimony, the Atlantic Offshore Cetacean Take Reduction Team was disbanded after the Service closed the swordfish gillnet fishery and portions of other fisheries that were to be the focus of the plan. At that time, the Service indicated that it intended to reconstitute the team to address remaining issues. The team, however, has yet to be recon vened and the Service's plans in this regard remain uncertain.
Since the earlier hearings, the Commission has worked extensively with other agencies and with representa tives of Alaska Native organizations to identify all of the areas where the Act needs to be strengthened or clarified and to fashion a comprehensive legislative proposal to address those concerns. During the previous session of Congress, the Secretaries of Commerce and the Interior transmitted a proposed bill to this Committee and its Senate counterpart for their consideration. Over the course of the past few months, the National Marine Fisheries Service and the Fish and Wildlife Service, along with the Commission, have been reworking the bill and, pending review within the Adminis tration, expect to be able to provide a revised proposal to Congress shortly. Of course, the Department of Justice will be involved in the development of any such proposal to ensure that it meets Constitutional scrutiny under the Com merce and other clauses.
Taking Incidental to Commercial Fisheries, Sec tions 117 and 118
As of the 6 April 2000 hearing on implementation of the incidental take regime for commercial fisheries, the National Marine Fisheries Service had established five take
Recently, the Service has initiated the process of establishing a bottlenose dolphin take reduction team to address the incidental taking of this species in a variety of fisheries along the Atlantic coast. Several general meetings were held to provide background information to potential team members, and a team, which includes the Commission's chairman and a Commission staff member, has now been selected. The first meeting of the team, originally scheduled for 12-13 September 2001, is expected to occur in the near future. Preparation of a take reduction plan for bottlenose dolphins sufficient to meet the mandates of the Act will be particularly challenging because of uncertainties concerning the stock structure of the species and incomplete information on the numbers of dolphins being killed or seriously injured incidental to fishing operations and on the locations and circumstances surrounding those takings. In this regard, the Commission encourages the Service to complete the analyses that will enable it to make better use of existing data and expand its observer programs for the suspected fisheries to obtain this essential information and to monitor the effective ness of the take reduction measures that are eventually adopted.
Since the April 2000 hearing, it has become apparent that efforts to reduce the incidental mortality and serious injury of Gulf of Maine harbor porpoises have proven successful, and it is now believed that the level of such taking is below the stock's potential biological removal level. Although some of this reduction can be attributed to mea sures adopted under the take reduction plan, a large part
appears to be due to measures taken under the MagnusonStevens Fishery Conservation and Management Act to reduce fishing effort. While the statutory and regulatory basis for the actions leading to the reductions may not matter, it should be recognized that fishery management plans are subject to different procedural and substantive standards and that the measures taken to reduce fishing effort could change in the future, possibly affecting the incidental take of harbor porpoises. This being the case, the Commission has recom mended that the take reduction plan and its implementing regulations be amended to consolidate the take reduction gains under the Marine Mammal Protection Act authority.
As the Committee is well aware, the process for convening take reduction teams, translating the team's recommendations into a final plan, and promulgating implementing regulations has not always gone smoothly. To help address these problems, the responsible agencies are reviewing the take reduction team process. Among the possible refinements currently under consideration are directing the Service to appoint an individual with commer cial fishing expertise to serve as a technical liaison to each take reduction team and requiring the Service, once it has formulated proposed implementing regulations, to reconvene or otherwise consult with the involved take reduction team to explain and solicit advice concerning any deviations from the draft take reduction plan submitted by the team.
The Commission also believes that review of other aspects of section 118 may be warranted. As the Commis sion has advocated in the past, we think that this provision may need to specify that a take reduction plan need not be prepared for those strategic stocks for which mortality or serious injury related to fisheries is inconsequential. We also believe that consideration should be given to an amendment to clarify that it constitutes a violation of the Act to partici pate in any category I or category II fishery without having registered as required by section 118, regardless of whether incidental takes occur. Other possible changes that would strengthen this provision also need to be reviewed. Among the proposals meriting consideration are to specify that all participants in category I or category II fisheries, whether registered or not, are subject to the observer requirements of section 118 and that fishery-related mortalities and injuries of California sea otters should be factored into determina tions with respect to listing fisheries and placing observers under section 118.
Another problem that has been identified is that coverage of the section 118 incidental take regime is limited to commercial fisheries. However, in some cases, recre ational and other non-commercial fishermen are using identical or similar gear and fish for the same species in the same areas. Although these fisheries presumably present incidental take problems similar to their commercial counter parts, they are not included within the coverage of the Act's incidental taking authorization and have no responsibility to register, carry observers, report marine mammal injuries and mortalities, or comply with the terms of take reduction plans. The responsible agencies are currently reviewing this issue.
The Commission's June 1999 testimony noted that available funding has not always been sufficient to place observers within all fisheries that need to be monitored or to place them at levels needed to provide statistically reliable results. We again call this issue to the Committee's attention, requesting that it explore possible solutions. One possible solution would be to require a contribution from the involved fisheries to help support a more comprehensive monitoring program.
As a housekeeping measure, we recommend that section 114 of the Act, which established the pre-existing, interim exemption for commercial fisheries, be struck, along with references to that section in other statutory provisions. Similarly, section 120(j), pertaining to the Gulf of Maine harbor porpoise, is no longer operative and should be deleted.
The Commission would also like to take this opportu nity to update the Committee on the outstanding issues preventing full implementation of section 118. Section 118(b) mandates that commercial fisheries reduce the incidental mortality and serious injury of marine mammals to insignificant levels approaching a zero mortality and serious injury rate within seven years of enactment of the 1994 amendments œ that is, by 30 April 2001. Further, the Na tional Marine Fisheries Service was to review the progress toward meeting that goal on a fishery-by-fishery basis and submit a report of its findings to Congress by the end of April 1998. Although considerable work was done on the report, it has yet to be completed and transmitted to Congress.
In hindsight, the zero mortality and serious injury rate goal appears to have been overly ambitious. While this goal likely has been achieved for some fisheries, it remains a considerable challenge to bring mortality and serious injuries down to such a level across the board. Although the existing statutory deadlines have passed, the Commission believes that a comprehensive progress report on where we stand with respect to meeting the goal, as originally envisioned by Congress in the 1994 amendments, continues to be a worth while undertaking and should be pursued under a revised schedule. Likewise, we encourage the Committee to adopt a revised schedule for meeting the zero mortality and serious injury rate goal and provide sufficient resources to enable the agencies and fishermen to adhere to that schedule.
One of the problems that has been encountered with respect to determining if the zero mortality and serious injury rate goal has been met is the lack of clear guidance as to how it should be quantified. We encourage the Committee, in consultation with the responsible agencies and other inter ested parties, to provide such guidance during the reauthorization process. In this regard, the Commission has endorsed a two-tiered approach that equates the goal with reducing mortalities and serious injuries to some biologically
insignificant level (e.g., 10 percent of a stock's potential biological removal level) for most stocks, but that also establishes a numerical cap to ensure that the taking of large numbers of marine mammals from abundant stocks would not be deemed as meeting the goal.
Another related issue that has yet to be fully resolved is the delineation of when an injury to a marine mammal is to be considered serious. Under section 118, fishermen are required to report all injuries, but only mortalities and serious injuries are to be considered when classifying fisheries and developing take reduction plans and in determining if the zero mortality rate goal has been achieved. Although the National Marine Fisheries Service, in its implementing regulations, has defined "serious injury" as any injury that will likely result in mortality, it is not always apparent at the time a marine mammal is released from fishing gear whether its injuries are life-threatening. To address this issue, the Service held a workshop in 1997 to establish more definitive criteria for differentiating between serious and non-serious injuries. It was expected that the workshop would enable the Service to publish clear guidelines for determining when injuries are to be considered serious. However, such guide lines, which the Commission still believes would be useful, have yet to be issued.
Taking of Endangered and Threatened Species Incidental to Commercial Fisheries, Section 101(a)(5)(E)
Section 101(a)(5)(E) directs the National Marine Fisheries Service to authorize the incidental taking of marine mammals listed as endangered or threatened if it determines that 1) the incidental mortality and serious injury from commercial fisheries will have a negligible impact on the species or stocks; 2) a recovery plan has been, or is being, developed for the species or stock under the Endangered Species Act; and 3) where required under section 118, a monitoring program has been established, the vessels are registered, and a take reduction plan has been, or is being, developed. The Service is to publish a list of the fisheries to which the authorization applies and, for vessels required to register under section 118, issue appropriate permits. Vessels participating in fisheries included on the list, but which are not required to register, are covered by the authorization, provided that they report any incidental mortality or serious injury.
The most recent authorizations under this provision were published by the Service in October 2000. They authorize the incidental taking of fin, humpback, and sperm whales and Steller sea lions in the California/Oregon drift gillnet fishery for thresher shark and swordfish.
Pinniped-Fisheries Interactions, Section 120
Section 120, added by the 1994 amendments, called on the Secretary of Commerce to study pinniped-fishery interac tions and provided a mechanism for authorizing the lethal removal of individual pinnipeds that are adversely affecting certain salmonid stocks without obtaining a waiver of the Act's moratorium on taking. As discussed in the Commission's previous testimony before this Committee, the Na tional Marine Fisheries Service provided a report to Congress in 1997 on the findings of a task force established to examine interaction problems between pinnipeds and aquaculture operations in the Gulf of Maine. In 1999, a report on the impacts of California sea lions and Pacific harbor seals on salmonid stocks and West Coast ecosystems was also provided to Congress. The Commission expects that this Congress will consider those reports as it fashions a reauthorization bill. We welcome the opportunity to work with the Committee on specific proposals if it determines that amendments to address these issues are needed.
Non-Lethal Deterrence of Marine Mammals, Sec tion 101(a)(4)
Section 101(a)(4), as amended in 1994, authorizes fishermen to use non-lethal means to deter a marine mammal from damaging their gear or catch. This provision also authorizes owners of private property or their agents to use non-lethal means to deter marine mammals from damaging that property and government employees to deter marine mammals from damaging public property. Non-lethal deterrence of marine mammals to prevent endangerment of personal safety also is authorized under this provision. In each case, however, the deterrence measures used must not result in the death or serious injury of a marine mammal.
To implement this provision, the Secretaries of Commerce and the Interior, in consultation with appropriate experts, were required to publish guidelines setting forth the measures that may be taken to deter marine mammals safely and to prohibit, by regulation, any form of deterrence that is determined to have a significant adverse effect on marine mammals. For species listed as threatened or endangered under the Endangered Species Act, the Secretaries were to specify non-lethal deterrence measures that may be used.
The National Marine Fisheries Service issued proposed deterrence regulations in 1995, but has yet to publish final regulations. No measures for safely deterring endangered and threatened marine mammals have been proposed. In this regard, it should be noted that, even if the Service were to identify measures for safely deterring endangered and threatened species under the Marine Mammal Protection Act, employing such measures likely would constitute a violation of the Endangered Species Act, which contains no similar provision authorizing intentional taking. The Fish and Wildlife Service has yet to take any action to implement the deterrence provision.
Permits for Public Display, Scientific Research, and Other Purposes, Section 104
The 1994 amendments included changes to most of the Act's permit provisions and added authority for the issuance of permits for commercial and educational photography and the importation of polar bear trophies from Canada. Some, but not all, of the actions needed to implement these provi sions have been taken by the regulatory agencies.
The National Marine Fisheries Service, some time ago, revised its regulations concerning general permitting issues and scientific research permits. Also, as required by the 1994 amendments, the Service published an interim final rule in 1994 implementing the general authorization for scientific research involving only Level B harassment. We understand that the Service intends to replace the interim regulations with a permanent rule, but it has yet to do so. Recently, the Service published proposed revisions to its public display regulations to reflect the 1994 amendments. Those regula tions are currently open for public comment. We have been advised that the Service also intends to issue specific regulations concerning permits for educational and commer cial photography to supplement its existing general regula tions.
The Fish and Wildlife Service has concentrated its efforts on implementing the 1994 amendment concerning the importation of polar bear trophies legally taken in Canada's sport hunts. Regulations authorizing imports from 5 of Canada's 12 management units were published in 1997. Affirmative findings with respect to two additional manage ment units were published in 1999. A recent survey of the M'Clintock Channel polar bear population, one of the originally approved management units, indicated that it was less abundant than originally believed and that the population was heavily skewed toward females, suggesting that the number of males had been reduced by hunting. This prompt ed the Service, on 10 January 2001, to publish an emergency interim rule rescinding the previous finding for this popula tion.
The 1994 amendments directed the Fish and Wildlife Service to undertake a scientific review of the impact of issuing import permits on the polar bear populations in Canada. No further import permits could be issued if the review indicated that allowing polar bears to be imported into the United States is having a significant adverse effect on Canadian polar bear stocks. The review originally was to have been completed by 30 April 1996. Inasmuch as regulations authorizing any imports had yet to be finalized by that date, however, the Service indicated in its 1997 final rule that it would delay the review for two years. We understand that the Service has been working on this review but, as of yet, it has not been completed.
The Fish and Wildlife Service has yet to amend its permit regulations to reflect any of the 1994 amendments to section 104. As such, implementation of these provisions has largely been on an ad hoc basis. Among other things, the Service needs to promulgate regulations governing the general authorization for scientific research created under the 1994 amendments as specifically required by section 104(c)(3)(C) of the Act.
The Commission believes that several amendments related to the Act's permit provisions are warranted. First, we think that sections 101(a) and 104 should be amended to clarify that permits can be issued to authorize the export, as well as the taking and importation, of marine mammals.
The Commission notes that little purpose seems to be served by the publication and comment requirements of section 104 as they pertain to permits for the importation of polar bear trophies from Canada. The crucial question is whether to approve a population for import, a determination that would remain subject to public notice and comment. At the permitting stage, however, the only question is whether the bear to be imported was taken legally from an approved population. More than 400 polar bear trophy import permits that have been issued since 1997, and the Fish and Wildlife Service has received no substantive comments on any of them. Considerable costs could be avoided by eliminating the publication requirement for this class of permits. Never theless, it is important that the public continue to have access to information on the numbers of permits issued and on the ages, sexes, and taking locations of the bears authorized to be imported.
As detailed in prior Commission testimony, the return of captive marine mammals to the wild has the potential to pose significant risks to the animals unless it is well planned, the animals are thoroughly prepared, and there is adequate post-release monitoring. Moreover, the released animals may present a risk to humans they encounter and to wild marine mammal populations. The Commission continues to believe that this is an issue that merits review.
Also as previously discussed by the Commission, traveling marine mammal exhibits, by their very nature, present special problems for successful maintenance of the animals. We believe that, at least with respect to cetaceans, the risks to the animals in mobile or transient facilities are unacceptably high and that such displays should not be allowed. This view is shared by the National Marine Fisher ies Service, which, until nullified by the shift in agency responsibilities under the 1994 amendments, had in place a policy not to authorize traveling cetacean exhibits. Such matters now are solely within the jurisdiction of the Animal and Plant Health Inspection Service, which has taken the position that it does not have authority under the Animal Welfare Act to prohibit such exhibits. While we disagree with this interpretation, and believe that this issue could be addressed by regulation, given the agency's view of its authority, we believe that a statutory clarification may be necessary.
More recently, serious questions have arisen concern ing the level of care being provided to polar bears in a traveling exhibit currently touring Puerto Rico. The types of problems that have been encountered (e.g., maintaining temperatures within acceptable levels) seem to be related, at least in part, to the transitory nature of the display. This being the case, the Committee, as it considers this issue, might want to consider a ban on traveling exhibits that includes taxa other than cetaceans. We note, however, that polar bears, in general, are hardier than cetaceans and that the problems associated with the polar bear exhibit might be more a function of the individual facility and the fact that a polar species is being housed outdoors in a tropical climate. With respect to this last point, the Commission has recom mended that the Animal and Plant Health Inspection Service, in consultation with independent experts, review the appro priateness of allowing polar species to be maintained in outdoor tropical environments and, as warranted based on the results of that review, revise its care and maintenance standards accordingly. The Service has replied that such an evaluation would be worthwhile, but concluded that it is beyond the scope of its authority under the Animal Welfare Act to prohibit such a practice. Again, the Commission disagrees with the Service's conclusions concerning the breadth of the actions that can be taken under the Animal Welfare Act. In this regard, we note that, under the 1994 amendments to the Marine Mammal Protection Act, the Animal Welfare Act is left as the sole federal authority available to ensure the well-being and humane maintenance of captive marine mammals. While we are not advocating a return to the shared jurisdiction over captive marine mam mals that existed prior to 1994, we recommend that the Committee review the scope of the Animal Welfare Act as it pertains to marine mammals and provide additional guid ance, as appropriate, either through amendment or in report language.
Prohibitions œ Exports of Marine Mammals, Section 102(a)(4)
The package of permit-related amendments enacted in 1994 also amended section 102(a)(4) of the Act to add a prohibition against exporting any marine mammal or marine mammal product taken in violation of the Act or for any purpose other than public display, scientific research, or species enhancement. The language of this provision is problematic in two ways. As noted in our 1999 testimony, the amendment resurrected an enforcement problem that previously had been fixed in 1981 by reinstating the require ment that, to bring an action for the otherwise illegal trans port, purchase, sale, or export of a marine mammal product, the government must show that the underlying taking was also in violation of the Act. As noted in the legislative report accompanying the 1981 amendment, this confounds enforce
ment actions by enabling marine mammals originally taken for legitimate purposes (e.g., Native subsistence) to be diverted to other ends. The Commission continues to believe that this is an issue warranting review.
The second problem noted in our earlier testimony is that the language of the 1994 amendment restricts exports to those made for purposes of public display, scientific research, or species enhancement. Exports for other purposes (e.g., for cultural exchanges, associated with personal foreign travel, or pursuant to a waiver of the Act's moratorium on taking and importing marine mammals) technically are not permissi ble. There also exists some question as to whether the export prohibition applies to handicrafts made and sold by Alaska Natives pursuant to section 101(b) of the Act. The Commis sion, along with the Fish and Wildlife Service and the National Marine Fisheries Service, has conducted a compre hensive review of the Act to help ensure that exports and other transactions involving marine mammals can continue to occur as Congress apparently intended prior to 1994. The Commission intends to pursue this issue as the Administra tion considers reauthorization proposals.
Imports Associated with Personal Travel and Cultural Exchanges, Section 101(a)(6)
In addition to highlighting the problems associated with exporting items allowed to be imported or exchanged under section 101(a)(6), the Commission's previous testi mony recommended that the National Marine Fisheries Service and the Fish and Wildlife Service explore the appropriateness of developing a registration and tracking program to monitor compliance with this provision and consider whether the benefits of such a program would outweigh the costs. To date, neither agency has responded to this recommendation, and we are unaware of any analysis that has been done to assess the merit of such a program. Other than an amendment to overcome the export problem noted above, no changes are needed to this section.
Definitions, Section 3
The Commission's 1999 testimony noted that the definition of —harassment" added to section 3 in 1994 had created some practical difficulties related to interpretation and enforcement. We anticipate that any reauthorization bill forthcoming from the Administration will address this issue.
Small-Take Provisions, Section 101(a)(5)
The 1994 amendments added a new provision to section 101(a)(5) allowing the National Marine Fisheries Service and the Fish and Wildlife Service to use streamlined procedures (notice and comment) to authorize the taking of small numbers of marine mammals by harassment incidental
to otherwise lawful activities when such taking will have negligible impacts on marine mammal populations. Prior to enactment of those amendments, such taking could only be authorized by regulation. As noted in our 1999 testimony, the National Marine Fisheries Service has revised its smalltake regulations to reflect the new provisions. However, the Fish and Wildlife Service has yet to update its regulations.
The Commission, in its 1999 testimony, noted one possible problem with the new authority. Incidental harass ment authorizations are limited to one-year periods. As such, some applicants are segmenting long-term projects into oneyear intervals and seeking a separate authorization for each such period. By doing so, it becomes difficult for the reviewing agencies to assess possible long-term and cumula tive impacts that could have more than negligible impacts on marine mammal populations. The Commission reiterates its recommendation that Congress consider ways to address this problem, for example, by lengthening the period for which such authorizations may be issued.
Polar Bear Agreements, Section 113
Amendments to section 113 enacted in 1994 called on the Secretary of the Interior to undertake two reviews with respect to the Agreement on the Conservation of Polar Bears. Section 113(b) required the Secretary, in consultation with the other four parties to the agreement, to review the effec tiveness of the agreement and to establish a process for conducting future reviews. Although all parties have been consulted, preparation of a final report is awaiting an official response from one of the parties.
The Secretary, in consultation with the Secretary of State and the Marine Mammal Commission, was also directed to undertake a review of domestic implementation of the polar bear agreement, with special attention to be given to the agreement's habitat protection mandates. A report on the results of that review was to be submitted to Congress by 1 April 1995. Although the Fish and Wildlife Service convened a workshop in 1995 to review U.S. implementation of the agreement and circulated a draft report in 1996,the report it has yet to be finalized and transmitted to Congress.
The 1994 amendments also called on the Secretary of the Interior, acting through the Secretary of State and in consultation with the Marine Mammal Commission and the State of Alaska, to consult with appropriate Russian officials in an effort to develop and implement enhanced cooperative research and management programs for conserving the shared population of polar bears. A report on the consulta tions and periodic progress reports on research and manage ment actions taken under this provision are to be provided to Congress. Pursuant to this directive, the United States has negotiated a bilateral agreement with the Russian Federation, which was signed by the two parties last October. The advice and consent of the Senate is needed before the agreement enters into force. It is expected that the ratifica tion documents, along with proposed implementing legisla tion, will be transmitted to Congress shortly.
Co-Management Agreements, Section 119
Both the Fish and Wildlife Service and the National Marine Fisheries Service have entered into cooperative agreements with various Alaska Native organizations to promote the conservation and co-management of marine mammal stocks taken for subsistence. Since 1997, the Fish and Wildlife Service has entered into annual agreements with the Eskimo Walrus Commission, the Alaska Sea Otter and Steller Sea Lion Commission (for sea otters), and the Nanuuq Commission (for polar bears). The National Marine Fisher ies Service has concluded agreements with the Alaska Native Harbor Seal Commission and with the Alaska Beluga Whale Commission. In addition, the Service has entered into a co management agreement with the Cook Inlet Marine Mammal Council to authorize the limited taking of beluga whales from this depleted stock, which otherwise is prohibited by section 627 of Public Law 106-553, enacted last December. This year, the strike of a single Cook Inlet beluga whale was allocated to the Native Village of Tyonek, which successfully harvested the whale in July. The National Marine Fisheries Service is also working to conclude a cooperative agreement with the Alaska Sea Otter and Steller Sea Lion Commission for Steller sea lions and with tribal governments in the Pribilof Islands for fur seals and Steller sea lions.
Despite the success of the Services and Alaska Native groups in concluding agreements and carrying out actions of mutual interest under them, both the government agencies and the Native groups recognize that much more could be accomplished in appropriate instances if the Act provided a mechanism to make co-management agreements enforceable among and between the parties. For example, the overharvesting of the Cook Inlet beluga whales by a few hunters during the late 1990s, which reduced the population by half in only four years and which led to the stock's designation as depleted, likely could have been avoided had there been such an authority in the Act at that time.
At the April 2000 hearing of this Committee, the former chairman urged the responsible government agencies to work with the affected Native groups to develop a pro posal for such legislation. Pursuant to that charge, the Fish and Wildlife Service, the National Marine Fisheries Service, and the Marine Mammal Commission held a two-day session with representatives of the Indigenous People's Council for Marine Mammals (IPCoMM). Over the course of subsequent weeks, a preliminary consensus concerning the details of the joint proposal was reached among the negotiating parties. The agreement was carefully crafted to achieve the joint
goals of marine mammal conservation and protection of Native subsistence practices. We will consider this agree ment in our review of the Administration bill.
Authorization of Appropriations
The Marine Mammal Protection Act contains several authorization provisions, including those for general appro priations under sections 116 and 207 pertaining to the activities of the Department of Commerce, the Department of the Interior, and the Marine Mammal Commission under the Act. The Commission recommends that appropriations be reauthorized for a five-year period. Also coverage could include section 405 to authorize the Secretary of Commerce to allocate appropriated funds toward responses to unusual mortality events. Currently, only donations and specifically earmarked monies can be placed in the response fund.
Other Issues Meriting Attention
As the Commission noted in 1999, several provisions of the Act setting monetary limits have not been updated to reflect economic changes since they were enacted in 1972. These include the Act's penalty provisions, which establish upper limits on fines that are quite low as compared with other natural resources statutes. We recommend that the provisions of sections 105 and 106 be reviewed and that increases to the available penalties be considered. We also recommend that Congress review section 206(4), which places a limit of $100 per day on the amount the Commission can expend in procuring the services of outside experts and consultants, and consider ways to place the Commission on an equal footing with other agencies when seeking such services.
The Commission supports the freestanding provision enacted in 1999 and codified as part of the Marine Mammal Protection Act (16 U.S.C. § 1375a) that allows fines col lected by the Fish and Wildlife Service for violations of the Act to be used for activities directed at the protection and recovery of manatees, polar bears, sea otters, and walruses. We believe that similar authority for the National Marine Fisheries Service, enabling it to use penalties collected under the Marine Mammal Protection Act for the conservation of species under its jurisdiction, would likewise benefit the agency's ability to carry out its mandates under the Act .
The Commission also believes that the Committee should consider ways for improving compliance with, and enforcement of, the Act. Such proposals might usefully include adding a prohibition against interfering with enforce ment investigations, increasing penalties for violations that harm or threaten enforcement officials, and allowing seizure and forfeiture of a vessel's cargo for fishing in violation of the requirements of section 118.
Another provision that merits overhauling by the Committee is section 110, which identifies specific research projects to be carried out by the regulatory agencies. The time frames for completing the existing activities set forth in this section have elapsed. As such, those provisions that are no longer operative should be deleted. In their place, the Committee should consider a more generic directive to the agencies, enabling the agencies to pursue pressing, broadscale projects. Among the studies that might be worthwhile are an investigation of ecosystem-wide shifts in the Bering and Chukchi Seas and an examination of possible changes in the coastal California marine ecosystem that may be contrib uting to the recent declines in the California sea otter popula tion.
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Gebruiksaanwijzing Irondryer model HB06
Instruction Irondryer Strijkpop HB06
EG Conformity Declaration
in accordance with the EG Directive Machines 98/37/EG.
The machine described as follows.
has been developed, constructed and manufactured in compliance with EG Directive 98/37/EG, in the sole responsibility of
The following harmonised standards have been applied:
* EG-Directive 73/23/EWG
* EMV Directive 89/336/EWG
The following national standards, regulations and specifications have been applied:
* EN 60335, part 1, section 2-43
Any unauthorised alteration of the machine and / or any use of foreign parts which have not been checked and explicitly approved by us will invalidate this declaration with immediate effect.
* A complete Technical Documentation has been compiled.
* The Operating Instructions for the machine have been issued in their original version.
3
Contents
1 Introduction
Congratulations for having purchased your new Irondryer Ironing Finisher.
Please study these Operating Instructions carefully before you start using the machine, and make sure that you haveunderstood everything correctly.
The Ironing Finisher has been constructed to the best of our knowledge and abilities. Nevertheless, some basic safety instructions need to be followed. You can find them in Chapter 2 "General Instructions and Safety Precautions".
Irondryer is a device to dry and iron washable items of textile clothing. Its operational principle is based on a hot air blower. Hot air is applied to inflate a cover which is carrying the wet / crumpled clothing item.
Once the clothing items have been fitted and the timer has been switched on, the device automatically dries and irons shirts, blouses, pants, overalls etc.
These Operational Instructions comprehensively explain the different functions of the machine and its designated use. They are also meant to ensure that the machine is operated safely, economically and correctly.
By following these instructions, you will avoid potential risks and make sure that the machine is appropriately operated.
The manufacturer cannot assume responsibility for any damages which have been caused by inappropriate alterations of the safety precautions and the general structure of the machine.
2 General Instructions and Safety Precautions
Precautions
Please familiarise yourself thoroughly with the instructions for the correct installation, operation and maintenance of the machine. These instructions contain important information concerning the safety of the machine.
Warning Symbols and Codes
This manual is using different codes and warning symbols. They provide important instructions of how to use the IRONDRYER® Ironing Finisher and identify some of the dangers involved Please pay attention to the following symbols and codes:
Example for a danger sign:
Warning symbol
Icon
Verbal signal
Instructions
Humidity may cause the uncontrolled
release of electrical energy! Protect
the machine from any kind of humidity!
Attention:
The following instructions contain useful information regarding the operation of your Ironing Finisher.
5
Instructions for Use
1. These operational instructions are meant to facilitate the installation and maintenance of the Ironing Finisher IRONDRYER®. Study them carefully and keep them in a safe place.
2. Every user of the machine needs to familiarise himself or herself with the Operational instructions prior to starting the machine. In case you are reselling the machine, you should provide the purchaser with the Operational Instructions.
3. Check whether the machine has been assembled appropriately, completely and in compliance with the instructions provided in this manual.
4. Only use the IRONDRYER® Ironing Finisher to dry and iron washable and spin-dried clothing items (textiles). The manufacturer cannot be held liable for damages resulting from any other form of use.
5. Do not expose the machine to direct sunlight, rain and general weather conditions. Do not pour liquids over the machine. Do not submerge the machine in water and avoid any contact with liquids. Never use the machine in the immediate vicinity of bathtubs and/or smoke-generating devices. Do not operate or store the machine in the open air.
Humidity may cause the uncontrolled release of electrical energy! Protect the machine from any kind of humidity!
6. Do not leave the machine unattended when in operating mode. Children and people unfamiliar with the machine are not allowed to operate it. Never let unattended children near the machine.
7. Secure the machine against unauthorised or inadvertent use.
8. Do not insert any objects into the venting slots (air inlet and outlet).
Danger: electric energy! Do not put objects into any slots of the machine!
9. Do not cover or seal the air inlet and outlet areas. Keep them free and open as long as the impeller is in motion and the heater is switched on. Do not obstruct the airflow of the machine. Do not put any towels, curtains etc. on the machine (risk of overheating).
Risk of overheating due to covered or sealed air ways.
Do not cover or seal the air inlet and outlet areas during or after operation.
10. Only use the machine in well-ventilated rooms.
11. Attention: some of the surfaces can become very hot. Always allow the metal and plastic elements a cooling-down period of at least 5 minutes before you change the covers (from shirt to pants or vice versa). This is equally required for maintenance and repair works.
Injury risks (burns) from touching hot surfaces. Let the appliance cool down for at least 5 minutes after operation before carrying out any works at the machine
Allow a cooling-down period of about 30 minutes before opening the casing for maintenance works!
12. Only connect the machine to the mains after you have confirmed that the mains voltage complies with the specifications identified on the type plate. Use a household expulsion fuse (16A) to secure the plug
Attention:
Use a household expulsion fuse (16A) to secure the plug. The machine has a connection value of 3320 Watt.
13. Make sure that the cable is sufficiently strong. Consult an electrician before connecting the machine. The connecting cable must not lie on top of the appliance when the machine is in operation.
Danger of electric shock.
Only connect the machine to a mains voltage identical with the one identified on the type plate.
7
14. Follow closely the manufacturer's instructions when connecting and assembling the machine. Incorrect connection or assembly can cause injuries and/or damages for which the manufacturer cannot be held either liable or responsible.
15. In order to avoid potentially dangerous overheating, we recommend to unwind the connecting cable completely and to refrain from subjecting the extension cable to excessive strains, thus taking precautionary action against cable fires and sparking. Do not use the same cable to connect other electrical machines. Do not pull the cable to remove the plug from the socket. Do not lay out the cable over sharp edges and do not squeeze, jam or wedge it in.
Risk of electric shock, overheating and/or cable fires. Unwind the connecting cable completely.
Do not use the same cable to connect other electrical machines.
Do not pull the cable to remove the plug from the socket. Do not subject the cable to any additional strain. Keep the cable well clear off sharp edges and objects.
16. The user must not exchange the machine's connecting cable. If the cable has been damaged or if it needs to be replaced, contact one of the approved customer service agencies or a company which has been recommended by the manufacturer.
17. Disconnect the machine from the mains (by pulling the plug) before you carry out any kind of cleaning, repair or maintenance works. Switch the timer to zero and make sure that the impeller has ceased to move.
Attention:
After the timer has been switched off, the impeller continues to revolve for app. 1 minute.
18. Pull the plug out of the socket and switch the timer to zero, when
* the machine has fallen down and the ventilator or the heater are showing fissures, dents or any other visible signs of damage
* the performance of the machine has discernibly declined
* the machine has been damaged in any other way and/or when its performance has dropped to an unfamiliarly low level.
In the event that repair works need to be carried out, contact one of the approved customer service agencies or a company which has been recommended by the manufacturer. Always demand the use of original spare parts, since other parts can adversely affect both the safety and the full drying/ironing functionality of the machine. Ask the engineer to confirm that the machine functions perfectly once he has finished his repair or maintenance assignment.
Attention:
Inexpertly and incorrectly repaired machines represent a risk for the user.
Attention:
If the machine has not been correctly repaired, no liability or responsibility can be assumed for any ensuing damages.
19. Only ever use a dry or at most slightly moistened cloth to clean the machine. In any event make sure that the elements under power (switch, plug, heater, motor etc.) are not brought into contact with water. Always disconnect the machine from the mains (by pulling the plug) before you start your cleaning routine.
Risk of electric shock. Always disconnect the machine from the mains (by pulling the plug) before you start any cleaning
20. Choose a stable and horizontal footing for the machine. Make it a principle to put the machine only on the ground, not on tables or other objects. Always ensure that the machine is in a sufficiently stable position.
9
21. When moving the machine, do not exert any force on the bar of the collar cone, the shoulder element or the holders for shirts and pants. Apply an appropriate amount of force only to the main body of the machine.
22. Always switch the machine off once you have finished your work and pull the plug out of the socket. Attach and fasten the ironing coat / cover before you connect the machine to the mains. Do not forget to switch the timer to zero if the energy supply is interrupted and/or the machine is not being used.
Instructions for Safe Disposal
Please follow the locally valid disposal regulations (issued by the responsible town / district authorities or the authorised contractor) when disposing of the package or the machine at the end of its service life.
* Put the package material into the designated collection containers to allow recycling.
* Dispose of the machine in compliance with local regulations.
Use for Designated Purpose
The IRONDRYER® Ironing Finisher must only be used for the following purposes:
* Drying and ironing of washable clothing items
* The clothing items about to be washed or ironed are stretched over the respective shirt / pants cover.
Any use for purposes not identical with those mentioned above will immediately invalidate any warranty claim against the manufacturer. The manufacturer will also not be liable for any damages caused.
Non-designated and accordingly prohibited forms of use include the following:
* the use of the Ironing Finisher as a heater,
* the drying of hair, body parts, animals and any other objects which have not been identified in the above list of items for the machine's designated purpose,
* any type of alienation with a view to the use of either individual elements or the entire machine,
* modifications and/or extension of either individual elements or the entire machine.
Operating Instructions
Main Switch
Turn on the illuminated main switch at the side of the control device. Preselect the operating time (1 - 120 min) with the "Up" and "Down" keys. Selected time is shown on the LEDDisplay.
When "Start" key is pressed, the ventilator (green LED) and the heater (red LED) turns on and the drying occurrence begins.
The preselected time counts down, so that the remaining time of operating is indicated on the display. When the time is over and the display shows 0, the heater switches off and the red LED turns off. The ventilator remains running for 1 more minute. This cooling phase is very important for getting good ironing results.
The drying occurrence can be interrupted by pressing the "Stop" key. After that, the heater switches off and the ventilator remains running.
Attention! Do not interrupt the drying occurrence with the main switch, except of emergency. Otherwise, the device overheats by missing the cooling phase.
3 Description of the Ironing Finisher
List of the main components
1. Rolls
2. Five-point base
3. Column for five-point base and ventilator/ heating container
4. Air inlet (aspiration point for the ventilator motor from the bottom side)
5. Casing (ventilator/heating container)
6. Distance ring for holding clamps
7. Adjustment cords with holding clamps (not shown he
8. Timer
9. Fold to fasten the ironing cover
10. Air outlet
11. Supporting bar (to accommodate shirt bar or pants bar
12. Stop screw (to fix the main shirt bar or the main pants bar)
13. Main shirt bar
14. Threaded bar with collar cone, spring and shoulder element
15. Pants bar, two parts (to be plugged together) (not shown here)
16. Pants cover with elastic fitting (not shown here)
17. Shirt cover with elastic fitting (not shown here)
5a: Upper section (bar holder)
5b: Middle section (heater)
5c: Bottom section (ventilator)
Attention:
The electrical connections have been installed in the timer and the main body.
4 Technical data
The manufacturer reserves the right to alter the technical and structural properties of the product at any time and without prior notice.
5 Assembly Instructions
All machines are subjected to thorough controls and quality assurance tests prior to delivery.
If you detect signs of damage before or shortly after opening the package, please register your complaint immediately with the haulage contractor and return the product either to us or to the retailer. Our company cannot be held responsible for damages which occur in transport. In the event that the product has been damaged or incorrectly operated, do not under any circumstances attempt to use or repair the machine!
Repairs must only be carried out by appropriately qualified engineers who have been approved by the manufacturer.
Before putting the machine to work, familiarise yourself thoroughly with our Operational Instructions as well as all pertinent standards, laws and regulations. This includes the legal framework of the country in which your IRONDRYER® Ironing Finisher has been set up to be taken into operation. The purchaser is responsible for the observance of all of his country's legal regulations.
Transport and Storage
The machines have been packed into easy-to-handle boxes. They must not be turned by 90° or by 180° (neither on top nor on the side).
Cable Connections
Make sure that the data on the power plate comply with the specifications of the power supply. For more information about this, see Chapter 4 "Technical Data".
Installation / Assembly
Attention:
Prior to assembling the machine, make sure that the outside frame of the machine's main body has not been damaged.
Proceed as follows in order to assemble the Ironing Finisher:
* Insert the 5 steering rolls into the five-armed cross which constitutes the base of the machine. (Wait for the audible click.)
* Insert the gas pressure spring / column into the fivearmed cross.
* Insert or screw the IRONDRYER® frame into the bottom sec- tion.
Shirt Bar System
Make sure that the cover is not caught in any part of the machine and that is does not tear!
Operating the IRONDRYER® Ironing Finisher does not require physical force. Always make sure that the covers neither stretch nor tear. Make sure that you do not twist any part of the bar system.
Assembling the Shirt Bar System
* Screw the shoulder bars in the collar cone
* Turn the shirt bar system with the coneshaped attachment into the long bar – this is the shirt bar system. Then insert the shirt bar system into the supporting bar (11)
* Slip the shirt cover over the IRONDRYER (from above) and pull it over the fold (9) at the IRONDRYER® casing.
Pants bar system
Assembling the pants bar system
* Insert the two pants bars into the pants bar system.
* Insert the pants bar system into the supporting bar (11)
* Slip the pants cover over the pants bar system (from above) and pull it over the fold (9) at the IRONDRYER® casing.
6 Operating the Ironing Finisher
Injury risk!
Before the IRONDRYER® Ironing Finisher can be put into operation, it must be assembled in compliance with the assembly instructions. (See "Assembly Instructions" on page 10). The machine must only be used for its desig- nated purpose. (See "Use for Designated Purpose" on page 7). Check basic security functions prior to use. (See "Instructions for Use" on page 3).
Attention:
Occasionally, cuffs and collars may have to be finished by hand.
Attention:
The quality of the drying and ironing will generally be inferior for poorly or imprecisely stitched garments.
Attention:
Washing synthetics at high temperature and spin-drying them at high speeds can affect the quality of the subsequent drying and ironing.
Attention:
The operation of the machine can increase the room temperature. We therefore advise to keep the place well ventilated.
Ironing Tops
Proceed as follows in order to dry and iron tops such as shirts, blouses and similar clothing items:
Injury risk (burns)!
The bar system of the Ironing Finisher can still be very hot after you have stopped using the machine Allow a cooling-down period of at least 5 minutes before you change the bar system.
* Assemble the shirt bar system with shirt cover. (See "Assembling the Shirt Bar System" on page 12).
* Confirm that the timer is switched to "0" and that the green button to the left of the timer is pushed down.
* Insert the plug of the Ironing Finisher into an appropriate socket.
Injury risk!
Before you connect the machine to the mains, familiarise yourself thoroughly with the information given on the type plate of the Ironing Finisher, in particular with the figures concerning its power consumption and the voltage required.
Make sure that the connecting cable is not in any way tangled up or laid out over sharp edges.
If you have connected the Ironing Finisher via an extension, unwind its cable entirely
* Put the shirt on the IRONDRYER and close the top button.
* Pull the sleeves through and adjust the ring eyelets to fit the length of the sleeves.
* Fasten two clamps crosswise and in front at the button tape and buttonhole tape of the garment.
* Fasten the other clamps at the back and tighten the strings
* Set the timer according to the following table:
Attention:
These times are only rough approximations. Real times will depend on the exact type of material, the amount of residual humidity and the relative humidity of the air inside the room.
* You can now put the IRONDRYER® Ironing Finisher into operation. Push the green button to the left of the timer up.
The hot air blower and the heating coil of the Ironing Finisher go into operation. The shirt cover is inflated.
* While the shirt cover is being inflated, you can check that the garment is tightly fitted (no folds) by adjusting the clamps and cover eyelets.
When the time set on the timer is over, the Ironing Finisher blows out cold air for about one extra minute. This serves to cool down the garment and prevents the generation of creases.
* Wait for the drying process to finish and the IRONDRYER® air blower to complete its operation.
* Unfasten all holding clamps.
* Open all the garment's buttons you had previously closed.
* Pull out the sleeves of the shirt cover from the sleeves of the garment.
Drying and Ironing Pants
Proceed as follows in order to dry and iron pants:
* Assemble the pants bar system with pants cover. (See "Assembling the pants bar system" on page 13).
Injury risk (burns)!
The bar system of the Ironing Finisher can still be very hot after you have stopped using the machine. Allow a cooling-down period of at least 5 minutes before you change the bar system
* Confirm that the timer is switched to "0" and that the green button to the left of the timer is pushed down.
* Insert the plug of the Ironing Finisher into an appropriate socket.
Injury risk!
Before you connect the machine to the mains, familiarise yourself thoroughly with the information given on the type plate of the Ironing Finisher, in particular with the figures concerning its power consumption and the voltage required
Make sure that the connecting cable is not in any way tangled up or laid out over sharp edges If you have connected the Ironing Finisher via an extension, unwind its cable entirely.
* Put the spin-dried pants on top of the pants cover (from above).
* Close the pants button and zipper.
* Set the timer according to the following table:
| Type of clothing | Time (in minutes) |
|---|---|
| Pants | 8 – 15 |
Attention:
These times are only rough approximations. Real times will depend on the exact type of material, the amount of residual humidity and the relative humidity of the air inside the room.
* You can now switch on the IRONDRYER® Ironing Finisher. Push the red button to the left of the timer up.
The hot air blower and the heating coil of the Ironing Finisher go into operation. The pants cover is inflated.
* While the cover is being inflated, adjust the fitting of the pants.
When the time set on the timer is over, the Ironing Finisher blows out cold air for about one extra minute. This serves to cool down the garment and prevents the generation of creases.
* Wait for the drying process to finish and the IRONDRYER® air blower to complete its operation.
* Open all buttons and the zipper at the garment you had previously closed.
* Lift the pants off the pants cover (from above).
7 Maintenance / Cleaning
Maintenance
Injury risk!
Maintenance works must only be carried out after the Ironing Finisher has been switched off and disconnected from the mains. Ensure that the Ironing Finisher cannot be switched on inadvertently. Check before each maintenance or repair operation that the impeller has come to a complete standstill
Only use suitable tools for maintenance operations. In the event that repair works need to be carried out, contact one of the approved customer service agencies or a company which has been recommended by the manufacturer. Do not attempt to repair the machine yourself.
Injury risk!
Allow a cooling-down period of at least 30 minutesbefore opening the casing
Cleaning
Attention:
How often cleaning routines need to be performed, depends on the real operating conditions. These can be easily established by regular checks.
Cleaning the casing
* Use a dry and clean cloth to clean all surfaces of the Ironing Finisher.
Cleaning the Ironing Covers
* Clean the ironing covers in warm water (40° C). Use a delicate fabric washing powder or liquid.
* Let the covers air-dry. The ironing covers are not suitable for spin-drying.
* Check the ironing covers regularly for tears and holes. Replace worn and defect covers immediately.
8 Warranty
This machine has been manufactured and tested with the most modern and sophisticated equipment available.
The manufacturer guarantees the high quality of both the materials used and the manufacturing process for a period of 2 years (12 months for commercial customers), starting on the day of purchase, provided the following requirements are met: Return of the entire product in the original package.
Unauthorised repair operations / alterations by the purchaser or a third party will immediately invalidate any warranty claim. Damages which have been caused by inexpert handling or connection or by incorrect installation, by force majeure or other outside factors are not covered by the warranty agreement.
In the case of justified complaints, we reserve the right to either repair or replace the defect parts or to replace the machine. Any replaced parts or machines will become the manufacturer's property.
Only in the event that corrections (repairs) or replacements of the machine should definitely fail to enable him to use the machine for its designated purpose will the purchaser be able to claim – on the strength of the terms of the warranty agreement – a partial or total reimbursement (cancellation of the purchasing agreement) of the purchasing price, provided such a claim is made no later than two years after the date of purchase
Compensation claims including claims for consequential damage or loss shall not be considered. For unjustified and unnecessary calls on our customer services, we will charge the usual hourly rates and call out fees.
Complaints must be made known immediately to our central offices or the local agency in charge. The purchaser is obliged to prove his warranty claim by producing the paid invoice (receipt). If the purchaser fails to produce this document, he will be charged accordingly for any repair works carried out. Reimbursements – if the purchaser belatedly provides us with the paid invoice (receipt) – can only be granted within one month after the date on the invoice. This guarantee is valid within the Federal Republic of Germany.
Irondryer.com PO Box 595 NL-5400 AN Uden www.irondryer.com email@example.com
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Training & Education in Risk and Safety Management for High Hazard Industries
Helping to develop competent risk and safety management professionals via online and classroom training and postgraduate education.
Risktec is an established, independent and specialist risk management consulting and training company, and is part of the TÜV Rheinland Group.
About Risktec
Risktec was formed with the specific aim of helping clients to manage health, safety, security, environment (HSSE) and business risk, and has been part of the TÜV Rheinland Group since 2014.
We strongly believe the following key factors differentiate us in the marketplace:
OUR VALUES & CULTURE
OUR APPROACH
The key values underpinning our culture are Teamwork, Integrity, Empowerment and Solutions. We work collaboratively, both within Risktec and when working with clients. We act with honesty, integrity and consistently high ethical standards. We empower everyone to deliver all aspects of a project to the best of their ability in a supportive, open and trusting environment. We are responsive and flexible to our clients' needs, delivering complete and pragmatic solutions.
OUR INDEPENDENCE
Our independence is achieved through our selected range of services, our company values and our legal structure. Our services are independent from design, construction and operations, and as such we offer truly impartial advice. Our company values include integrity, which means we are open about difficult issues. Finally, TÜV Rheinland has no shareholders with conflicting corporate goals to satisfy, enabling us to take a long-term view in everything we do.
We are committed to providing clients with solutions, built on a sound understanding of the client's business and the issues they face. Throughout a project we work with our clients to ensure ownership of the solution. We believe this philosophy leads to mutually trusting relationships with our clients. We highlight the positives, but also do not shy away from identifying weaknesses. In this way we help clients to objectively understand their risks and the quality of their systems for managing them.
CLIENT SATISFACTION
Ultimately it is our clients who decide how well we are doing and we place great emphasis on their feedback. Consequently twice a year we survey the clients of all our active projects and we are delighted to receive consistently high levels of customer satisfaction (see page 10). This feedback drives continuous improvement across the business.
Our Experience
Risktec has a substantial track record of delivering training and education for many leading companies in the high hazard sectors. In working with us, clients can be assured of high quality technical training and education delivered by experienced consultants, tailored to meet specific circumstances.
SECTORS
TRAINING & EDUCATION CHALLENGES
* Offshore and onshore oil and gas drilling and production, refining and chemical sectors
* Nuclear submarines, dockyards, naval bases and specialist facilities
* Civil nuclear power generation, reprocessing, waste management and decommissioning
* Railway, marine and aviation transport, ports and airports
* Manufacturing, pharmaceutical and process sectors
* Renewables sectors including wind and wave
* Insurance and risk-financing services
* Public sector local authorities and fire and rescue services
* Cost-effective solutions
* Transfer of knowledge from ageing workforce
* Learner engagement
* Changing and increasingly complex regulatory regimes
* Reaching global employees and recognising cultural differences
OUR TRAINERS
* Bring a balanced combination of technical experience and teaching skills - practising industry experts validated by Liverpool John Moores University
* Fully understand the complex issues of risk management
* Focused on students' success
* Highly motivated to assist all participants to improve safety in high hazard industries.
* Improving learning effectiveness
* Ensuring training is relevant
PARTNERSHIPS & AFFILIATIONS
* Liverpool John Moores University
* Institution of Engineering and Technology
* Institution of Chemical Engineers
* Institution of Mechanical Engineers
* Energy Institute
* Nuclear Institute
* Safety and Reliability Society
* Chartered Institute of Ergonomics and Human Factors
Risktec's expertise is in high hazard industries and other sectors where the impact of loss is high.
Our Services…
TRAINING & EDUCATION SOLUTIONS
Our solutions range from single modules for individuals through to multi-year staff development programmes for corporate clients. Our whole approach is flexible to meet client needs by providing varying levels of assessment, different delivery methods, choice of modules, scheduling and locations.
POSTGRADUATE EDUCATION PROGRAMMES
* Unique partnership with Liverpool John Moores University (LJMU) offers postgraduate degrees in Risk and Safety Management
Master of Science (MSc)
* Programmes available: -
- Postgraduate Certificate (PgCert)
- Postgraduate Diploma (PgDip)
* MSc approved by IChemE as meeting knowledge and understanding requirements for Professional Process Safety Engineer registration
RISKTEC PROFESSIONAL QUALIFICATIONS
* Programmes available:
* Risktec Professional Qualification (RPQ) in Risk and Safety Management
- Risktec Assessed Masters (RAM)
- Risktec Assessed Certificate (RAC)
- Risktec Assessed Diploma (RAD)
- Risktec Assessed Specialism (RAS)
* Designed for students with less time available for study
* Same content as postgraduate programmes but with lighter assessment
* Practical, cost-effective learning relevant to industry and situations students are likely to encounter in real world
UNASSESSED TRAINING
* Content can be tailored to meet detailed client requirements, ensuring value-for-money solution
* All courses available with or without assessment
DELIVERY METHODS
Risktec's delivery methods are designed to offer maximum flexibility to global organisations and individuals seeking to develop their practical risk management skills, knowledge and experience by the most cost-effective route.
FACE-TO-FACE LEARNING
BLENDED LEARNING
* Can be tailored to focus on organisation's specific type of operations, risk assessment practices and personnel development needs
* Open courses are available, allowing individuals to attend classroom-based sessions
* Usually provided to 5 or more participants from same organisation
* A mixture of face-to-face and distance learning that maximises flexibility - best of both worlds
* Training is highly interactive, focusing more on activities than lectures
DISTANCE LEARNING
* Students can choose when to study, working at their own pace and from any location
* Risktec's distance learning courses are 100% online, saving travel and accommodation costs
* Modules include slides, notes, videos, online activities, discussions and virtual classrooms
* Online support provided by Risktec's experienced industry consultants
* Students can study at their own pace yet still benefit from face-to-face access to practising industry consultants, group activities and discussions
* Tailored to client's needs
* Organisations benefit by committing fewer days to employees away from work
* More effective use of training budgets
GAME-BASED LEARNING (GBL)
* People remember as much as 90% of what they "do"
* Games instil a fundamental understanding of key technical safety themes through everyday analogies
through simulation or experience
* By linking technical safety themes to every day analogies or metaphors, GBL is industryagnostic
* A GBL session is short and snappy, fun, hands-on and accessible to all
Our Services…
PORTFOLIO
Risktec's programmes and modules can all be delivered as face-to-face, distance or blended learning for client organisations. Module content can be adapted to meet client-specific requirements, and assessment can be used to demonstrate student achievement.
Individual students can study online for the postgraduate and Risktec Professional Qualifications programmes.
BENEFITS
For the client company:
* Relevant learning, by tailoring case studies and methods
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Paper to be presented at the DRUID Academy 2012
on
January 19-21
University of Cambridge /The Moeller Centre at
External knowledge sourcing and innovation performance: The role of
managerial practices.
Ana García Granero
INGENIO (CSIC-UPV) Universitat Politècnica de València firstname.lastname@example.org
Jaider Vega-Jurado INGENIO (CSIC-UPV) Universitat Politècnica de València email@example.com
Abstract
EXTERNAL KNOWLEDGE SOURCING AND INNOVATION PERFORMANCE: THE ROLE OF MANAGERIAL PRACTICES.
Ana García Granero, INGENIO (CSIC-UPV) Universitat Politècnica de València; (2010-2014); firstname.lastname@example.org.
Current theories on innovation hold that individual firms are seldom capable of innovating independently and that the search for new product ideas goes beyond the firm"s boundaries to other firms or institutions. Along these lines, numerous academic studies have examined the issues pertaining to the leverage and exploitation of external knowledge (Chesbrough 2003; Cassiman and Veugelers 2006). These studies have advanced firm"s internal resources as relevant in order to take advantage of external knowledge sourcing. This idea is reminiscent of the absorptive capacity theory (Cohen & Levinthal 1990), which highlights technological and organizational dimensions, as important determinants of the firm"s ability to acquire, integrate and exploit external knowledge. However, most of the empirical studies carried out so far have limited their research to technological resources (mainly R&D efforts), neglecting the role played by the firm"s internal organization in the exploitation of external knowledge.
Our aim is to contribute theoretically and empirically to the mentioned gap, by analyzing the managerial practices that influence the firm"s ability to leverage and exploit external knowledge for innovations. In particular, we center our analysis in knowledge sharing and formalization-based mechanisms (Jansen et al. 2006) and knowledge incentives (Foss et al. 2010) as relevant practices, which can influence the results based on the exploitation of external knowledge. Furthermore, we analyze the differential effects in the results when considering the distinct types of knowledge involved. In particular, we discriminate between scientific and industrial knowledge, the former being characteristic of agents such as universities and research centers, and the latter typical of agents related to the firm"s value chain.
In this paper, we present preliminary results from a 2011 survey focused on the firms belonging to the Spanish ceramic tile industry. Most of these firms are concentrated in an industrial district and are classified as SMEs. The response rate was of 72%, reflecting a very high sample according to previous respondent patters (Alegre and Chiva 2008). A first approximation to the phenomenon reveals that mechanisms enhancing knowledge sharing are highly relevant in integrating and applying external knowledge to innovation results, while formalization-based mechanisms and knowledge incentives seem detrimental for this purpose. Moreover, it is also highlighted that results are contingent on the type of knowledge absorbed and the nature of the innovation involved.
In short, we have discussed the role of management in the leverage and ultimate exploitation of external knowledge sourcing. In this sense, this study contributes to the research in external knowledge sourcing, innovation, and to some extent, absorptive capacity and organizational learning literatures. In this sense, we show that certain managerial practices are important facilitators of external knowledge exploitation. The necessity of integrating the inner firm"s processes into the analysis becomes clear in order to achieve a more holistic approach.
Selected references:
Alegre, J. and Chiva, R., 2008. Assessing the impact of organizational learning capability on product innovation performance: An empirical test. Technovation, 28, 315-326.
Cassiman, B. and Veugelers, R., 2006. In search of complementarity in innovation strategy: Internal R&D and external knowledge acquisition. Management Science, 52(1), 68-82.
Cohen, W.M. and Levinthal, D.A., 1990. Absorptive capacity: A new perspective on learning and innovation. Administrative Science Quarterly, 35(1), 128-152.
Chesbrough, H.W., 2003. Open innovation: The new imperative for creating and profiting from technology, Harvard business school press.
Foss, N.J., Laursen, K. and Pedersen, T., 2010. Linking customer interaction and innovation: The mediating role of new organizational practices. Organization Science, 1-20.
Jansen, J., Van den Bosch, F. and Volberda, H.W., 2006. Exploratory innovation, exploitative innovation, and performance: Effects of organizational antecedents and environmental moderators. Management Science, 52(11), 1661-1674.
EXTERNAL KNOWLEDGE SOURCING AND INNOVATION PERFORMANCE: THE ROLE OF MANAGERIAL PRACTICES.
Ana García Granero* Institute of Innovation and Knowledge Management INGENIO (CSIC-UPV) Universitat Politècnica de València email@example.com
Jaider Vega-Jurado Institute of Innovation and Knowledge Management INGENIO (CSIC-UPV) Universitat Politècnica de València firstname.lastname@example.org
Abstract
In this paper, we argue that the ability of a firm to transform external knowledge into commercial success goes beyond the firms' technological capabilities. Thus, we underscore the role played by managerial practices (related with knowledge sharing, formalization and incentives) in the leveraging and utilization of external knowledge. We further consider that the effectiveness of external knowledge exploitation can be contingent on the types of external sources (scientific and industrial partners) and on the degree of novelty in innovations (imitative and new-to-the-market innovations). The research draws on survey data from the Spanish Ceramic Tile Industry and the main results suggest that firms adopting knowledge sharing mechanisms are more likely to attain better results in exploiting external scientific knowledge. On the contrary, formalization-based mechanisms tend to exert a detrimental effect on the exploitation of external scientific knowledge. Knowledge incentives are non significant in the case of scientific agents and negative for industrial agents.
Keywords: External knowledge sourcing, scientific and industrial partnering, managerial practices, product innovation.
INTRODUCTION
A broad range of approaches have highlighted the necessity of studying innovation as a phenomenon taking place beyond the boundaries of the firm. Evolutionary (Lundvall 1992; Breschi & Malerba 1997) and innovation network theorists (Haakansson 1987; Baptista & Swann 1998) underscore the increasingly importance of interactions between organizations and external agents in the achievement of innovative results. Open innovation theorists have also analyzed how firms look toward the exterior in order to leverage useful knowledge when pursuing innovations and have even emphasized that external knowledge has gained importance in contrast to more traditional knowledge created through internal research and development (Chesbrough 2003; Laursen & Salter 2006).
Following this line of inquiry several works have analyzed the effect of external knowledge sourcing on innovation by taking into account the conditioning effect of internal capabilities. Particularly, absorptive capacity theory (Cohen & Levinthal 1990) has been central in explaining the role played by technological and organizational capabilities when taking advantage of external sources. However, despite the number of empirical studies carried out on this topic, the majority has focused on technological capabilities (mainly regarding to R&D activities) and has said little about the role of firm's internal organization in this process (For an exception see Van Den Bosch et al. 1999; Jansen et al. 2005; Foss et al. 2010). Our aim is to contribute into this area of research and further consider that the effectiveness of external knowledge exploitation can be contingent on the characteristics of external sources and on the degree of novelty of innovations.
On the one hand, we try to extend the existing research by undertaking a more grained approach, which considers different external agents. According to the existent literature external agents can be more science or more industrial knowledge-based, resulting in divergent learning patterns and possible differing innovation results. In this line of thinking we argue that partnering with scientific agents or on the contrary, interacting with industrial agents could demand specific managerial practices in order to successfully exploit the knowledge acquired.
On the other hand, we also integrate into the analysis the degree of novelty within innovation results. Few empirical studies have eventually discriminated innovation in this sense (see Romijn & Albaladejo 2002; Amara & Landry 2005; Reichstein & A. Salter 2006). We consider that it is highly relevant to understand the determinants of minor and major innovations. In particular, we consider imitative and new-to-the-market innovation types, the former being innovations already exploited by competitors and the latter, innovations first introduced in the market by the firm (Leiponen and Helfat 2010).
In this respect we enrich the theoretical discussion involving the effect of managerial practices in the effectiveness of external knowledge exploitation and also, provide empirical evidence based on the Spanish Ceramic Tile Industry. This sector is of particular interest because it tends to be geographically concentrated in industrial districts and most of the firms are considered to be small and medium-sized firms. These characteristics provide our analysis with a way above average number of agreements between external agents and the firm. In addition, SMEs have been said to be more dependent on external knowledge as a source of rejuvenation (Lichtenthaler and Ernst 2009).
The paper is organized as follows: Section 2 presents the theoretical framework underlying this investigation and the proposed hypotheses. Section 3 establishes the basis of the empirical
investigation, justifying the sample chosen and the measurements that have been used. Section 4 describes the analysis undertaken and presents the results. Section 5 puts forward the main conclusions extracted from the study and finally, section 6 presents the limitations of the study and possibilities for further research.
THEORETICAL AND EMPIRICAL BACKGROUND
The absorptive capacity literature, though mostly from the theoretical point of view has been the main theory giving insights into the importance of the firm's organizational dimension in the exploitation of external knowledge. So even though Cohen and Levinthal's analytical model (1990) exclusively focused on research and development activities, the crux of their theoretical framework lied on the organizational mechanisms underlying the transfer of external knowledge. In this sense certain managerial practices were underscored as fundamental in the ultimate exploitation of external knowledge 1 . In the same line, Zahra & George (2002) suggested that firms couldn't exploit external knowledge if they had not previously acquired and integrated this knowledge into their organizational processes.
However, the belief that acquisition of knowledge does not necessarily imply the capacity for its transformation and exploitation has not been reflected in empirical studies. Analyses that have considered internal firm's capabilities as necessary when taking advantage of external knowledge have mainly focused on knowledge content (primarily technological knowledge), neglecting the important role of managerial practices in this process (see Miotti & Sachwald 2003; Belderbos et al. 2004; Faems et al. 2005; Arranz 2008; Tsai 2009). Even in some of these studies, the absence of these factors has been advanced as a limitation. For instance, Faems et al. (2005) argues that the amount of unexplained variance in their model could be related to the absence of organizational structures that substantially influence how and to what extent organizations innovate.
To the best of our knowledge, only few studies have approximated empirically the role of organizational factors in the process of leveraging and exploiting external knowledge (Van Den Bosch et al. 1999; Jansen et al. 2005; Foss et al. 2010). Van den Bosch et al. (1999) establish a framework in which they posit that the level of prior related knowledge and organizational mechanisms are the main antecedents of the acquisition and exploitation of external knowledge proving it in two longitudinal case studies of traditional publishing firms moving into a turbulent environment of an emerging multimedia industrial complex. In addition, Jansen et al. (2005) test a similar model on an empirical study concerning a multi-unit financial services firm. Finally, Foss et al. (2010) also study certain managerial practices and its effect on the exploitation of external knowledge but in this case the focus lies on one specific type of external source, that is to say, clients and users. However these studies have said little about the effect that managerial practices can exert on the exploitation of different kinds of external knowledge sources and its effect on different types of innovations.
1In Cohen and Levinthal's (1990) own words: "Absorptive capacity refers not only to the acquisition or assimilation of information by an organization but also to the organization's ability to exploit it. Therefore, an organization's absorptive capacity does not depend on the organization's direct interface with the external environment. It also depends on transfers of knowledge across and within subunits that may be quite removed from the original point of entry."(p.131)
1. Different types of external sources and innovation results
In the search for knowledge available beyond the internal organizational boundaries, firms have the choice of reaching multiple actors that can be determinant in their innovation results 2 . External partners primarily include suppliers, customers, lead users, universities, research centers and industry competitors; and all of them have been advanced as relevant in the search for innovative ideas (Miotti & Sachwald 2003; Fey & Birkinshaw 2005). However, when analyzing in detail each agent salient differences are reflected 3 . In this sense, Miotti and Sachwald (2003) argue that suppliers and clients are agents that play a pivot role in the incremental day-to-day innovation process, meanwhile universities focus on the most generic or basic end of the R&D complex. Faems et al. (2005) describe suppliers and customers as "exploitation oriented", while universities as sources more "explorative-oriented" in nature. Even Cohen and Levinthal (1990) distinguished between external sources by citing universities as organizations that produce basic research, as opposed to input suppliers, which usually possess knowledge targeted to firms needs.
The implications of different partnering on learning and innovation have been advanced by literatures such as organizational learning and absorptive capacity. Organizational learning approaches have recognized that different knowledge characteristics can provoke either more exploitative or more explorative learning patterns (Lavie & Rosenkopf 2006). For instance, in the study of Gilsing & Nooteboom (2006) the collaboration between biotechnology firms and academic institutes is considered to involve the transmission of scientific knowledge, thus generating explorative learning oriented towards the development of new technologies. In other articles, agents such as customers and suppliers have been characterized as optimizers of existing core competences (Brown & Eisenhardt 1995; Faems et al. 2005). Absorptive capacity theory studies (Cohen and Levinthal 19904; Mangematim and Nesta 1990, VegaJurado et al. 2008; Schmidt 2010) have mainly argued that when outside knowledge is less targeted to the firm's own particular needs and concerns, the difficulty of learning is higher, thus firms' own R&D becomes more important in permitting to recognize the value of knowledge, assimilate and exploit it.
2 We only consider active knowledge sources, however according to the Oslo's Manual (OCDE/Eurostat 2005) passive knowledge sources can also be relevant in firm's innovation processes.
3 When studying the different external sources of knowledge used by firms, scholars have based their analysis on basis to two criterions: The type of knowledge embedded in each source and transmitted to the firm plus the nature of the relationship existent between the source and the firm. For instance, from the UIR perspective, the study of the barriers or obstacles encountered in the collaboration between universities and firms, underlines two main reasons: The first reason is related with the nature of the exchanged knowledge, in the case of universities, scientific knowledge. The second reason is related with the problems of cultural clashes, bureaucratic inflexibility and other factors associated with the different institutional norms governing public and private knowledge (Dasgupta & David 1994; Knudsen 2007; Bruneel et al. 2010).
4 Cohen and Levinthal (1990) words "although it is difficult to specify a priory all the knowledge
characteristics affecting the ease of learning they would include the complexity of the knowledge to be assimilated and the degree to which the outside knowledge is targeted to the firms needs and concerns of the firm" (p.140)
Building on these literatures we argue that understanding the nature of the knowledge being absorbed has critical strategic implications concerning the need of different learning types, which ultimately have an effect on the firm's innovation performance. However, only few studies on external knowledge sourcing have considered distinct degrees of novelty in innovation results (Amara & Landry 2005; Vega-Jurado et al. 2008). In their study of manufacturing firms Amara et al. (2005) conclude that the firms developing innovations with higher degrees of novelty (major innovations) tend to rely more frequently on research sources (such as universities and research laboratories) than the firms developing minor innovations, which usually rely on market sources. Romijn & Albu (2001) lead to similar conclusions but in the context of small high technology firms. Furthermore, Christensen & Overdorf (2000) argued that suppliers and customers would not be adequate partners when looking for projects of a more novel nature. So, following these studies we propose to study the following hypothesis:
H1: Interacting with scientific agents has positive impacts on innovation results, especially when innovations are new to the market (major innovations).
H2: Interacting with industrial agents has positive impacts on innovation results, especially when innovations are imitative (minor innovations).
2. Managerial practices
Managerial practices have the virtue of conditioning the process that enables external knowledge to be commercially exploited. These practices have been advanced as essential for the generation and the development of firm's capabilities related with the capacity of synthesizing and applying acquired and existent knowledge. In this line of thought our called managerial practices have been associated with terms such as combinative (Van Den Bosch et al. 1999; Jansen et al. 2005) and integrative capabilities (Helfat and Campo-Rembado 2010).
Within these managerial practices we aim to study the practices related with coordination mechanisms (Jansen et al. 2006) and knowledge incentives (Foss et al. 2010). Knowledge coordination mechanisms direct attention and group together key resources and interdependent functions needed to develop innovations (Jansen et al. 2006). Concretely, we will study two generic types of knowledge coordination mechanisms: knowledge sharing mechanisms and formalization-based mechanisms. Knowledge sharing-based mechanisms bring together different sources of expertise and increase lateral interaction between areas of knowledge (Jansen et al. 2005), meanwhile formalization-based mechanisms describe the degree to which behaviors are programmed by formal explicit rules (Khandwalla 1977). Furthermore, we will study knowledge incentives directed to facilitate the creation of new ideas and the improvement of skills and knowledge among employees. This type of knowledge incentives relates mainly to the process of searching for knowledge (Foss et al. 2010).
The benefits' involving the share of knowledge between employees has been repeatedly emphasized in the literature. For instance, several authors have pointed to the importance of better internal communication in the lowering of barriers towards the integration and exploitation of external knowledge (Van Den Bosch et al. 1999; Zahra & George 2002) 5 .
5 Fewer studies have advanced that an excessive socialization of external knowledge could provoke the dispersion of novel external knowledge making the synthesis with the existing knowledge more difficult (Pérez-Luño & Valle-Cabrera 2010; Franco et al. 2011). However, we consider these studies less important.
Notwithstanding, formalization appears as a more controversial theme in the literature. In the one hand, it acts as a facilitator of knowledge exchange due to its efficacy in setting clear procedures, thus eliminating the need for further communication and coordination among subunits and positions (Van den Bosch et al. 1999), and in the other hand; it inhibits knowledge flows because of the creation of rigidities within the organization. Regarding knowledge incentives, it is argued that an active search for knowledge is positively related with the sharing of knowledge within the organization. For this reason the flows of information within the organization can be enhanced (Foss et al. 2010) 6 . In the next lines we will argue that the effects of these managerial practices on the exploitation of external knowledge will be contingent on the type of knowledge.
2.1. Knowledge coordination mechanisms
2.1.1. Related with knowledge sharing:
The positive effect of these mechanisms in the exploitation of external knowledge is enhanced when considering scientific knowledge. It is argued that when knowledge is scientific, the capacity of the firm for its absorption will be more dependent on its R&D efforts (Cohen & Levinthal 1990; Mangematin & Nesta 1999). Following this argument, when the partners' knowledge is more distant from the firms' knowledge base, more targeted mechanisms (such as knowledge sharing mechanisms) also play a role in successfully integrating it within the organizations different units. However, in the case of industrial knowledge these mechanisms could result ineffective because usually knowledge from firms own industry can be easily understood by the firm's employees and the application of mechanisms oriented to knowledge exchange could mean additional costs (Vega-Jurado et al. 2008; Schmidt 2010).
H3: Knowledge-sharing mechanisms are positive moderators of scientific knowledge and innovation.
H4: Knowledge-sharing mechanisms have no moderating effect on the relationship between industrial knowledge and innovation.
2.1.2. Related with formalization:
As exposed before formalization-based mechanisms do not present so many consensuses within the literature. One the one hand, it is argued that in the case of scientific agents, formalization enhances the integration of knowledge because it reduces the necessity of coordination (Van Den Bosch et al. 1999; Vega-Jurado et al. 2008). On the other hand, other studies defend that in this case formalization could difficult the integration of knowledge by creating rigid structures, which inhibits the integration of knowledge (Jansen 2005) 7 .
Moreover, formalization based mechanisms are especially important because they have the power of codifying knowledge and in this sense, by making knowledge explicit its transfer becomes more efficient (Kogut & Zander 1992; Jansen et al. 2006). However, it is argued that
6 Innovation depends to a large extend on the creativity residing on the organization's employees. However, the benefits of implementing this design policy could be insufficient when the organization incurs in high costs (Baumann & Stieglitz 2008).
7 This was their argument on their theoretical framework, however the empirical analysis found a positive effect when considering the effect of formalization on the exploitation of external knowledge.
formalization can difficult the integration of knowledge, especially in the case of industrial agents because of possible knowledge spillovers (Fey & Birkinshaw 2005).
H5a: Formalization-based mechanisms are positive moderators of scientific knowledge and innovation.
H5b: Formalization-based mechanisms are negative moderators of scientific knowledge and innovation.
H6a: Formalization-based mechanisms are positive moderators of industrial knowledge and innovation.
H6b: Formalization-based mechanisms are negative moderators of industrial knowledge and innovation.
2.2. Knowledge incentives
To the best of our knowledge, research on incentives and its effect on the exploitation of external knowledge is not extent. In the study of Foss et al. (2010) knowledge incentives result important moderators between the acquisition of user (and clients) knowledge and innovation. Furthermore, in the analysis of Schmidt (2010) the author disaggregates external knowledge into different types and results show that regardless of the kind of knowledge absorbed the stimulation of employees to be involved in the innovation process is essential in the exploitation of external knowledge.
H7: Knowledge incentives will have a positive moderating impact on scientific agents and innovations.
H8: Knowledge incentives will have a positive moderating impact on industrial agents and innovations.
RESEARCH METHODOLOGY
In this research we conducted a 2011 survey focused on the firms belonging to the Spanish ceramic tile industry 8 . Spanish ceramic tile firms play a relevant role in the international ceramic industry. Concretely, exports rates between 15 and 18% of international commerce have placed Spain as the third country worldwide in the sector (ASCER, 2011) 9 .
Moreover, it is worth understanding the specific characteristics the sector presents. First, the ceramic tile industry in Spain tends to be geographically concentrated in industrial districts. In particular, this tied network of actors is located in the province of Castellón10, where 81% of the firms in the sector are located and approximately 94% of the Spanish production in the sector takes place (ASCER, 2011). Second, most of the firms are considered to be SMEs.
The important number of firms concentrated in Castellón provides the empirical study with enough firms' external linkages, which enables us to answer our research question concerning the different actors involved in the knowledge sourcing process. In the case of Castellón there
8 Ceramic tiles are used as an intermediate product by construction firms and as a consumer good in the restoration of residential accommodation (Flor & Oltra 2004).
9 ASCER is the Spanish association of ceramic tile producers.
10 Especially in the area delimited by the north of Alcora and Borriol, the west of Onda, the south of Nules and the east of Castellón de la Plana.
is a close link between firms and the following research institutes and universities: Technological Institute of Ceramics in Castellón, the Jaume I University, the University of Valencia and the Polytechnic University of Valencia among others. These universities in the sector mainly generate relevant knowledge, skills and techniques that emerge from academic chemistry research. Moreover, the ceramic tile suppliers, such as manufacturers of equipment and frits and glazes producers, are also found in the province (Alegre et al. 2004).
In general innovative behavior among Spanish ceramic tile producers is significant (Alegre & Chiva 2008). Features of the ceramic tile industry suggest it belongs to the supplier- dominated trajectory of Pavitt's taxonomy (Pavitt 1984). Suppliers of equipment have been essential in the processes involving the production of ceramic tiles, reflected by the huge investments made by ceramic manufacturers in equipment during the last years (Flor & Oltra 2004). Moreover, producers of frits and glazes framed in the chemistry industry represent a fundamental material supplier for ceramic manufacturing firms. This is the reason why when considering the industrial external agents involved in the process we focused on suppliers.
1. Sample selection
Our target population comprises around 229 ceramic tile manufacturers in Spain 11 and the questionnaire was sent to all of the population. Thank you to the business associations, we had access to the firms and our response rate was of 167, reflecting a very high representative sample according to previous respondent patters of other studies focused in the same sector (Alegre and Chiva 2008). Our final sample was composed by 105 final producers, 26 frits and glazes firms and 36 manufacturers of equipment.
2. Measures
2.1. Product innovation performance
For the understanding of product innovation performance we followed the well-known definition of the Oslo Manual (OCDE/Eurostat 2005). Following this conceptualization, studies have approached it through different measures. In this study we have operationalized product innovation as the share of innovative products in turnover introduced into the market during the last three years 12 , differentiating between innovations that are new to the firm that is to say, imitative innovations, and those that are new to the market (Leiponen & Helfat 2010). Respondents could grade the perceived value into six categories, where the first category indicated that no product innovation accounted for the firm's sales figures and the last category indicated that more than 50% of the sales were due to firm's product innovations. However, in our final analysis we grouped together the three last categories because they had
11 We estimated the population by considering the firms' belonging to the business associations of the sector: ASCER that comprises 132 firms, ANFECC (National Spanish Association of Ceramic Frits, Glazes and Ceramic Pigments) counts with 26 firms and ASEBEC (Spanish Association of Manufacturers of Machinery and goods of equipment for the ceramic industry) with 71 firms. These firms represent nearly the whole population.
12 The share of innovative products in turnover includes i) technologically new products introduced to the market within the last three years and, ii) technologically improved products introduced to the market within the last three years. In this study, a technological new product is one whose technological characteristics or intended uses differ significantly from those of previously produced products, whereas a technologically improved product refers to an existing product whose performance has been significantly enhanced or upgraded (OCDE/Eurostat 2005).
less than five cases in each one. Thus, the final dependent variable resulted in four final categories ranging from 1 to 4, where the last category indicated that more than 10% of the sales had been generated through the pursue of product innovations.
We believe that the share of innovative products in turnover is a correct choice because it captures the successful introduction of new products in the market, which is important because it requires efficient interactions between R&D and other functions, such as production and marketing (Miotti & Sachwald 2003). Moreover, distinguishing product innovation by their degree of novelty allows us to understand how partnering with different agents leads to different types of innovation.
2.2. Partnering
For the conceptualization of firm's external knowledge sources we considered the most relevant actors within the district: suppliers, universities and research institutes. In relation to these agents respondents were asked three separate questions concerning partnering during the last three years. In this sense, respondents answered 1 if the firm had established a relationship with each agent and 0 otherwise.
In figuring out the divergent sourcing patterns, literature has, among other classifications, differentiated between scientific and industrial sources. For empirical validation purposes we performed an exploratory factor analysis (see the Appendix) and eventually a two-factor solution was obtained where partnering with suppliers strongly loaded on the first factor while partnering with universities and research institutes strongly loaded on the second factor. These results confirm that partnering with suppliers differs substantially from partnering with scientific-based institutions. According to these results we created a construct integrating the questions related to the partnering of universities and research institutes, which takes value 1 if the firm had partnered with a university or a research institute and 0 otherwise. The Cronbach's alpha (α) of the scale was 0.71.
2.3. Knowledge sharing mechanisms
To measure the extent of knowledge sharing in the firm we used a construct composed of two questions. The first question asked for the availability of an intranet at the firm and the second, asked about the existence of a system of information management. In reference to the latter we concretely asked for the existence of the Enterprise Resource Planning System (ERP), which integrates the firm's practices associated with operational or productive activities assuring that all information is available for everybody at all time. The resulting variable was calculated as an arithmetic mean and takes values ranging from 1 to 4 depending on the availability of the firm of these mechanisms (α=0.79).
2.4. Formalization based mechanisms
Respondents were asked to grade the degree of formalized procedures for the development of managerial activities and/or production existent in the firm. The responses were classified from "totally in disagreement" to "totally in agreement", taking values from 1 to 4.
2.5. Knowledge incentives
Respondents were asked to answer to the following statements: The firm provides incentives so employees contribute with new ideas and the firm provides incentives oriented towards the upgrade or improvement of employees knowledge and skills. The resulting variable was
calculated as a mean of the answers given to these two questions and take values 1-4, ranging from "totally in disagreement" to "totally in agreement"(α=0.88).
2.6. Control variables
Besides the explanatory variables discussed above we summon to the analysis controls for scientific and technological capabilities. Even though the focus of our analysis is the role of managerial practices in the exploitation of external knowledge, controlling for internal technological capabilities of the firm becomes necessary in order to provide coherence to our results. For its approximation we asked the following questions. One, if during the last three years the firm incorporated employees with experience in the public system of R&D and two, if during the last three years the firm incorporated employees with business experience in R&D. No differences were find between these two responses (t-test) so the resulting variable was calculated as one, whether the firm incorporated employees in the public or private system of R&D and 0 otherwise (α= 0.66). Besides controlling for technological capabilities we also controlled for the type of activity realized in the district (frits and glazes, final producers or manufacturers of equipment), the collaboration within the same group of enterprises (limited cases) and the size of the firm. A resume of these variables can be found in Table 1.
ANALYSIS AND RESULTS
Table 2 presents the descriptive statistics and the bivariate correlations between the variables used in the regression models. From the table, it can be observed that 62% of the firms in the sample had partnered with scientific agents and 81% had partnered with suppliers during the last three years. These results confirm that the number of external collaborations is higher than the average probably due to industrial district effects. According to the variables related with managerial practices, knowledge sharing and formalization-based mechanisms are on average quite high, meanwhile knowledge incentives are used to a lower extend. Besides, the correlations between the independent variables of the study aren't correlated in more than p=0.38. Furthermore, we calculated variance inflation factors (VIFs) and the maximum value reported was of 1.92, which is below the rule-of-thumb of 10 (Neter et al. 1996). These indicators indicate that there are no problems associated with multicollinearity.
Table 3 and Table 4 present the results of the regressions on imitative and new-to-the market innovations respectively. Our hypotheses were tested using the ordinal logistic regression technique 13 and by means of eight econometric models. The first four models study imitative innovations by considering the direct and moderator effects of all of our explanatory variables. Models from 4 to 8 are also concerned with the direct and interaction effects but focusing on new-to-the-market innovations.
Our models present significant Chi-squared statistics suggesting that the complete model gives a significant improvement over the baseline intercept-only model. Moreover, the values of the Cox and Snell R 2 for the direct effects models are of 0.35 for imitative product innovations and
13 The dependent variable is a discrete and inherently ordered multinomial-choice variable, which takes the value 1 to 4. The reference category for the analysis is the one that takes value 4, that is to say, the one in which the share of turnover due to product innovations was superior to 10%. Moreover, ordinal regressions assume that the relationships between the explanatory variables and the logits are the same for all the logits. This assumption is checked by the test of parallel lines for all of our models.
0.38 for new-to-the-market innovations. These values always increase when intercepts are considered, thus indicating that more variance is explained when incorporating the moderator effects.
The results related with main effects, that is model 1 and model 5, reveal the strong effect suppliers exert on both types of innovation. This result is expected due to the idiosyncrasy of the sector under study. Suppliers mainly drive innovations in the ceramic tile industry, so it is not surprising that partnering with this particular agent appears as a fundamental factor in achieving product innovations. Moreover, when the novelty of innovation is considered partnering with suppliers tends to be more important for imitative innovations as theorized in hypothesis 2. In the case of scientific agents the direct relationship is not supported, thus we reject hypothesis 1. Internal technological capabilities also appear as a relevant factor in the accomplishment of innovations, underscoring the necessity of internal research and development when planning to innovate, especially when innovation is more novel in nature. Moreover, although the focus of the paper is on the moderating effect of managerial practices it is worth outlining that knowledge incentives exert a strong direct effect in both types of innovations, while knowledge sharing mechanisms also appear important when the innovation is new to the market.
The previous results revealed a strong effect of suppliers on innovation in detriment of scientific agents. We further analyze the moderating effects in order to understand how introduction of managerial practices modify the direct relationships. On the first place, we find that scientific agents are relevant in the achievement of imitative innovations when knowledge-sharing mechanisms are considered. To this respect Hypothesis 3 is partially accepted. Second, we find that the moderating effect of knowledge-sharing mechanisms between suppliers and innovation is not significant. This result is consistent with our hypothesis 4.
In relation to formalization based mechanisms our results are in line with the stream of the literature, which posits a possible negative effect on the exploitation of external knowledge because of creation of rigidities within the organization. In particular, the results present a negative moderating relationship between the partnering with scientific agents and innovation, especially when the innovation is new-to-the market. Thus, hypothesis 5b findings are confirmed by our data. In the case of industrial agents no significant results are found, hence we reject hypothesis 6.
Lastly, regarding knowledge incentives our results surprisingly present a significant negative interaction effect between suppliers and innovation results and no significant effects in relation to scientific agents. A possible explanation for these results could be that incentives are not creating new knowledge nor promoting knowledge share between the employees, thus the implementation of this human resources policy result just in an additional cost for the firm. An alternative explanation could be that due to the strong direct positive effect of incentives on innovation, employees are searching knowledge within the firm and not focusing on integrating the knowledge coming from outside for innovation purposes.
Table 1 Description of variables
4: Totally in agreement
Table 1 (continued)
Description of variables
The DRUID Academy Conference 2012
Table 2 Descriptive statistics
* p < 0,05
** p < 0,01
Table 3 Ordered logit regression results: Explanatory variables of imitative product innovations
*p < 0,10
**p < 0,05
***p < 0,01
Table 4 Ordered logit regression results: Explanatory variables of new-to-the-market product innovations
*p < 0,10
**p < 0,05
***p < 0,01
DISCUSSION AND CONCLUSION
This study has analyzed the role of managerial practices as important determinants in the process involving the transformation and utilization of external knowledge. Following the framework provided by absorptive capacity and organizational learning literatures this study deepens further in this under researched field by discriminating between firm's external knowledge sources and analyzing how certain managerial practices condition the ultimate exploitation of the absorbed knowledge. In particular, we studied firm's partnering with suppliers, universities and research institutes and, managerial practices oriented to the coordination of knowledge (knowledge sharing and formalization based mechanisms) and the search for new knowledge in the context of the Spanish Ceramic Tile industry.
Our findings reveal that in the case of this sector the principal driver of innovation are suppliers. These results confirm that for supplier-dominated firms partnering with these agents is crucial in the development of new or improved products. Moreover, when taking into consideration the novelty of the innovation, firms partnering with suppliers attain both types of innovation, although imitative innovations seem to be of major importance. In contrast to this source of innovation, universities and research institutes do not exert a direct impact on innovation. However, when considering the moderating effects of managerial practices scientific partners gain significance.
To this respect, when external knowledge is acquired through scientific partners mechanisms involved with knowledge sharing build positively on the firm's capability of exploiting external knowledge. Formalization based mechanisms also present significant moderating effects between the firm's partnering with scientific agents and its effect on innovation, however, this time effects are negative. In this sense, we can argue that only practices related directly with knowledge sharing have coordination properties and this is the reason of positive significant effects on the exploitation of external scientific knowledge. Practices that enhance formalized procedures do not favor the flow of information within the organization and thus, exert a detrimental effect on the exploitation of external scientific knowledge.
Incentives oriented towards the creation and search for new knowledge have been quite forgotten within this literature, though the scant literature posits a positive effect of these mechanisms on the exploitation of external knowledge. Surprisingly, our results convey that knowledge incentives do not moderate the relationship between partnering with scientific agents and product innovation. Even, this relationship turns negative and significant in the case of suppliers. A possible explanation to this result is that knowledge incentives could be motivating the search inside the organizational boundaries in detriment of ideas coming from the exterior. An alternative explanation could be a deficient implementation of this policy and the corresponding additional costs incurred by the organization.
Previous attempts to explain firm's success in exploiting external knowledge have centered their attention on technological capabilities. However our results show that not only R&D activities and other related activities are important, but that certain organizational characteristics should also be also taken into consideration. Moreover, these results show that the influence of managerial practices on the exploitation of external knowledge can be positive or negative depending on the nature of such practice. Also, our results demonstrate that the moderating effect of managerial practices between external knowledge sourcing and innovation is contingent on the type of partner involved in the sourcing process and the degree of novelty found in innovation results.
Besides theoretical and empirical contributions, this work has also practical implications for managers. In current complex environments the role of external knowledge and its influence on innovation has been an increasingly relevant issue. In this sense, for managers to understand the role of managerial practices in leveraging external knowledge to successful innovations becomes definitely crucial.
LIMITATIONS AND FURTHER RESEARCH
In the following lines we will acknowledge the most salient limitations of our study. This study used questionnaire research, thus, perceptual measures and single-sources responses present a shortcoming to our investigation. Moreover, we were unable to contrast the dependent variable with other objective measures, although we endeavor to collect this data on the future. Eventually, counting with a larger data set would be beneficial mainly because some of the non-significant relationships could become significant. Moreover, a multi-sector analysis will allow us to generalize results.
Even though most of the hypothesis were in line with theorized it is true that some cases were more surprising and more difficult to understand. For instance, incentives were thought to exert a positive effect on the exploitation of external knowledge and contrarily, the effect was non significant in the case of scientific agents and negative in the case of industrial agents. Even though we advanced some possible explanations it would be of interest to pursue additional interviews in the future in order to analyze the rare cases and the results that are not clear.
This study is only a first step in exploring the importance of managerial practices in the exploitation of external knowledge. Further research could extend our study by focusing on additional dimensions of external knowledge sourcing, such as the mechanisms involved (licensing, collaborating…) or the nature of the search (i.e. exploitative/explorative; breath/depth). Moreover, future studies could deepen into the recent discussion involving new organizational forms and consequently add richness into the present research.
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Annexes: Exploratory factor analysis
Factor loadings from principal component analysis (Varimax rotation, n=131)
* Kaiser-Meyer-Olkin measure of sampling adequacy: 0,60 Bartlett's test of sphericity: approx. chi-square: 78.09; p=0,000.
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NUFFIELD COLLEGE
Policy and Procedure on Harassment
Introduction
1. Nuffield College does not tolerate any form of harassment or victimisation and expects all members of its community to treat each other with respect, courtesy and consideration. A definition of harassment can be found in Section 2 below, and a description of behaviours associated with harassment is set out in Section 3.
2. Any member of the College who believes that they have been subjected to harassment or bullying by another member of the College, or against whom an allegation of harassment has been made, is strongly encouraged to seek advice and support at the earliest possible opportunity, and, in the case of potentially criminal behavior, to report the matter to the Police if appropriate. The College takes harassment incidents very seriously and will make every reasonable effort to acknowledge promptly reports of harassment and respond in accordance with the procedures described in this document. Any member of the College may contact one of the College's Harassment Advisors (see Section 1 below), whose role is to listen non-judgmentally to individuals' concerns and to help them to interpret and implement the processes set out in this Policy. Students may also contact the Senior Tutor, and staff may contact the Bursar. Additional support is available from the College Counsellor, Tamina Oliver, and – in the case of students – from the University's Director of Student Welfare and Support Services' office.
3. Any member of the College who has concerns about harassment, but does not necessarily wish to consider pursuing the matter formally is strongly advised to discuss informally their concerns with a Harassment Advisor (College or University).
4. A full list of sources of support and advice available to members of the College is provided at Annex C.
5. The College is committed to fostering an inclusive culture which promotes equality, values diversity and maintains a working, learning and social environment in which the rights and dignity of all members of the College community are respected.
6. The aims of the College as reflected in this Policy are to:
a. Promote a positive environment in which people are treated fairly and with respect.
b. Make it clear that harassment is unacceptable and that all members of the College have a role to play in creating an environment free from harassment.
c. Provide a framework of support for staff and students who feel they have been subject to harassment.
d. Provide a mechanism by which complaints can wherever possible be addressed in a timely way.
7. Members of the College who occupy positions of authority, such as College officers and heads of department, have formal responsibilities under this Policy and are expected to familiarise themselves with this document on appointment. All managers within College have a duty to implement this Policy and to make every effort to ensure that harassment and victimisation do not occur in the areas of work for which they are responsible, and that if they do occur any concerns are investigated promptly and effectively.
8. All members of the College community have the right to expect professional behaviour from others, and a corresponding responsibility to behave professionally towards others. All members of the College community therefore have a personal responsibility for committing to and complying with this Policy and Procedure and must do so by:
a. Treating others with dignity and respect.
c. Supporting any member of the College who feels they have been subject to harassment, including supporting them in making a formal complaint if appropriate.
b. Discouraging any form of harassment by making it clear that such behaviour is unacceptable.
9. Section 1 below describes the role of the College's Harassment Advisors, and Sections 2 and 3 provide a definition of harassment and a description of associated behaviours. Section 4 outlines the application of the policy.
10. There are four annexes. Annex A sets out the Procedure for dealing with complaints of harassment against College staff and explains when this Procedure is applicable. Annex B sets out the Procedure for dealing with complaints of harassment against student members of the College and explains when this Procedure is applicable. Annex C sets out sources of support available to members of the College who believe that they have been subjected to harassment or bullying, and Annex D provides guidance for staff on handling cases of sexual assault or sexual violence.
11. This Policy and Procedure, which is based on the University's Policy and Procedure on Harassment, will be subject to regular review.
Section 1: College Harassment Advisors
12. The Warden, in consultation with the Equality and Diversity Officer and other College Officers as appropriate, shall appoint at least two College Harassment Advisors, including one man and one woman. 1 The College's aim, subject to the availability of suitably trained individuals, is to appoint up to six Harassment Advisors in total, two students, two fellows, and two staff (one male and one female in each case).
13. The current Harassment Advisors within College are:
* Professor Ben Ansell
* Ms Ronak Jain
* Dr Jessica Begon
* Mr Dingeman Wiertz
* Mr Evan Munro
14. Any member of the College may approach a College Harassment Advisor for support or advice. The role of the Harassment Advisor is to listen nonjudgmentally to individuals' concerns and to provide them with support by:
* Listening to staff and students who believe they are being harassed, to clarify the options open to them and to assist them in resolving the matter informally where possible; and provide similar support to those accused of harassment.
* Where requested, supporting them through a resolution process, whether formal or informal.
* Guiding them through the College (and, where applicable, University's) Harassment Policy and relevant procedures, formal and informal.
* Dealing with all cases with the utmost confidentiality (except where there is an unacceptable risk to a student, a member of staff or to the institution, as set out in the College's Guidelines on Confidentiality in Student Health and Welfare).
* Referring them to another advisor where necessary or to other agencies or support systems as appropriate.
Harassment advisors cannot:
* Make statements to the effect that particular behaviour definitely constitutes harassment that will lead to disciplinary action or to the effect that a particular behaviour is not harassment.
* Act as a representative or advocate.
* Approach the alleged harasser in an attempt to mediate or resolve the matter.
* Act as a party to any formal stage of the complaint process, except in the role of providing support.
15. Harassment Advisors appointed by the College must undertake relevant training on appointment and thereafter as appropriate, as provided by the University's Equality and Diversity Unit.
1 Although the designation 'man-woman' and the pronouns 'she-he' are used in this document, the College acknowledges that some people do not identify with binary genders and prefer to use other pronouns.
16. Further information about sources of support and advice available to individuals who believe that they have been the subject of harassment is set out in Annex C below.
Section 2: Definitions
17. The definitions of Harassment set out below are the same as those used by the University in its Policy and Procedures on Harassment.
18. A person subjects another to harassment where s/he engages in unwanted and unwarranted conduct which has the purpose or effect of:
* violating another person's dignity; or
* creating an intimidating, hostile, degrading, humiliating or offensive environment for another person.
The recipient does not need to have explicitly stated that the behaviour was unwanted.
19. Freedom of speech and academic freedom are protected by law though these rights must be exercised within the law. Vigorous academic debate will not amount to harassment when it is conducted respectfully and without violating the dignity of others or creating an intimidating, hostile, degrading, humiliating or offensive environment for them.
20. Bullying is a form of harassment and may be characterised as offensive, intimidating, malicious or insulting behaviour, or misuse of power through means intended to undermine, humiliate, denigrate or injure the recipient.
21. The College seeks to protect any member of its community from victimisation, which is a form of misconduct which may itself result in a disciplinary process. The College will regard as victimisation any instance where a person is subjected to detrimental treatment because s/he has, in good faith:
* made an allegation of harassment; or
* assisted or supported another person in bringing forward such an allegation; or
* indicated an intention to make such an allegation; or
* participated in an investigation of a complaint; or
* taken any other steps in connection with this Policy and Procedure; or
* participated in any disciplinary hearing arising from an investigation; or
* is suspected of having done so.
Section 3: Behaviours
22. Harassment may involve repeated or one-off forms of unwanted and unwarranted behaviour.
23. The intentions of the alleged harasser are not always determinative of whether harassment has taken place. The perception of the complainant and the extent to which that perception is in all the circumstances reasonable will also be relevant.
24. Being under the influence of alcohol, drugs or otherwise intoxicated is not an excuse for harassment.
25. Harassment can take a variety of forms:
* Through individual behavior:
o through other forms of communication, including but not limited to, written communications and communications via any form of electronic media or mobile communications device: such behaviour may also amount to a breach of the College or the University's Regulations Relating to the use of Information Technology Facilities. 2
o face to face, either verbally or physically;
o directly to the person concerned, or to a third party.
* Through a prevailing workplace or study environment which creates a culture which tolerates harassment or bullying, for example the telling of homophobic or racist jokes.
26. Examples of behaviour which may amount to harassment under this Policy include (but are not limited to) the following:
* unwanted physical contact, ranging from an invasion of space to an assault, including all forms of sexual harassment, including:
ii. sexually explicit remarks or innuendoes
i. inappropriate body language
iii. unwanted sexual advances and touching
* open hostility, verbal or physical threats;
* offensive comments or body language, including insults, jokes or gestures and malicious rumours;
* insulting, abusive, embarrassing or patronising behaviour or comments, humiliating, intimidating, and/or demeaning criticism;
* constantly criticising an individual without providing constructive support to address any performance concerns;
* persistently shouting at, insulting, threatening, disparaging or intimidating an individual;
* persistently overloading an individual with work that s/he cannot reasonably be expected to complete;
* threatening to disclose, or disclosing, a person's sexuality or disability to others without their permission;
* posting offensive comments on electronic media, including using mobile communication devices;
* deliberately using the wrong name or pronoun in relation to a transgender person, or persistently referring to their gender identity history;
* publishing, circulating or displaying pornographic, racist, homophobic, sexually suggestive or otherwise offensive pictures or other materials.
* isolation from normal work or study place, conversations, or social events;
27. Stalking may also be a form of harassment and may be characterised by any of the following repeated and unwanted behaviours:
* following a person;
* publishing any statement or other material:
* contacting, or attempting to contact, a person by any means;
o relating or purporting to relate to a person, or
o purporting to originate from a person;
2 See http://intranet.nuff.ox.ac.uk/Resources/IT/Pages/Rules.aspx and www.admin.ox.ac.uk/statutes/regulations/196-052.shtml.
* monitoring the use by a person of the internet, email or any other form of electronic communication;
* interfering with any property in the possession of a person;
* loitering in any place (whether public or private);
* watching or spying on a person including through the use of CCTV or electronic surveillance.
Section 4: Application of the Policy
28. Harassment is a serious offence. Any member of the College community who feels s/he has been subject to harassment can make a complaint via the appropriate Procedure: see Annex A below for the Procedure in relation to complaints about staff, and Annex B for the Procedure in relation to complaints about students.
29. When a criminal offence may have been committed, the relevant harassment Procedure may not be appropriate. These cases will include, but not be limited to, serious assault or threat of serious assault. In these cases, students can seek advice from the Senior Tutor and are also encouraged to consult the College Counsellor and/or the University's Director of Student Welfare and Support Services' office, and can approach the Police directly. Members of staff within College can seek informal advice from the Bursar, and/or can also approach the Police directly. Staff or students in any doubt about how to proceed are encouraged to consult one of the College's Harassment Advisors.
30. Further guidance on dealing with cases of sexual assault or sexual violence has been produced by the University and is set out in Annex D below.
31. Incidents of harassment that occur within the University environment – or which concern members or employees of the University who are not members of the College – will normally be dealt with under the University's Policy and Procedures on Harassment.
32. Any member of the University community (including members of the College) who believes that s/he has been subjected to harassment (or against whom an allegation of harassment has been made) can contact the University Harassment Advisory Service, or a College or departmental harassment advisor, for support and advice, and/or can seek advice from the Senior Tutor (in the case of students) or the Bursar (in the case of staff) or the College Counsellor. A list of sources of help and advice can be found in Annex C, and are available online.
33. If a complainant is deemed to have known or to have reasonably been expected to know that a complaint was unfounded, the allegation of harassment may be judged to be vexatious or malicious, and disciplinary action may be taken against them. No action will be taken if a complaint which proves to be unfounded is judged to have been made in good faith.
34. All parties involved in a complaint (including any witnesses who may be interviewed as part of any investigation, or trade union representatives supporting any of the parties) should maintain strict confidentiality throughout the process. Those involved in advising complainants should seek the consent of the individual for the onward disclosure of relevant information to those with a clear need to know. Where such consent is not forthcoming, the person entrusted with the information should make it clear that, in exceptional circumstances, it may be necessary to disclose the information, taking account of the duty of care which
may be owed to the individual and/or others. Please refer to the College's Policy on Confidentiality in Student Health and Welfare for further details.
35. In dealing with harassment cases every effort will be made to ensure that there is no conflict of interest (for example, through a close working relationship) affecting the persons involved in investigating and resolving the complaint (including the Bursar, Senior Tutor, College harassment advisors and any mediators/conciliators). Where a conflict of interest occurs, or in case of a complaint being made against one of the responsible persons tasked with resolving the complaint (including the Bursar or Senior Tutor), an alternative lead or mediator will be appointed by the Warden (or by the Senior Fellow, in case of a complaint against the Warden). In all cases of harassment every effort will be made to maintain the impartiality of the responsible persons tasked with investigating and/or resolving the complaint.
Annex A: Complaints of harassment against College staff — the Staff Procedure
1. The Procedure below applies in all cases where the person who is the subject of the complaint is a member of College staff (i.e. is an employee of the College), both academic and non-academic. The Bursar will have oversight of all cases, and will take the lead as appropriate in liaising with other parts of the collegiate University. 3
2. Any complaints against staff who hold a University post (but who are not employed by the College) will normally be dealt with under the relevant sections of the University Policy and Procedure.
3. Where the complainant is a student, support during this process may be sought from the Senior Tutor, and students are also encouraged to contact the College's College Counsellor. The Senior Tutor may seek confidential advice from the University's Director of Student Welfare and Support Services' office throughout the process (and will do so without disclosing or compromising the student's identity, unless his or her consent to do so has been obtained). Students themselves can also choose to contact that University's Director of Student Welfare and Support Services' office directly; contact details are available here.
Initial action
4. The Procedure below assumes that the individual has not first been able to resolve the issue through an informal approach. If the complainant wishes to seek informal resolution, s/he should approach in the first instance the Senior Tutor (if s/he is a student) or the Bursar (if s/he is a member of staff), to ask for help in achieving a resolution of the problem.
5. At no time should a student or staff member feel obliged to approach an alleged harasser, and it is important to note that informal action may not be appropriate in serious cases, or in cases where an individual wishes to make a formal complaint of harassment straightaway (see below for details of the formal complaints process).
Mediation or conciliation
6. In some situations, it may be appropriate to ask the parties to consider entering into a mediation or conciliation process. Although mediation or conciliation may be attempted at any time before or after a formal investigation (see below), it may be particularly helpful if it is considered at an early stage before the formal procedure is invoked.
7. In the case of a complaint involving two members of staff, an experienced mediator or conciliator acceptable to both parties will normally be nominated by the Bursar. In the case of a complaint involving a member of staff and a student, the Bursar will consult the Senior Tutor concerning the appointment of a mediator or conciliator, and may also consult the University's Director of Student Welfare and Support Services (who may also be consulted by the Senior Tutor). The person appointed will normally meet with the parties separately and as soon as practicable to begin to seek a resolution. The normal expectation is that resolution would be achieved within 20 working days of the initial meetings with
3 For example, in the case of joint appointments (e.g. academic staff employed both by the College and a University department) co-ordination with the University may be sought as appropriate.
the parties (although this time limit may be extended by agreement). Any agreed outcome will normally be recorded in writing.
8. All those involved in the mediation or conciliation process must maintain strict confidentiality.
Complaints procedure
9. If informal action does not succeed in resolving the situation, or would not be appropriate given the nature of the complaint, the complainant should make a written complaint to the Bursar. If any of the parties considers that the Bursar has a conflict of interest in the complaint, or if the Bursar is the subject of the complaint, the complaint may be referred to another member of the College's Governing Body (who has no previous involvement with the case), who will be appointed by the Warden. Complainants may seek advice about the process from the College's Harassment Advisors, and/or from the University's Harassment Line. Student complainants may also seek support from the Senior Tutor (who may be able to liaise with the Bursar on their behalf) and/or from the University's Director of Student Welfare and Support Services.
Submission of the complaint
10. In submitting the complaint, the complainant should set out as clearly and succinctly as possible:
a. the nature of the behaviour that s/he is concerned about;
c. the resolution s/he is seeking.
b. the effect of this behaviour on her/him; and
The complaint submitted should also include dates and details of any witnesses to any incidents referred to in the complaint, together with any documentary evidence. The complainant should also explain what attempts, if any and where appropriate, have been made to resolve the difficulties and the outcome s/he is seeking.
11. Every effort will be made to achieve a prompt resolution to the complaint – the aim being to conclude the complaint within a period of no more than six weeks. Both the complainant and the person who is the subject of the complaint will be expected to co-operate with the College (and where appropriate, University) in achieving that result.
12. Both parties to the complaint have the right to be accompanied and supported by a trade union representative 4 or by a colleague of his or her choice from within the College at any meeting held under this procedure. If the complaint involves a student s/he may be accompanied by another student member, a member of College, or a member of staff from OUSU's Student Advice Service. These people must maintain strict confidentiality throughout the process, in line with the College's Guidelines on Confidentiality in Student Health and Welfare.
13. There may be circumstances in which an aggrieved party is not willing, or able, to make a formal complaint but the Bursar (or other member of the Governing Body appointed in his/her place) considers that the implications for the aggrieved person or others actually or potentially affected are serious. This may include
4 Information on recognised trade unions at the University is available at www.admin.ox.ac.uk/personnel/staffinfo/joint.
cases where other parties, but not the aggrieved party, have made a complaint. In this case, the Bursar will consult the Warden, and in the case of a student complainant, the Senior Tutor (who may in turn consult the University's Director of Student Welfare and Support Services), and may initiate an investigation and make a decision on further action on the basis of such evidence as is available.
Action taken on receipt of a complaint
14. On receipt of a complaint, the Bursar (or other member of the Governing Body acting in his or her place) will take such steps as s/he thinks necessary or appropriate to understand the nature of the complaint and the outcome sought including:
* informing the person against whom a complaint has been made of the allegations against him or her;
* speaking to other relevant people on a confidential basis; and/or
* meeting separately with the complainant and the alleged harasser (and reminding each party of their right to be accompanied);
* obtaining further relevant information.
In cases where the complainant is a student, before taking any of the steps outlined above the Bursar will consult the Senior Tutor (who may in turn consult the University's Director of Student Welfare and Support Services).
15. The Bursar (or other member of Governing Body acting in his or her place) will then decide how to proceed and will inform the parties in writing. S/he may make such enquiries as are necessary to determine the complaint, or may commission an investigation, where circumstances preclude her or him from concluding the matter in a timely fashion.
16. The Bursar (or other member of Governing Body acting in his or her place) may also determine that immediate interim action is necessary pending the outcome of a formal process.
Investigation
17. The purpose of an investigation is to establish the relevant factual evidence in connection with the allegation(s) made by the complainant.
18. As a general rule, the investigator must not have had previous involvement with the issues in the case nor have a conflict of interest through a working or personal relationship with either individual. The investigation should be concluded as soon as is reasonably practicable. The investigator will prepare a report and may, if specifically requested to do so by the Bursar (or another member of Governing Body acting in his or her place), make recommendations on possible courses of action.
19. The Bursar (or another member of Governing Body acting in his or her place) will inform the complainant and the person who is the subject of the complaint in writing: (i) of the conclusions she or he has reached having reviewed the evidence, including any investigation report; (ii) the action she or he intends to take; and (iii) the reasons for any such action.
20. The Bursar (or another member of Governing Body acting in his or her place) will also inform any other parties who have been asked to participate in an investigation that the investigation has been concluded.
Possible outcomes of a complaint
21. Depending on the nature of the complaint and the evidence found, including the findings of any investigation report, the Bursar (or another member of Governing Body acting in his or her place), in consultation with the Warden (and in the event of a student complainant, the Senior Tutor) will either:
i. Take no further action, other than, where appropriate, implementing or suggesting steps that would help to restore reasonable professional relationships between the parties. This approach will usually be appropriate where the claim(s) of harassment are considered to be unfounded and where there is a continuing relationship between the parties.
or
ii. Initiate resolution of the issues (e.g. by requiring that certain individuals undergo specific training, or implementing practical arrangements to improve professional relationships). If a successful resolution is achieved the case will be closed, but the situation will be monitored for an appropriate period. This approach will usually be appropriate where the evidence does not support a claim of harassment but it is clear that either party has demonstrated behaviours that are likely to lead to further issues between them if unresolved or, alternatively, that there are structural issues concerning the organization of a College department that require management attention.
or
iii. Institute disciplinary proceedings where the Bursar (or another member of Governing Body acting in his or her place) is reasonably satisfied that there is evidence to support allegations of harassment that should be further examined through the disciplinary process. In this event, the Bursar (or other person acting in his or her place) will determine what intermediate measures are necessary, including any re-allocation of duties, in consultation as appropriate with the relevant University department.
or
iv. In rare cases disciplinary action may be instituted against the complainant if the Bursar (or another member of Governing Body acting in his or her place) is satisfied that the complaint of harassment is unfounded and not made in good faith.
Appeals
22. If either party does not accept the outcome of the complaint (including any judgment that the complaint was vexatious), s/he may invoke the relevant College grievance or complaint procedure 5 within the time scales specified in that procedure save that where the decision is to refer the matter for disciplinary
5 The College's grievance procedures for non-academic staff can be found in the College Staff Handbook. Academic staff should consult the College's statutes and by-laws.
action, any matters of dispute will usually be considered as part of that person's response to the disciplinary proceedings.
Confidentiality
23. Information concerning allegations of harassment must be held in strict confidence by those to whom it is divulged (and, in the case of students, in line with the College's Guidelines on Confidentiality in Student Health and Welfare). Unnecessary disclosure of such allegations may attract disciplinary sanction. Information will be shared on a strictly need-to-know basis, including as appropriate with the individual against whom a complaint is brought. Once a formal complaint is pursued, it is likely to be appropriate and/or necessary for certain information to be provided to others within the College, within certain University departments and offices, or to external bodies. In such cases, the consent of the individual in question will always be sought, in line with the guidelines linked to above.
24. Those to whom disclosure may be made outside the University include the police, the Office of the Independent Adjudicator ("OIA") and the civil and criminal courts. The College will not normally report a matter to the police without the complainant's agreement, except in those rare circumstances where there is sufficient evidence to suggest that an individual poses an extreme risk.
Records
25. The University and all those involved in this process must comply with the principles of the Data Protection Act 1998. 6 These include ensuring that personal data is kept accurate and up-to-date, held securely, and not kept for longer than necessary.
26. Those interviewed in the course of any investigation will be asked to review the notes of their individual discussions with the investigator as soon as is reasonably possible in order to comment on any inaccuracies or omissions.
27. The Warden, and if the student is a complainant, the Senior Tutor, should be consulted about filing and retaining any notes and documents, all of which must be held in confidence.
Investigations
28. The procedure for an investigation will normally be as follows (but may be adapted by the investigator to meet the needs of the case):
a. The investigator will meet the complainant to confirm the details of the complaint.
c. The investigator will interview, where reasonably practicable, individuals identified by the complainant as having relevant evidence.
b. The complaint as clarified will be forwarded to the person complained against together with any other relevant material that the investigator has.
d. The investigator will meet the person complained against to hear his/her response to the complaint and any further evidence that has come to light.
6 The University's Data Protection policy is available at: www.admin.ox.ac.uk/councilsec/compliance/dataprotection.
The College Policy is available at: http://intranet.nuff.ox.ac.uk/Administration/HR/Policies%20procedures%20and%20forms/Dataprotection.pdf.
e. The investigator will interview, where reasonably practicable, individuals identified by the person complained against as having relevant evidence.
g. The report will be forwarded to the Bursar (or other person acting in his or her place), usually with a copy to the Warden, and, if the complainant is a student, normally to the Senior Tutor. The Senior Tutor, in consultation with the University's Director of Student Welfare and Support Services, will ensure that appropriate support is available to students during an investigation and following it.
f. Having considered all the evidence, including any relevant documents, the investigator will prepare a written report of her/his findings. The author of the report may check relevant sections in draft with the parties before it is finalised.
Annex B: Complaints of harassment against students—the Student Procedure
1. This Procedure is designed to deal with complaints of harassment that arise within the College context and are made about Nuffield students by other students (from Nuffield or elsewhere within the collegiate University). Complaints of harassment against students which arise purely within the University environment will normally be dealt with under the University Policy and Procedure on Harassment. Complaints of harassment occurring within the College environment which are brought by students against College staff (including joint University employees e.g. jointly appointed academic staff) will be dealt with under the staff Procedure described in Annex A; in those cases, students may be supported by the Senior Tutor and/or the University's Director of Student Welfare and Support Services.
2. If a member of staff wishes to make a complaint of harassment against a student, this will normally be dealt with through the College's disciplinary procedures. 7 In the first instance, a member of staff who intends to make a complaint of harassment against a student should seek support and guidance from the Bursar or (where applicable) from the head of his or her University department.
3. The University's Director of Student Welfare and Support Services' office can provide support to students, and advice to staff (i.e., relevant College officers) requiring guidance on cases involving students.
4. This Procedure may not be applicable where the allegations are of behaviours that may attract criminal sanction. These cases may include, but are not limited to, serious assault or threat of serious assault. This Procedure therefore focuses on complaints of harassment which can be dealt with within the environment of the collegiate University. However, it also includes the procedure for informing and receiving support from the College and the University in cases where there is police involvement.
5. This procedure is separate from Statute XI on University Discipline, and from the College's own disciplinary procedures. Complaints of harassment made under stage 3 of this Procedure (formal written complaint) may sometimes result, following an investigation, in a decision that the alleged harasser should face disciplinary procedures under the College's disciplinary code and/or under the University's Statute XI.
7 See the relevant section on Disciplinary and Complaints procedures in the Student Handbook.
Stage 1 – Informal action
6. In some cases, a student who feels that s/he is being harassed by another student may feel able to approach the person in question to explain what conduct s/he finds upsetting, offensive or unacceptable, and to ask that person to refrain from that behaviour. At no time should a student feel obliged to approach an alleged harasser, and it is not the intention of this Policy to suggest that a student who feels that s/he has been harassed is responsible for rectifying the situation; it may often be appropriate to proceed directly to stages 2 and 3 of the procedure.
7. Before taking any informal action, the student could discuss the situation with a College or departmental harassment advisor. If the student does not feel comfortable contacting a local advisor in the College or in their department, they can contact the Harassment Line for details of another advisor (Tel. 01865 270760 or e-mail email@example.com).
8. Within College, other sources of advice when considering informal resolution include the College Counsellor, and JCR welfare representatives. Sources outside of College include Student Peer Supporters, and OUSU's Student Advice Service (Tel. 01865 288466 or e-mail firstname.lastname@example.org).
9. The sources of support and advice described above are also available to students who have been accused of harassment.
Stage 2 – Referral to the Senior Tutor
10. If informal action does not succeed in resolving the situation, or would not be appropriate given the nature of the behaviour, the student who believes that s/he is being harassed should contact the Senior Tutor, who will provide support and advice. In doing so, the Senior Tutor may seek guidance (in an anonymised way, without disclosing or compromising the student's identity, unless his or her prior consent has been obtained) from the University's Director of Student Welfare and Support Services' office.
11. If the student has not already made contact with a College Harassment Advisor, the Senior Tutor will refer him or her to one, and that person will be available to support the student throughout the process, including if s/he decides to move to stage 3 and make a formal complaint, and will also provide support following the outcome of any formal complaint. Actions taken by the College Harassment Advisor may include:
* Giving advice on options for ways to proceed, and helping the student to make decisions on the action s/he wants to take.
* Referring the student to appropriate support services (such as the Student Counselling Service).
The Senior Tutor will oversee all cases which come to his/her attention, and will advise and take action as appropriate. Actions taken by the Senior Tutor may include:
* Facilitating a mediation or conciliation process between the student and the alleged harasser, if both parties agree. An experienced mediator or conciliator acceptable to both parties will normally be nominated by the Senior Tutor. The mediator or conciliator will meet with the parties separately and as soon as practicable to begin to seek a resolution. The normal expectation is that resolution would be achieved within 20 working days of the initial meetings
with the parties (although this time limit may be extended by agreement). Any agreed outcome will normally be recorded in writing. All those involved in the mediation or conciliation process must maintain strict confidentiality, in line with the College's Guidelines on Confidentiality in Student Health and Welfare.
* Ensuring that relevant members of staff within the collegiate University are informed of the case if appropriate and with the student's consent, and having due regard for obligations of confidentiality owed to others, as set out in the College's Guidelines on Confidentiality in Student Health and Welfare.
* Referring a case to the relevant University department or office, if it transpires that the alleged harassment did in fact take place purely within the University environment.
12. Students against whom complaints of harassment have been made may also seek support from the Senior Tutor or from the University's Director of Student Welfare and Support Services' office. Actions taken will vary depending on the case, but the support will be equivalent to that available to a student who feels that s/he is being harassed by another student, including referral to appropriate support services, and facilitation of a mediation or conciliation process if both parties agree. The Senior Tutor (or the University's Director of Student Welfare and Support Services) will ensure that, where a complainant and a student complained against are both seeking support, they will be dealt with by different members of staff, who will maintain appropriate confidentiality.
13. Support from the Senior Tutor and the University's Director of Student Welfare and Support Services' office is also available to students who wish to make or have made a complaint of harassment against a member of staff, under the Staff Procedure set out in Annex A above.
14. Brief records will be kept of all meetings held and actions taken in relation to the case at this stage. These records will be managed in accordance with the principles of the Data Protection Act 1998. These include ensuring that personal data is kept accurate and up-to-date, held securely, and not kept for longer than necessary. 8
Stage 3—Formal written complaint
15. If action taken at stages 1 or 2 does not succeed in resolving the situation, or would not be appropriate given the nature of the complaint, the student should make a formal written complaint to the College Dean. In some cases, it will be appropriate to proceed directly to this stage, and in these cases, the Dean will normally seek consent from the complainant to refer her/him to the Senior Tutor (where contact has not already been made), so that s/he can be offered appropriate support from a trained member of staff (which may include a College Harassment Advisor or someone from the University's Director of Student Welfare and Support Services' office).
16. The complaint should normally be made as soon as possible after the event(s) to which it refers, or normally within one month of the completion of any resolution attempts made at stages 1 and 2.
8 The University's Data Protection policy is available at: www.admin.ox.ac.uk/councilsec/compliance/dataprotection. The College Policy is available at:
http://intranet.nuff.ox.ac.uk/Administration/HR/Policies%20procedures%20and%20forms/Dataprotection.pdf.
17. The complainant should set out as clearly and succinctly as possible (i) the nature of the behaviour that s/he is concerned about; (ii) the effect of this behaviour on her/him; and (iii) where possible, the resolution s/he is seeking. The complaint should include dates and details of any witnesses to any incidents referred to in the complaint, together with any documentary evidence. The complainant should also explain where appropriate any attempts that have been made to resolve the difficulties. If the complainant has already made a statement about the behaviour under stage 2, this may be sent as their formal written complaint, with the proviso that the Dean may request further information.
18. The Dean, or another member of the College's Governing Body appointed by him or her (and who has no supervisory relationship with the student involved, or previous involvement with the issues of the case), will investigate the case to establish the relevant factual evidence and decide on any actions which should be taken. This may include holding separate meetings with both the complainant and the alleged harasser, and speaking to other relevant people on a confidential basis (in line with the College Guidelines on Confidentiality in Student Health and Welfare). At all times both parties will have the right to be accompanied at meetings. This could be by a member of Congregation or a member of staff from OUSU's Student Advice Service.
19. Every effort will be made to achieve a prompt outcome to the complaint – the aim being to conclude the complaint within a period of one month. Both the complainant and the student who is the subject of the complaint will be expected to co-operate with the College in achieving that result. If it is not possible to resolve the issue within this timeframe, for example for reasons of complexity or the absence of relevant parties from Oxford, both parties will be kept informed.
20. At all times both the complainant and the student complained against will be kept informed of proceedings, and will be referred as appropriate to sources of support and advice. Both parties will be informed in writing of the outcome of the investigation of the complaint.
21. In some circumstances, in the interests of the complainant and/or the student complained about, it may be necessary for interim action to be taken, pending the outcome of the investigation. This may include making arrangements to limit contact between the parties concerned.
22. Investigation of a formal written complaint of harassment may result in:
* Deciding that the alleged harasser should face disciplinary procedures under the College's disciplinary procedures.
* Referring either or both parties to appropriate support services.
* Recommending actions to be taken by the College or by the relevant department or faculty, which might include making arrangements to limit contact between the parties concerned. The Senior Tutor or Warden will normally have responsibility for implementing and monitoring any actions, and for reporting to the Dean that action has been taken. Advice on these procedures will be available from the University's Director of Student Welfare and Support Services.
* Referring a case back to the Senior Tutor, or to the Director of Student Welfare and Support Services' office, for the complainant to receive support from a trained member of staff.
* Referring a case to a University department or office, if it transpires that the alleged harassment did in fact take place purely within the University environment.
* Taking no further action other than, where appropriate, implementing or suggesting steps that would help to restore reasonable relationships between the parties. This approach will usually be appropriate where the claim(s) of harassment are considered to be unfounded and where there is a continuing relationship between the parties.
* In rare cases disciplinary action may be instituted against the complainant if there is evidence that the complaint of harassment is unfounded and not made in good faith.
23. If the complainant is not satisfied with the outcome following the investigation of the formal written complaint, s/he may be able to apply to the Office of the Independent Adjudicator for Higher Education (OIA) for a review of the case. S/he must do so within three months of the date of the Completion of Procedures letter.
Referrals
24. On occasion, complaints of harassment which should be considered under this Procedure may be made to staff other than the Senior Tutor. In this situation, staff should explain the Procedure, and ask the complainant if they would like the case referred to the Senior Tutor, so that support can be arranged, or whether they would like it referred to the Dean as a formal written complaint.
25. If a student does not wish to seek support and advice, or to make a complaint, as described under stages 2 or 3 of this Procedure, or if there are queries about the procedure to be followed, staff can contact the Senior Tutor or the University's Director of Student Welfare and Support Services' office for advice on a confidential basis (and should do so without disclosing or compromising the identity of relevant individuals, in line with the College guidelines on Confidentiality in Student Health and Welfare). Any member of the University can also contact the Proctors for advice and information on any matter (but should take steps to ensure that confidentiality is not compromised).
26. There may be occasions where a student does not wish to seek support and advice or to make a complaint under stages 2 or 3 of this Procedure, but where the Senior Tutor considers that the implications for the individual and/or for others actually or potentially affected are serious. This may include cases where other parties, but not the aggrieved party, have made a complaint. In such circumstances the Senior Tutor may ask the Dean to initiate an investigation and make a decision on further action on the basis of such evidence as is available. The individual's consent will be sought if disclosure is to be made, and a decision on disclosure would only be made after consultation with the Warden. In these rare cases, information would be disclosed on a strictly need-to-know basis, and in line with the College's Guidelines on Confidentiality in Student Health and Welfare.
Potentially criminal misconduct
27. This Procedure may not be applicable where the allegations are of behaviours that may attract criminal sanction. This would include, but would not be limited to, cases of serious assault or threat of serious assault. In the first instance such allegations will normally be a matter for police investigation and action.
28. Support for any student affected by such an incident may be sought from the Senior Tutor or the office of the University's Director of Student Welfare and Support Services.
29. In addition, the Senior Tutor or the University's Director of Student Welfare and Support Services will consider whether it is appropriate to make recommendations to appropriate bodies regarding arrangements that would have the purpose of limiting contact between students for so long as may be considered reasonably necessary. 9 Further guidance on cases of sexual assault and sexual violence, including support available, is available on the University website and can be found in Annex D below. Issues including but not limited to those around teaching, examinations and accommodation/social activity may need to be considered.
Confidentiality
30. Information concerning allegations of harassment must so far as reasonably possible be held in confidence by those to whom it is divulged. Unnecessary disclosure of such allegations may attract disciplinary sanction. Information will be shared on a strictly need-to-know basis. Once a formal complaint is pursued, it is likely to be appropriate and/or necessary for certain information to be provided to others within the College, the University or certain other colleges, or to external bodies. All parties involved must comply with the College's Guidelines on Confidentiality in Student Health and Welfare.
31. Those to whom disclosure may be made outside the University include the police, the Office of the Independent Adjudicator ("OIA") and the civil and criminal courts. The College or the University will not normally report a matter to the police without the complainant's agreement, except in those rare circumstances where there is sufficient evidence to suggest that an individual poses an extreme risk.
Records
32. The College and all those involved in this Procedure must comply with the principles of the Data Protection Act 1998. These include ensuring that personal data is kept accurate and up-to-date, held securely, and not kept for longer than necessary. 10
33. Those interviewed in the course of any investigation by the Dean will be asked to review the notes of their individual discussions with the investigator as soon as is reasonably possible in order to comment on any inaccuracies or omissions. All notes will be preserved during the process and at least until such time as the College's (and where applicable, University's) internal processes and any external processes are concluded.
34. The Warden should be consulted about filing and retaining any notes and documents related to this Procedure, all of which must be held securely and in strict confidence.
9 See the relevant section on Disciplinary and Complaints procedures in the Student Handbook. The powers of the Proctors in relation to University action pending the outcome of criminal proceedings are laid down in Statute XI: University Discipline.
The College Policy is available at:
10 The University's Data Protection policy is available at: www.admin.ox.ac.uk/councilsec/compliance/dataprotection.
http://intranet.nuff.ox.ac.uk/Administration/HR/Policies%20procedures%20and%20forms/Dataprotection.pdf.
Annex C: Sources of Advice
1. Any member of the College who believes that they have been subjected to harassment or bullying by another member of the College is strongly encouraged to seek advice and support at the earliest possible opportunity, and to report the matter to the Police if appropriate. Students may contact the Senior Tutor in the first instance, and staff may contact the Bursar. Any member of the College may contact one of the College's Harassment Advisors, whose role is to listen nonjudgmentally to individuals' concerns and to help them to interpret and implement the processes set out in this Policy. Additional support is available from the College Counsellor, Tamina Oliver, and – in the case of students – from the University's Director of Student Welfare and Support Services' office.
2. The University operates a confidential harassment advisor network and can provide further information about sources of support in relation to harassment. College members may contact the University's Harassment Line (Tel. 01865 270760 or email: email@example.com), if they need additional information or if the responsible persons within the College are unavailable.
3. A full list of sources of support and advice within Nuffield College can be found on the College intranet, and in the introduction to the College's Fitness to Study guidelines.
4. Sources of support and advice within the University are set out in Annex C of the University's Policy and Procedure on Harassment and can also be found online.
5. A copy of the College's Guidelines on Confidentiality in Student Health and Welfare is available here, and a copy of the equivalent University document is available here.
Annex D: University's Guidance for staff on handling cases of sexual assault or sexual violence
1. The University Policy and Procedures on harassment may not be applicable where the allegations are of behaviours that may attract criminal sanction. In such cases, student members can seek advice from the Director of Student Welfare and Support Services' office and/or approach the Police directly; and staff members can seek advice from the Director of Human Resources and/or approach the Police directly.
2. The student harassment Procedure states that in the first instance such allegations will normally be a matter for police investigation and action, but that support for any student affected by such an incident may be sought from the office of the Director of Student Welfare and Support Services. This guidance gives further information to staff on support and contacts for handling cases of sexual assault or sexual violence, and guidance on dealing with such cases.
3. If you are approached by an individual for advice and support in relation to any behaviour which was unwanted and which might have amounted to sexual assault or sexual violence, you should support him or her in contacting a staff or student advisor with particular welfare responsibilities. These include:
4. All information concerning sexual assault and sexual violence should be treated in confidence as far as possible and unnecessary disclosure may give rise to disciplinary action. Information should only be shared on a need-to-know basis. If you are concerned for an individual's immediate safety you should discuss this with them before any confidential information is disclosed to a third party. You will need to explain to the individual that they would need to agree to certain information being disclosed to a limited number of University and college staff in order for support to be put in place. This support may include making arrangements to limit contact between the parties concerned.
5. There may be circumstances in which confidentiality cannot be maintained, for example where in your opinion the complainant or other members of the community may be in serious or immediate danger. The individual's consent would normally be sought if disclosure is to be made, and a decision on disclosure would be made at a senior level. A member of staff might also be called to court in proceedings arising from an allegation of sexual assault or sexual violence, and might be obliged to provide evidence to the court.
6. These caveats to confidentiality should be explained to the individual concerned. If they are unwilling to accept these caveats, you should support the individual to contact support agencies that will deal with individuals on an anonymous basis:
* 0800 221 8186, 0800 221 8186 FREE
* firstname.lastname@example.org
| Specially trained Harassment Advisors | email@example.com | 270760 |
|---|---|---|
| The Director of Student Welfare and | firstname.lastname@example.org | |
| Support Services’ office | | |
| OUSU Student Advice Service | email@example.com | 288466 |
| Thames Valley | Provide a range of |
|---|---|
| Independent | services, including |
| Sexual | support for those |
| Violence | who do not wish to |
| Advisory | report to the police. |
| service (ISVA) for men and women over 16 | Highly-trained | |
|---|---|---|
| | specialist staff will | |
| | work with you to | |
| | create a tailor-made | |
| | support plan to suit | |
| | your needs. | |
| Independent Sexual Violence Advocate (ISVA) for women and girls over 18 | Provides emotional | • 01865 725311, 01865 725311 • firstname.lastname@example.org |
| | and practical advice | |
| | and support for | |
| | women over 18 | |
| | who have | |
| | experienced rape, | |
| | sexual abuse or | |
| | any other type of | |
| | sexual violence at | |
| | any time in their | |
| | lives. | |
| Oxford Sexual Abuse & Rape Crisis Centre for women and girls | Confidential | • 01865 726 295, 01865 726 295 (24hr answerphone) • 0800 783 6294, 0800 783 6294 FREE (Freephone) • email@example.com |
| | telephone helpline, | |
| | email support and | |
| | support groups for | |
| | women and girls | |
| | who are dealing | |
| | with the effects of | |
| | sexual violence, | |
| | and supporters of | |
| | all genders. | |
| Rape Crisis England and Wales for women and men | A free telephone | • 0808 802 9999 0808 802 9999 FREE (Freephone) |
| | helpline which can | |
| | provide advice to | |
| | women and men. | |
| SurvivorsUK for men and boys | A free and | • 02035983898 • firstname.lastname@example.org |
| | confidential | |
| | telephone helpline | |
| | for men and boys | |
| | who are dealing | |
| | with the effects of | |
| | sexual violence. | |
A: Handling the disclosure
Let the individual stay in control
7. The pace and direction of your support should always be led by the individual. Sexual abuse or sexual violence can make an individual feel powerless and not in control. Individuals need to feel they can be in charge of their lives again and it is important to resist the temptation to take over by arranging and doing things that you think are best. Instead, let the individual talk about how they feel, while aiming to support them in any decision they need to take.
8. Individuals are often afraid of how others will react to what has happened to them. They may fear not being believed, embarrassment, having their experiences minimised or trivialised, or even rejection. It is important that your interaction does
not prevent them from seeking further support, and you should avoid questions that could be seen as accusatory such as: "Why didn't you fight back/scream?", "Why didn't you do/say something sooner?".
9. It is important to remember that the reaction to sexual assault will vary from person to person; the individual may be angry, numb or have feelings of guilt. It is helpful not to have any preconceived expectations of how they will look and act, as this could affect your ability to empathise fully. Individuals will have differing priorities: some will want to report to the police, others will be concerned about pregnancy or sexually transmitted infection (STI). They might come to you in the immediate aftermath or want to discuss a historic case.
10. It is possible that the individual will not have labelled their experience as 'sexual assault' or 'sexual violence' (or as 'harassment' or 'stalking'). It is important that you do not ask or prompt them to do this, but rather allow the individual to come to this point in their own time. Given the distressing nature of these experiences, delayed labelling and responses more generally are common. If it has taken the individual a long time to label their experience, or to realise that they wish to seek help, this does not mean that the individual is any less likely to be honest or in need of help. Given there is no formulaic pathway of support, below are practical considerations you should be aware of.
In the event of a recent incident of sexual violence
Sexual Assault Referral Centre - if the individual does not want to contact the police immediately
11. If relevant, let the individual know that there are external personnel who are trained to gather early medical evidence, and inform them that early evidence may be crucial if they want to proceed with a prosecution at any later stage. As well as gathering evidence, important medical treatment can be offered. The individual has two options:
SARCs have specially trained experienced professionals who can give medical help and advice. They can store forensic results until the individual makes up their mind whether or not to report to the police and can support them through the immediate trauma.
You will need to accompany the individual to a SARC or arrange for someone else to do so, and ensure that the individual does not need to pay for transport.
You should always contact the SARC before travelling; whilst they operate a 24 hour service they do need to ensure the relevant staff are available.
The nearest SARCs are:
| Solace Centre | Sherwood Drive |
|---|---|
| | Bletchley |
| | Milton Keynes |
| | MK3 6TP |
| Solace Centre | NHS Upton Park Hospital |
| | Albert Street |
| | Slough |
| | SL1 2BJ |
Specially Trained Officers (STOs) at Thames Valley Police - if the individual does want to make a report to the Police immediately.
Note that approaching the Police binds the Police to investigate if they believe a crime has been committed.
Non-emergency telephone 101; emergency telephone 999.
The STOs will facilitate the care of the individual from initial report, through medical examination, interview and subsequent investigation. They will then identify and engage the most appropriate methods of support.
Protect and preserve evidence
* Use the lavatory or discard underwear or sanitary products
12. In either case, in the event of a recent assault, the individual should be advised not to:
* Wash, shower, bathe or shave
* Remove, wash, discard or destroy clothing worn or bedding and towels used at the time of the incident or subsequent to it
* Wash their hands
* Drink or eat anything, including non-essential medication
* Smoke
* Clean their teeth
* Disturb the scene or allow other people or animals to enter area where the incident took place, where possible.
Non-physical evidence, such as relevant texts, social media messages and emails should be preserved.
13. If attending a SARC or police station, it is important to bring any underwear or clothing worn at the time of the incident in a plastic bag, if not being worn for the journey. The place of the incident should be made secure if possible.
In the event of an historic incident
14. The guidance in paragraph 11 applies; however it is advisable to telephone the SARC before making a journey to establish whether they are likely to be able to gather any medical evidence.
If the individual decides not to report
15. A decision not to visit a SARC or report to the police is still a valid decision and the individual's wishes should be respected. However it is important that they retain relevant evidence, in so far as this is possible, in case they change their mind in the future.
16. An individual who does not want to go to a SARC or the police, is advised to seek medical attention from their college doctor or nurse, local GP or A&E. The local GUM (Genito-Urinary Medicine) Clinic can provide morning-after pills, tests for STIs and anti-retroviral medication.
| GUM Clinic | 01865 231231, 01865 231231 | Churchill Hospital |
|---|---|---|
| | | Old Road |
| | | Oxford |
| | | OX3 7LE |
Keeping records
17. A member of staff to whom an allegation of sexual assault is made is advised to make a note of what has been disclosed, either in the presence of the individual (with their permission) or as soon as possible thereafter. You may be asked to act as a witness in any criminal proceedings and a contemporaneous note will be valuable. The notes should be stored in accordance with the principles of the Data Protection Act and should not normally be disclosed without the individual's permission.
B: Supporting the individual
18. If the alleged perpetrator and the complainant are in the same college or department, contact between them will need to be managed, including contact through teaching, examinations, accommodation and social activity. The Director of Student Welfare and Support Services can advise and make recommendations to the appropriate bodies on such situations, including cases where a complaint is not made to the police or, following a police investigation, the alleged perpetrator is not charged.
19. You can discuss with the individual how they can be helped to feel safer. This might include making sure that relevant staff members are asked not to disclose an individual's whereabouts or telephone number.
20. You can encourage the complainant to contact a specially-trained harassment advisor, the Director of Student Welfare and Support Services' office or OUSU's Student Advice Service for support. If the complainant would like to speak to someone completely outside the University, you can encourage women to contact the Oxford Sexual Abuse & Rape Crisis Centre and men to contact SurvivorsUK. All contact details are given in paragraphs 3 and 6 of this document.
21. You can encourage the individual to speak to the Student Counselling Service where there are professionally trained female and male counsellors, psychotherapists, clinical psychologists and a psychiatrist. Counselling will not erase what has happened, but it may help equip the individual with some new ways to think about what has happened, while helping them mobilize their resources and feel more in control.
22. The Director of Student Welfare and Support Services' office is available to advise staff as well as students, and can advise on issues including whether and how to inform relevant University and college staff of the case, and managing contact between the complainant and the alleged perpetrator.
C: Providing long-term support for the individual
23. The individual may wish to suspend their studies; every effort should be made to ensure that their academic standing is not adversely affected and that their return to study is as smooth as possible.
24. It should be made clear to the individual that all the sources of support described above will be available to them on their return.
D: Sources of support for staff members
25. A member of staff to whom an allegation of sexual assault or sexual violence is made is encouraged to be mindful of their own welfare. Within the University, staff members can contact Occupational Health (e-mail: email@example.com; telephone: 01865 2 82676, 01865 2 82676). Outside of the University, staff members can contact the Oxford Sexual Abuse & Rape Crisis Centre, which provides support for supporters as well as survivors.
If you have any comments or questions on this guidance, please contact firstname.lastname@example.org or the Director of Student Welfare and Support Services' office: email@example.com.
|
SUMMARY OF FEDERAL ACTIONS IN RESPONSE TO THE COVID-19 PANDEMIC
In response to the national emergency taking effect on March 1, 2020, and the public health emergency (PHE) taking effect on January 27, 2020, due to the COVID-19 pandemic, the legislature and various federal agencies have taken action to, among other purposes, offer health care providers, employers, business, and organizations certain flexibilities to ensure continued access to necessary health care and to relieve the financial burden on health care providers and other businesses to meet the increased demand for urgent health care.
The following is a summary of federal waivers, federal agency guidance, federal statutory provisions, and federal regulatory actions regarding changes to certain requirements applicable to health care providers, employers, and organizations enacted or implemented in response to the COVID-19 pandemic. The table below is organized by federal action and is also hyperlinked to the relevant source documents.
* Pages 2 – 34 describe the federal blanket waivers issued by federal agencies.
* Pages 36–38 list the blanket waivers and flexibilities related to telemedicine.
* Page 35 lists certain Medicare FFS flexibilities released by CMS.
* Pages 39 contains the relevant Stark Law blanket waiver.
* Pages 43–47 list the regulatory changes
* Pages 40–42 list certain statutory provisions.
* Pages 48–54 list guidance documents issued by CMS.
* Pages 57–59 list guidance documents by the DEA
* Page 55–56 lists guidance documents issued by OIG.
* Page 60–61 lists guidance documents by the FDA.
* Page 63 lists certain guidance from the IRS.
* Page 62 lists relevant guidance documents from various HHS sub-agencies and FEMA.
* Page 64–65 lists certain guidance from DOL.
* Page 66 lists guidance from The Joint Commission.
Please note this document captures the most relevant federal changes, but it is not exhaustive. This document was last updated on April 13, 2020. For additional information, please visit the Hall Render COVID-19 Resource Center at https://www.hallrender.com/coronavirus/ or contact Ritu Cooper at firstname.lastname@example.org or at (202) 370-9584.
1
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | Hospitals, Psychiatric Hospitals, and CAHs | | EMTALA Waiver |
| 3/1/20 | | CMS/HHS | | Hospitals, Psychiatric Hospitals, and CAHs | | Verbal Orders Waiver |
| 3/1/20 | | CMS/HHS | | Hospitals, Psychiatric Hospitals, and CAHs | | Reporting Requirements Waiver |
| 3/1/20 | | CMS/HHS | | Hospitals which are considered to be impacted by a | | Waiver re Certain Patient Rights Requirements |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| | | | | widespread outbreak of COVID-19 (i.e., 6- 50 or more confirmed cases) | | |
| 3/1/20 | | CMS/HHS | | Hospitals, Psychiatric Hospitals, and CAHs | | Sterile Compounding Waiver |
| 3/1/20 | | CMS/HHS | | Hospitals, Psychiatric Hospitals, and CAHs | | Detailed Information Sharing for Discharge Planning for Hospitals and CAHs Waiver |
| 3/1/20 | | CMS/HHS | | Hospitals, Psychiatric Hospitals, and CAHs | | Limited Detailed Discharge Planning for Hospitals Waiver |
| 3/1/20 | | CMS/HHS | | Hospitals, Psychiatric Hospitals, and CAHs | | Medical Staff Requirements Waiver |
COVID-19 EMERGENCY DECLARATION BLANKET WAIVERS FOR HEALTH CARE PROVIDERS (Issued March 13, 2020 and Mach 17, 2020, Revised on March 20, 2020, and Updated on April 3, 2020 and
April 9, 2020)
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | Hospitals, Psychiatric Hospitals, and CAHs | | Medical Records Timing Waiver |
| 3/1/20 | | CMS/HHS | | Hospitals, Psychiatric Hospitals, and CAHs | | Flexibility in Patient Self Determination Act Requirements (Advance Directives) Waiver |
| 3/1/20 | | CMS/HHS | | Hospitals, Psychiatric Hospitals, and CAHs | | Physical Environment Requirements under 42 C.F.R. §482.41 and §485.623 Waiver |
4
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | Hospitals and CAHs | | Telemedicine Requirements under 42 CFR §482.12(a) (8)–(9) for hospitals and §485.616(c) for CAHs Waivers |
| 3/1/20 | | CMS/HHS | | Hospitals | | Physician Services Requirements under 42 CFR §482.12(c)(1)–(2) and §482.12(c)(4) Waiver |
| 3/1/20 | | CMS/HHS | | Hospitals, CAHs, and Ambulatory Surgical Centers (ASCs) | | Anesthesia Services Requirements under 42 CFR §482.52(a)(5), §485.639(c)(2), and §416.42 (b)(2) Waiver |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | Hospitals | | Utilization Review Requirements under 42 CFR §482.1(a)(3) and 42 CFR §482.30 Waiver |
| 3/1/20 | | CMS/HHS | | Surge Facilities | | Written Policies and Procedures for Appraisal of Emergencies at Off Campus Hospital Departments Waiver |
| 3/1/20 | | CMS/HHS | | Hospitals and CAHs | | Emergency Preparedness Policies and Procedures Waiver |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | Hospitals and CAHs | | Quality Assessment and Performance Improvement Program Waiver |
| 3/1/20 | | CMS/HHS | | Hospitals and CAHs | | Nursing Services Requirements at 42 CFR §482.23(b)(4), |
COVID-19 EMERGENCY DECLARATION BLANKET WAIVERS FOR HEALTH CARE PROVIDERS (Issued March 13, 2020 and Mach 17, 2020, Revised on March 20, 2020, and Updated on April 3, 2020 and
April 9, 2020)
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| | | | | | | §482.23(b)(7), and §485.635(d)(4) |
| 3/1/20 | | CMS/HHS | | Hospitals | | Food and Dietetic Services Requirements under 42 CFR §482.28(b)(3) Waiver |
| 3/1/20 | | CMS/HHS | | Hospitals | | Respiratory Care Services Requirements under 42 CFR §482.57(b)(1) Waiver |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | CAHs | | CAH Personnel Qualifications Waiver |
| 3/1/20 | | CMS/HHS | | CAHs | | CAH Staff Licensure Waiver |
9
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | CAHs | | CAH Status and Location Waiver |
| 3/1/20 | | CMS/HHS | | CAHs | | CAH Length of Stay Waiver |
| 3/1/20 | | CMS/HHS | | Hospitals and CAHs | | Temporary Expansion Locations Waiver |
COVID-19 EMERGENCY DECLARATION BLANKET WAIVERS FOR HEALTH CARE PROVIDERS (Issued March 13, 2020 and Mach 17, 2020, Revised on March 20, 2020, and Updated on April 3, 2020 and
April 9, 2020)
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | CAHs | | Responsibilities of physicians in critical access hospitals (CAHs) Waiver of Requirements under 42 C.F.R. § 485.631(b)(2) |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | RHCs & FQHCs | | Certain Staffing Requirements under 42 C.F.R. 491.8(a)(6) Waiver |
| 3/1/20 | | CMS/HHS | | RHCs & FQHCs | | Physician supervision of NPs in RHCs and FQHCs Requirements under 42 C.F.R. 491.8(b)(1) Waiver |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | IPPS Hospitals | | Housing Acute Care Patients in the IRF or Inpatient Psychiatric Facility (IPF) Excluded Distinct Part Units Waiver |
| 3/1/20 | | CMS/HHS | | Acute Care Hospitals with Excluded Inpatient Psychiatric Units | | Care for Excluded Inpatient Psychiatric Unit Patients in the Acute Care Unit of a Hospital Waiver |
| 3/1/20 | | CMS/HHS | | Acute Care Hospitals with | | Care for Excluded Inpatient Rehabilitation |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| | | | | Excluded Distinct Part Inpatient Rehabilitation Units | | Unit Patients in the Acute Care Unit of a Hospital Waiver |
| 3/1/20 | | CMS/HHS | | IPPS and Other Acute Care Hospitals | | Flexibility for Inpatient Rehabilitation Facilities Regarding the “60 Percent Rule” Waiver |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| | | | | | | Survey Submission Waiver |
| 3/1/20 | | CMS/HHS | | Long-Term Care Acute Hospitals (LTCHs) | | Supporting Care for Patients in Long-Term Care Acute Hospitals (LTCH)s |
| 3/1/20 | | CMS/HHS | | Extended Neoplastic Disease Care Hospitals | | Care for Patients in Extended Neoplastic Disease Care Hospitals Waiver |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | SNF | | 3-Day Prior Hospital Stay Waiver |
| 3/1/20 | | CMS/HHS | | SNF | | Reporting Minimum Data Set Requirements under 42 CFR 483.20 Waiver |
| 3/1/20 | | CMS/HHS | | LTCFs | | Staffing Data Submission Waiver |
| 3/1/20 | | CMS/HHS | | SNFs & NFs | | Waiver of Pre-Admission Screening and Annual Resident Review (PASARR) |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | LTCFs, SNFs, NFs | | Physical Environment Requirements under 42 CFR 483.90 Waiver |
| 3/1/20 | | CMS/HHS | | LTCFs, SNFs, NFs | | Resident Groups Waiver |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | SNFs & NFs | | Training and Certification of Nurse Aids Waiver |
| 3/1/20 | | CMS/HHS | | LTCFs, SNFs, NFs | | Physician Visits in Skilled Nursing Facilities/Nursing Facilities Waiver |
| 3/1/20 | | CMS/HHS | | LTCFs, SNFs, NFs | | Resident Roommates and Grouping Waiver |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | LTCFs, SNFs, and/or NFs | | Resident Transfer and Discharge Waiver |
| 3/1/20 | | CMS/HHS | | LTCFs, SNFs, and/or NFs | | Physician Services: Physician Delegation of Tasks in SNFs and |
| Effective | Issuing | To Whom it | Requirement Waived |
|---|---|---|---|
| Date | Agency | Applies | |
| | | | Physician Visits Requirements under 42 C.F.R. 483.30(e)(4) and 42 C.F.R. 483.30(c)(3) Waiver |
COVID-19 EMERGENCY DECLARATION BLANKET WAIVERS FOR HEALTH CARE PROVIDERS (Issued March 13, 2020 and Mach 17, 2020, Revised on March 20, 2020, and Updated on April 3, 2020 and
April 9, 2020)
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | Home Health Agencies | | Waiver Allowing Extension of Autocancellation Dates of RAPs |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | Home Health Agencies | | OASIS Transmission Reporting Waiver |
| 3/1/20 | | CMS/HHS | | Home Health Agencies | | Initial Assessments Waiver |
| 3/1/20 | | CMS/HHS | | Home Health Agencies | | Onsite Visits for HHA Aide Supervision Waiver |
| 3/1/20 | | CMS/HHS | | Home Health Agencies | | Allow Occupational Therapists (OTs) to Perform Initial and Comprehensive Assessment for All |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| | | | | | | Patients Requirements under 42 C.F.R. 484.55(a)(2) and 484.55(b)(3) Waiver |
| 3/1/20 | | CMS/HHS | | Hospice | | Use of Volunteers Waiver |
| 3/1/20 | | CMS/HHS | | Hospice | | Comprehensive Assessments Waiver |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | Hospice | | Non-Core Services Waiver |
| 3/1/20 | | CMS/HHS | | Hospice | | Onsite Visits for Hospice Aide Supervision Waiver |
| 3/1/20 | | CMS/HHS | | Hospice | | Hospice Aide Competency Testing Allow Use Of Pseudo Patients Requirements under 42 C.F.R. 418.76(c)(1) Waiver |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | Hospice | | 12-Hour Annual In- Service Training Requirement for Hospice Aides Requirements under 42 C.F.R. 418.76(d) Waiver |
| 3/1/20 | | CMS/HHS | | ESRD Facilities | | Training Program and Periodic Audits Waiver |
| 3/1/20 | | CMS/HHS | | ESRD Facilities | | Defer Equipment Maintenance & Fire Safety Inspections Waiver |
| 3/1/20 | | CMS/HHS | | ESRD Facilities | | Emergency Preparedness Waiver |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | ESRD Facilities | | Ability to Delay Some Patient Assessments Waiver |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | ESRD Facilities | | Time Period for Initiation of Care Planning and Monthly Physician Visits Waiver |
| 3/1/20 | | CMS/HHS | | ESRD Facilities | | Dialysis Home Visits to Assess Adaptation and Home Dialysis Machine Designation Waiver |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | ESRD Facilities | | Home Dialysis Machine Designation – Clarification |
| 3/1/20 | | CMS/HHS | | ESRD Facilities | | Special Purpose Renal Dialysis Facilities (SPRDF) Designation Expanded |
| 3/1/20 | | CMS/HHS | | ESRD Facilities | | Dialysis Patient Care Technician (PCT) Certification |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | ESRD Facilities | | Transferability of Physician Credentialing |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | ESRD Facilities | | Clarification for billing procedures |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | DMEPOS Suppliers | | Emergency Durable Medical Equipment, Prosthetics, Orthotics, and Supplies for Medicare Beneficiaries Impacted by the Emergency Waiver |
| 3/1/20 | | CMS/HHS | | Certain Medicare Practitioners | | Practice Location Waiver |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | Medicare Providers and Suppliers | | Provider Enrollment Waiver |
| | Effective | | Issuing | | To Whom it | Requirement Waived |
|---|---|---|---|---|---|---|
| | Date | | Agency | | Applies | |
| 3/1/20 | | CMS/HHS | | Medicare Providers and Suppliers | | Medicare Appeals in Fee For Service (FFS), Medicare Advantage (MA) and Part D |
| Effective | Issuing | To Whom it | Requirement Waived |
|---|---|---|---|
| Date | Agency | Applies | |
| Effective | Issuing | To Whom it | Requirement Waived |
|---|---|---|---|
| Date | Agency | Applies | |
MEDICARE FEE-FOR-SERVICE (FFS) RESPONSE TO THE PUBLIC HEALTH EMERGENCY FLEXIBILITIES AND POLICIES & PROCEDURES WITHOUT § 1135 WAIVERS
|
Proposed Rule Summary
Medicare Inpatient Psychiatric Facility Prospective Payment
Federal Fiscal Year 2015
System:
June 2014
Table of Contents
If you have any questions about this summary, contact Kathy Reep, FHA Vice President/Financial Services, by email at email@example.com or by phone at (407) 841-6230.
Overview and Resources
On May 6, 2014, the Centers for Medicare & Medicaid Services (CMS) released the federal fiscal year (FY) 2015 proposed payment rule for the inpatient psychiatric facility prospective payment system (IPF PPS). The proposed rule reflects the annual update to the Medicare feefor-service (FFS) IPF payment rates and policies based on regulatory changes put forward by CMS and legislative changes previously adopted by Congress.
A copy of the proposed rule Federal Register and other resources related to the IPF PPS are available on the CMS Web site at https://www.cms.gov/Medicare/Medicare-Fee-for-ServicePayment/InpatientPsychFacilPPS/index.html. An online version of the proposed rule is available at https://federalregister.gov/a/2014-10306.
A brief summary of the proposed rule is provided below along with Federal Register page references for additional details. Program changes proposed by CMS would be effective for discharges on or after October 1, 2014, unless otherwise noted. Comments on the proposed rule are due to CMS by June 30 and can be submitted electronically at http://www.regulations.gov by using the Web site's search feature to search for file code "1606-P."
IPF Payment Rates
Federal Register pages 26042-26046
Incorporating the proposed updates, with the effect of a budget neutrality adjustment for wage index, the table below lists the IPF federal per diem base rate and the electroconvulsive therapy (ECT) base rate for FY2015 compared to the rates currently in effect.
| | | Final | | Proposed | | Percent |
|---|---|---|---|---|---|---|
| | | FY2014 | | FY2015 | | Change |
| IPF Per Diem Base Rate | $713.19 | | $727.67 | | +2.0 | |
| ECT Base Rate | $307.04 | | $313.27 | | +2.0 | |
The table below provides details of the proposed updates to the IPF payment rates for FY2015.
| | FY2015 IPF |
|---|---|
| | Rate Updates |
| | (percent) |
| Market Basket Update | |
| ACA-Mandated Productivity Market Basket Reduction | |
| ACA-Mandated Pre-Determined Market Basket Reduction | |
| Overall Rate Change | |
Effect of Sequestration
Federal Register page reference not available
While the proposed rule does not specifically address the 2.0 percent sequester reductions to all lines of Medicare payments authorized by Congress and currently in effect through FY2024, sequester will continue unless Congress intervenes. Sequester is not applied to the payment rate; instead, it is applied to Medicare claims after determining co-insurance, any applicable deductibles, and any applicable Medicare secondary payment adjustments.
Wage Index and Labor-Related Share
Federal Register pages 26056-26060, and 26044-26045
The labor-related portion of the IPF per diem base rate and ECT base rate are adjusted for differences in area wage levels using a wage index. CMS is not proposing any major changes to the calculation of Medicare IPF wage indexes. Also, CMS is not proposing to adopt the new labor-market areas proposed for use under the inpatient prospective payment system (IPPS) and other Medicare payment systems for FY2015 and beyond. As has been the case in previous years, CMS would use the prior year's inpatient hospital wage index, the FY2014 pre-rural floor and pre-reclassified hospital wage index, to adjust payment rates under the IPF PPS for FY2015. A complete list of the IPF wage indexes for payment in FY2015 is available in Tables 1 and 2 of the proposed rule on Federal Register pages 26082-26089. These values will not be updated for the final rule.
Based on updates to this year's market basket value, CMS would increase the labor share of the IPF per diem base rate and ECT base rate from 69.494 percent for FY2014 to 69.538 percent for FY2015. This change would provide a slight increase in payments to IPFs with a wage index greater than 1.0.
Adjustments to the IPF Payment Rates
Federal Register pages 26046-26057
For FY2015, CMS is proposing to retain the facility and patient-level adjustments currently used under the IPF PPS. The adjustments are described in detail below.
* ED Adjustment (Federal Register pages 26055-26056): For FY2015, IPFs with a qualifying emergency department (ED) would continue to receive an adjustment factor of 1.31, rather than 1.19, as the variable per diem adjustment for day 1 of each stay (see "Patient Variable Per Diem Adjustment" section). This adjustment is intended to account for the costs associated with maintaining a full-service ED. The ED adjustment applies to all IPF admissions, regardless of whether a patient receives preadmission services in the hospital's ED. The ED adjustment is not made when a patient is discharged from an acute care hospital or Critical Access Hospital (CAH) and admitted to the same hospital or CAH's psychiatric unit.
* Teaching Adjustment (Federal Register page 26057): IPFs with teaching programs would continue to receive an adjustment to the per diem rate to account for the higher indirect operating costs experienced by hospitals that participate in graduate medical
education (GME) programs. CMS would maintain the teaching adjustment factor at 0.5150 for FY2015. The teaching adjustment is based on the number of full-time equivalent (FTE) interns and residents training in the IPF and the IPF's average daily census (ADC). CMS would maintain the following formula to calculate the teaching adjustment: (1 + IPF's FTE resident to ADC ratio) ^ 0.5150 . CMS would continue to allow temporary adjustments to FTE caps to reflect residents added due to closure of an IPF or a closure of an IPF's medical residency training program.
* Rural Adjustment (Federal Register page 26057): IPFs located in rural areas would continue to receive an adjustment to the per diem rate of 1.17. This adjustment is provided because an analysis by CMS determined that the per diem cost of rural IPFs was 17 percent higher than that of urban IPFs.
* Patient Condition (MS-DRG) Adjustment (Federal Register pages 26046-26048): For FY2015, CMS would continue to use the Medicare-Severity Diagnosis Related Group (MS-DRG) system used under the IPPS to classify Medicare patients treated in IPFs. Like the IPPS, CMS uses the International Classification of Diseases, 9th Revision, Clinical Modification (ICD-9-CM) as the designated code set for the IPF PPS. Annual changes to the ICD-9-CM coding system made under the IPPS are incorporated into the IPF PPS. CMS has, however, stated its goal to convert to the ICD-10 coding system when ICD-10 becomes the required medical data code set for Medicare claims – currently set for FY2016.
As has been the case in prior years, principal diagnoses codes (ICD-9-CMs) that group to one of 17 MS-DRGs recognized under the IPF PPS would receive a DRG adjustment. Principal diagnoses that do not group to one of the designated MS-DRGs recognized under the IPF PPS still receive the federal per diem base rate and all other applicable adjustments, but the payment would not include a DRG adjustment. The following table lists the 17 MS-DRGs that would be eligible for a MS-DRG adjustment under the IPF PPS for FY2015. These are the same adjustment levels currently in place.
| MS-DRG | Description | Adjustment |
|---|---|---|
| | | Factor |
| 896 | Alcohol/drug abuse or dependence w/o rehabilitation therapy w MCC | |
| 897 | Alcohol/drug abuse or dependence w/o rehabilitation therapy w/o MCC | |
| 887 | Other mental disorder diagnoses | |
| 894 | Alcohol/drug abuse or dependence, left AMA | |
| 881 | Depressive neuroses | |
| 886 | Behavioral & developmental disorders | |
| 885 | Psychoses | |
| 882 | Neuroses except depressive | |
| 883 | Disorders of personality & impulse control | |
| 895 | Alcohol/drug abuse or dependence w rehabilitation therapy | |
| 884 | Organic disturbances & mental retardation | |
| 056 | Degenerative nervous system disorders w MCC | |
| 057 | Degenerative nervous system disorders w/o MCC | |
| 880 | Acute adjustment reaction & psychosocial dysfunction | |
| 080 | Non-traumatic stupor & coma w MCC | |
| MS-DRG | Description | Adjustment |
|---|---|---|
| | | Factor |
| 876 | O.R. procedure w principal diagnoses of mental illness | |
* Patient Comorbid Condition Adjustment (Federal Register pages 26048-26055): For FY2015, the IPF PPS would continue to recognize 17 comorbidity categories for which an adjustment to the per diem rate can be applied. The ICD-9-CM diagnosis codes that generate the comorbid condition payment adjustment, as well as the proposed list of ICD-10-CM diagnosis codes, are listed on Federal Register pages 26053-26055. For each claim, an IPF may receive only one comorbidity adjustment per comorbidity category, but it may receive an adjustment for more than one category. The following table lists the comorbid condition payment adjustments for FY2015. These are the same adjustment levels currently in place.
* Patient Age Adjustment (Federal Register page 26055): The IPF PPS would maintain the patient age adjustment for FY2015. Analysis by CMS has shown that IPF per diem costs increase with patient age. The following table lists the patient age adjustments for FY2015. These are the same adjustment levels currently in place.
* Patient Variable Per Diem Adjustment (Federal Register pages 26055-26056): For FY2015, the per diem rate would continue to be adjusted based on patient length-of-
| Description of Comorbidity | | Adjustment |
|---|---|---|
| | | Factor |
| Drug and/or Alcohol Induced Mental Disorders | 1.03 | |
| Developmental disabilities | 1.04 | |
| Uncontrolled Diabetes Mellitus | 1.05 | |
| Tracheostomy | 1.06 | |
| Oncology Treatment | 1.07 | |
| Infectious Diseases | 1.07 | |
| Artificial Openings—Digestive and Urinary | 1.08 | |
| Severe Musculoskeletal and Connective Tissue Diseases | 1.09 | |
| Gangrene | 1.10 | |
| Renal Failure, Acute | 1.11 | |
| Renal Failure, Chronic | 1.11 | |
| Cardiac Conditions | 1.11 | |
| Poisoning | 1.11 | |
| Eating and Conduct Disorders | 1.12 | |
| Chronic Obstructive Pulmonary Disease | 1.12 | |
| Coagulation Factor Deficits | 1.13 | |
| Severe Protein Calorie Malnutrition | 1.13 | |
| | Age | | Adjustment Factor | | Age | | Adjustment Factor |
|---|---|---|---|---|---|---|---|
| Under 45 | | 1 | | 65 and under 70 | | 1.10 | |
| 45 and under 50 | | 1.01 | | 70 and under 75 | | 1.13 | |
| 50 and under 55 | | 1.02 | | 75 and under 80 | | 1.15 | |
| 55 and under 60 | | 1.04 | | 80 and over | | 1.17 | |
| 60 and under 65 | | 1.07 | | | | | |
stay (LOS) using variable per diem adjustments. Analysis by CMS has shown that per diem costs decline as the LOS increases. Currently, variable per diem adjustments begin on day 1 (adjustment of 1.19 or 1.31 depending on the presence of an ED – see "ED Adjustment" section) and gradually decline until day 21 of a patient's stay. For day 22 and thereafter, the variable per diem adjustment remains the same each day for the remainder of the stay. The following table lists the variable per diem adjustment factors for FY2015. These are the same adjustment levels currently in place.
| | Day-of-Stay | | Adjustment Factor | | Day-of-Stay | Adjustment Factor |
|---|---|---|---|---|---|---|
| Day 1 | | 1.19 (w/o ED) or 1.31 (w/ED) | | Day 12 | | |
| Day 2 | | 1.12 | | Day 13 | | |
| Day 3 | | 1.08 | | Day 14 | | |
| Day 4 | | 1.05 | | Day 15 | | |
| Day 5 | | 1.04 | | Day 16 | | |
| Day 6 | | 1.02 | | Day 17 | | |
| Day 7 | | 1.01 | | Day 18 | | |
| Day 8 | | 1.01 | | Day 19 | | |
| Day 9 | | 1.00 | | Day 20 | | |
| Day 10 | | 1.00 | | Day 21 | | |
| Day 11 | | 0.99 | | After Day 21 | | |
Outlier Payments
Federal Register pages 26060-26061
Outlier payments were established under the IPF PPS to provide additional payments for extremely costly cases. Outlier payments are made when an IPF's estimated total cost for a case exceeds a fixed dollar loss threshold amount (multiplied by the IPF's facility-level adjustments) plus the federal per diem payment amount for the case. Costs are determined by multiplying the facility's overall cost-to-charge ratio (CCR) by the allowable charges for the case. When a case qualifies for an outlier payment, CMS pays 80 percent of the difference between the estimated cost for the case and the adjusted threshold amount for days 1 through 9 of the stay and 60 percent of the difference for day 10 and thereafter. The varying 80 percent and 60 percent "loss sharing ratios" were established to discourage IPFs from increasing patient LOS in order to receive outlier payments. CMS has established a target of 2.0 percent of total IPF PPS payments to be set aside for high cost outliers. To meet this target for FY2015, CMS is updating the outlier threshold value to $10,125, a 1.2 percent decrease compared to the current threshold of $10,245.
IPFQR Program
Federal Register pages 26061-26073
As previously adopted, for FY2015 payment determinations under inpatient psychiatric facility quality reporting (IPFQR) program, hospitals were required to report on a total of six quality measures. CMS has already adopted additional measures though the FY2016 payment determination year. IPFs that do not successfully participate in the IPFQR program are subject to a 2.0 percentage point reduction to the market basket update for the applicable year–the reduction factor value is set in law.
CMS is using the FY2015 rulemaking process to adopt new measures for federal FYs 2016 and 2017 payment determinations along with updated and/or new data submission timelines for the previously adopted and newly proposed measures. For FY2016 payment determinations, CMS is proposing to collect data on a total of 10 quality measures (up from six measures for FY2015 determinations). CMS would retain the eight measures currently in place for FY2016 determinations and add two new structural measures. As the newly proposed measures are considered self-attestations, CMS notes that there would be no additional data collection required by IPFs for FY2016 determinations. For FY2017 payment determinations, CMS is proposing to collect data on a total of 14 quality measures (up from 10 measures for FY2016 determinations). CMS would retain the 10 measures for FY2016 determinations (eight previously adopted; two newly proposed) and add three new clinical quality-of-care measures and one patient safety measure.
The following lists the IPFQR program measures and applicable payment determination years:
| Measure | Payment |
|---|---|
| | Determination |
| | Year |
| NQF #0640: HBIPS-2 – Hours of Physical Restraint Use | |
| NQF #0641: HBIPS-3 – Hours of Seclusion Use | |
| NQF #0552: Patients Discharged on Multiple Antipsychotic Medications | |
| NQF #0560: HBIPS-5 – Patients Discharged on Multiple Antipsychotic Medications with Appropriate Justification | |
| NQF #0557: Post Discharge Continuing Care Plan Created | |
| NQF #0558: Post-Discharge Continuing Care Plan Transmitted to Next Level of Care Provider Upon Discharge | |
| NQF #1661: SUB-1 – Alcohol Use Screening | |
| NQF #0576: FUH – Follow-Up After Hospitalization for Mental Illness | |
| [Not NQF Endorsed]: Assessment of Patient Experience of Care (web-based attestation) | |
| [Not NQF Endorsed]: Use of an electronic health record (web-based attestation) | |
| NQF #1659: IMM-2 – Influenza Immunization | |
| NQF #0431: NHSN Influenza Vaccination Coverage Among Healthcare Personnel | |
| NQF #1651: TOB-1 – Tobacco Use Screening | |
As it does each year, CMS is using the proposed rule to update the IPFQR program data submission deadlines, procedures, and other program details. CMS is also seeking comment on future measure topic areas. Details on these items are available on Federal Register pages 26071-26073.
|
Case C-338/21
Summary of the request for a preliminary ruling pursuant to Article 98(1) of the Rules of Procedure of the Court of Justice
Date lodged:
31 May 2021
Referring court:
Raad van State (Council of State, the Netherlands)
Date of the decision to refer:
26 May 2021
Appellant:
Staatssecretaris van Justitie en Veiligheid
Respondents:
Subject matter of the main proceedings
Appeals brought by the Staatssecretaris van Justitie en Veiligheid (State Secretary for Justice and Security; 'the State Secretary') before the Raad van State (Council of State, Netherlands) against judgments delivered by the Rechtbank Den Haag (The Hague District Court) in three cases pending before it, in which it declared well-founded the appeals lodged by the foreign nationals concerned against the decisions of the State Secretary not to examine their applications for a fixed-term residence permit issued to persons granted asylum and annulled all three decisions.
Subject matter and legal basis of the request
Request pursuant to Article 267 TFEU concerning the interpretation of Article 27(3) and Article 29 of Regulation (EU) No 604/2013 of the European
Parliament and of the Council of 26 June 2013 establishing the criteria and mechanisms for determining the Member State responsible for examining an application for international protection lodged in one of the Member States by a third-country national or a stateless person ('the Dublin Regulation').
The referring court seeks to ascertain whether Articles 29(1) and 27(3) of the Dublin Regulation, which relate to the time limit within which a foreign national can be transferred to the Member State responsible ('transfer time limit') and on the suspension of that time limit in the event of an appeal or review relating to the transfer decision, preclude the Dutch system, under which the transfer time limit is also suspended if, during the course of the Dublin procedure, a foreign national lodges an application for the granting of a residence permit because he claims to have been a victim of trafficking in human beings in the Netherlands and/or in the Member State responsible, and the foreign national challenges the rejection of that application. Because, pursuant to the Dutch Vreemdelingenwet 2000 (Law on foreign nationals of 2000), the foreign national is permitted to await the ruling on that challenge in the Netherlands, transfer to the Member State responsible is not actually possible during that time.
Question referred for a preliminary ruling
Must Articles 27(3) and 29 of Regulation (EU) No 604/2013 of the European Parliament and of the Council of 26 June 2013 establishing the criteria and mechanisms for determining the Member State responsible for examining an application for international protection lodged in one of the Member States by a third-country national or a stateless person (OJ 2013 L 180) be interpreted as not precluding national legislation such as that at issue here, in which a Member State has opted to implement Article 27(3)(c), but has also granted the suspensive effect that can be applied to the implementation of a transfer decision, to a review or appeal against a decision in proceedings concerning an application for a residence permit on the grounds of trafficking in human beings, which, while not being a transfer decision, does nevertheless temporarily prevent the actual transfer?
Provisions of European Law relied on
The Dublin Regulation, in particular, recitals 4, 5, 9 and 19, and Articles 27 and 29
Council Directive 2004/81/EC of 29 April 2004 on the residence permit issued to third-country nationals who are victims of trafficking in human beings or who have been the subject of an action to facilitate illegal immigration, who cooperate with the competent authorities, in particular, recitals 9, 10 and 11
Directive 2011/36/EU of the European Parliament and of the Council of 5 April 2011 on preventing and combating trafficking in human beings and protecting its victims, and replacing Council Framework Decision 2002/629/JHA, in particular, recitals 1 and 7
Provisions of national law relied on
Algemene wet bestuursrecht (General law on administrative law), in particular, Article 8:81 and Article 8:108
Vreemdelingenwet 2000 (Law on foreign nationals of 2000), in particular, Articles 28, 73 and 82
Vreemdelingenbesluit 2000 (Decree on foreign nationals of 2000), in particular, Article 3.48 and Article 7.3
Vreemdelingencirculaire 2000 (Circular on foreign nationals of 2000), in particular, paragraph B1/7.2
Succinct presentation of the facts and procedure in the main proceedings
1 S.S. ('foreign national 1'), N.Z. ('foreign national 2') and S.S. ('foreign national 3') each lodged an application for international protection in the Netherlands in 2019, but the State Secretary held Italy responsible for examining these applications. The Italian authorities accepted the take back or take charge requests either explicitly or tacitly and therefore the State Secretary did not examine the applications for international protection.
2 Subsequently, each of the foreign nationals also made declarations in the Netherlands about trafficking in human beings, of which they claimed to have become victims in the Netherlands and/or in Italy. The State Secretary regarded these declarations, ex officio, as applications for the granting of an ordinary fixedterm residence permit on the basis of temporary humanitarian grounds within the meaning of Article 3.48 of the Decree on foreign nationals of 2000, namely, as victims of trafficking in human beings. In the Dutch system, such an application for residence on the grounds of trafficking in human beings is the start of a new, separate procedure, the content of which is distinct from the procedure relating to an application for international protection. The State Secretary subsequently rejected the applications for residence on the grounds of trafficking in human beings, after which the foreign nationals sought reviews of those rejection decisions. The State Secretary dismissed as unfounded the review sought by foreign national 1 and foreign national 3 against the rejection decisions. The State Secretary did not make a decision on the review sought by foreign national 2 because she withdrew the request.
3 In the proceedings concerning the applications for international protection, the court of first instance annulled the decision of the State Secretary not to examine those applications in all three cases.
Essential arguments of the parties in the main proceedings
4 The foreign nationals have argued that the assessment of the court of first instance in the judgements on the transfer time limit is correct.
5 In the cases of foreign nationals 2 and 3, the court of first instance took the view that the transfer time limit had not been extended on the basis of Article 29(1) of the Dublin Regulation by the review of the rejection of the application for residence on the grounds of trafficking in human beings, and that the Netherlands had therefore become responsible for the applications for international protection. In the first place, the court of first instance held that the transfer time limit pursuant to Article 29(1) of the Dublin Regulation can only be suspended in accordance with Article 27(3) of the Dublin Regulation. Since the Netherlands has opted for the implementation of Article 27(3)(c) of the Dublin Regulation, a foreign national has the opportunity to request within a reasonable period of time a court or tribunal to suspend the implementation of the transfer decision pending the outcome of the appeal or review in respect of the transfer decision. According to the court of first instance, a review in the case of proceedings concerning the application for residence on the grounds of trafficking in human beings is neither a legal remedy against the transfer decision, nor an interim measure against that transfer decision. It is therefore of the view that such a review cannot lead to a suspension of the transfer period. Foreign national 3 did lodge an application for interim measures in conjunction with his appeal against the transfer decision, but then withdrew it, so that in that case, too, the effect of the transfer decision was not suspended by an application for interim measures. The court of first instance further held that Article 27(3) of the Dublin Regulation contains an alternative list of legal remedies, so that the suspensive effect sought by the State Secretary cannot be based in part on Article 27(3)(a) of the Dublin Regulation. Finally, according to the court of first instance, no support could be found for the suspensive effect sought by the State Secretary in the context and objectives of the Dublin Regulation either, because this Regulation has various objectives and a broader interpretation of the relevant provisions is therefore not automatically possible. In the case of foreign national 1, the court of first instance annulled the State Secretary's decision on other grounds and the referring court must first answer the question whether the transfer period has expired in this case.
6 The State Secretary argues in all three cases that the transfer time limits have not expired, because the time limits were suspended as a result of the review sought by the foreign nationals in the proceedings against the rejection of their applications for residence on the grounds of trafficking in human beings. According to the State Secretary, the Dublin Regulation does not preclude this. Furthermore, the State Secretary explained that his interpretation of the Dublin Regulation takes into account the effectiveness of the Dublin Regulation and prevents abuse of this Regulation, that Article 27(3)(c) also relates to the implementation of the transfer decision, that his interpretation is in line with the procedural autonomy of the Member States, and that the three possibilities in Article 27(3) of the Dublin Regulation are not mutually exclusive.
Succinct presentation of the reasoning in the request for a preliminary ruling
7 The referring court observes, first, that from the travaux préparatoires of the Dublin Regulation, recitals 5 and 9 thereof and paragraphs 37 and 64 of the Opinion of Advocate General Sharpston of 17 March 2016 in Ghezelbash, C-63/15, EU:C:2016:186, it is apparent that the aim of the Dublin Regulation is to establish a method for the rapid determination of the Member State responsible for examining an application for international protection lodged by an applicant in one of the Member States, so as to guarantee effective access to the procedures for granting international protection and not to compromise the objective of processing such applications expeditiously. The Dublin Regulation aims to rationalise the treatment of asylum claims, to increase legal certainty with regard to the determination of the State responsible for examining the asylum claim and thus to avoid 'forum shopping' (see paragraph 79 of the judgment of 21 December 2011 in N.S., C-411/10, EU:C:2011:865, recital 19 of the Dublin Regulation and paragraph 57 of the Ghezelbash judgment).
8 The parties agree that, with Article 7.3(1) of the Decree on Foreign Nationals of 2000, the Netherlands has opted for the implementation of Article 27(3)(c) of the Dublin Regulation.
9 The referring court considers that the literal meaning of the term 'reviews of transfer decisions' in Article 27(3) of the Dublin Regulation and the literal meaning of the word 'or' in subparagraphs (a) and (b) of that paragraph may support the conclusion that Article 29(1) and Article 27(3)(c) of the Dublin Regulation preclude the Netherlands system. Although this interpretation is in line with the literal text, it seems to ignore the wide range of remedies offered to Member States by Article 27 of the Dublin Regulation and the fact that the context and objective of the Dublin Regulation may not coincide with those of Directive 2004/81/EC.
10 The referring court then discusses four arguments in favour of the conclusion that the Dublin Regulation does not preclude the Dutch system of suspensive effect that is at issue in the present proceedings.
11 As regards the first argument, which relates to the prevention of abuse of the Dublin Regulation and of Directive 2004/81/EC, the referring court observes that the Dublin Regulation was adopted in order to rationalise the treatment of asylum claims and to increase legal certainty with regard to the determination of the State responsible for examining the asylum claim and thus to avoid forum shopping, and it refers to recitals 1 and 7 of Directive 2011/36/EU, which show that preventing and combating trafficking in human beings is a priority for the Union and for the Member States. Moreover, the rights of the victims of trafficking in human beings must be protected. When implementing an integrated, holistic and human rights-based approach to the fight against trafficking in human beings, Directive 2004/81/EC must be taken into account. It is therefore important that Member States treat reports of trafficking in human beings with due diligence.
Dealing with them with due diligence takes time, which has implications for the transfer time limits laid down in the Dublin Regulation.
12 In that regard, the referring court refers to Article 73 of the Law on foreign nationals of 2000, which provides that a review of the rejection of an application for a residence permit on the grounds of trafficking in human beings has suspensive effect. The foreign national cannot be removed from the Netherlands pending the decision on that review and can therefore also not be transferred to another Member State. Furthermore, the Decree of the State Secretary of 10 July 2019, number WBV 2019/10, which came into effect on 1 August 2019, states that the suspensive effect of such a review is also deemed to automatically suspend the implementation of a transfer decision issued in respect of a foreign national. According to that decree, foreign nationals who report trafficking in human beings are eligible for a temporary regular residence permit on the grounds of trafficking in human beings, if the Openbaar Ministerie (Public Prosecution Service) has determined that their presence in the Netherlands is necessary for a criminal investigation. Under paragraph B8/3.1 of the Circular on foreign nationals of 2000, after lodging an asylum application, a foreign national has a reflection period of three months to consider reporting trafficking in human beings. After the report has been made, the Public Prosecution Service determines whether the presence of the foreign national in the Netherlands is necessary in the context of the criminal investigation. If that is not the case, the application for residence on the grounds of trafficking in human beings is rejected in principle, and the foreign national can seek a review. According to the State Secretary, it often happens that by the time he makes a decision on the review, four or more of the six months of the transfer time limit have already elapsed. In the absence of the review having a suspensive effect on the transfer period, there is a chance that the actual transfer cannot be carried out within the transfer time limit, as a result of which the transfer time limit expires and he has to examine the asylum application. In the case of the foreign nationals in the present cases, more than six months have elapsed between the agreement on the assumption of responsibility for examining the claim and the decision on the review or the withdrawal of the review request. The State Secretary argues that this is unavoidable if the application for residence as a victim of trafficking in human beings is to be processed with due diligence. According to the State Secretary, this facilitates abuse and 'forum shopping'.
13 The referring court concludes that granting suspensive effect to a foreign national's request for a review of the rejection of his application for residence on the grounds of trafficking in human beings enables the effectiveness of the Dublin Regulation and Directive 2004/81 to be reconciled and the abuse of both to be prevented.
14 According to the referring court, a second argument can be found in the reading of Article 27(3)(c) of the Dublin Regulation. Under that article, for the purpose of appeals against, or reviews of, transfer decisions, Member States must provide in their national law that the person concerned has the opportunity to request within
a reasonable period of time a court or tribunal to suspend the implementation of the transfer decision pending the outcome of his or her appeal or review. The referring court wishes to ascertain whether it can be inferred from this that the pursuit of a legal remedy that prevents the actual implementation of a transfer decision also results in the suspension of the transfer period. In this context, it is important that seeking a review of the rejection of an application for residence on the grounds of being a victim of trafficking in human beings has suspensive effect, as it means that the foreign national is allowed to await the outcome of the proceedings regarding that application in the Netherlands and that he cannot be transferred. Although that review is not aimed at the transfer decision itself, it does result in the transfer not actually being able to be implemented. This would argue in favour of interpreting the term 'transfer decisions' in the introductory sentence of Article 27(3) as also including 'the actual implementation of the transfer'.
15 The procedural autonomy of Member States gives rise to the third argument. The State Secretary is of the opinion that the Dublin Regulation allows Member States to regulate the granting of suspensive effect in their national legislation. In paragraph 49 of its judgment of 29 January 2009 in Petrosian, C-19/08, EU:C:2009:41, the Court of Justice concluded that Member States which wished to give asylum seekers legal remedies which lead to the suspension of the transfer may not, for the sake of meeting the requirement of expedition, be placed in a less favourable position than those Member States which did not opt to do so. The Court of Justice also emphasises in paragraphs 67 and 68 of the judgment of 13 September 2017 in Amayry, C-60/16, EU:C:2017:675, that, where the suspension of the execution of a transfer followed from a decision taken by the competent authority (and thus not from the effects of legislation or a judicial decision), the person concerned nevertheless finds himself in a situation in every respect comparable to that of a person whose appeal or review is recognised as having suspensive effect pursuant to Article 27(3) of the Dublin Regulation. According to the State Secretary, the procedural autonomy of the Netherlands as Member State therefore allows it to opt for the desired suspensive effect of the review in question.
16 The fourth argument is that the options set out in Article 27(3) of the Dublin Regulation are not mutually exclusive. It is common ground that the Netherlands has chosen the option in Article 27(3)(c) of the Dublin Regulation and that the suspensive effect proposed by the State Secretary falls within Article 27(3)(a). In that regard, the referring court takes into account that, in its judgment of 16 July 2015 in A. v B., C-287/08, EU:C:2015:479, the Court of Justice held that, in the context at issue there, the word 'or' was not, by definition, intended to signify exclusion. In that judgment, the Court of Justice held that what is relevant for the ultimate interpretation of what is intended are the wording, the objectives pursued and the context of the provision in question (see paragraph 47 of the judgment).
17 On this interpretation of Article 27(3)(c) of the Dublin Regulation, the conclusion would be that this Article is intended to provide legal protection against the
transfer decision and its implementation. The relevant context is, on the one hand, that a foreign national should be able to speedily get clarity as to which Member State is responsible for the asylum application and, on the other hand, that abuse of the Dublin Regulation and forum shopping should be avoided. In addition, preventing and combating trafficking in human beings is a priority for the Union and the Member States, as is evident from recital 1 of Directive 2011/36/EU. By that reasoning, it is not a foregone conclusion that a Member State can only choose one of the three options set out in Article 27(3) of the Dublin Regulation and not a combination. This freedom of choice is also in keeping with the procedural autonomy of Member States.
18 In summary, the referring court infers from a literal reading of Articles 27(3) and 29(1) of the Dublin Regulation that those articles may preclude the suspension of the implementation of a transfer decision by a review of the rejection of an application for residence on the grounds of being a victim of trafficking in human beings or, more generally, by the suspensive effect of a review of a decision other than the transfer decision. On the other hand, there are various arguments, also supported by the case-law of the Court of Justice, which lead to the opposite conclusion. The referring court therefore finds itself obliged to request the Court of Justice to give a preliminary ruling on the question formulated above.
|
MARTHA'S VINEYARD
PRESERVING COMMUNITY
An Island-wide Housing Needs Assessment
Acknowledgements
The consultant and the IAHF would like to acknowledge all of those who helped in this effort to identify the nature of housing needs for Island residents. The Needs Assessment and Renter Survey were true community efforts.
In particular, thanks go out to the James Held and Kenn Karakul Charitable Foundation for underwriting this study.
Others include IAHF members Derrill Bazzy, ML. Healey, Dale Julier, Kenn Karakul, Bob Kuehn, Richard Leonard, James O'Brien, David Squire, Juleann VanBelle, and Ben Warnke. Thanks also go to Mary Alpern, Jean Entine, Zee Gamson, Jim Held, Philippe Jordi, Ben Koren, Tony Nevin, Jeff Parker, Rick Presbrey, Leah Smith, Tim Vitalis, and Susan Wasserman. Special appreciation goes to Charlie Utz, CreativeWorks of Vineyard Haven who designed the renter survey and provided photos for the report pro bono.
The following individuals and organizations assisted in making the survey response so successful: Fernando Almeida; Ned Robinson Lynch, MV Community Services; Tom Dresser, Windemere Nursing and Rehabilitation Center; Maia Gaillard, Martha's Vineyard Hospital; also the Tisbury Town Hall, West Tisbury Library, Biga, Black Dog Café and Island Entertainment; the Island Charter School, Oak Bluffs School, Tisbury School, West Tisbury School, Edgartown School, and the Martha's Vineyard Regional High School.
Finally, the consultant would like to express heartfelt appreciation to Susan Spence and John Abrams for their infectious passion and dedication to this effort and for their ceaseless good cheer, hard work, and support.
Martha's Vineyard Housing Needs Assessment
JOHN J. RYAN Development Cycles
Amherst, Massachusetts November 2001
Table of Contents
List of Figures
Executive Summary
Affordable housing for year-round residents has been a lively topic of conversation and debate on Martha's Vineyard for the past few years. But who are the households that are really feeling the pinch? How many households are affected and in what ways? These nagging questions continue to stymie efforts to translate housing concerns into a plan of action to address local needs.
To answer these open issues and help develop an effective response, the Island Affordable Housing Fund engaged consultant John Ryan of Development Cycles to do a housing needs assessment. The purpose was to evaluate the housing needs — both rental and ownership — for the 15,000 year-round residents of Martha's Vineyard. This study does not address the separate problem of housing the estimated 5,500 seasonal workers who are employed on the Island during the summer.
The following Executive Summary provides a synopsis of the assessment, answering basic questions and pointing the way toward Island-wide solutions.
METHODOLOGY
The consultant interviewed a broad cross section of Islanders and relied heavily on 386 responses to a renter survey. Other sources include the U.S. Census, the Massachusetts State Data Center (MISER), the Martha's Vineyard Commission, and CACI, a private demographic service. The study also drew from housing data provided by the Martha's Vineyard Times, LINK Real Estate data service, and the Warren Information Group; employment information from the Department of Employment and Training; and additional data provided by the Steamship Authority and the National Association of Home Builders.
KEY FINDINGS
In the 1990s, Martha's Vineyard added 2,700 seasonal and part-time homes and 1,000 owneroccupied homes but built fewer than 50 new, year-round rental apartments and distributed less than 20 youth lots for affordable homeownership. During the same period, local employers added more than 1,500 relatively low-paying service and retail jobs. Here are some numbers that illustrate the imbalance between Island housing costs and wages: high home prices 85 percent above the statewide median; high rents at least 30 percent over the statewide median; and low wages 27 percent below the statewide average.
Island Renters
Seventy percent, or roughly 1,300 Island renter households, are composed of adults only. This is typical of renters elsewhere in Massachusetts. Fifty-eight percent live in one- and two-person households. This is also typical. What is atypical is the scarcity of multi-family rental dwellings. According to census data, only about nine percent of renters live in single family homes statewide, whereas in Dukes County more than 75 percent of renters live in such housing. The mismatch of housing types with the size of renter households
Changes in Number of Island Households, by Housing Type, 1990–2000
Sources: US Census, 1990, 2000
Share of Overall Housing, 2000
EDG: Edgartown OB: Oak Bluffs
VH: Tisbury UP: Up Island
may be a major factor contributing to the housing shortage.
Lower-income renters have a particularly difficult challenge. An estimated 53 percent, or 977 renter households, earn less than 80 percent of the Island's median household income. One-third of all lower-income respondents to the renter survey lack secure year-round housing. A quarter of these renters experience overcrowding. Sixty-two percent of lower-income households pay more than 35 percent of their income for rent. This means that roughly 600 households, or a third of all renters, are currently struggling to pay for rent, food, and other essential items of life. The percentage of renters struggling has grown worse since 1990 despite a decade of economic growth.
The survey revealed that single parents with dependent children are at particularly high risk. To solve just this problem, the Island would need to provide immediate housing solutions for at least 76 families.
Changes in Real Estate Activity, 1990–2001
Source: Martha's Vineyard Times
*2001 transaction information was available only through June 30 and has been projected through the end of the year.
Note: The data includes arms-length sales of residential and commercial, and improved and unimproved land made in the six Island towns and recorded in the Dukes County Registry of Deeds. Partial interests, condominiums, time shares, beach lots, unbuildable lots, and foreclosures are not included.
Homeownership Opportunity
The current median single-family home price is $375,000, nearly double that of a decade ago. The past two years have seen the virtual disappearance of homes sold for under $200,000.
In today's market, there is nothing the medianincome renter can buy. Even the year-round family earning the median income of $56,000 would find nothing to purchase without the equity from an existing home. In the past year, the 1,228 renter households earning less than $50,000 had to compete with off-Island buyers for the chance to purchase one of just nine homes that sold Island-wide for under $175,000, the highest price these renters could normally afford.
Single-family Homes Sales, Dukes County, 2000–2001
Implications
The challenges to establishing a secure residence on Martha's Vineyard are quickly becoming insurmountable for a growing segment of the population, including a majority of those who grew up here, many skilled and well paid workers, and older households of moderate income. Traditionally a problem limited to young households, single parents, new arrivals, and those with limited employment skills and aspirations, it has grown to include a significant portion of the long-term population. Over the next decade, more than 1,000 young Island residents will be forming new households with little chance of renting or owning on the Vineyard.
Wealth is concentrating here at an accelerating pace. The forces driving this are likely to increase in the decade ahead as the baby boomer population reaches its maximum earning potential and approaches retirement age. The influx of wealth drives up housing prices, fuels demand for lowerpaying service and retail jobs, and decreases yearround housing availability.
Today, the core of the Island's economy consists of longtime residents who earn ordinary incomes but own homes with a high market value. The crux of the problem is that there will likely remain an off-Island market for the high-priced homes but the buyers will not fill the essential jobs that the previous owners held. As these essential jobs turn over, the local economy will face three choices: 1) pay extraordinary salaries commensurate with housing costs; 2) rely on off-Islanders willing to commute to jobs here; or 3) provide a pool of moderately-priced housing that cannot be "scooped up" by wealthy buyers who choose to relocate to the Vineyard in the years ahead.
The third choice clearly provides the best longterm solution. This study recommends a goal of 100 to 150 homes per year divided evenly between year-round rental housing and affordable homeownership. This does not necessarily mean new housing, but it does require that the housing be dedicated to serve long-term affordability. If sustained at even the 100-unit level for the eight remaining years of this decade, it would bring the number of affordable homes on Island to at least ten percent of the year-round total. More importantly, it would be a tremendous legacy from current residents of the Island to future generations.
Estimate, Affordable Housing Need, Renters, 2001
RENTING RESIDENTS EXPERIENCING SERIOUS RENTAL PROBLEMS
* Paying more than 35% of rent and lacking year-round housing.
RENTAL HOUSING NEEDED TO ADDRESS CRITICAL PROBLEMS
Source: Development Cycles, October 2001
Estimate, Affordable Housing Need, Homeowners, 2001
FIRST-TIME HOMEOWNERSHIP, LONG-TERM ISLAND RESIDENTS
OVERALL UNITS OF HOUSING NEEDED, BY TOWN
Source: Development Cycles, October 2001
ADDRESSING THE NEED
Among current renters, there are an estimated 230 households that are: 1) paying more than 35 percent of their income for rent; and 2) renting a home with no year-round housing option. These represent the renters in most critical need. To provide secure, affordable, year-round housing for these most critically affected renters would require 190 dwellings priced below-market rents, and another 40 at market. Adding this number of protected rentals over the next three to five years would make a significant difference for ordinary Island renters. Moreover, sustaining that pace throughout the decade would go a long way toward ensuring secure housing options for Island teens as they form new households.
On the ownership side, the study suggests that there are 237 renter households that earn between $40,000 and $75,000 and have lived on Martha's Vineyard for a minimum of ten years. For more than 90 percent of these long-term residents, homeownership is not an option in the current market. To make such an option available to these long-term residents would require developing between 50 and 75 ownership opportunities per year over the next three to five years. Sustaining this effort to ensure affordable homeownership throughout the decade would begin to address the long-term issue of providing for the turnover of essential Island jobs.
Key Actions
The study has identified a number of existing and new program approaches to address the scale of housing need. These actions and programs would result in a diversity of housing options that would be widely scattered and appropriately scaled for the Vineyard. They are summarized along with an estimate of their cost in the table printed on the opposite page.
Proposed Programs and Estimated Costs for Addressing Housing Need, 2001–2005
RENTAL HOUSING GOAL: To provide 190 below-market and 40 market-rate housing units to serve rental households in critical need.
| Bonds/IAHF/ Other Local Funds Dedicated Housing for 30 60,000 School Department, Essential Service Employees Towns, Hospital/ MHP/State Programs New, Subsidized, Mixed-income 60 60,000 LIHTC/Other Developments Public and Private New Rental Clusters (locally funded) 45 80,000 IAHF/ CPA/Municipal Bonding Zoning Support for 30 0 Private Supplementary Apartments Market | 1,800,000 3,600,000 3,600,000 0 |
|---|---|
| TOTAL 230 $59,130 | $13,600,000 |
OWNERSHIP HOUSING GOAL: To provide 237 affordably priced homes for long-term Island residents.
Why Act Now?
Over the course of this study, both year-round and part-time Islanders expressed a sense of imperative about acting on this problem now. Key reasons include the following:
Preserve the Community. For the first time, the vast majority of renters face the prospect that they will never find a stable rental or be able to buy a home on the Island. Many of these renters are long-term Island residents who play a crucial role in the Vineyard's economic, civic, social and cultural life. A concerted effort to develop affordable homeownership and year-round rental opportunities would provide security, hope, and alternatives to leaving the Island.
Sustain Quality of Life. Many of the Island's essential community values are at risk. It is the very capacity of a place to provide continuity of culture and livelihood that makes it possible to preserve these values. Providing secure affordable housing is as important to preserving these values as efforts to conserve open space and other critical resources.
Attract Key Professionals. The Island's capacity to attract professionals who provide essential services — health, educational, municipal and skilled trade workers — is declining just as the retirement rate for these jobs begins to climb. Addressing housing issues now will help avert a crisis later.
Maintain Continuity of Generations. Over the course of the next decade, more than 1,000 current Island teens will leave the nest. Providing secure, year-round, rental housing opportunities will help the Vineyard retain more of its children. On the other end of the spectrum, additional housing options are needed for senior citizens. This would also serve to free up existing homes for the next generation.
Protect Investment. The combined asset value of all Island housing is approaching $6 billion and has been growing at the rate of nearly $500 million per year over the past five years. It would take less than one percent of the Island's housing valuation to fund affordable housing initiatives for the rest of the decade. This would be a wise investment which would protect existing investments and help to avoid economic decline.
Solve Our Own Problems. As an Island, we have made meaningful progress in historic preservation, open space protection, and public transportation; the new challenge is affordable housing.
CONCLUSION
An Island-wide consensus sees housing as a critical community issue that can no longer be ignored. A broad effort is underway to begin solving the housing crisis. To effectively address this problem over the course of the next decade, the effort will need to build on values that are currently shared by the community. These include:
* a deep appreciation for the Island's natural beauty and heritage
* a history of tolerance and respect for the individuals who live here and their unique contributions to Island life
* a tradition of crafting Island solutions for Island problems
*
the small town value of knowing one's neighbors
* the desire for a slower and more balanced pace of life
* a heritage of easy social mixing among people of different incomes and educational and social backgrounds
* a preference for Vineyard-style design and scale
All six towns, Island employers, seasonal and yearround residents, and the several organizations dedicated to housing must act now and must act together if progress is to be made toward solving this debilitating crisis.
Introduction
PURPOSE OF STUDY
The Island Affordable Housing Fund (IAHF) engaged housing consultant John Ryan of Amherst, MA to evaluate the Island's year-round housing needs. The first question might well have been "what's to study?" During several months of listening to and reading the comments of hundreds of Island residents, the consultant failed to come across anyone who did not believe there was a serious problem related to the cost and availability of year-round housing on the Island for ordinary people. This is important information in and of itself. An Island-wide consensus has somehow emerged and it recognizes that housing is an essential community problem that can no longer be overlooked. There is clearly a community will to tackle this problem. At the same time there is frustration and confusion and — among those most directly affected — a sense of despair. It is as if residents are saying "we are willing to address this problem, but how do we get our arms around it?" In the face of this community response, the consultant's task was not just to collect data, but to provide direction for action.
The questions this study attempts to answer are the same ones many thoughtful Islanders have been asking themselves:
* How serious is the problem? Is it really getting worse?
* What are the forces driving this problem? What do we need to do differently in order to address these forces?
* Who is being affected directly?
* What is the scale of the problem? How many affordable homes and apartments would it take to improve conditions to a meaningful degree?
* What are the implications for the Island of not making a concerted effort to address this problem now?
* What actions make the most sense given the scale of the housing need?
The consultant heard a number of other areas of consensus among residents involved in this study. Respondents voiced remarkably consistent agreement about what makes the Vineyard special. These qualities include the following:
* a deep appreciation for the Island's natural beauty and heritage;
* a history of tolerance and respect for the individuals who live here and their unique contributions to Island life;
* a tradition of crafting Island solutions for Island problems;
* the small town value of knowing one's neighbors;
* the desire for a slower and more balanced pace of life;
* a heritage of easy social mixing among people of different incomes and educational and social backgrounds;
* a preference for Vineyard-style design and scale.
These commonly held values are essential to an understanding of the Island's housing needs. They provide a context for effective action. Island residents express a remarkable willingness "to roll up their sleeves" and act with generosity and selflessness if those actions promote essential community values. Some of those values — the willingness to tackle problems locally and the ease of interaction between diverse groups — are the very means by which solutions will develop. And, more importantly, Islanders are beginning to see that many of these essential values are at risk! The very qualities that drew life-long residents to the Island, that have sustained them and made this a wonderful place to live and raise children, are fading. Respondents reported:
Friends and children moving away…. Early morning ferries increasingly filled with off-Islanders commuting here to work…. Costs that seem to dictate busier, more hectic lives…. More strangers living here with each passing year… Fewer and fewer new residents who "understand" what the place is all about.
It is crucial to understanding this report that one appreciate the connection between the Island's values and the need for a reasonable supply of affordable, year-round housing. It is the capacity of a place to provide continuity of life and livelihood that makes it possible to preserve community values. Without seeing the relationship between housing and a desire to protect the Island's heritage or a commitment to know one's neighbor, the numbers presented in this report are just numbers. They will not move the Island to action.
To understand this study fully, it is also important to acknowledge that how one looks at the Island's housing need is perhaps most strongly influenced by whether one is already a homeowner. For the majority of the Island's year-round residents who do own — especially those who have owned their home for more than five years — the housing problem actually has its rewards. In the past five years alone, the owner's equity in a median-priced home has increased by more than $150,000. The same housing appreciation that provides a nest egg for homeowners (though only if they move away) represents a fading hope for those who do not already own a home.
This study largely addresses the situation for the roughly 2,000 year-round Island households who are currently renters. For these residents, effective solutions to housing problems may mean the difference between their continuing to live here and leaving; between providing a stable home for their children and just "getting by." A remarkable number of renters have lived on Island for ten or more years and in many ways are more closely tied to the community than the influx of new homeowners. Their comments in the renter survey were often passionate about the sense of loss, as one put it, "of community values sacrificed to the laws of supply and demand." For renters, the problem is direct and personal. They would probably embrace the most immediate solutions and be more willing to challenge accepted notions of what can work on the Island.
For owners, the situation is more complex. Those who are parents may be wondering how their children will be able to stay on Island when they
grow up. Those with businesses may be finding it harder to attract new workers. Others may be saddened by the exodus of friends or worried about who will do the Island's essential work when those who do it now retire. Still others may simply be experiencing the greater than usual inconvenience of finding a plumber or waiting in check out lines. But it is largely these owners, those who live here in summer and those who live here yearround, who will be asked to raise private funds, donate land, restructure zoning regulations, and publicly support endeavors they may have once opposed. They will need to lead the charge to ensure for others what they already have. Recognizing at the outset the different perspectives of each of these essential partners in the life of the Island may make it easier to identify solutions that work for all.
SCOPE OF WORK
The Needs Assessment that follows divides into four sections. The first section highlights demographic and economic data about the Island that helps explain the current housing situation. It describes trends in population, employment, income, and housing, and conveys the thoughts of Island leaders and ordinary citizens about how these trends affect the day-to-day housing experience. The second section focuses on the demand for secure year-round rental housing as articulated in a survey of Island renters that elicited nearly 400 responses. The third section is devoted to home ownership, still the dream of most Island renters. This section looks at the widening gap between renter incomes and the cost of homeownership, compares costs here to options renters have off-Island, and considers how this affects providing the Island's essential services. The fourth section looks at what is currently being done and what has already been achieved in the effort to address housing needs. It suggests two scenarios for what Island housing might look like in 2010. It attempts to quantify the scale of housing need and proposes a range of actions to address that need. Finally, it suggests the costs required to address the needs identified.
METHODOLOGY
A wide range of approaches were used to collect the information for this report. Appendix A provides a list of Islanders interviewed for this study. To an important degree, the study reflects the thoughts, concerns and creative solutions of those residents with whom the consultant had the good fortune to discuss these issues. The consultant relied heavily on 386 thoughtful responses to a written survey for Island renters. Other sources of information include demographic data from the U.S. Census, the State Data Center (MISER), the Martha's Vineyard Commission, and CACI, a private demographic service. Housing data provided by the Martha's Vineyard Times, LINK real estate data service and the Warren Information Group; employment information from the Department of Employment & Training; and data provided by the Steamship Authority and the National Association of Home Builders.
LIMITATIONS
The study has a number of key limitations to consider when reviewing the findings and recommendations provided:
The study assumes that relatively stable conditions will persist over the period under consideration. Specifically, it assumes that neither Massachusetts nor the United States will suffer a major decline or depression.
The study bases all dollar amounts on the 2001 value of the dollar unless otherwise noted. In order not to overstate the available levels of opportunity, the projections are not adjusted to reflect the effects of future inflation.
The information, estimates, and opinions contained in this report were derived from sources considered reliable. The consultant assumes the possibility of inaccuracy of individual items and for that reason relied upon no single piece of information to the exclusion of other data, and analyzed all information within a framework of common knowledge and experienced judgment.
Perhaps the most significant limitation focuses on the renter survey. In May 2001, IAHF distributed a written survey to year-round renter households
through inclusion in both Island papers, pick up and drop off sites in several well-visited locations Island-wide; specific outreach through schools, employers, and social service agencies; and a Portuguese-language version aimed at Brazilian residents. The survey generated 386 completed responses or 21 percent of the 1,844 renter households reported by the 2000 U.S. Census. This represents an extraordinarily high response rate for a survey of its kind. The number of responses from the three larger towns exceeds the "long form" sample size used by the Census Bureau in preparing renter information from the 2000 Census. As with any survey based on voluntary responses there is the potential for bias. In the most extreme case, only those with housing problems might choose to respond. Imputing the character of non-respondents is always an issue to be han- dled with care. This is especially so for the data provided in the smaller communities of Aquinnah, Chilmark and West Tisbury. In an effort to quantify the scale of housing need, the consultant extrapolated from the responses given. The U.S. Census data regarding renter households will be available sometime in 2002. That data will provide a test of the validity of the information collected from the renter survey and it will be analyzed and appropriate adjustments to this study will be made, if necessary.
Finally, the purpose of the study was to evaluate the housing needs — both rental and ownership — for the 15,000 year-round residents of Martha's Vineyard. It does not address the separate problem of housing the estimated 5500 seasonal workers who are employed on the Island each summer.
Demographic & Economic Overview
Change happens. With every passing decade Martha's Vineyard loses something of what it once was and becomes something different. There has probably never been a decade when some "old timer" did not bemoan the loss of the Island's way of life. Is that what is happening now or is something more changing? What were some of those changes in the last decade? How is the Island different than it was ten years ago? The fol-
POPULATION
A growing population hardly represents change for the Vineyard. In the '90s, the Island's yearround population grew by 29 percent. In the '80s it grew by 30 percent; in the '70s it was 46 percent. The 29 percent growth in the '90s is the largest numerical growth in the Island's history: the population grew by 4,500 year-round residents. In 1999, the State Data Center (MISER)
lowing section looks at some key indicators of demographic and economic change, especially as they relate to the availability of housing for ordinary residents.
made a mid-level projection of the county's population in 2010. It predicted, based on aging and migration patterns, that the Island's population would grow by another 6,750 residents in the next ten years. After looking at the actual 2000 Census and considering the availability of housing (especially for young residents), the consultant adjusted that projection downward. Still, there is likely to be another 30-percent increase in population in the decade to come. When Islanders review the previous decade in 2010, there will be roughly 20,000 residents. A key question to consider now is "who will they be?"
AGE DISTRIBUTION
II.3 Changes in Population, Year-round Residents, by Age Distribution, 1990–2010
II.2 Percent Change in Population, by County, 1980–2000
WMASSACHUSETTSW
Source: US Census
All Island towns grew over the last ten years, ranging from Tisbury at 20 percent to Aquinnah at 71 percent. In the 30 years from 1980 to 2010, every town but Tisbury will at least double in population, and West Tisbury will more than triple in size. At this point in time, the Island's population divides neatly into four identical quarters, with Edgartown, Oak Bluffs, Tisbury, and the three up-Island communities each housing 25 percent of the Island's year-round residents.
The Vineyard shares a characteristic with the rest of the Commonwealth; its population is growing older. In 1990 the Island's median age was 37.1 years. Today it is 41.5 years compared to 37.2 for the state. In the last decade, the Island's 55-andover population grew by 23 percent Island-wide, compared to a growth statewide of just six percent for this segment. From the perspective of housing need, the key age groups to watch are those between 20 and 34 years old and those aged 55 to 74.
The children of the baby boom generation have begun forming their own households. Islanders with older children are watching those children struggle to find housing on Island as they compete with wealthier new residents and existing renters unable to purchase a home. These Island children are only the beginning of a much larger segment of young adults. In 1999, MISER calculated the number of Island children born between 1975 and 1984, and tracked the migration patterns of young adults. MISER projected that from 2000 to 2010 Martha's Vineyard's 20- to 34-yearold population would more than double, adding 2,376 young adults to the Island year round.
The core of the Island's economy consists of long-time residents who earn ordinary incomes but own homes with a high market value. The crux of the problem is that there will likely remain an off-Island market for the high priced homes, but the people who buy them will not fill the essential jobs held by the previous owners.
That is what would happen if Martha's Vineyard functioned as a typical Massachusetts community. But, in fact, where would all those new households live? To recognize the inability of the Island to accommodate these young adults, the consultant adjusted the projected population of young adults downward by over 1,000. We might well ask how many of those "lopped off" by this adjustment represent teenagers living here now?
Even if no young adults chose to move to the Island for ten years, there would still be a problem serving those who already live here. There are roughly 2,000 children between the ages of 10 and 19 living on the Island today. That is a 35-percent increase in this age group in 10 years. In another ten years, they will be 20 to 29 years old. How many will be able to stay here? The reality is that there is only enough year-round rental housing to serve newly forming Island households if two conditions were to exist: 1) no new renters moved to the Island and 2) half those renting currently leave or find homes to own. Neither condition has much hope of being fulfilled. While many young Islanders will un- fessional opening to two or three. Without addressing the housing needs of those earning teachers' salaries, he wonders how the system will continue to function as more and more teachers reach retirement age. This trend will eventually affect all of the essential services: health care, government, building trades and service workers. The core of the Island's economy consists of longtime residents who earn ordinary incomes but own homes with a high market value. The crux of the problem is that there will likely remain an offIsland market for the high priced homes, but the people who buy them will not fill the essential jobs held by the previous owners. As these essential jobs turn over, there appear to be three options: 1) pay extraordinary salaries commensurate with housing costs; 2) rely on off-Islanders willing to commute to jobs here; or 3) provide a pool of moderately priced housing that cannot be "scooped up" by the growing pool of retirees and second home owners who will be considering the Vineyard as a place to relocate in the years ahead.
JOBS & WAGES
doubtedly decide to live else-
II.4 Changes in Island Employment, Year-round Residents, 1990–2000
where, the prospects for those who choose to stay or return are
dim.
Then there is the issue of the aging baby boomers themselves. At present, only a small percentage of the Island's work force retires each year. Based on age and labor force participation rates, no more than 100 to 125 residents will retire from Island jobs this year. By the end of this decade that number will have doubled, and will double again in the decade after that. That prospect concerns Superintendent of Schools Kriner Cash.
Within three years, he expects to see professional retirements from the Island school system increase from an average of three per year to 10 to 15 per year. At the same time, he has already seen qualified applicants drop from 30 or 40 per pro-
Both the Island's year-round and summer employment grew rapidly over the past ten years. During the decade, midwinter (February) employment grew by 22 percent from 5,621 to 6,838 employed residents. By comparison, midsummer
(July) employment grew by 24 percent to 12,331. Summer employment adds roughly 5,500 seasonal workers to the economy on top of the yearround base of about 7,000 employed residents.
II.5 Changes in Number of Island Jobs, 1990–1999
BY INDUSTRY
BY TOWN
Source: Massachusetts Division of Employment and Training
II.6 Persons Employed and Average Annual Wage, by 10 Largest Job Classifications, 1999
* The maximum affordable housing cost represents 30% of income. Source: Massachusetts Division of Employment and Training
Overall, the average number of local jobs (as distinct from employed residents) increased by 36 percent, also to 7,000 during the 1990s. Virtually all of the net growth, both summer and winter, has come in the service and retail trade industries.
II.7 Change in Wages, by Community, 1990–1999
WDUKES COUNTY & MASSACHUSETTSW
Source: Massachusetts Division of Employment and Training
During the past ten years, the average wage for Island jobs increased by 43 percent to $27,600. With a focus on service and retail, however, the average job on Martha's Vineyard pays only 73 percent of the state average. High home prices (85 percent above the statewide median), high rents (at least 30 percent over the statewide median) and low wages (27 percent below the statewide average) describe the Vineyard affordable housing problem.
The average Island job pays a monthly wage of $2,300. By this measurement, the average Island worker would need to earn 45 percent more in order to pay for a median-priced apartment with 30 percent of his or her income. Even with two adults earning the average wage, their combined income would have to double to allow for the purchase of a median-priced home. Perhaps more importantly, that median home price is rising much more rapidly than are wages.
High home prices (85 percent above the statewide median), high rents (at least 30 percent over the statewide median) and low wages (27 percent below the statewide average) describe the Vineyard affordable housing problem.
Source: The Steamship Authority
Most Island observers have noticed the large increases in early morning "commuters" on the ferry from Woods Hole. Steamship Authority records show a nearly four-fold increase in early morning riders using the 46-ticket commuter fare. Though still constituting less than 10 percent of the work force, off-Island workers do indeed represent a growing share of Island jobholders. At the same time, the fact that local jobs match local employment suggests that the number of residents whose work takes them off-Island is roughly the same as the number that commute year-round to the Vineyard for work. Driven by dramatic changes in technology and transportation systems, the Island's geographical barriers no longer mean that everyone who lives here works here as well. At the upper end of the economic scale, the Vineyard is quietly becoming a bedroom community for the global economy.
HOUSEHOLD INCOME
The U.S. Census Bureau plans to release 2000 household income information for Vineyard residents in the summer of 2002. In the meantime, Figure II.9 provides HUD's estimated median household income for Vineyard households in 2001. Data provided by CACI, Inc., a private demographic firm, and the information obtained from the Island Renter Survey, suggest an overall increase of 63 percent in the median household income from $32,000 to $52,000 over the past decade. For homeowners, the increase was roughly 60 percent from $35,000 to $56,000. The Island Renter Survey suggests that renter income grew by 66 percent from $24,150 to $40,000. While these median household incomes represent only preliminary estimates, they suggest that 1) renter income has indeed kept up with increases in rental costs; and 2) since 1998, housing prices have increased more than five times faster than household income. It is important to recognize that the problem of rental housing is somewhat less an issue of cost than of year-round availability, whereas for first-time ownership housing, cost is everything.
II.9 Median Household Income, 2001
Source: HUD, 2001 Renter Survey
In the 1990s, Martha's Vineyard added 2,700 seasonal and part-time homes and 1,000 owneroccupied homes, but built fewer than 50 new year-round rental apartments and distributed less than 20 youth lots for affordable homeownership. During that same period employers added more than 1,500 relatively low paying service and retail jobs to the local economy.
HOUSING TRENDS
II.10 Housing Stock, Martha's Vineyard, 2000
Source: US Census, 2000
From the perspective of affordable housing the following speaks volumes. In the 1990s, Martha's Vineyard added 2,700 seasonal and part-time homes and 1,000 owner-occupied homes, but built fewer than 50 new year-round rental apartments and distributed less than 20 youth lots for affordable homeownership. During that same period employers added more than 1,500 relatively low paying service and retail jobs to the local economy.
Most Islanders recognize that tourism and parttime homeowners are the engines driving the local economy. Similarly, the presence of more yearround and second-home owners generates the demand for a wide range of service and retail jobs. The missing link is that these additional yearround and part-time homes generate a need for rental housing for the workers who will fill those service and retail jobs.
So where do all these new jobholders live? In 1990, the Census reported a relatively large stock of 1,211 vacant housing units on the Island. We can assume that this category of housing includes houses for rent or sale at the time of the Census, those houses condemned or sufficiently substandard to be unfit for occupation, and investorowned summer rentals. The Census identified them differently from homes used primarily or exclusively for vacation purposes. During the decade this stock of vacant housing declined by twothirds. What seems clear from the changes in housing use is that half of these vacant units were eventually occupied by new homeowners and the rest provided housing for most of the 400 new rental households that formed. By the 2000 Census, the number of vacant houses had declined to 420. It appears that much of the stock that provided the Island's least expensive housing has been absorbed. So newly forming and relocating households will require additional housing or the conversion of seasonal housing to year-round use.
Each Island town is unique. In the 1990's Edgartown experienced staggering growth in the construction of seasonal and part-time homes — over 1,100 seasonal homes in ten years. But changes in Edgartown's occupied year-round ownership and rental housing were lower than in other parts of the Island. The greatest changes in year-round growth, both ownership and rental, occurred up Island. About half of the net growth in renter
II.11 Changes in Number of Island Households, by Housing Type, 1990–2000
Sources: US Census, 1990, 2000
households occurred in West Tisbury, Chilmark and Aquinnah. Those three towns also recorded more than a third of the growth in owneroccupied homes. In all, Tisbury added just 14 percent to its housing stock; Oak Bluffs 20 percent; up Island towns 39 percent; and Edgartown 43 percent. Today, Tisbury is home to 585 of the Island's renter households, followed by Up Island, 443; Edgartown, 435; and Oak Bluffs, 381.
III.1 Profile of Renters, 2001
WDUKES COUNTY
W
Persons per Household (n=352)
Household Income, by Percent of Median Household Income (n=342)
Length of Stay at Current Address (n=376)
Presence of Dependent Children (n=388)
Sources: 2001 Renter Survey
Length of Time Living on Vineyard (n=367)
Rental Housing
This section of the Needs Assessment looks at the cost and availability of year-round rental housing for Vineyard Residents. The census information currently available tells us that there are 1844 renter households on the Vineyard. The census information that profiles these renters will not be
available until summer 2002. In the meantime, this study used information from the renter survey described in section I.4. The information in the section below is derived from the 386 responses to that survey.
PROFILE OF ISLAND RENTERS
Responses from the renter survey provide a profile of the current Island population. Some of these characteristics are illustrated in Figure III.1. Town profiles are provided in Appendix B.
In many respects, Island renters are similar to renters everywhere. They are poorer, younger, and more mobile than their home-owning neighbors. They live in smaller households and are less likely to have children. The ways in which Island renters differ from renters elsewhere point to several issues of housing need.
The survey suggests that the median-income for renters is $40,000, or about 77 percent of the median for home-owning households. The difference between the incomes of year-round renters and owners is smaller than in most Massachusetts communities. It highlights the higher cost of living on the Island and the fact that Vineyard
renters remain renters longer. It is equally important to recognize that (as elsewhere) more than half of all renters earn less than 80 percent of the county's median household income and 30 percent fall below 60 percent of median. These roughly 1,000 lower-income households represent the overwhelming number of households experiencing serious and critical housing problems. Those earning between 80 and 100 percent of median-income account for 17 percent of all Island renters. Those earning between 100 and 139 percent represent 13 percent and those earning 140 percent or more account for 17 percent.
Vineyard renters are not a transient group by choice. A remarkable 70 percent of survey respondents have lived on Martha's Vineyard for at least five years and nearly 47 percent for ten or more years. By comparison with their counterparts statewide, Island renters show tremendous loyalty to place. At the same time, they do move a lot. Forty percent of Island renters moved in the past year. Given their willingness to stay on the Island, it is reasonable to assume that the lack of yearround housing is the overwhelming reason for the high rate of renter mobility.
Vineyard renters are older than their counterparts statewide. Based on this survey, only 25 percent of the county's renting householders are under 35 years of age. Thirty percent are 35 to 44 years old; and another 30 percent are between 45 and 54. The limited supply of affordable ownership housing may well account for much of this olderage composition. The high cost and limited availability of rental housing may also be making it more difficult for young households to form.
Most Island renters do not have children. Seventy percent, or roughly 1,300 Island renter households are comprised of adults only. This is typical of renters elsewhere in Massachusetts. Fifty-eight percent live in one and two-person households. This is also typical. What is atypical is the scarcity of multi-family rental dwellings. Statewide only about nine percent of renters live in single family homes, whereas in Dukes County more than 75 percent of renters live in such housing. The mismatch of housing types with the size of renter households may also be a major factor contributing to the housing shortage.
Of the 550 renter households with children, 36 percent (or roughly 190) are single parent households. A third of all households with children have pre-school age children and two-thirds, school age or older. Ten percent of renter households with children have dependents 18 or over living at home.
RENTAL HOUSING COSTS
III.2 Median Gross Monthly Rents, 1990 & 2001 and Their Percent Change, 1990–2001, by Community and by Number of Bedrooms
Source: US Census, 1990; 2001 Renter Survey
The prices paid by year-round renters vary dramatically. Based on survey information, as many
as three percent have informal barter arrangements that involve no cash. At the other end of the spectrum, some renters report costs as high as $3,500/month on a year-round basis. The median gross rent (including utilities) is currently $625/month for a studio apartment; $800/month for one-bedroom; $1,000/month for two-bedrooms; and $1,025/month for three-bedrooms. Rents from town-to-town are variable but generally remain relatively close. For the most part, respondents pay similar rents in both summer and non-summer seasons. Though a few examples of summer rents were exorbitant, only six percent reported summer rents at least 20 percent higher than for non-summer. Over the last decade, rents have not increased as rapidly as renter income. Median-rent increases vary significantly by bedroom size. Studio and three-bedroom apartments have increased by 23 to 27 percent, while oneand two-bedroom units have increased by 51 to 55 percent. This compares to a 66-percent increase in median renter income.
III.3 Rent Affordability, Distribution of Rentals, by Household Income, 2001
This table also includes information on suggested affordable monthly rents for each income group, the number of year-round renting residents on the Island within each income range, and their percent of the total year-round Island population
Source: 2001 Renter Survey, Martha's Vineyard Realtors LINK
Generally, housing professionals suggest that renters can pay a maximum of 30 percent of their income for rent and utilities. Rent that requires more than 35 percent of one's gross income is regarded as an indicator of significant hardship. This percentage seems particularly high for lowerincome Island renters given what is clearly 20 to 25 percent higher costs for many other essential goods and services. That said, 47 percent of Island renters pay at least 30 percent of their income for rent and 36 percent pay over 35 percent. In 1990, 44 percent paid 30 percent and 36 percent of renters paid at least 35 percent of their income for rent. Even with the easing relationship of income to rents, close to a majority of current renters are still paying at or above the maximum level for affordable rents. Despite the increases in median renter income, those earning less than 80 percent of median are clearly struggling to get by.
RENTAL HOUSING PROBLEM AREAS
The following summarizes key data about the most substantial rental housing problems: the absence of year-round housing; the high percentage of household income needed for rent; lack of availability; overcrowding; and substandard conditions.
Nearly every Island renter has had housing problems at some point. Eighty-four percent of survey respondents reported that they have experienced problems finding secure, affordable rental and/or home-ownership housing while living on Martha's Vineyard. This includes a substantial majority of all age and income groupings, all household types, and all lengths of Island residency. The survey indicated that people will endure remarkable hardship to live here such as: moving 18 times in 11 years (from a household earning $90,000/year); living in cars (quite common); renting a cot in a basement with no running water for $700/month; living with 15 adults in a two-bedroom apartment that doubled as a daycare center. Nearly every survey and every interview included a story. The widespread difficulties can not help but have a tremendous impact on work productivity, school performance, social behavior and relationships. Edgartown Police Chief Paul Condlin observed that the high cost and insecurity of housing is at the heart of the majority of criminal cases his department deals with including truancy, drugs, theft and domestic abuse. Local educators concur regarding problems in the local schools. The social costs of the housing crisis remain largely invisible to most. For many longterm residents, the "summer shuffle" in its
multitude of expressions is viewed as a "rite of passage," a way of earning the privileges of Island life. But is "passage" really possible for the majority of renters living here today?
Even for those who have lived on the Island for at least five years, rental housing problems represent a significant fact of life: 23 percent still do the "summer shuffle," 37 percent pay more than 35 percent of their income for rent, and 79 percent have experienced problems securing housing on Island. Fewer than 15 percent of renters who have lived here for at least five years can afford an 80-percent mortgage on a $250,000 home and this price represents the vanishing bottom end of the real estate market.
Lower income renters face particularly difficult challenges. An estimated 53 percent, or 977 renter households, earn less than 80 percent of median household income. Nearly half of all lower-income respondents to the renter survey lack secure year-round housing. Seventeen percent of these renters experience overcrowding. Sixty-two percent of lower-income households pay more than 35 percent of their income for rent. This means that roughly 600 households, or a third of all renters, are currently struggling to pay for rent, food and other essential items of life. This percentage of renters struggling has grown worse over the past decade despite the economic growth that has occurred.
III.4 Rental Housing Problems, 2001
Source: 2001 Renter Survey.
The survey revealed that single parents with dependent children are at particularly high risk. There are an estimated 190 single parents renting on the Island, or ten percent of total renter households. Eighty-five percent earn less than 80 percent of median income. Fifty-nine percent pay more than 35 percent of their income for rent. Eighty-five percent have lived on the Island for at least five years. Forty-four percent lack secure, year-round leases and have moved in the past 12 months. To solve this problem alone, the Island would need to provide immediate housing solutions for at least 76 families.
Moderate (80 to 140 percent of median) and even higher income renters (140 to 200 percent of median) enjoy far fewer options than their off-Island counterparts. Only one third of the roughly 918 renter households who fall within these income groupings can hope to finance 80 percent of a home priced at $250,000. Remarkably, 78 percent of renters earning more than $70,000/year said they have had problems securing rental housing and/or affordable homeownership.
Based on these surveys, at least 25 percent of all Island renters lack secure, year-round housing. These respondents report a range of housing problems that include winter and seasonal homes without year-round options, weekly rents, housing/work exchanges, and short-term leases. If these respondents are representative of the Island as a whole, at least 450 renter households are doing some form of the "summer shuffle" annually. Roughly half of these are likely experiencing critical housing problems. As indicated above, many of these renters have lived on the Island for over five years and many earn less than 80 percent of median household income.
Development Cycles, November 2001
Homeownership
IV.1 Changes in Real Estate Activity, 1990–2001
WDUKES COUNTYW
Source:
HOUSING COSTS
Martha's Vineyard Times
*2001 transaction information was available only through June 30 and has been projected through the end of the year.
Note: The data includes arms-length sales of residential and commercial, and improved and unimproved land made in the six Island towns and recorded in the Dukes County Registry of Deeds. Partial interests, condominiums, time shares, beach lots, unbuildable lots, and foreclosures are not included.
The Martha's Vineyard Times has tracked monthly real estate transactions for more than a decade. Figure IV.1 shows a market gone out of control over the past two-and-a-half years. The average real estate price exceeded $750,000 for the first half of 2001. This represents a near tripling of average prices in less than three years and nearly a fourfold increase since 1994. While average prices are distorted by the growing frequency of multimillion dollar sales, these trends are startling even by Island standards.
An analysis of median single-family home sales tells a similar if less dramatic story. Based on single-family home sales tracked by the Warren Information Service and LINK (a local real estate marketing service), the median home sold in 2001 (through October 10th) was $375,000. This is up 27 percent from $295,000 in 1999 and 90 percent from $197,400 in 1989. Figure IV.2 shows that the number of affordable homes (below $200,000) sold has become very small.
Arms length, single-family home sales priced under $200,000 dropped from 35 to nine from 2000 to 2001. Those selling for less than
IV.2 Single-family Homes Sales, Dukes County, 2000–2001
classic X curve shown in Figure IV.1). The next year or so may bring some declines in home prices. This could provide a window of opportunity for some of those renters priced out of the current market. What is important to note is that the demographics of wealth and the aging of households point to continuing pressure on Island housing in the decade ahead. A slowdown in economic growth could hurt the buying power of Island renters more than it affects the capacity of off- island retirees and seasonal buyers.
IV.3 Distribution of Single-family Home Sales, by Community, 2000 & 2001
Source: Martha's Vineyard Realtors LINK.
$250,000 dropped from 82 to 39. During the last two years there have been 81 singlefamily homes purchased for over $1 million and just 44 for under $200,000.
In today's market, there is nothing the median-income renter can buy. Even the year-round family earning the median owner's income of $56,000 would find nothing to purchase without the equity from an existing home. The oft-repeated anecdote that few Islanders could afford to purchase their own home today, is borne out by the numbers. It is reasonable to estimate that only about one year-round Island homeowner in ten could mortgage 80 percent of the cost of their own home with their current income.
An assessment of quarter-by-quarter sales in each community suggests that the market "topped out" late in 2000 or early this year. As prices have risen dramatically, transactions have declined (creating the
Figure IV.4 compares the relationship of Island income and housing costs to other areas of the Commonwealth. In parts of Western Massachusetts, the ratio of home price to income is close to the national ratio of 2:1. In the Greater Boston Area and much of the state, the ratio is 3:1. Even the Cape is only slightly higher at 3.4:1. On the Vineyard it is at least 5:1 and rising. Only on Nantucket (where aver-
IV.4 Comparison of Real Estate Costs and Household Income, 2000
WDUKES COUNTY & OTHER MASSACHUSETTS LOCATIONSW
Source: HUD, Banker and Tradesman
Note: Real Estate Value includes homes, condominiums, and land sales. It is included to provide a consistent comparison. HUD Median Income is for a family of four.
age home price this year exceeded $1 million) is the ratio of housing cost to income higher. If Vineyard residents want to see where the housing situation is headed, they need only look at their island neighbor, Nantucket. Vineyard renters have long had more options for ownership if they moved offIsland; now the gap between what the Island can offer and what is available elsewhere is growing.
In today's market, there is nothing the median-income renter can buy.
THE AFFORDABILITY GAP
Through most of the 1990s, renters actually began to make a little headway in their efforts to purchase homes on the Island. It appears that renter income actually grew at a faster rate than either owner households or even housing prices until at least 1998. At that point, the median income renter had access to at least a handful of homes that sold each year for under $150,000. But price escalations in the last two years have eliminated that option. Despite a 66-percent increase in renter income over the last decade, the median home is still priced two-and-a-half times what the median renter household can afford. At this point, only about a third of renters can hope to purchase even the least expensive home on the market. Only the few high-income renters (10 to 13 percent) who can afford to pay at least $300,000, begin to have any range of choice in their housing.
IV.5 Home Sale Affordability, Distribution of Home Sales, by Household Income, 2001
This table also includes information on suggested affordable home cost for each income group and number of year-round renting residents on Island within income range
Source: 2001 Renter Survey, Martha's Vineyard Realtors LINK
Homeownership is an important Island value. It remains an aspiration for 85 percent of those renters surveyed. Over 70 percent of those who said they hoped to own a home on Island, however, remarked that it was "only wishful thinking." Given the current housing market, even that assessment is optimistic. Figure IV.5 compares renter income to what that income can buy and what is available to buy. In the past year, the 1,228 renter households earning less than $50,000 had to compete with off-Island buyers for the chance to purchase one of just nine homes that sold Island-wide for under $175,000, the highest price these renters could normally afford.
Another group of renters (roughly 375 renter households) earns between $50,000 and $75,000/year. In many communities, they would represent the prime, first-time homebuyers. At the upper-income end, these Island renters might "stretch" to $300,000. But even if they had the market to themselves, only about a quarter could have purchased an affordable home this year. And they certainly do not have the market to themselves. The frustration of competing for housing with second-home owners and off-Islanders bringing home equity with them represents the source of greatest despair for survey respondents. No matter how hard they sacrifice and save, there always seems to be an off Islander able to pay more.
IV.6 Sales History, 2 Young Street, Edgartown
The available houses at these prices is another major area of concern. Most realtors acknowledge that the quality of housing at the lower end is grim. Many homes are purchased for their land value and razed or substantially renovated. The cost of these renovations can push even the lowestcost home beyond the means of Island renters. According to one real estate investment analyst,
in the last few years the low end of the market has been competing with waterfront property for the fastest appreciation. The example shown in Figure
IV.6 provides an illustration of how quickly a relatively marginal property can become unaffordable to even higher income renters.
Note: Affordability based on buyer paying no more than 28% of gross income for principal, interest, and taxes; 30-year, fixed-rate mortgage for 80% of purchase price; 6.75% interest rate; 1% of purchase price for taxes.
Sources: Sales Price — 1989 MV Commission; 1999 Banker & Tradesman; 2001 LINK through 10/10/01. Median Household Income — 1989 US Census; 1999–2001 CACI, Inc., adjusted by consultant. Median Renter Income — 1989 US Census; 2001 Renter Survey
Where Do We Go From Here?
THE SCALE OF THE PROBLEM
There is no objective yardstick for determining need. There is no "model," no typical community that all others should emulate. The amount of housing needed depends on a wide range of community judgments. How valuable is it to provide housing for the next generation of young adults? How important is it to the local economy to provide stable year-round rents or affordable homeownership? What if any responsibility does a community have to provide secure, decent housing for those who live and work there? How long does one need to "fend for oneself" before that responsibility applies?
percent of their income for rent; and 2) renting a home with no year-round housing option. These represent the renters in most critical need. To provide secure, affordable, year-round housing for these most critically affected renters would require 190 dwellings priced below market rents, and another 40 at market. Adding this number of protected rentals over the next three to five years would make a significant difference for ordinary Island renters. It would mean developing between 50 and 75 new or converted rental units per year for three to five years. Moreover, sustaining that pace throughout the decade would go a long way toward ensuring secure housing options for Island teens as they form new households.
The key issue is balance. After a decade that witnessed the creation of 3,700 non-affordable new seasonal and year-round homes and fewer than 70 new rental units or affordable homeownership opportunities coupled with the creation of over 1,500 relatively low-paying jobs with few places to house those workers, that balance has been lost. The need for housing is clearly significant.
Figure V.1 attempts to quantify some of the need. Among current renters, there are an estimated 230 households that are: 1) paying more than 35
On the ownership side, the consultant estimates that there are 257 renter households that earn between $40,000 and $75,000 and have lived on Martha's Vineyard for a minimum of ten years. For more than 90 percent of these long-term residents, homeownership is not an option in the current market. To make such an option available to these long-term residents would necessitate dedicating 112 homes priced between $150,000 and $174,999, 64 between $180,000 and $225,999, and 61 homes priced between $225,000 and $299,999 for this purpose. It
V1. Estimate, Affordable Housing Need, Renters, 2001
RENTING RESIDENTS EXPERIENCING SERIOUS RENTAL PROBLEMS
* Paying more than 35% of rent and lacking year-round housing.
RENTAL HOUSING NEEDED TO ADDRESS CRITICAL PROBLEMS
Source: Development Cycles, October 2001
Estimate, Affordable Housing Need, Homeowners, 2001
FIRST-TIME HOMEOWNERSHIP, LONG-TERM ISLAND RESIDENTS
OVERALL UNITS OF HOUSING NEEDED, BY TOWN
* Limited statistical basis.
would require developing between 50 and 75 ownership opportunities per year over the next three to five years.
Sustaining this effort to ensure affordable homeownership throughout the decade would begin to address the long-term issue of providing for the turnover of essential Island jobs. While the definition of "essential service jobs" is subject to differing interpretations, there are at least 800 professional educators, hospital workers, municipal employees, and skilled trades workers employed on Island today. Employers of these workers report that turnover, while still low (three to five percent annually), will surely rise in the years ahead. At today's rates, that means 25 to 40 essential Island jobs need filling each year, with that number doubling by the end of the decade. Even if not all initiatives dedicate housing for these jobs, annual Island turnover of essential service jobs may provide one meaningful benchmark for improving the balance of affordable homeownership available.
This study recommends a goal of 100 to 150 homes per year divided evenly between yearround rental housing and affordable home ownership. This does not necessarily mean new housing, but it does require that the housing be dedicated to serve long-term affordability. If sustained at even the 100-unit level for the eight remaining years of this decade, it would bring the number of affordable homes on Island to at least ten percent of the year-round total. More importantly, it would be a tremendous legacy from current residents of the Island to future generations.
WHAT IS ALREADY BEING DONE?
This effort to provide for affordable rental and ownership housing is already underway. The IAHF, the Regional Housing Authority, the towns and their housing committees, and a number of other organizations are responding to the challenges. A brief description of just some of the activities generated by these groups includes:
* The Island Affordable Housing Fund (IAHF) recently launched its capital campaign and got substantial commitments
in the first season. IAHF's Business Initiative for Housing Solutions raised over $500,000 over five years to fund operating expenses for the IAHF and DCRHA.
* IAHF has received an $800,000 private commitment to subsidize a 10-unit cluster development for homeowners. It is facilitating moving and recycling several donated homes for use on affordable lots. IAHF secured pro bono legal services to develop a model deed rider for use by housing organizations, developers, town affordable housing committees. It is also launching a pilot Revolving Loan Fund to be used to finance down payments and closing costs.
* The DCRHA established the Vineyard Housing Office (in partnership with IAHF and with the support of many who donated their time and money) to provide a place where housing groups could meet and work together and focus on housing issues. The DCRHA has begun two new programs — funded by IAHF — to convert existing housing into year-round rental housing through conversion from summer-only rental and through low interest loans for rehabilitation of substandard housing stock. DCRHA has plans underway for creating and buying more year-round rental housing.
* The Community Preservation Act passed in Aquinnah and Chilmark and efforts may be made to secure its passage in all Island communities.
* The Edgartown Affordable Housing Committee is actively considering both ownership and rental housing developments on town owned sites dedicated for affordable housing.
* The Town of Oak Bluffs is embarking on an effort to address the issue of Chapter 40B housing proactively.
* The Chilmark Housing Committee is working with several town committees, including the Community Preservation Act Committee, to make use of town-owned property for affordable housing.
* The Tisbury Home Site Committee awarded two new lots in 2001.
* A new citizen's group, the Secure Housing Action Committee, formed to draw attention to and advocate for solutions to the problems of year-round housing.
* Bridge Housing is a non-profit development entity with a mission to help provide mixed income housing for Island residents. The organization is currently helping towns as they plan for affordable housing developments that utilize town-owned land.
* Island Elderly Housing continues to provide for the housing needs of low-income seniors and disabled Islanders. This year will see occupancy in 27 new elderly apartments in phases II and III of Woodland Village in Oak Bluffs. IEH will also complete the renovation of the Margaret C. Love House in Vineyard Haven as five efficiency apartments for seniors.
* The Vineyard chapter of Habitat for Humanity finished construction of their first home in the spring of 2000 and hopes to build two more homes this year.
It is also important to recognize the large but unquantified contributions made by individual Island residents who rent rooms, apartments or cottages at below-market prices, by those many individual businesses that rent or purchase housing for their employees and by seasonal residents who provide year-round housing for caretakers and other employees. Beyond these efforts, it is essential that the community coordinate and, in some cases, consolidate these activities to conserve limited resources and operate at maximum effectiveness.
Figure V.2 summarizes the various types of affordable housing already present in each of the Island towns. There are a total of 273 housing units or just under five percent of the year-round stock that was initially developed as affordable housing. Rental housing for seniors makes up about half of the affordable housing stock. This provides subsidized housing for about 90 percent of lowincome elderly Island renters. By contrast, the 46 subsidized family units provide housing for about
V.2 Affordable Housing Inventory, by Town, 2001
Source: DCRHA, Local Resident Homesites, October 2001
five percent of low-income, non-elderly renters. As many as 83 affordable home ownership opportunities have developed through the Resident Home Site Committees and Farmers' Home Administration programs in years past. For most of these homes, there are only temporary limits on resale or restrictions on the incomes of subsequent buyers.
WHY ACT NOW?
Over the course of this study, both year-round and part-time Islanders expressed a sense of imperative about acting on this problem now. Key reasons include the following:
* Preserve the Community. For the first time, the vast majority of renters face the prospect that they will never find a stable rental or be able to buy a home on the Island. Many of these renters are long-term Island residents who play a crucial role in the Vineyard's economic, civic, social and cultural life. A concerted effort to develop affordable homeownership and year-round rental opportunities would provide security, hope and alternatives to leaving the Island.
* Attract Key Professionals.
The Island's capacity to attract professionals who provide essential services — health, educational, municipal and skilled trade workers — is declining just as the retirement rate for these jobs begins to climb. Addressing housing issues now will help to avert a crisis later.
* Maintain Continuity of
Generations. Over the course of the next decade, more than 1,000 current Island teens will leave the nest. Providing secure year-round rental housing opportunities will help the Vineyard retain more of its children. On the other end of the spectrum, additional housing options are needed for senior citizens. This would also serve to free up existing homes for the next generation.
* Protect Investment. The combined asset value of all Island housing is approaching $6 billion and has been growing at the rate of nearly $500 million per year over the past five years. It would take less than one percent of the Island's housing valuation to fund affordable housing initiatives for the rest of the decade. This would be a wise investment which would protect existing investments and help to avoid economic decline.
* Sustain Quality of Life. Many of the Island's essential community values are at risk. It is the very capacity of a place to provide continuity of culture and livelihood that makes it possible to preserve these values. Providing secure affordable housing is as important to preserving these values as efforts to conserve open space and other critical resources.
* Solve Our Own Problems. As an Island, we have made meaningful progress in historic preservation, open space protection, and public transportation; the new challenge is affordable housing.
OPTIONS FOR ACTION
The creation of 100 to 150 units per year of affordable rental and ownership housing can seem daunting and it will indeed require the concerted efforts of many individuals and groups. The following represents a number of potential actions that will increase the supply of stable year-round rental housing and affordable homeownership. Given the scale of the problem at hand, they represent the type of actions most likely to succeed within the framework of community values and conditions.
Rental Housing
*
2010: A Tale of Two Islands
Perhaps fanciful, perhaps not; the following provides alternative glimpses of Martha's Vineyard in 2010.
"The Gated Island"
High-speed commuter ferries from Woods Hole and New Bedford, airport expansion, and continued labor shortages mark home life for Islanders as the new decade passes. Labor shortages are most acute in the health care sector where access to home health and hospital care has reached crisis proportions for the Island's oldest residents. Concerns over continuity of care have the region's growing retirement population looking elsewhere, according to area realtors, and that finally spells a drop in housing prices. The Massachusetts General Court has rejected still another town's request for a higher tax rate for seasonal homes. With Prop 21/2 still in place and homes under $500,000 a thing of the past, there seems no way to keep up with skyrocketing costs for teachers and municipal workers. And with a turnover of nearly 40 percent of its residents in the past decade, Dukes County not only has the highest percentage of new residents statewide, it has the unusual distinction of seeing household income rise even as local jobs decline. "The new Islanders bring both their jobs and wealth with them," says the new MVC Director, herself a commuter. "What matters for these residents are more commercial flights, more open space, and room to house their help."
Community Rekindled
The pressures on housing costs continue of course. Martha's Vineyard remains a wildly popular destination for seasonal owners, retirees, and tourists alike, but there's a different spirit in the air. More members of this year's tenth year high school reunion class sport Island addresses than at any time in the last 20 years. More and more native sons and daughters are filling the essential jobs their parents and relatives once filled. The connection between the young and old, wealthy and not so wealthy, feels more like it did in the '70s than it did ten years ago. The community's willingness to face the task of housing its residents head-on is paying dividends as those who have benefited begin to give back to the community that not only raised them but made room for them to stay.
Expand Rental Conversion Program. Using funds raised by IAHF and its "Houses On The Move" project, the DCRHA has launched a plan to encourage landlords to convert summer rentals to year-round, market rate rentals. Incentives for participation include cash subsidies as well as management and marketing support.
* Provide Rental Rehab Assistance. This represents another DCRHA approach aimed at creating affordable yearround rental housing without building new housing stock. With funds raised by IAHF, the Regional Housing Authority is negotiating with owners of substandard rental housing to exchange property-improvement grants for rent limits on properties for a fixed period of time.
* Develop Dedicated Housing for Essential Service Personnel. Both the hospital and the regional school system are looking at ways to develop housing aimed specifically at attracting and retaining professional staff. Part of this housing may be structured as rental, part as ownership.
* Sponsor Tax Credit Development. Perhaps the most heavily utilized financing program to create new affordable rentals, Low Income Home Tax Credits create a pool of equity to write down the cost of development in return for maintaining affordable rents for residents earning less than 60 percent of median household income. Roughly 600 Island renters would qualify for tax credit housing.
* Provide Zoning Support for Apartments. This strategy would provide a way for private property owners to help address the shortage of affordable rentals. Towns might be willing to loosen conditions for creating supplemental apartments and secondary structures in exchange for assurances of affordable year-round rents, as West Tisbury has successfully done.
* Purchase Existing Rental Properties. DCRHA has plans underway to purchase and manage additional rental housing.
* Develop New Locally Funded Rental Clusters. With funds from IAHF, CPA, and other local sources including Municipal Bonds, create small-scale rental housing clusters.
First-time Homeownership
* Provide Soft Second Mortgages. IAHF's "205 by 2005" fund raising campaign is seeking soft second mortgage money to underwrite down payments and closing costs as a long term, low interest second mortgage.
* Facilitate House Moves. The IAHF and the local town housing committees have increased efforts to identify homes that can be donated and moved (rather than razed) to permit new construction on an existing site. The House Move program would help provide legal support and cover moving costs of such a move.
* Subsidize Home Purchases. Suitable to both new development and existing homes, IAHF, CPA and other local funds could underwrite the cost of homes in exchange for long term affordability and resale limitations to ensure that the public benefit of affordability would stay with the home.
* Expand Resident Home Site Efforts. Homeownership for long-term residents is a problem that will need the help of each town and the generosity of individual landowners. A campaign coordinated to acquire affordable building lots will need to pass enabling zoning and provide legal and administrative support to succeed.
* Develop Dedicated Housing for Essential Service Personnel. As noted above, this concept requires fundraising, utilization of town, school and/or hospital-owned land, and development of housing dedicated to attracting and retaining essential service workers.
* Foreclosure and Tax-taking Purchases. A serious recession in the next year could see a spike in the number of Island foreclosure sales and tax delinquency takings. The IAHF may wish to begin developing partnerships with the local towns and lenders to channel these properties into housing to serve Island residents.
* Acquire In-Town Parcels for Small Housing Developments. Purchase land for future infill pocket clusters.
* Zoning Support for Substandard Lots. Craft zoning to promote small lots dedicated to affordable housing.
Figure V.3 looks at the costs of implementing these recommended actions if the Island is to meet the immediate housing need over the next three to five years. The per-unit subsidy required to convert or develop rental housing is substantial, ranging from $40,000 to $80,000 per unit, with an average cost of just under $60,000. In all, the consultant estimates the cost of subsidizing 230 units of secure, year-round housing at $13,600,000. Revenue to fund this subsidy would need to come from a variety of sources including private fundraising, CPA and other local funds, use of townowned and school-owned land, Low Income Housing Tax Credits, Massachusetts Housing Partnership grant funds, and other state and federal block grant funds. Locally funded efforts will have the greatest flexibility to dedicate housing for current residents, to reach households with higher incomes and to create housing consistent with desirable scale and quality.
V.3 Proposed Programs and Estimated Costs for Addressing Housing Need, 2001–2005
RENTAL HOUSING GOAL: To provide 190 below-market and 40 market-rate housing units to serve rental households in critical need.
| Purchase Existing Rental Properties 20 80,000 MHP/Municipal Bonds/IAHF/ Other Local Funds Dedicated Housing for 30 60,000 School Department, Essential Service Employees Towns, Hospital/ MHP/State Programs New, Subsidized, Mixed-income 60 60,000 LIHTC/Other Developments Public and Private New Rental Clusters (locally funded) 45 80,000 IAHF/ CPA/Municipal Bonding Zoning Support for 30 0 Private Supplementary Apartments Market | 1,800,000 1,800,000 3,600,000 3,600,000 0 | DCRHA purchases existing rental properties and manages New mixed ownership and rental development on land already owned by essential service employers Appropriately sited, designed, and screened multi-unit (12–24 per site) projects Small infill rental housing projects Craft second dwelling and supplementary apartment zoning to promote year-round rental |
|---|---|---|
| TOTAL 230 $59,130 | $13,600,000 | |
OWNERSHIP HOUSING GOAL: To provide 237 affordably priced homes for long-term Island residents.
The cost of reaching the homeownership target will be similar. With subsidies ranging from $15,000 to $100,000 per dwelling, the 237 units of ownership housing targeted would require about $14.95 million, or $63,000 each to subsidize. Many of the same funding sources will need to be tapped and the willingness of private landowners to donate or sell land at below market cost will be essential to success. Resident Home Site and Affordable Housing Committees will be crucial to this effort and faith-based housing initiatives could also play a substantial role in this undertaking.
Clearly, the Island's capacity to meet these targets would substantially increase if the Vineyard created a dedicated funding stream for affordable housing as it has done to finance open space purchases via the 2 percent Land Bank fee on real estate transactions. The legislative option available at this time is the Community Preservation Act, which the four largest towns have not yet passed.
NEXT STEPS
Working with IAHF, the consultant identified important next steps for various Island constituencies to consider. First and foremost, create a climate that promotes action. The magnitude of housing need will require broad-based community support and diverse solutions.
For Individuals
* support municipal funding of the Regional Housing Authority
* support passage of the Community Preservation Act in your town
* contribute to the IAHF capital campaign, the Business Initiative or Islanders Helping Islanders
* contribute time, effort, and materials to Habitat for Humanity
* donate land donate a house for moving
* leave estate funds to IAHF and/or other non-profits
* take advantage of programs offered to convert seasonally rented houses to year-round
* let the Land Bank, the Martha's Vineyard Commission, and your town government know that affordable housing is a first priority.
For Island Officials
* support municipal funding of the Regional Housing Authority
* support passage of the Community Preservation Act in your town
* consider whether other dedicated funding streams such as a rooms tax for private summer rentals are politically feasible
* create zoning incentives in each town — and regionally — to encourage affordable housing
* expand the Land Bank town advisory boards to include members representing the town Housing Committees
* encourage the Land Bank to be pro-active about housing
* set individual housing goals for this decade
* consider bonding initiatives for housing programs
For Employers
* support municipal funding of the Regional Housing Authority
* support passage of the Community Preservation Act in your town
* contribute to the IAHF Business Initiative for Housing Solutions
* handle summer employee housing as individual businesses so public efforts can concentrate on year-round solutions
* help find ways to get your employees into year-round housing
CONCLUSION
An Island-wide consensus sees housing as a critical community issue that can no longer be ignored. A broad effort is underway to begin solving the housing crisis. To effectively address this problem over the course of the next decade, the effort will need to build on values that are currently shared by the community. All six towns, Island employers, seasonal and year-round residents and the several organizations dedicated to housing must act now and must act together if progress is to be made toward solving this debilitating crisis.
APPENDIX A
PARTIAL LIST OF LOCAL INTERVIEW SUBJECTS
John Abrams, West Tisbury, Builder
Fernando Almeida, Tisbury Resident
Derrill Bazzy, Aquinnah, Builder
Steve Bernier, Cronig's Market
Peter Bettencourt, Edgartown Town Administrator
John Bradford, Oak Bluffs Planning Board
Doug Cabral, Martha's Vineyard Times
Kriner Cash, Superintendent Of Schools
Marcia Cini, Attorney
Chuck Clifford, Martha's Vineyard Commission
Paul Condlin, Edgartown, Chief Of Police
Tom Dresser, Windemere Nursing Home
Michael Dutton, Martha's Vineyard Hospital
John Early, Builder
Dave Ferraguzzi, Tisbury Affordable Housing Committee
Zelda Gamson, Chilmark Housing Committee
Alan Gowell, Edgartown Housing Committee
Jane Greene, Wampanoag Tribal Housing
Janice Haynes,West Tisbury Resident
ML Healey, SHAC
Leonard Jason, Chilmark, Building Inspector
Virginia Jones, West Tisbury Housing Committee
Phillippe Jordi, DCRHA
James Lengyel, MV LandBank
Richard Leonard, MV Co-operative Bank
Richard Reston, Vineyard Gazette
Linda Sibley, Martha's Vineyard Commission
Bart Smith, Realtor
Russell Smith, Legislative Liaison
David Squire, IAHF
Juleann Vanbelle, DCRHA, IAHF
Martha Walsh, MV Chamber of Commerce
Jay Walsh, West Tisbury, FMHA Self-Help Housing
Susan Wasserman, West Tisbury Resident
Paul Watts, Compass Bank
Eleanor Wilson, LINK
APPENDIX B
DEMOGRAPHIC SUMMARY — AQUINNAH
(US Census, MISER, adjusted by consultant)
Population
Change from
(U.S. Census, CACI, Inc., Renter Survey)
Median Household Income
*confidential
Resident Employment
Summary of Housing Change 1990-2000 (US Census)
TOTAL
134
41%
Housing Value (US Census, Banker & Tradesman, LINK)
Single-family Home Sales (Banker & Tradesman, LINK)
2001
* Survey sample of insufficient size; median rents are largely determined by cost of tribal housing.
Renter Profile, 2001 (Renter Survey)
[Aquinnah's overall response to the survey (7 of 58 renter HHs) was not statistically significant. These results are of limited value.]
By Household Income
By Length of Residence on Martha's Vineyard
< 1 Year
1-2 Years
3-4 Years
5+ Years
By Presence of Children
Response rate not statistically meaningful
1/ Experiencing at least two housing problem listed above.
2/ Paying more than 35% of rent and lacking year round housing.
Rental Housing Needed to Address Critical Problems
Below Market
TOTAL
66
0
1/30 year amortization @ 6.75% interest with 20% down payment.
NOTE: Aquinnah's overall response to the survey was not statistically significant. These results are of only limited value.
DEMOGRAPHIC SUMMARY — CHILMARK
(U.S. Census, CACI, Inc., Renter Survey)
Median Household Income
Resident Employment (MA Division of Employment & Training)
Change
Summary of Housing Change 1990-2000 (US Census)
TOTAL
232
16%
Housing Value (US Census, Banker & Tradesman, LINK)
Renter Profile, 2001 (Renter Survey)
Chilmark's response (15 out of 95 renter HHs) represents 16% sample
* Exceeds 100% due to mixed age in same HH.
Estimate of Affordable Housing Need
1/ Experiencing at least two housing problem listed above.
2/ Paying more than 35% of rent and lacking year round housing.
Rental Housing Needed to Address Critical Problems
Below Market
Market
TOTAL
12
2
TOTAL
45
45
0%
45
45
1/ 30 year amortization @ 6.75% interest with 20% down payment.
NOTE: Chilmark's overall response to the survey was not statistically significant. These results are of only limited value.
DEMOGRAPHIC SUMMARY — EDGARTOWN
TOTAL
3062
3779
5538
81%
(U.S. Census, CACI, Inc., Renter Survey)
Median Household Income
(US Census)
Summary of Housing Change 1990-2000
TOTAL
1295
42%
(US Census, Banker & Tradesman, LINK)
Housing Value
Single-family Home Sales (Banker & Tradesman, LINK)
2001
Renter Profile, 2001 (Renter Survey)
Edgartown's response (97 of 435 renter HHs) represents a 22% response rate.
* Exceeds 100% due to mixed age in same HH.
Renter Housing Problems, 2001
Estimate of Affordable Housing Need
1/ Experiencing at least two housing problem listed above.
2/ Paying more than 35% of rent and lacking year round housing.
TOTAL
48
14
1/ 30 year amortization @ 6.75% interest with 20% down payment.
DEMOGRAPHIC SUMMARY — OAK BLUFFS
Median Household Income (U.S. Census, CACI, Inc., Renter Survey)
Local Jobs (MA Division of Employment & Training)
Change
Summary of Housing Change 1990-2000 (US Census)
TOTAL
648
17%
Housing Value (US Census, Banker & Tradesman, LINK)
Single-family Home Sales (Banker & Tradesman, LINK)
2001
Median Gross Rent (US Census, Renter Survey)
Renter Profile, 2001 (Renter Survey)
Oak Bluff's response (98 of 481 renter HHs) represents a 26% response rate.
* Exceeds 100% due to mixed age in same HH.
Renter Housing Problems, 2001
Estimate of Affordable Housing Need
TOTAL
481
213
44%
60
12%
1/ Experiencing at least two housing problem listed above.
2/ Paying more than 35% of rent and lacking year round housing.
TOTAL
48
12
1/ 30 year amortization @ 6.75% interest with 20% down payment.
DEMOGRAPHIC SUMMARY — TISBURY
(U.S. Census, CACI, Inc., Renter Survey)
Median Household Income
Resident Employment (MA Division of Employment & Training)
Change
Summary of Housing Change 1990-2000 (US Census)
TOTAL
333
12%
Housing Value (US Census, Banker & Tradesman, LINK)
Single-family Home Sales (Banker & Tradesman, LINK)
2001
Renter Profile, 2001 (Renter Survey)
Tisbury's response (95 of 585 renter HHs) represents a 16% response rate.
* Exceeds 100% due to mixed age in same HH.
Estimate of Affordable Housing Need
1/ Experiencing at least two housing problem listed above.
2/ Paying more than 35% of rent and lacking year round housing.
TOTAL
56
10
1/ 30 year amortization @ 6.75% interest with 20% down payment.
DEMOGRAPHIC SUMMARY — WEST TISBURY
Population (US Census, MISER)
Median Household Income (U.S. Census, CACI, Inc., Renter Survey)
Local Jobs (MA Division of Employment & Training)
% Change
Summary of Housing Change 1990-2000 (US Census)
TOTAL
536
29%
Renter Profile, 2001 (Renter Survey)
West Tisbury's response (62 of 261 renter HHs) represents a 24% response rate.
* Exceeds 100% due to mixed age in same HH.
Renter Housing Problems, 2001
Estimate of Affordable Housing Need
Survey data extrapolated to include all 261 renter HHs in West Tisbury
1/ Experiencing at least two housing problem listed above.
2/ Paying more than 35% of rent and lacking year round housing.
1/ 30 year amortization @ 6.75% interest with 20% down payment.
|
The Annual Quality Assurance Report (AQAR) of the IQAC: 2017-18
Part – A
1. Details of the Institution
1.1 Name of the Institution
1.2 Address Line 1
Address Line 2
City/Town
State
Pin Code
Institution e-mail address
Contact Nos.
Name of the Head of the Institution:
Tel. No. with STD Code:
Mobile:
Name of the IQAC Co-ordinator:
Mobile:
0755-2517001
Barkatullah University
Hoshangabad Road
BHOPAL
Madhya Pradesh
462026
firstname.lastname@example.org
Prof. Pramod Kumar Verma
9826013067
0755-2517002
Prof. M.K Shrivastava
8878627272
IQAC e-mail address:
email@example.com
1.3 NAAC Track ID (For ex. MHCOGN 18879) : MPUNGN10083
1.4 Website address:
https://www.bubhopal.ac.in
Web-link of the AQAR:
https://www.bubhopal.ac.in
1.5 Accreditation Details
| Sl. No. | Cycle | Grade | CGPA | Year of Accreditation | Validity Period |
|---|---|---|---|---|---|
| 1 | 1st Cycle | B | 73.15 | 2003 | 2008 |
| 2 | 2nd Cycle | B | 2.5 | 2015 | 2020 |
| 3 | 3rd Cycle | | | | |
1.6 Date of Establishment of IQAC: DD/MM/YYYY
23/04/2014
1.7 AQAR for the year
2017-18
1.8 Details of the previous year's AQAR submitted to NAAC after the latest Assessment and Accreditation by NAAC.
i. AQAR 2014-15 Submitted to NAAC on 30/01/2019)
ii. AQAR 2015-16 Submitted to NAAC on 30/01/2019)
iii. AQAR 2016-17 Submitted to NAAC on 30/01/2019)
iv. AQAR 2017-18 Submitted to NAAC on 30/01/2019)
1.9 Institutional Status
University
State Central
Deemed Private
Affiliated College
Yes
No
Constituent College
Yes
No
Autonomous college of UGC
Yes
No
Regulatory Agency approved Institution
Yes
No
(eg. AICTE, BCI, MCI, PCI, NCI)
Type of Institution Co-education
Men Women
Urban
Rural
Tribal
Financial Status Grant-in-aid UGC 2(f)
UGC 12B
Grant-in-aid + Self Financing Totally Self-financing
1.10 Type of Faculty/Programme
Arts Science Commerce Law Y Y Y
PEI (Phys Edu) Y
TEI (Edu) Engineering Y
Health Science Y
Management N Y
Others (Specify)
1.11 Name of the Affiliating University (for the Colleges)
1.12 Special status conferred by Central/ State Government-- UGC/CSIR/DST/DBT/ICMR etc
Autonomy by State/Central Govt. / University
University with Potential for Excellence
UGC-CPE
Life Science, Home Science & Social Science
Y
_
_
N.A.
DST Star Scheme
UGC-CE
UGC-Special Assistance Programme
DST-FIST
UGC-Innovative PG programmes
Any other (Specify)
UGC-COP Programmes
_
Yes
YES
_
_
YES
2. IQAC Composition and Activities
2.1 No. of Teachers
2.2 No. of Administrative/Technical staff
2.3 No. of students
2.4 No. of Management representatives
2.5 No. of Alumni
2. 6 No. of any other stakeholder and community representatives
2.7 No. of Employers/ Industrialists
2.8 No. of other External Experts
2.9 Total No. of members
2.10 No. of IQAC meetings held
2.11 No. of meetings with various stakeholders:
5
2
2
--
--
1
1
--
11
Nil
No.
Non-Teaching Staff Students
Alumni _
_
Faculty
Others _
2.12 Has IQAC received any funding from UGC during the year?
If yes, mention the amount
_
2.13 Seminars and Conferences (only quality related)
(i) No. of Seminars/Conferences/ Workshops/Symposia organized by the IQAC
Total Nos. _
International National _
State
Institution Level _ _
_
(ii) Themes
____
2.14 Significant Activities and contributions made by IQAC
The university IQAC committee always monitor and discuss the strategies for upgradation of teaching and research activities in the University.
2.15 Plan of Action by IQAC/Outcome
The plan of action chalked out by the IQAC in the beginning of the year towards quality enhancement and the outcome achieved by the end of the year *
* Attach the Academic Calendar of the year as Annexure. (ATTACHED)
2.15 Whether the AQAR was placed in statutory body Yes No
Management Syndicate
Any other body
Provide the details of the action taken
Strategies for upgradation of teaching and research activities in the University are identified and prepared.
Yes No
Criterion – I
1. Curricular Aspects
1.1 Details about Academic Programmes
| PhD | 35 | ---- | ---- | ---- |
|---|---|---|---|---|
| PG | 53 | ---- | 24 | ---- |
| UG | 15 | --- | 13 | ---- |
| PG Diploma | 09 | | 09 | |
| Advanced Diploma | 01 | | 01 | |
| Diploma | 01 | | 01 | |
| Certificate | 04 | | 02 | |
| Others. M.Phil. | 15 | ---- | ---- | ----- |
| Total | 133 | ---- | 50 | --- |
| Interdisciplinary |
|---|
| Innovative |
1.2 (i) Flexibility of the Curriculum: CBCS/Core/Elective option / Open options
(ii) Pattern of programmes:
1.3 Feedback from stakeholders* Alumni
Parents
Employers
Students
(On all aspects)
Mode of feedback : Online
Manual
Co-operating schools (for PEI)
*Please provide an analysis of the feedback in the Annexure
1.4 Whether there is any revision/update of regulation or syllabi, if yes, mention their salient aspects.
1.5 Any new Department/Centre introduced during the year. If yes, give details.
Pattern
Number of programmes
Semester
78 ---
Trimester
Annual
20
Meeting of Board of studies in each subject is organized regularly and after discussion if required syllabus is updated or added. If essential member from industry is also invited to get their feed back.
No
Part – B
Criterion – II
2. Teaching, Learning and Evaluation
2.1 Total No. of permanent faculty
2.2 No. of permanent faculty with Ph.D.
67
2.3 No. of Faculty Positions Recruited (R) and Vacant (V) during the year
| Asst. Professors | | Associate Professors | | Professors | | Others | | Total | |
|---|---|---|---|---|---|---|---|---|---|
| R | V | R | V | R | V | R | V | R | V |
| 31 | 60 | 09 | 44 | 26 | 28 | 16 | 03 | 82 | 135 |
2.4 No. of Guest and Visiting faculty and Temporary faculty 90
61
02
2.5 Faculty participation in conferences and symposia:
2.6 Innovative processes adopted by the institution in Teaching and Learning:
| Attended | 10 | 90 |
|---|---|---|
| Presented papers | 36 | 74 |
| Resource Persons | 10 | 24 |
The university focuses in student centric teaching new trends and methods have been adopted for teaching and learning of the students such as Interactive sessions along with the AV aids and animations to clarify the concepts; weekly seminars and discussions; use of LCD presentations, extension activities and field visits.
2.7 Total No. of actual teaching days during this academic year
180
2.8 Examination/ Evaluation Reforms initiated by the Institution (for example: Open Book Examination, Bar Coding,
Double Valuation, Photocopy, Online Multiple Choice Questions)
MCQs; Blind fold evaluation of answer books to ensure impartial evaluation is conducted by competent examiners
2.9 No. of faculty members involved in curriculum
67
restructuring/revision/syllabus development as member of Board of Study/Faculty/Curriculum Development workshop
2.10 Average percentage of attendance of students
75%
2.11 Course/Programme wise distribution of pass percentage:
2.12 How does IQAC Contribute/Monitor/Evaluate the Teaching & Learning processes:
- IQAC formally and informally interact with teachers and motivate them to upgrade the quality teaching and quality research.
2.13 Initiatives undertaken towards faculty development
| Refresher courses | 02 |
|---|---|
| UGC – Faculty Improvement Programme | |
| HRD programmes | 03 |
| Orientation programmes | 04 |
| Faculty exchange programme | |
| Staff training conducted by the university | 01 |
| Staff training conducted by other institutions | |
| Summer / Winter schools, Workshops, etc. | 11 |
2.14 Details of Administrative and Technical staff
Criterion – III
3. Research, Consultancy and Extension
3.1 Initiatives of the IQAC in Sensitizing/Promoting Research Climate in the institution
IQAC has always given importance to the inter and multidisplinary research and has Encouraging teaching staff for preparing and submitted to research projects different funding agencies and startup for younger faculty members.
3.2
Details regarding major projects
| | Completed | Ongoing | Sanctioned | Submitted |
|---|---|---|---|---|
| Number | 03 | 09 | 08 | 08 |
3.3 Details regarding minor projects:
Nil
| | Completed | Ongoing | Sanctioned |
|---|---|---|---|
| Number | | | |
3.4 Details on research publications
| Peer Review Journals | 137 | 47 |
|---|---|---|
| Non-Peer Review Journals | 07 | 12 |
| e-Journals | 21 | 14 |
| Conference proceedings | 237 | 29 |
3.5 Details on Impact factor of publications:
Range
0.1-
3.6 Research funds sanctioned and received from various funding agencies, industry and other organisations
| Nature of the Project | Duration Year | Name of the funding Agency | Total grant sanctioned |
|---|---|---|---|
| Major projects | 2017-18 2017-18 2017-18 2017-18 | DST, New Delhi DBT, New Delhi MPCST, Bhopal Nil | 16.0 Lacs Nil 13.84 Lacs 3.70 Lacs |
| Minor Projects | - | - | - |
| Interdisciplinary Projects | 2017-18 | MP Biotechnology Council, Bhopal | 1.05 |
| Industry sponsored | - | - | - |
| Projects sponsored by the University/ College | - | - | - |
| Students research projects (other than compulsory by the University) | 2017-18 2017-18 | DST, New Delhi(INSPIRE ) Fellow ICMR, New Delhi | 3.80 12.5 Lac |
Any other(Specify)
-
-
-
-
Total
50.89
15.35
3.7 No. of books published i) With ISBN No.
Chapters in Edited Books
ii) Without ISBN No.
3.8 No. of University Departments receiving funds from
UGC-SAP -
CAS -
DST-FIST -
DPE -
DBT Scheme/funds
3.9 For colleges Autonomy
CPE -
DBT Star Scheme -
INSPIRE -
CE -
Any Other (specify) -
3.10 Revenue generated through consultancy
3.11 No. of conferences
organized by the Institution
3.12 No. of faculty served as experts, chairpersons or resource persons
3.13 No. of collaborations
International
National
Any other 03
3.14 No. of linkages created during this year
3.15 Total budget for research for current year in lakhs:
From Funding agency
From Management of University/College
Total
Level
International National State University College
Number -
11
01 01
-
Sponsoring agencies
01
UGC
01
NCW
Nil
01
Yes
-
41
22
06
11331758.0
1050000.0
12381758.0
10
07
3.16 No. of patents received this year:
3.17 No. of research awards/ recognitions received by faculty and research fellows Of the institute in the year
| Type of Patent | |
|---|---|
| National | Applied |
| | Granted |
| International | Applied |
| | Granted |
| Commercialised | Applied |
| | Granted |
| Total | International | National | State | University | Dist |
|---|---|---|---|---|---|
| 12 | - | 07 | 04 | | |
3.18 No. of faculty from the Institution who are Ph. D. Guides and students registered under them
3.19 No. of Ph.D. awarded by faculty from the Institution
3.20 No. of Research scholars receiving the Fellowships (Newly enrolled + existing ones)
JRF 24
SRF 17
Project Fellows 06
Any other
3.21 No. of students Participated in NSS events:
University level
State level
National level
International level
3.22 No. of students participated in NCC events:
Nil
University level -
State level -
National level -
International level -
3.23 No. of Awards won in NSS:
University level
State level Yes
National level
International level - Yes
44
197
55
07
22100
10
91
-
Yes
3.24 No. of Awards won in NCC:
Nil
University level -
State level -
National level -
International level -
3.25 No. of Extension activities organized:
University forum
College forum Yes
NCC
NSS -
Any other -
04
Yes
3.26 Major Activities during the year in the sphere of extension activities and Institutional Social Responsibility
Arabic Department:
Social awareness about cleanliness.
Educational counselling.
Bioscience Department:
Visit of school students to the department to acquaint with lab instruments.
Organizing workshop on hands on training.
Biotechnology Department
15 days Hands on Training in Bioinformatics entitled "Bioinformatics and Structural Bioinformatics" at Department of Biotechnology and Bioinformatics Center, Barkatullah University, Bhopal, from 28 August to 14 September 2017. Sponsored by M. P. Biotechnology Council, Bhopal. Total 19 students participated.
BUIT Department:
Blood donation and plantation under NSS.
Swachhata abhiyaan.
Yoga Department:
The Department of Yoga regularly organizes a unique activity under which Yoga Training is imparted through the students of Yoga Department. This training is imparted twice a year, free of cost and the target group is mostly the underprivileged children of the society.
Regularly organizing Therapeutic classes for general public since 1994.
Organized Yoga Day program on a large scale to involve the community and promote awareness on holistic health through Yoga.
Regularly organizing medical camps, free distribution of medicines and Yoga camps.
Microbiology Department:
Established Microbiologist Society Unit (Microbiologist Society of India) at Department of Microbiology, Barkatullah University, Bhopal, since 2015 to encourage the Research Scholar and Post graduate students for research and development.
The department has been regularly organized various conferences, seminars and informative scientific lectures related to different aspects of advance modern science.
Physical Education Department:
Organized Blood Donation Camp.
Earth Science Department
Teacher's day celebration, environmental awareness programme, Tree plantation programme, Cleanness awareness programme.,
Psychology Department:
Celebration of world mental health day.
Physics Department
Cleanliness program (twice a year)
Plantation (twice a year)
Women Studies Department
A. Adopted Village
Village Barkheda Salam has been adopted by Women's Studies Department, Barkatullah University, Bhopal with an objective to work for overall development of village in general and for empowerment of women in particular. The work was started in the phase manner: In the first phase, village was selected on the basis of objectives of adopting the village and accessibility. Data on village profile and problems related to women was also collected through interview schedule prepared by the experts and analysis was done regarding need assessment and other issues related to women. As an outcome, brief report was prepared which presents the baseline scenario at village and household levels. The report presents village and household profile in detail from gender perspective with special focus on women related problems and need of the village. On the basis of need assessment further programmes were organized in the village.
Awareness Programmes / Medical Camp-
Women and Reproductive Health
Issues of security of Women and Girls
Medical camp
Gender sensitisation for Out of School Girls
Awareness on Using Social Media and Security of girls
B. Gender Sensitisation programmes at University and Colleges
Criterion – IV
4. Infrastructure and Learning Resources
4.1 Details of increase in infrastructure facilities:
| Facilities | Existing | Newly created | Source of Fund | Total |
|---|---|---|---|---|
| Campus area | 320Acre | no | no | 320Acre |
| Class rooms | 150 Rooms | no | no | 150 Rooms |
| Laboratories | 55 Labs | no | no | 55 Labs |
| Seminar Halls | 12 Halls | no | no | 12 Halls |
| No. of important equipments purchased (≥ 1-0 lakh) during the current year. | 01 | no | no | 01 |
| Value of the equipment purchased during the year (Rs. in Lakhs) | 8,92,478/- | no | no | 8,92,478/- |
4.2 Computerization of administration and library
In the University below mentioned activities are already existing, besides taking help from outsource agency(MPONLINE)
- Eligibility Process ONLINE
- Admission Process ONLINE
- Enrolment Process ONLINE
- All Examination activities viz Exam Forms Online, Admit Card Online,
- Online submission of CCE and practical marks
- Result Declaration ONLINE
- Online application for Certificates like Degree, Migration etc.
- Affiliation of Colleges ONLINE
- All type of Fee Collection ONLINE
- Payments of all transaction by RTGS
- Online tendering(E-Tendering)
-
Anti Plagiarism checking has been started
4.3 Library services:
| | Existing | | Newly added | | |
|---|---|---|---|---|---|
| | No. | Value | No. | Value | No. |
| Text Books | 89865 | - | 2131 | 29lakhs | 89866 |
| Reference Books | 19896 | - | 204 | - | 19896 |
| e-Books | - | - | - | - | - |
| Journals | 25 | - | - | - | - |
| e-Journals | - | - | EBSCO | 1Lakh | - |
| Digital Database | NO | NO | NO | NO | NO |
| CD & Video | NO | NO | NO | NO | NO |
| Others (specify)news paper | 18 | NO | NO | NO | NO |
4.4 Technology up gradation (overall)
| | Total Computers | Computer Labs | Internet | Browsing Centres | Computer Centres | Office | Depart- ments | Others |
|---|---|---|---|---|---|---|---|---|
| Existing | 200 | Physics, Electronic s, Bio- Tech, BUIT, Pharmacy, CRIM | All UTD Departm ents,Ad ministra tive Blocks, Library, Hostels & Guest House | All UTD Departm ents, | Physics, Electronic s, Bio- Tech, BUIT, Pharmacy, CRIM | Intern et facilit y at all admin istrati ve blocks | All UTD Depart ments, Interne t Facilit y | WIFI Facili ty to all Stude nts, Facul ty schol ars |
| Added | - | - | - | - | - | - | - | - |
| Total | 200 | Physics, Electronic s, Bio- Tech, BUIT, Pharmacy, CRIM | All UTD Departm ents,Ad ministra tive Blocks, Library, Hostels & Guest House | All UTD Departm ents, | Physics, Electronic s, Bio- Tech, BUIT, Pharmacy, CRIM | Intern et facilit y at all admin istrati ve blocks | All UTD Depart ments, Interne t Facilit y | WIFI Facili ty to all Stude nts, Facul ty schol ars |
4.5 Computer, Internet access, training to teachers and students and any other programme for technology upgradation (Networking, e-Governance etc.)
University has provided desktop to all faculties members and laptop to all HOD's.
Our IT cell is providing MPONLINE services for BU Computerises activities
Training of faculty and Staff is being carried out wherever necessary
For Purchases E-Market (GeM) is being used
University is also having E-Tendering Process
4.6 Amount spent on maintenance in lakhs :
i) ICT
ii) Campus Infrastructure and facilities
iii) Equipments
iv) Others
Total :
10
100
10
10
130
Criterion – V
5. Student Support and Progression
5.1 Contribution of IQAC in enhancing awareness about Student Support Services
Wi –fi facility and internet for students.
Development of departmental library.
Smart Class room.
Workshop for student for different periods.
Field visit of the students for their dissertation.
Anti ranking complain against slogans are disseminated in the campus.
Student counselling by psychology department.
5.2 Efforts made by the institution for tracking the progression
Students are provided proper feedback and salient features of the university students.
Feedbacks are also welcomed and practices after honest analysis.
5.3 (a) Total Number of students
(b) No. of students outside the state
| UG | PG | Ph. D. |
|---|---|---|
| 1777 | 1072 | 166 |
170
(c) No. of international students
Men
Women
Last Year
General SC ST OBC
Physically Challenged
Total General
1781 410 223 1053
1296
Demand ratio Dropout %----- 3%
SC
407
This Year
ST
OBC Physical ly
Challen ged
NIL
149 851
Total
5.4 Details of student support mechanism for coaching for competitive examinations (If any)
University conducted coaching classes for SC/ST/OBC students for Civil services, NET/GATE etc.
Besides faculty in the departments also give academic assistance to students willing for competitive examination.
No. of students beneficiaries
5.5 No. of students qualified in these examinations
NET IAS/IPS etc 20 NIL
SET/SLET 6
GATE
CAT 12
State PSC 9
UPSC
Others 01
5.6 Details of student counselling and career guidance
No. of students benefitted
5.7 Details of campus placement
On campus
Off Campus
Number of Organizations Visited 2
Number of Students Participated 100
Number of
Students Placed
Number of Students Placed
22
68
5.8 Details of gender sensitization programmes
Students counselling and career guidance is available to the students by centralized counselling and guidance.
Centre teachers in the department also council students to enrich their inner potential.
The women study department organizes events to promote gender sensitization .
The women day is celebrated every year and thoughtful dissertation takes place on women and students get benefit from these events.
280
35
14
NIL
5.9 Students Activities
5.9.1 No. of students participated in Sports, Games and other events
State/ University level
National level 15
International level
No. of students participated in cultural events
State/ University level 50
National level
International level 32
5.9.2 No. of medals /awards won by students in Sports, Games and other events
Sports: State/ University level
National level 9
International level 11
Cultural: State/ University level 8 National level 8
International level
5.10 Scholarships and Financial Support
Number of
students
Amount
Financial support from institution
6
Financial support from government
175
Financial support from other sources
08
Number of students who received
International/ National recognitions
NIL
5.11 Student organised / initiatives
Fairs : State/ University level
National level
International level
Exhibition: State/ University level 02
National level
International level
5.12 No. of social initiatives undertaken by the students 7
5.13 Major grievances of students (if any) redressed: Grievances are taken care by respective HOD’s DSW and university proctorial board.
690
01
NIL
NIL
NIL
NIL
Criterion – VI
6.Governance, Leadership and Management
6.1 State the vision and mission of the institution
Vision –
The Constituent academic faculties in the University aspire academic of excellence in the teaching and research and professional growth of the students.
Mission-
The university disserve to develop a globally renowned institute for outstanding academics research and social service.
Core Values:
- The university core values include student friendly approaches and respect for individual dignity and cultural diversity.
- The close interrelationship between teaching, scholarship and research.
- Education to enhances the ability of students to learn throughout life.
6.2 Does the institution has a management information system
Yes. The University has different bodies through which entire activities of university is conducted. The account, examination and confidential sections maintain students report. Efforts are being made to evolve a system through which all the stakeholders get the immediate solution to the existing problems.
6.3 quality improvement strategies adopted by the institution for each off the following:
6.3.1 Curriculum Development
Curriculum review and modification is a regular practice of the university through its annual board of studies meetings. The course contents are designed and modified with a view to develop employability and entrepreneurship among students.
6.3.2 Teaching and Learning
An extensive way of academic subjects in all major subjects groups.
Strong supports for individual as well as group research and study.
Motivational lectures are organized regularly for fresher students.
Group discussion, classroom presentation are part of regular classroom activity.
6.3.3 Examination and Evaluation
Objectivity and sincerity are practiced in examination and evaluation process effectively. Paper setters are appointed by the vice chancellor from a list of expert submitted by examination committee. Qualified teachers from outside the state are also invited to assist in the examinations and evaluation. The blindfold answer books are prepared for evaluation. Results are prepared and displayed through computers.
CGPA based continuous evaluation.
Evaluation of each student through various types of examination CCE pattern is implemented.
6.3.4 Research And Development
The university aim to cultivate a well behaved portfolio of research of the highest quality with a wide range of interest.
University has 7 UGC-SAP supported departments.
The teachers are encouraged to participated in National and international seminars.
Research laboratories are well equipped with adequate research facilities, modern instruments and equipments.
6.3.5 Library, ICT and physical infrastructure/instrumentation
Aim to lead the way improving the quality of education and learning by increasing efficiency of the existing technology and by optimising the used natural research
6.3.6 Human Resource Management
- Recognition and reward of the University's staff as its greatest assets.
- The encouragement of overall development for all staff by participation of students, teachers and participants of society members in dicission making body of the university.
6.3.7 Faculty and Staff Recruitment
University has process of recruitment and promotion of faculty members and staff members as per as UGC and state govt. norms.
The selection committee are decided by the university bodies and Hon'bl;e chancellor recommendation of the selection committee is placed in executive council for approval.
6.3.8 Industry Interaction/collaboration
The contribution through the pursuit dissemination and application of knowledge which enhance partnership opportunities for innovative partnership with business and charitable foundation.
6.3.9 Admission of Students
Admission in the university teaching departments is done as per state government norms strictly base on merit. In few professional courses state government agencies send the list of the students after conducting entrance examination or counselling. Then, the university completes admission process.
Through directorate of technical education.
6.4 Welfare Schemes for
6.5 Total corpus fund generated –10 Crore.
6.6 Whether annual financial audit has been done
YES
No
6.7 Whether Academic and administrative audit (AAA) has been done? yes
Audit Type
External
Internal
Yes /no
Agency
Yes /no
Authority
Academic yes
NAAC
yes
Through self approval
Administrative yes
MP Govt.
yes
Finance Controller
6.8Does the University/Autonomous College declares result within 30 days?
For UG Programs –
For PG Programs –
NO yes
YES No
6.9 What efforts are mad by the university/Autonomous college for examination Reforms?
The university has modified the question paper pattern. University maintains objectivity in the conduction of the examinations. Strict precautions are in the insured of the valuation of the answer books. University has practice of showing valued answer books to the students on demand. The transparency in the valuation process is maintained. Now examination forms are submitted through online system.
6.10 What efforts are made by the university to promote autonomy in the affiliated/constituent colleges?
The university gives proper representation to the college teachers and principals in the decision making processes related to their organizations. The statutory bodies of the university are also represented by the college authorities.
6.11 Activities and support from the Alumni Association
Through active online groups in some of the departments alumni and students share useful information such as carrier guidance, opportunities and suggestions.
6.12 Activities and support from the parent—Teacher Association
There is no formal parent teacher association, however, informally parent interact with the faculty at the time of admission or in any emergency. The suggestions come from parents are carefully discussed, analyzed and then implemented adequately.
6.13 Development Programmes for support staff
Support Staff gets regular feedback and assistance from their superior. They are encouraged to learn about their work by doing and imitating their seniors. Seniors also motivate them regarding soft skills and computer's importance.
6.14 Initiative taken by the institution to make the campus eco-friendly
The university campus is surrounded by plants and trees. The administration ensures the maintenance of eco friendly environment of the campus. The rainwater is stored for irrigation purposes which in result contributed to the enhancement of the water level in the university campus. The proper precautions are made for electricity use.
Plantation has been done to develop eco friendly environment .regular cleanness by staff and students are guided and promoted to save and increase the number of valuable tree.
Criterion – VII
7. Innovations and Best Practices
7.1 Innovations introduced during this academic year which have created a positive impact on the functioning of the institution. Give details.
Centralized helpdesk facilities called Mitra
day care centre
Lighted pathways/sidewalks, controlled dormitory access (key, security card etc.)
Psychological counselling centre.
7.2 Provide the Action Taken Report (ATR) based on the plan of action decided upon at the beginning of the year
- International Yoga day was celebrated on june 21 st for all citizens of Bhopal which received an overwhelming response from 500 university students and approximately 6000 others within the immediate vicinity of Barkatullah University.
- Similar programmes were organized by the Yoga Department in other places of Bhopal like AG office, EPCO, cultural department, Rehabilitation center and international school and so forth.
- Students are encouraged to do internship, dissertation and industrial training. Continuous evaluation is a regular practice.
- Short term Courses Developed on Gender Sensitization and Women Empowerment were Developed and finalised in the National Workshop organized by the department. These workshop has proven to be beneficial for legal experts, NGOs, police and health department.
7.3 Give two Best Practices of the institution (please see the format in the NAAC Self-study Manuals)
- The therapeutic classes are organized by the yoga department for students, university employees and general public everyday.
- The follow up programme in the adopted Village Barkheda Salam was organized with special focus on women security, health and education.
Annexure: Academic Calendar
|
TRUSTWORTHY SOFTWARE
SPECIFICATION DOCUMENT
TRUSTWORTHY SOFTWARE ESSENTIALS (TSE)
February 2016
ISSUE 1.2 – TLP WHITE TS502-0
TLP WHITE
DOCUMENT CONTROL
CHANGE RECORD
| VERSION | DATE |
|---|---|
| 0.A | 23/06/2015 |
| 0.B | 24/06/2015 |
| 0.C | 30/06/2015 |
| 0.D | 15/07/2015 |
| 0.E | 10/07/2015 |
| 1.0 | 02/12/2015 |
| 1.1 | 07/12/2015 |
| 1.2 | 16/02/2016 |
DOCUMENT INFORMATION
| DOCUMENT ID | TSI/2014/206 |
|---|---|
| PRODUCTION ID | N/A |
| TSK-ID | TS502-0 |
| PUBLISHER | UK-TSI, IMC, Westwood Heath, CV4 7AL |
| TRAFFIC LIGHT PROTOCOL (TLP) | WHITE: Open Published Material with no restrictions on distribution. NB. Please see Glossary for further information |
| RIGHTS.COPYRIGHT: | © TSI Copyright 2014. All Rights Reserved. |
FOREWORD
TRUSTWORTHY SOFTWARE INITIATIVE
The Trustworthy Software Initiative (TSI) is part of the UK Government's National Cyber Security Programme to improve the UK's ability to combat cyber risks and ensure that the UK leads the way in trustworthy software systems and expertise.
The objective of TSI is to provide the knowledge, skills and capability for supply, demand and "corpus" (education and research) communities such that trustworthy software can be designed, implemented, sustainably maintained and assured in a risk-based, whole-life process.
TSI works with organisations and individuals in the UK, and international partners, including government, academia, private/public companies, software developers and users, to achieve a recognised level of trust of software by providing targeted education, skills, standards and guidance.
LICENCE CONDITIONS
The information provided within this document is released under the terms of the UK Open Government Licence (OGL). Use of material expressly made available under this licence indicates your acceptance of the terms and conditions defined in the UK Government Licencing Framework.
Where you make use of any of the information contained herein, you must acknowledge the source of the Information.
DISCLAIMER
We have provided the information in good faith. But please note that this document is not designed for your individual needs and is aimed to help everyone. This means that we cannot guarantee relevance nor do we accept responsibility for any information left out of, or errors in, this document.
References made to any specific product, process or service by trade name, trademark manufacturer, or otherwise, or references to websites or material are not endorsements or recommendations.
You must not use the views and opinions of the authors set out within this document for advertising or product endorsement purposes.
FURTHER INFORMATION
For further information relating to other aspects of Trustworthy Software, including the more comprehensive Trustworthy Software Framework, please visit: www.uk-tsi.org.
For all associated and/or supporting documents, please see 'Annex A: References' of this document.
© TSI Copyright 2011-2014. All Rights Reserved.
CONTENTS
DOCUMENT CONTROL ..................................................................................................................................... 2
1 INTRODUCTION
1.1. TRUSTWORTHY SOFTWARE
OVERVIEW
With our daily lives and industrial processes becoming increasingly reliant on a wide range of underpinning software, there is a pressing need to address the quality and robustness of that software in order to establish its "trustworthiness" and therefore ensure that it performs as it should, when it should and how it should.
This means addressing the trustworthiness of software throughout its life-cycle, from development through to disposal.
FACETS OF TRUSTWORTHINESS
For this specification, the Trustworthy Software Initiative (TSI) identifies trustworthiness to predominantly consist of the following five facets:
Safety, Reliability, Availability, Resilience and Security
WHEN IS SOFTWARE TRUSTWORTHY?
No software asset can be proven, or even be expected, to be completely free of all defects i.e. free from conditions which could cause it to fail or behave in an unexpected manner. However, it should have a level of trustworthiness commensurate to the purpose for which it is used.
In order to determine the appropriate level of trustworthiness for a software asset, TSI recommends a risk-based approach to determining the level of trustworthiness required, whereby the reliance on the software to provide trustworthiness is considered together with the maximum impact of a defect/deviation in the software.
TRUSTWORTHY SOFTWARE CONTROLS
The following table shows the two sets of controls that should be adopted, dependent upon the Trustworthiness Level (TL) required, in order that an appropriate level of trustworthiness is achieved:
| | TL 0 | | No requirement for Trustworthy Software | No Requirement |
|---|---|---|---|---|
| | TL 1 | Mass Market with Implicit Need (M/I) | | TS Essentials (TSE) |
| TL 2 | | | | Baseline TS controls forming a sub-set of the TS |
| | | | | Framework (TSF) |
| | TL 3 | | Mass Market with Explicit Need (M/E) | TS Framework (TSF) |
| TL 4 | | Niche with Explicit Need (N/E) | | Comprehensive TS controls utilising the full TS |
| | | | | Framework (TSF) |
1.2. PURPOSE AND APPLICABILITY OF DOCUMENT
This document provides a specification for the Trustworthy Software Essential (TSE) controls that should be adopted by organisations in order to ensure the trustworthiness of the software they produce, procure or use.
It is intended as essential reading for those in the organisation responsible for implementing the decision to adopt trustworthy software, and is applicable to organisations of all sizes who either:
[x] have a basic requirement for trustworthy software, or
[x] require a baseline Trustworthiness Level (TL) of 1 or 2.
1.3. USING THIS DOCUMENT
This document sets out the baseline requirements for managing trustworthiness during the software lifecycle (including Governance, Responsibilities and the Documentation required), together with the controls comprising Trustworthy Software Essentials.
The TSE controls are organised under 5 Essential (E) Objectives:
```
Scope for Use (E1) Coding Practices (E2) Use Tools Effectively (E3) Defect Management (E4) Artefact Management (E5)
```
The TSE controls are a subset of the comprehensive Trustworthy Software Framework (TSF) techniques and therefore each have a unique control serial number which cross-references back to the TSF. This is stated at the end of each control in the format of [xx.nn.nn], where xx denotes:
GVGovernance controls
RIRisk controls
PE Personnel controls
PH Physical controls
PRProcedural controls
TETechnical controls
CMCompliance controls
It is intended that each control listed should be implemented in a prescriptive manner, as it is only by full adoption that the majority of the most commonly encountered risks can be mitigated.
In addition to these baseline requirements, further fundamental control requirements (considered as the normative approach to ensuring software trustworthiness within PAS 754) are identified for each Essential Objective (E1-E5). These fundamental controls are required to be established in addition to the basic controls listed under each objective.
2 MANAGING TRUSTWORTHINESS
2.1. GOVERNANCE
A Trustworthy Software Management System (TSMS) should be established in order to document the way in which software trustworthiness is governed within your organisation. The TSMS should encompass the policies and mechanisms required to ensure that an appropriate level of trustworthiness is achieved and continues to be maintained throughout the software life-cycle.
Where appropriate, the TSMS may be incorporated into existing management systems (for example an ISMS or QAMS) and/or certification schemes.
2.2. ROLES & RESPONSIBILITIES
The following roles should be established as a minimum and, where appropriate, may be encompassed into an existing role(s):
THE BOARD
The organisation's Board should be responsible for the overall governance of the provision of Trustworthy Software and, in particular, should be fully cognisant of the organisation's key information assets and the organisational impact in the event of compromise, loss or unavailability.
TRUSTWORTHY SOFTWARE RELEASE AUTHORITY (TSRA)
The TSRA should have day-to-day responsibility for the provision of Trustworthy Software and should be empowered by the Board with sufficient authority to fulfil this role.
2.3. DOCUMENTATION
The following documentation should be established as a minimum set of work products and be used to provide an evidence trail as necessary. Where appropriate, these may be incorporated into existing documents:
TRUSTWORTHY SOFTWARE DEFECT AND DEVIATION LIST (TSDDL)
The TSDDL should be used to record all defects and deviations both during Realisation (R-TSDDL) and In-service (I-TSDDL).
TRUSTWORTHY SOFTWARE RELEASE NOTICE (TSRN)
The Trustworthy Software Release Notice (TSRN) should document the way in which the principles of trustworthiness have been addressed during the specification and realisation of the software asset, together with all constraints, dependencies and unmitigated defect/deviations.
TRUSTWORTHY SOFTWARE CONSTRAINT AND DEPENDENCY MODEL (TSCDM)
The Trustworthy Software Constraint and Dependency model (TSCDM) should document the way in which all elements of the software asset are intended to be deployed, configured and operated.
3 TS ESSENTIAL CONTROLS
3.1. SCOPE FOR USE (E1)
OBJECTIVES
The objectives of 'Scope for Use' are to fully understand the requirements of the software you are producing or procuring, in particular: the environment in which it will operate, the functionality it will have and the requirements it needs to fulfil.
FUNDAMENTAL CONTROLS
The following control measures are required to be established (or demonstrated) to meet the TSE objective 'Scope for Use' (E1):
[x] TSMS (section 2.1)
[x] TSRA (section 2.2)
[x] TSCDM (section 2.3)
BASIC CONTROLS
The controls listed below meet the TSE objective 'Scope for Use' (E1) and each should be implemented in a prescriptive manner as required by the TSMS.
UNDERSTAND REQUIREMENTS [PR.03]:
[x] Specify Explicit / Functional Requirements [PR.03.10]
You should define what the software is supposed to do, as in its specific behaviour and/or functions. This should be recorded in the Software Requirement's Specification (SRS) and/or TSCDM as appropriate.
[x] Specify Implicit / Non‐functional Requirements [PR.03.20]
You should define the way in which the system operates, to include specific requirements relating to Safety, Reliability, Availability, Resilience, Security, Usability and Performance. This should be recorded in the SRS and/or TSCDM as appropriate.
[x] Understand Implicit / Non‐objective Requirements [PR.03.30]
You should define the business requirements of the software and any constraints imposed on the software, either by the business or by other systems. This should be recorded in the SRS and/or TSCDM as appropriate.
[x] Understand Use Cases [PR.03.40]
You should understand how the user will interact with the software in order to achieve specific goals and focus on what the software is required to do rather than how it will do it. This should be recorded in the SRS and/or TSCDM as appropriate.
[x] Monitor and record Derived Requirements [PR.03.50]
You should document all additional requirements that have been identified as a result of realisation activities (and have not already been defined as part of PR.03.10, PR.03.20 and/or PR.03.30) in the TSCDM as by definition, they should not be recorded in the SRS.
SEEK TRUSTWORTHY REALISATION [TE.05]:
[x] Implement only the minimum set *of features* of users to meet requirements [TE.05.80]
You should ensure that the functionality of the system is sufficient to meet the requirements of the user, without containing extraneous features.
3.2. CODING APPROACH (E2)
OBJECTIVES
The objectives of 'Coding Approach' are to ensure that the software you produce or procure is structurally sound, such that not only does it perform 'as expected', 'when expected' and 'how expected', it is also facilitates maintenance, debugging and enhancement.
FUNDAMENTAL CONTROLS
The following control measures are required to be established (or demonstrated) to meet the TSE objective 'Coding Approach' (E2):
[x] TSMS (section 2.1)
[x] TSDDL (section 2.3)
BASIC CONTROLS
The controls listed below meet the TSE objective 'Coding Approach' (E2) and each should be implemented in a prescriptive manner as required by the TSMS.
MAKE APPROPRIATE TOOL CHOICES [TE.02]:
[x] Produce and maintain Coding Standards [TE.02.20]
You should ensure that all code developed for the software is written in accordance with a coding standard to ensure consistency and improve the structural quality of the software being produced.
FOLLOW STRUCTURED DESIGN [TE.03]
[x] Use only proven components [TE.03.30]
When re-using components and libraries, including open source, you should ensure they have a trustworthy software provenance wherever possible. This should include performing a Vulnerability Review (VR) for known vulnerabilities (CVEs) in externally sourced elements both before selection and before deployment.
FOLLOW STRUCTURED IMPLEMENTATION [TE.04]
[x] Produce bespoke components in accordance with Coding Standards [TE.04.10]
You should ensure that all bespoke software is produced in accordance either with an existing mainstream coding standard or a documented internal coding standard used by your organisation.
[x] Use appropriate and recognised data formats [TE.04.20]
You should ensure that all data is saved in a format that is independent of proprietary software and follows normal conventions where they exist, for example: ISO 8601 which pertains to the representation and format of dates.
[x] Select appropriate algorithms [TE.04.30]
You should select algorithms based upon the task that they are meant to achieve in conjunction with the efficacy of the algorithm and the type/quantity of data being handled.
SEEK TRUSTWORTHY REALISATION [TE.05]
[x] Review Design for failure modes [TE.05.10]
At a minimum (or in addition to design and code reviews) you should conduct a formal review of the design for failure modes, concentrating on high-risk areas. All identified failure modes should be recorded in the R-TSDDL against a unique identifier.
[x] Source and configure off the shelf components in accordance with Design/Effect Pattern(s) [TE.05.20]
You should use design patterns (a formal description (or strategy) depicting how to solve a problem) across repeatable problems.
[x] Ensure mitigations are used for all identified failure modes [TE.05.45]
For each failure mode identified as a result of [TE.05.10] above, you should either mitigate against the failure (e.g. by applying a countermeasure) or accept the failure and provide justification for the resultant level of risk.
[x] Implement measures to control malicious code [TE.05.65] All externally sourced components, as described in [TE.03.30], should be reviewed for the presence of malicious software (such as viruses, worms, trojans, adware, spyware, scareware) prior to use by a current MalWare scanner that has been publicly reviewed as offering good performance against the WildList.
MINIMISE RISK EXPOSURE [TE.06]
[x] Only grant minimum Privileges required, with all other actions defaulting to not permitted [TE.06.10]
You should ensure that the software is only provided with privileges that are essential to its successful function.
[x] Separate program data, executables, and configuration data [TE.06.20]
In order to provide defence-in-depth and ensure that the principles of least privilege and need-toknow can be enforced, you should segregate program elements such as program data, executables and configuration files.
PRACTICE HYGIENIC CODING [TE.07]
[x] Ensure all variables, pointers and references are properly initialised at first and subsequent uses [TE.07.05]
You should ensure that all variables, pointers and references are explicitly initialised before use, that is, they should be assigned an initial value.
[x] Ensure all Input Data is Validated [TE.07.10]
In order to help protect applications from vulnerabilities (for example: buffer overflows, code injection, directory traversal etc.), you need to ensure that all data input into the system is subject to validation checks.
[x] Ensure all Messages are Validated [TE.07.15]
It is good practice to use a common set of messages internally within the software, for example internal results and error messages, which are unambiguous and have been validated prior to use.
[x] Ensure implementations of all Algorithms are Validated [TE.07.20]
It is good practice to use algorithms of known provenance wherever practicable, as this will ensure
the effectiveness of the algorithms before use.
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10 19
[x] Ensure all Output Data is Validated [TE.07.25]
In order to help protect against accidental leak of information or malicious attacks such as crosssite scripting (where a recipient is sent malicious code from a legitimate site) or SQL injection, all output from your system should be validated before it is sent to a recipient.
[x] Ensure Error Handling is implemented comprehensively, and "fails safe and secure" [TE.07.30] To ensure that error handling "fails safe", you need to make certain that all failure modes, exceptions or errors do not leave the software in an insecure state, thereby causing harm to either the system itself or endangering lives.
[x] Apply consistent naming convention [TE.07.35]
Intelligible naming conventions should be used in order to ensure you produce consistent, clear and well-commented code that is easy to read, understand, and therefore, maintain.
[x] Manage resource access explicitly (buffers, stacks, memory, cache and files) [TE.07.40] All access to resources should be explicitly managed to help prevent resource leaks (which could affect performance or cause instability), the unauthorised access of information, inadvertent privilege escalation, improper error handling and insufficient resource tracking.
[x] Explicitly remove detritus (temporary files/logs) [TE.07.50] It is important to ensure that the software asset explicitly deletes temporary files on termination of the program, this is not only to enable the re-use of file names and secondary storage, but also to mitigate against vulnerabilities such as TOCTOU and escalation of privileges.
3.3. USE TOOLS EFFECTIVELY (E3)
OBJECTIVES
The objectives of 'Use Tools Effectively' are to use software tools in a consistent and correct manner in order to improve the trustworthiness of the software you use, produce or procure.
FUNDAMENTAL CONTROLS
The following control measures are required to be established (or demonstrated) to meet the TSE objective 'Use Tools Effectively' (E3):
[x] TSMS (section 2.1)
[x] TSDDL (section 2.3)
BASIC CONTROLS
The controls listed below meet the TSE objective 'Use Tools Effectively' (E3) and each should be implemented in a prescriptive manner as required by the TSMS.
MAKE APPROPRIATE TOOL CHOICES [TE.02]
[x] Selection of appropriate Programming Language(s), considering known vulnerabilities and needs for Typing [TE.02.10]
You should choose a programming language that is appropriate for the software you are creating or procuring as this can affect overall development time, ease of maintenance, life-cycle costs and the overall trustworthiness of the finished product. The risks associated with using a particular language should be clearly understood.
[x] Selection of appropriate Testing Tools [TE.02.40]
You should ensure that the tools chosen have all the necessary functionality for the type of testing you wish to conduct and are suitable for current and proposed environments. Including, for example, a current Susceptibility Review Scanner (SR-S) and any Code Analyser (Binary – BiCA or Source – SoCA).
USE METHODOLOGICAL PRODUCTION [TE.08]
[x] ENABLE and use production tool checking features [TE.08.30]
Enable production tool checking features: It is important that you enable all of the production tool features, in particular: Error handling; Error Warnings; Exception Handling and Security Checks.
3.4. DEFECT MANAGEMENT (E4)
OBJECTIVES
The objectives of 'Defect Management' are to ensure that the software is free from (or a course of action has been decided for) all identified defects and deviations, thereby ensuring that the software is trustworthy and operates in accordance with all specified requirements.
FUNDAMENTAL CONTROLS
The following control measures are required to be established (or demonstrated) to meet the TSE objective 'Defect Management' (E4):
[x] TSMS (section 2.1)
[x] TSDDL (section 2.3)
BASIC CONTROLS
The controls listed below meet the TSE objective 'Defect Management' (E4) and should each be considered and implemented in a prescriptive manner as required by the TSMS.
MAINTAIN DEFECT MANAGEMENT [PR.07]
[x] Ensure all Defects identified during Realisation are recorded, reported and assessed, with rectification at earliest opportunity using process for monitoring through a Realisation Trustworthy Software Defect and Deviation List (R-TSDDL) [PR.07.10]
All identified defects and deviations should be captured in the R-TSDDL throughout development and subsequently evaluated, prioritised and fixed at the earliest opportunity using a defined process (documented in the TSMS). In particular, during integration testing, this should capture all outputs (together with details of remediation) from the following:
- Vulnerability Scanner and/or the VR;
- Malware Scanner;
- Susceptibility Review Scanner (SR-S);
- Code Analyser, either Binary (BiCA) or Source (SoCA).
[x] Ensure all In Service Defects and Deviations are recorded in an In-service Trustworthy Software Defect and Deviation List (I-TSDDL), reported and assessed, with rectification at earliest opportunity using process for monitoring of deferrals [PR.07.20]
All defects and deviations should continue to be captured in the I-TSDDL after the system is 'live', and should be subsequently evaluated, prioritised and patched at the earliest opportunity using a defined process (documented in the TSMS).
ENABLE DEPENDABLE DEPLOYMENT [TE.11]
[x] Updating and Patching of implemented software, with routine, critical and emergency options, taking due cognisance of R-TSDDL / I-TSDDL [TE.11.60]
In order to help ensure that vulnerabilities in the software are not exploited and that the trustworthiness of your software is maintained, you need to apply patches and updates within an appropriate time-frame, and in accordance with the severity of the patch/update being issued and TS Patching Guidance [AD.05]. Where appropriate, the use of the Common Weakness Scoring System (CWSS) and Common Vulnerability Scoring System (CVSS) can aid in prioritising the remediation of software weaknesses and vulnerabilities.
USE METHODOLOGICAL PRODUCTION [TE.08]
[x] Enable and USE production tool checking features [TE.08.30]
Use production tool checking features: You should always fix all errors, warnings and exceptions generated by the production tool (whether or not the source code has been successfully translated to object code) prior to live deployment, this is to guarantee that you have made best efforts to ensure that your code is free of defects/deviations.
3.5. ARTEFACT MANAGEMENT (E5)
OBJECTIVES
The objectives of 'Artefact Management' are to ascertain that the required level of trustworthiness has been achieved by the software (pre-release) and to ensure that it is maintained at a comparable level throughout its life-cycle.
FUNDAMENTAL CONTROLS
The following control measures are required to be established (or demonstrated) to meet the TSE objective 'Artefact Management' (E5):
[x] TSMS (section 2.1)
[x] TSRA (section 2.2)
[x] TSRN (section 2.3)
[x] TSCDM (section 2.3)
[x] TSDDL (section 2.3)
BASIC CONTROLS
The controls listed below meet the TSE objective 'Artefact Management' (E5) and each should be implemented in a prescriptive manner as required by the TSMS.
UNDERSTAND REQUIREMENTS [PH.02]
[x] Implement protection of source code, covering Confidentiality, Integrity and Availability (CIA) [PH.02.10]
You should ensure the source code repository is adequately protected from unauthorised access (for example through use of access control), that a version control system is in place with all transactions logged and that where appropriate a software escrow service is used to guarantee availability.
PERFORM TRUSTED SOFTWARE ASSET MANAGEMENT [PR.06]
[x] Software assets should be reviewed regularly [PR.06.40] Wherever possible, you should either hold local copies of all software artefacts or make use of an escrow service [TE.11.10]). Furthermore, for each artefact held, regular reviews should be conducted to ensure that access is available, it is adequately protected and the versions held are correct [TE.03.30].
ENABLE DEPENDABLE DEPLOYMENT [TE.11]
[x] Ensure source code can be obtained throughout lifecycle, such as by Escrow service [TE.11.10] If you are dependent upon a third-party for the provision of software (for example through commissioned bespoke software), you should consider an escrow agreement in order to ensure the continued accessibility of the necessary artefacts required for the ongoing operation and maintenance of that software throughout its life-cycle.
PERFORM INTERNAL PRE-RELEASE REVIEW [TE.09]
[x] Issue formal Trustworthy Software Release Notice (TSRN) [TE.09.50] The TSRN should be produced (and signed by the TSRA) subsequent to Acceptance Testing and should include relevant information from the TSCDM and R-TSDDL together with a summary of the controls considered for each facet of trustworthiness (i.e. Safety, Reliability, Availability, Resilience and Security) during software specification (E1: Scope for Use), development (E2: Coding Approach, E3: Use Tools Effectively and E4: Defect Management) and release (E5: Artefact Management).
4 EVOLUTION
4.1. STATUS/PLAN
This document will be updated on a periodic basis to reflect the constantly evolving nature of the cyber ecosystem and therefore, the need for trustworthiness.
4.2. MAINTENANCE/CONTRIBUTIONS
TSI welcomes input from Stakeholders on all aspects of its activity, including any additions or amendments to the Trustworthy Software Library (TSL).
If you have any suggestions please feel free to engage with TSI, either through your existing contact, or by emailing email@example.com.
ANNEX A: REFERENCES
A.1 ASSOCIATED DOCUMENTS
The following TSI documents provide additional information that may be relevant to some or all of the readership.
[AD.1] PAS 754:2014 "Software Trustworthiness - Governance and management - Specification"
[AD.2] TS507-1 "Guide to Risk and TL Assessment"
[AD.3] TS502-1 "TS Essentials Guidance"
[AD.4] "A Guide to Procuring Trustworthy Software"
[AD.5] TS543-1-01 "TS Patching Guidance"
A.2 REFERENCE DOCUMENTS
The following documents from organisations other than TSI provide additional information that may be relevant to some or all of the readership.
[RD.1] "27010:2012 Information technology -- Security techniques -- Information security management for inter-sector and inter-organisational communications", ISO/IEC, April 2012
[RD.2] "Cyber Essentials Scheme", HM Government (HMG), April 2014
[RD.3] "15288:2015 -- Systems and software engineering -- System life cycle processes", International Standards Organisation (ISO) / International Electrotechnical Commission (IEC), May 2015
[RD.4] "12207:2008 -- Systems and software engineering -- Software life cycle processes", ISO/IEC, August 2008
ANNEX B: ABBREVIATIONS
CIA
Confidentiality, Integrity, Availability
CVE
Common Vulnerabilities and Exposures
CVSS
Common Vulnerability Scoring System
CWSS Common Weakness Scoring System
FOSS
Free and Open-Source Software
ISMS
Information Security Management System
I-TSDDL In-service Trustworthy Software Defect and Deviation List
M/E
Mass Market with Explicit Need
M/I
Mass Market with Implicit Need
N/E
Niche with Explicit Need
NVD National Vulnerability Database
OGL
Open Government Licence
PAS
Publicly Available Specification
PH.NN.NN Physical (controls)
PR.NN.NN Procedural (controls)
QAMS Quality Assurance Management System
QRG Quick Reference Guide
R-TSDDL Realisation Trustworthy Software Defect and Deviation List
SA
Self-Assessment
SAQ
Self-Assessment Questionnaire
SAQ-C Self-Assessment Questionnaire for Components
SAQ-O Self-Assessment Questionnaire for Organisations
SAQ-P Self-Assessment Questionnaire for Practitioners
SQL
Structured Query Language
SRS
Software Requirements Specification
TE.NN.NN Technical (controls)
TL
Trustworthiness Level
TOCTOU Time-of-Check, Time-of-Use
TSCDM Trustworthy Software Constraint and Dependency Model
TSDDL Trustworthy Software Defect and Deviation List
Trustworthy Software Essentials
TSE
ANNEX C: GLOSSARY
For purposes of this document, the following terms and definitions apply:
A
VAILABILITY
(F
ACET
) The ability of the system to deliver services when requested.
DEFECT
A defect can be classed as:
[x] a coding error/mistake; and/or
[x] non-fulfilment of an explicit/implicit software requirement.
DEFERRAL
A documented and risk managed decision to not resolve a defect or deviation
DEVIATION
A deviation can be classed as:
[x] an unexpected outcome during run-time that is not caused by a coding error or mistake; and/or
[x] non-conformity with an explicit/implicit software requirement, due to
misinterpretation (or otherwise) of the SRS.
PRODUCTION TOOL
A program that converts the source code (written in a programming language) into instructions (object code) that the machine understands. As part of this procedure, the following functions may be performed: Pre-processing; Lexical analysis; Syntax analysis/Parsing; Semantic analysis (syntax-directed translation); Code generation; Code optimization; Error Handling; Exception Handling; Security Checks.
RELIABILITY (FACET) The ability of the system to deliver services as specified.
RESILIENCE (FACET) The ability of the system to transform, renew and recover in timely response to events.
SAFETY (FACET)
The ability of the system to operate without harmful states.
SECURITY (FACET)
The ability of the system to remain protected against accidental or deliberate attacks.
T
RAFFIC
L
IGHT
PROTOCOL (TLP)
TSI uses the Traffic Light Protocol (TLP), as defined in ISO/IEC 27010:2012 [RD.1], with the following usage convention:
WHITE: Open Published Material with no restrictions on distribution.
GREEN: Released Material, not for Website.
AMBER:
Draft (or other relevant) Material, for circulation through direct stakeholder channels and applicable for onward distribution within recipient body.
RED:
Internal (draft or otherwise) material, only for further circulation on reference to originator.
|
Instructor
Blake Victor Kent, PhD firstname.lastname@example.org 805-565-6783
Office: Dean Hall 209
Hours: Mon 3:30-5:00, Tue 2:30-4:00 or by appointment
Without self-understanding we cannot hope for enduring solutions to environmental problems, which are fundamentally human problems.
-Yi-Fu Tuan
Description
For many years the study of society and the study of nature were well-differentiated spheres. In its early days, sociology was fundamentally concerned with human culture, capital, religion, morality, the political sphere, civil life, etc. while the natural world was studied in its own right. There was little awareness of how interdependent we are with the natural world, and we had yet to do sufficient damage to the earth and its non-human habitants to realize that as the natural environment suffers, so do we. Dominant expressions of the Christian faith also contributed to this ignorance when they emphasized a theology of "dominion" over the earth. The earth was conceived of as a rental home on which God had signed the lease, one that would be torn down after we spoiled the carpets, broke all the windows, and moved out to enjoy our eternal heavenly mansion. Post WWII, however, this "throw away" consciousness began to change. Nuclear weapons, awareness of the toxicity of pesticides, major oil tanker spills, and other environmental problems coalesced to demonstrate not only how deeply people can harm the environment, but how thoroughly a harmed environment can damage people.
While sociology's foundation was not designed to take the environment into serious account, as the sub-field developed in the 1970's it became clear that new tools could be made and others adapted and applied. Similarly, Christian theology has found significant resources for environmental care, though it often feels as if the Christian church in the West is still behind the curve. This course in environmental sociology is primarily that—a sociology course—rather than a theology course, but religion will be a sub-theme throughout. The connection between religion and the environment is emblematic of how sociology can be used to assess any number of arenas in relation to the environment: ideology, consumption, food, technology, governance, etc. In this course we will assess all these and more, with the aims of: 1) understanding the interconnection between society and the natural world, and 2) living justly and courageously in light of what we discover.
Student Learning Outcomes
After completing the course, you will be able to:
- evaluate the interconnected nature of environmental issues and social institutions
- analyze environmental problems using several theoretical approaches
- reflect on your own ideological and religious heritage and its interplay with environmentalism
- articulate a vision of "green living" at the personal and structural levels
Environmental Sociology - Spring 2021
SOC 196 (151)
Westmont College
MWF 2:10 – 3:15 pm (via Zoom, possible room TBA)
1
Required Resources
- Antal, Jim. 2018. Climate Church, Climate World: How People of Faith Must Work for Climate Change. New York: Rowman & Littlefield.
- Veldman, Robin Globus. 2019. The Gospel of Climate Skepticism: Why Evangelical Christians Oppose Action on Climate Change. Oakland, CA: UC Press.
- Additional readings (on Canvas)
Optional Resource
- Bell, Michael Mayerfield and Loka L. Ashwood. 2016. An Invitation to Environmental Sociology 5 th edition (or previous). Los Angeles, CA: Sage.
Class Preparation
This class will contain heavy doses of reading and discussion, including daily and weekly readings as well as your own outside reading. In order for our class to be successful you must read the assignments with care. Each time we meet you will bring a small reading summary, your questions, observations, and full presence.
Academic Integrity
Westmont College holds all students responsible for maintaining academic integrity. Plagiarism, lying, unacceptable collaboration, submitting papers to more than one class, and cheating are all examples of violations of academic integrity. In the event that a student violates any provision of Westmont's policy on academic integrity, as spelled out in the student handbook, I reserve the right to assign whatever grade for the course that I deem appropriate, including a grade of F, without regard to the student's accumulated points. Violations of academic integrity will be handled in accordance with the College's policies. It is the student's responsibility to be familiar with the policies of the College regarding academic integrity and to avoid violating these policies. You will likely find this website helpful: http://www.westmont.edu/_offices/provost/Plagiarism/PlagiarismStudentInformation.html.
Accommodations
Students with a documented disability in need of learning accommodation should inform me at the beginning of the semester, then obtain appropriate papers from the Office of Disability Services. Please visit http://www.westmont.edu/_offices/disability/ or contact Sheri Noble, Director of Disability Services (email@example.com) for further assistance.
Writing Center
The writing center is a creative, collaborative space where you can improve in writing skill and confidence. Our peer tutors serve as friendly "test readers" for your projects, helping you develop and revise your writing before submitting it to professors, employers, and others. During the Spring 2021 semester, Writers' Corner tutors will meet with you online using video conferencing and other tools. We encourage you to meet with a tutor at least 48 hours before your writing deadline. Be ready to share your assignment prompt and your latest draft, no matter how rough. All tutorials are free of charge. Make an appointment at https://westmont.mywconline.com; tutorials resume on Wednesday, January 20.
Technology
Laptops, phones, and tablets are helpful tools…in some contexts. Research shows, however, that they actually decrease engagement in learning and comprehension (Mueller and Oppenheimer 2014). For this reason, and because they can prove distracting (internet, email, etc.), I do not permit them in class (applies to in-person learning only).
2
Commented [b1]:
Certification criteria 3
Commented [b2]:
Certification criteria 3
Assessments
Attendance and Participation
Participation and attendance are two different things, and both will count toward your final grade. A participating student is one who is actively engaged in the collective learning process; an attending student shows up for class. Please do both. While I know that speaking up in class is hard for some, I will provide times of reflection that allow space to gather your thoughts. For full credit you must regularly volunteer thoughts during class discussion time. Full attendance but no verbal participation will result in 10 out of 20 points for the A&P grade. Grades will go up or down depending on missed classes or increased verbal participation.
Environment & Ideology Reflection Paper
In this self-reflective piece I want you to think about your own relationship to the natural world. What does it mean to you now? What has it meant to you in the past? What kinds of activities, experiences, and beliefs have shaped your interaction with the environment? Are you aware of explicit or implicit ideologies within your family, religion, or culture that have contributed to your views of/interaction with the natural world? Think like a sociologist and try to identify structural components (religion, family, geographic location, etc.) that have been influential. What about material and non-material culture (i.e., surfboards, songs, etc.)? Paper should be at least 1,000 words in length.
Reading Responses
To maintain accountability and increase conversation productivity, you will write a 250-350 word response to every assigned reading. This includes daily readings on Canvas as well as The Gospel of Climate Skepticism by Veldman. The responses are due at the end of the week, so for each week you should build your file. Have Monday's response ready for that class period, then add to that file for additional readings. The responses are meant to be productive for you, so you will have latitude in terms of what you discuss. What I require in terms of grading is that they provide evidence of your having read the material. You will probably find it helpful to answer one or more of the following questions:
1) What is the key message of this piece?
2) What is the theoretical takeaway?
3) What quotations sum up the key points and counterpoints?
4) What is the most interesting part of the reading?
5) Does this apply to anything I observe in the social world?
6) What questions do I still have?
There are a total of 12 responses, but you may have a break for two weeks: only 10 responses are required.
Environmental Issue Project (EIP)
You will complete a course-term project on an environmental topic of your choice. This will be made up several components: an initial book summary, a 15 minute class presentation, a peer review process, and a final paper. You can take several angles on the project, including doing a deep dive on a particular problem or event, or asking a specific research question and searching the literature to learn what you can about that particular question. Several details for the project follow.
Independent Book Summary/Proposal
In preparation for the EIP, you will select a book on the topic you are interested in pursuing for your EIP. Think of this as a way to get your juices flowing as well a way to generate potential citations for your larger paper. Plan to submit a 1,000 word summary/analysis of the book in which you briefly outline its main structure and arguments, followed by discussion and commentary. The commentary should illustrate your evolving thinking on the issue using a sociological perspective. In an additional 200 words, describe what you would like to do for your EIP and include any additional citations you have collected.
3
Commented [b3]:
Certification criteria 3
Commented [b4]:
Certification criteria 1,2,3
Commented [b5]:
Certification criteria 2
Commented [b6]:
Certification criteria 2
Peer Review
Toward the end of the semester you will review a classmate's draft of their final paper, offering informative and constructive feedback. Further instructions will be supplied at the time of the peer review.
Class Presentation
Taking all you have learned about your topic of interest, you will offer a 15 minute presentation on your topic, including an introduction to the problem/issue, any necessary literature or background information that will allow your listeners to develop a strong grasp of the problem/issue, the primary question that motivated you through the topic, and a summary of what you have discovered.
Environmental Issue Paper
The final paper should thoroughly summarize the problem/issue/research question you selected for the semester, including introduction, definition of problem/issue, background literature, and exploration of the topic. It should conclude with a strong statement about the issue and its relevance to human society. 3,500 - 4,000 words in length. Note: This assignment must receive a passing grade in order to pass this course.
All written work should conform to standard expectations, i.e. 12 point font, 1" margins, etc. Please include word count with all assignments and submit via Canvas.
I reserve the right to modify this syllabus during the semester in order to meet our learning goals.
Late Work
Providing timely feedback on your homework is a priority of mine since the feedbacks aids you in correcting any errors quickly. The speed of my feedback is dependent on the promptness with which you complete your work. For this reason, late work is not acceptable in this course.
Grading
Letter grades are based on the total points you earn. You are encouraged to monitor your progress using the "Grades" function on Canvas. Please note that depending on your viewing settings your grade can be displayed in different ways. Please get in touch with me if you ever have a question about your progress.
Total
100%
4
Commented [b7]:
Certification criteria 2
Commented [b8]:
Certification criteria 2
5
5
Date
| Topic | Reading/Activity | Due |
|---|---|---|
| Introduction | No reading | |
| | No reading | |
| | Pellow & Brehm “An Environmental Sociology for the Twenty-First Century" | Readings, GCS |
| | Laszewski “The Sociologists’ Take on the Environment” | Intro |
| MLK, JR. DAY - NO CLASS | | |
| Environmental | Diamond "Under Montana's Big Sky" | |
| Problems & Society | Bates "Population, Demography, and the Environment" | Readings, GCS 1 |
| Nature & Society | Louv Last Child in the Woods Part 1 | |
| | Cronon "The Trouble with Wilderness" | |
| | Crist "Against the Social Construction of Nature and Wilderness" | Readings, GCS 2 |
| | Myers "Theories in Environmental Sociology" | |
| Environmental | | |
| Theory & | Gould et al. "Interrogating the Treadmill of Production" | IB choice |
| Markets | Shellenberger "Sweatshops Save the Planet" & "Greed Saved the Whales" | Readings, GCS 3 |
| Ideology | Environment & Ideology Reflection sharing | E & I Reflection |
| | Bell & Ashwood “The Ideology of Environmental Domination” | |
| | Bell & Ashwood “The Ideology of Environmental Concern” | Readings, GCS 4 |
| MENTAL HEALTH DAY – NO CLASS | | |
| Technology & | 2040 film | |
| Science | DIY reading on tech solution. 2040 film cont’d and discussion | Reading, GCS 5 |
| | Smith et al. “Captive to Consumerism” | |
| Consumption | Shove & Ward “Inconspicuous Consumption” | |
| | Schlossberg “Technology and the Internet” | Readings, GCS 6 |
| | GCS discussion chapters 1-6 | |
| | Foer “Storytelling”/ “All or Nothing or Something Else” | |
| Food & Health | | |
| | Shellenberger “Have Your Steak and Eat it, Too” | |
| | MacKendrick “Sociology of Environmental Health” | Readings, GCS 7 |
| | Independent book discussions & feedback | IB Summary |
| Time for | Independent book discussions & feedback | |
| Scholarship | | |
| | WORK ON EIP – NO CLASS | |
| SPRING BREAK – NO CLASS | | |
| | GCS discussion chapters 7-8 | |
| Religion | Dr. Veldman class visit | |
| | Shellenberger “False Gods for Lost Souls” | Reading, GCS 8 |
| Environmental | Mohai et al. “Environmental Justice” | |
| Justice | Rise episode 1 | Reading |
| GOOD FRIDAY - NO CLASS | | |
6
| 4/5 | EASTER MONDAY - NO CLASS | | |
|---|---|---|---|
| 4/7 | | Bell & Ashwood “Governing the Ecological Society” | |
| 4/9 | Governance | Li & Shapiro China Goes Green chapter 1 | Readings |
| 4/12 | | No reading. Paper draft due – peer review | |
| 4/14 | Change | Bell & Ashwood “Living in the Ecological Society” | |
| 4/16 | | Lorenzen “Going Green” | Readings |
| 4/19 | | Presentations | |
| 4/21 | Scholarship | Presentations | |
| 4/23 | | Presentations | |
| 4/26 | | Presentations | |
| 4/28 | Scholarship & | Last day of class | |
| | Wrap up | | |
| 4/30 | | Paper due | |
7
7
|
2015 Manitoba Household Hazardous Waste Annual Report
Table of Contents
1. Program Outline ............................................................................................................................. 3
1. Program Outline
The Manitoba Household Hazardous Waste program ("Program") is operated and managed by Product Care Association of Canada ("PCA"). PCA is a federally incorporated, not-for-profit product stewardship association formed in response to stewardship regulations and is governed by a multi sector industry board of directors.
This annual report is prepared in accordance with the requirements outlined in the Manitoba Household Hazardous Material and Prescribed Material Stewardship Regulation (16/2010R)("Regulation") enacted pursuant to the Waste Reduction and Prevention (Wrap) Act, and the commitments set out in the Manitoba Household Hazardous Waste Stewardship Program Plan approved by the Manitoba Minister of Conservation and Water Stewardship on October 6, 2011.
The members of the Program are the obligated "stewards" (manufacturers, distributors and retailers) pursuant to Regulation with regard to the following product categories:
* Paint
* Corrosive
* Flammable liquid/Gasoline
* Toxic
* Pesticides
* Physically hazardous materials
* Fluorescent lights
The Program's first phase launched on May 1, 2012 and included paint and fluorescent lights. The second phase launched on October 1, 2012 and included pesticides, flammable liquids/gasoline, corrosives, toxics and physically hazardous materials, collectively referred to as "Program Products". The Program enables consumers to drop off unwanted Program Products at collection sites and collection events across the province at no charge.
The Program is funded by membership fees, known as Environmental Handling Fees (EHFs), remitted to PCA by its members based on the volume of sales of designated Program Products in or into the province. In some cases, retailers recover this expense as a separate visible EHF to consumers. The EHF rates are set by PCA. Program revenues are applied to the operation of the program, including administration, communication and outreach, collection, transport and processing of collected residual products, as well as a reserve fund.
PCA also operates product stewardship programs in eight other Canadian provinces: British Columbia, Saskatchewan, Quebec, Nova Scotia, New Brunswick, Newfoundland Prince Edward Island and Ontario. See the PCA website at www.regeneration.ca for more information.
2. Educational Materials and Strategies
PCA used a number of methods to raise consumer awareness of the program in 2015.
Advertising (see Appendix A)
* A Central Canada targeted digital campaign was launched via YP Group, which included syndicated Facebook posts, targeted digital display ads, and smart digital display (re-serving impressions to pre-qualified audiences).
* A six week radio awareness campaign launched on March 30, 2015. A general message was broadcasted on CJOB AM 680 (talk radio) and BIG 97.5 FM (Big Hits and Classic Rock) reminding residents to get rid of the waste cluttering up their garage and to dispose of it responsibly at the nearest collection site.
* Province-wide awareness campaign with Global TV began to air June 29, 2015.
* Community PSAs: local talent to voice 15 second "info-mercial" style spots educated viewers on paint recycling. Additionally, heavy rotation of 30 second, traditional commercial spots aired on prime time during high viewership programming.
* Winnipeg Leisure Guide was distributed to 135,000 homes via the Saturday Winnipeg Free Press and was also made available to the public at community centres, libraries and over 220 retail locations. PCA ran a full page advertisement in the Leisure Guide reminding residents to recycle leftover paint, broken light bulbs and unwanted hazardous waste.
* Digital campaign ran on the Roger's Media network (pre-roll on YouTube, Vimeo, etc.) and received over 500,000 impressions between August 17-October 4 th , 2015.
* Multiview targeted digital campaign (i.e., targeted display ads and re-targeting campaign to prequalified audience) ran for the LightRecycle program throughout 2015.
Point of Sale (PoS) and Point of Return (PoR) Materials (see Appendix B)
In 2015, Product Care redesigned and distributed both PoS and PoR materials as requested by retailers and collection sites. The following materials were available at no charge for reorder through our online order form:
* Rack cards
* Posters
* Depot signage
Program Website (see Appendix C)
ReGeneration.ca includes the following content for the Manitoba HHW program:
* Depot finder
* Depot hours and operations
* Program product lists
* Other information (e.g., a description of the Paint Exchange program).
An estimated 109, 859 unique visitors utilized the website during the 2015 calendar year. The program pages specific to Manitoba received 5,328 visitors, while the collection site finder page received 3,730 visitors. Additionally, regeneration.ca is linked to Green Manitoba Eco Solutions' website http://greenmanitoba.ca/pros/ and to Recycle Manitoba's website www.recyclemanitoba.ca.
Government Partnerships
* PCA worked with Green Manitoba to promote the program. Specific actions included participating in the joint Green Manitoba product stewardship waste calendar.
Toll-free Number
* PCA operated a toll-free number (1-888-772-9772) to answer consumer inquiries.
Partnerships
* Sustainability Day, Assiniboine Park Zoo, Winnipeg, May 26, 2015 - PCA and a number of other stewardship programs, along with environmental groups, set up display areas and provided information to zoo visitors and school groups at the event.
* Take Pride Winnipeg's Team Up to Clean Up initiative (May 2015) brought together thousands of elementary school students to learn about composting, recycling, reusing, reducing, water issues and conservation efforts. To make the most of these events, PCA created a recycling game that engaged the young audience.
* The Red River Exhibition takes place every year in Manitoba and features a midway, concerts, stage show and agricultural exhibits, with an attendance of over 233,000 people. PCA set up a branded booth with giveaways and educational materials.
* The Manitoba Field Coordinator attended the annual Manitoba Association of Regional Recyclers on October 21/22. A joint presentation with EPRA and MARRC was delivered on establishing "one stop shops" at municipal facilities to increase participation rates across all stewardship programs. PCA sponsored a bus tour to a model location at Rockwood Winfield Road site where PCA, MARRC and EPRA are co-located. Seventy municipal officials attended the tour and over 200 attended the overall event. Multiple contacts were made that presented opportunities for establishing new depots in 2016.
Other Stakeholders
* PCA was also involved in several initiatives in 2015 to ensure that other stakeholders were aware of the status of the Program, including:
* PCA worked continually to keep Manitoba's Program members up-to-date with relevant program information through email and website notifications, such as product clarifications.
o In person or teleconference meetings were held with 24 municipal representatives to promote the Program and encourage the establishment of full service depots across the province.
o PCA participated in a multi-party committee chaired by the federal Department of Aboriginal Affairs and Northern Development Canada working with remote First Nations communities to facilitate management of stewardship materials.
3. Collection System
PCA does not directly own or manage any collection sites, but rather contracts with existing collection sites. Due to the hazardous nature of some program products and limited existing infrastructure, establishing permanent collection sites presents a significant challenge relative to other stewarded products. Typically, collection sites are co-located with collections for other stewardship programs at facilities, such as local government recycling centres or waste disposal ground or waste transfer stations, non-profit societies and private businesses.
As of December 31, 2015, the Program had contracted with 27 permanent, year round municipal and private collection sites and 52 return to retail collection sites. Not all collection sites accept the same products. Table 1 provides a breakdown of the different types of collection sites and the number of each in operation. See Appendix D for a detailed list of all collection sites as of December 31, 2015.
Table 1: List of Participating Retail and Non-retail Collection Sites in Manitoba
| Type of Collection Site | Retail | | Private/ |
|---|---|---|---|
| | | | Municipal |
| Paint only | 11 | 3 | |
| Lights only | 13 | 0 | |
| Both Paint and Lights | 28 | 14 | |
| Full HHW (paint, lights, HHW) | 0 | 10 | |
Collection sites were typically open during regular business hours. In addition, the collection site at Miller Environmental's Winnipeg facility offered evening collection hours on Thursdays and weekend collection hours on select Saturdays each month.
PCA also contracted with Miller Environmental to operate a number of one day household hazardous waste collection events to supplement the collection network. Table 2 provides a list of the 18 collection events held in 2015.
PCA continues to work on expanding the overall collection system.
Table 2: Household Hazardous Waste Collection Events in Manitoba, 2015
| | Date | | Location |
|---|---|---|---|
| May 1 | | Winnipeg | |
| May 23 | | East St. Paul | |
| June 10 | | Virden | |
| June 13 | | Beausejour | |
| June 20 | | Killarney | |
| July 18 | | Russel | |
| August 15 | | Bifrost | |
| September 12 | | Springfield | |
| September 14 | | Dauphin | |
| September 15 | | Swan River | |
| September 16 | | The Pas | |
| | Date | Location |
|---|---|---|
| September 16 | | |
| September 17 | | |
| Sep 18 | | |
| September 19 | | |
| October 3 | | |
| October 10 | | |
| Oct 17 | | |
PCA also participated in a multi-party committee chaired by the Federal Department of Aboriginal Affairs and Northern Development Canada (DAAND). The committee continues to work with remote First Nations communities to facilitate waste management.
4. Management of Collected Materials
The objective of the program is to minimize the improper disposal of hazardous materials, including paint and fluorescent lights, by providing an effective HHW collection program and ensuring that the collected materials and containers are either recycled or disposed of in an environmentally responsible manner. PCA strives to manage collected products in accordance with the "pollution prevention hierarchy" as described in detail below. The application of the pollution prevention hierarchy and the management of each product varies by Program Product.
4.1. Management in Accordance with the Pollution Prevention Hierarchy
The Program encourages consumers to buy the right amount of a consumable product for their needs resulting in less waste and a reduction in the volume of product needlessly purchased. This is achieved through the "BUD" Rule, promoted through the Program website and promotional material, which tells consumers to:
* Buy no more than you need.
* Dispose of leftovers safely.
* Use all that you buy.
Processing and recycling options in Manitoba varied by Program Product as outlined below. Where possible and economically feasible, PCA managed products according to the pollution prevention hierarchy. In certain instances, products may have been "downcycled" (i.e., managed through an available process that was lower on the pollution prevention hierarchy) at PCA's discretion.
The following section outlines the product management processes employed by the Program by Program Product category. With the exception of paint, reuse was not appropriate for any other Program Products.
4.1.1. Paint
Leftover paint represented the largest volume of residual products managed by the Program. Leftover paint was managed in a number of ways.
Paint
Latex paint was sent to a recycling facility to be reprocessed into paint and coating products. Unrecyclable latex paint was solidified and sent to landfill. Regulatory limits on VOC and limited demand for oil based paints did not make recycling a viable option for this product category. Oil based paint was consolidated and blended with other flammable liquids and sent for energy recovery at licensed facilities.
PCA continues to pursue the Paint Exchange program (i.e., where better quality paints are given away to consumers at no charge) with suitable collection sites in Manitoba. This is an efficient way to manage leftover paint as the product is used for its original purpose and does not require transportation and reprocessing. This option is limited to non-retail collection sites.
Aerosol Paints
The residual volumes recovered from paint aerosols were very small and represented a variety of product formulations that limited the options for recycling. Paint aerosol cans were punctured and the contents drained. The propellant was absorbed by activated carbon, the residual paint blended with other flammable liquids destined for energy recovery and the steel containers recycled as scrap metal.
Paint Containers
All metal and plastic paint containers were sent to recyclers for shredding, blending and recycling as scrap metal or plastic commodity.
4.1.2. Flammable Liquids/Gasoline
Given the varied nature of flammable products, material mix/composition and limited volumes, it was not economically viable or feasible to recycle flammable liquids. Since many flammable products are sold as fuels, leftover flammable liquids and gasoline were blended and sent for energy recovery. Flammable aerosols were evacuated and the flammable liquid treated in the same manner as paint aerosols.
4.1.3. Corrosives
Reuse is not currently an option for corrosive material. Corrosives were neutralized, treated and stabilized with concrete for landfill. Corrosive aerosols were evacuated, the propellant absorbed by activated carbon, the metal cans recycled as scrap metal and the corrosive liquids neutralized.
4.1.4. Toxics
Due to the nature of toxic materials, there is no reuse or recycling option available. Toxic liquids were fuel blended and sent for energy recovery. Toxic solids were incinerated at high temperature in a government regulated and permitted incinerator. Metal containers were recycled and plastic containers were either recycled or landfilled depending on the type and condition of the container.
4.1.5. Physically Hazardous Material (fuel cylinders)
Fuel from fuel cylinders was either sent for energy recovery or was recovered and used as fuel in cylinders. The metal was sent for scrap metal recycling.
4.1.6. Pesticides
Due to the nature of pesticides and aerosol pesticides, there was no reuse or recycling option available. All pesticides were incinerated at high temperature in a government regulated and permitted incinerator. Pesticide aerosols were evacuated, propellants absorbed by carbon, metal cans recycled as scrap metal and residual pesticides sent for incineration.
4.1.7 Fluorescent Lights
Spent fluorescent lights were collected and shipped to a processor where they were broken down into their component parts (i.e., mercury/phosphor powder, glass, ceramics, electronic circuits and metals) under a controlled environment. The metal end caps were sent to a scrap metal recycling facility. The glass, ceramics and electronic circuits were further processed and utilized as raw materials in various
manufacturing processes. The mercury phosphor powder underwent further processing to remove the mercury from the phosphor powder. The mercury was then distilled and sold as commodity for use in various manufacturing processes. The remaining treated phosphor powder was sent to landfill.
4.1.8 Non Program Material
Non-program material that entered the collection system was segregated at the processing stage. Depending on the material type, processing methods for non-program material included landfilling, physical/chemical treatment, energy recovery and incineration.
4.2. Volume Collected
Residual recovery volume represents the liquid volume, measured in litres, of Program Products recovered by the Program. 1 Table 3 shows the residual recovery volume of HHW products collected in 2015. Table 4 shows the residual recovery volume of pressurized HHW products collected in units. Table 5 shows the units of fluorescent lights collected in the same year.
Table 3: Residual Recovery Volume of HHW Products Collected in 2015 (Litres)
| | HHW Category | Total (litres) |
|---|---|---|
| Paint (non-aerosol) | | |
| Flammable Liquids (incl. Gasoline)1 | | |
| Toxics (incl. Pesticides)1 | | |
| Corrosives1 | | |
1 Aerosol portions of flammable liquids, toxic and corrosive products are comingled during processing and therefore those products have been subsumed under the "other aerosol" category in Table 4.
Table 4: Residual Recovery Volume of Pressurized HHW Collected in 2015 (Units)
| | HHW Category | Total (units) |
|---|---|---|
| Paint Aerosol1 | | |
| Other Aerosol1,2 | | |
| Physically Hazardous1 | | |
| Total | | |
2 Other aerosols include flammable, corrosive and toxic aerosols.
1 Paint aerosol, other aerosols and physically hazardous material categories are based on average units per drum.
Table 5: Fluorescent Lights Collected in 2015 (Units)
| | Fluorescent Light Type | | Total |
|---|---|---|---|
| Compact Fluorescent Lamps (CFLs) | | 28,815 | |
| Tubes | | 67,746 | |
| Total | | 96,561 | |
1 The residual recovery volume is calculated by taking the weight of materials provided by the processor and removing container weights (based on standard container weights determined by PCA). The weight of the material is multiplied by the average estimated density of the specific materials obtained from MSDS specifications. For example, 100kg of flammable material is collected in 1 drum. 21 kg (tare weight) is removed netting 79 kg of flammable material. The 79kg is multiplied by the material density (1kg = 1 litre), which is estimated given the variability of the composition of the waste flammable liquids, yielding 79 litres collected.
4.3. Product Sales
The quantity of program products sold annually varies according to market conditions, but is an important reference for the quantity of products available for collection in the future. Table 7 shows the litres of paint and HHW sold in 2015. Volumes were calculated using typical container size volumes (paint aerosols and physically hazardous sales are reported in units). Table 8 shows the units of fluorescent lights sold in the same year.
Table 6: Sales Volume of Paint and HHW in 2015 (Litres)
| Paint | Paint | Flammable | Toxics | Corrosives | Physically |
|---|---|---|---|---|---|
| | Aerosol1 | Liquids1,2 | | | Hazardous1 |
1 Paint aerosol and physically hazardous sales are reported in units.
2
Excludes gasoline sales.
Table 7: Sales of Residential Fluorescent Lights in 2015 (Units)
| | | Compact Fluorescent | Tubes |
|---|---|---|---|
| | | Lamps(CFLs) | |
| Units Sold | 711,554 | | 296,183 |
4.4. Recovery Rate and Capture Rate
The Program Plan specifies the use of recovery rate as a performance measure for HHW products, excluding lights, and capture rate for fluorescent lights. Recovery rate represents the volume collected as a function of the volume sold in that year. In contrast, capture rate is the amount of product collected as a function of the amount of product available to collect in that year.
At the time of program plan development, minimal data was available for certain product categories, such as toxics, corrosives, physically hazardous materials and fluorescent lights, to assist with setting recovery rate or capture rate targets. It is also important to keep in mind that the recovery rate is affected by factors outside of the Program's control. Since the recovery rate uses the volume of products sold in a year as the denominator, fluctuations in the volume of products sold affect the recovery rate – and this can easily change depending on economic conditions. In addition, products managed in the program can be stored for long periods of time and most are designed to be fully consumed.
Table 9 shows the volume collected, volume sold and recovery rate of HHW products, excluding lights. Table 10 shows the units of fluorescent lights collected and units available to be collected.
Table 9: Volumes Collected, Volumes Sold & Recovery Rates - HHW Products (2015)
| 2015 | Paint | Paint Aerosol² | | Flammable | Toxics (incl. Pesticides) 1 | Corrosives1 |
|---|---|---|---|---|---|---|
| | | | | Liquids (incl. | | |
| | | | | Gasoline)1 | | |
| Litres Collected | 320,669 | 35,543 | 13,911 | | 5,947 | 3,726 |
| Litres Sold | 6,708,057 | 950,725 | 1,025,608 | | 271,609 | 232,247 |
| Recovery Rate | 4.78% | 3.74% | 1.36% | | 2.19% | 1.60% |
2 Recovery rates for paint aerosols and physically hazardous materials were calculated as units recovered/units sold.
1 Flammable liquids, toxic, and corrosive aerosols were not included in recovery rate calculations because these products were comingled during processing.
Table 10: Units Collected, Units Available to be Collected and Capture Rates for Fluorescent Lights (2015)
| 2014 | | Compact Fluorescent | Tubes |
|---|---|---|---|
| | | Lights (CFLs) | |
| Units Collected | 28,815 | | 67,746 |
| Units Available to be Collected | 81,850 | | 37,550 |
In 2015, the Program had a capture rate of 81% for CFL and fluorescent lamps.
5. Environmental Impacts
The overall program objective is to reduce the environmental impact of obligated products through the application of the pollution prevention hierarchy. Stewardship programs have limited ability to influence product design. That said, industry is continuously seeking opportunities to improve on the quality and environmental performance of products. The following section provides a summary of the associated environmental impacts of program products.
Paint and HHW
The paint and coating industry is continuously pursuing innovations in product formulations that strike a balance between sustainability, health & safety and performance. This is done working in concert with key agencies such as Health Canada, Environment Canada and numerous standard-setting organizations. An example of industry's sustainability initiatives is the industry's involvement with the federal Chemicals Management Plan, assessing chemicals in commerce for all industry sectors, including paint and coatings, to assess risks associated with product use. This is done with a view to banning highly toxic substances or managing them in some way, when they are considered harmful for the environment, either from a human health or ecological perspective.
Where chemical toxicity is considered potentially harmful to human health, a risk management approach is required to permit continued use of the substances contained in products like paint and coatings. This may result in the enactment of regulations, pollution prevention plans, codes of practice or compliance agreements and ultimately reformulation or re-design of products for the marketplace, which reduces or eliminates negative impacts to human health and the environment.
The manufacturing of paint continues to shift from oil-based paints to water-based paints due to a number of factors, including:
* Advanced water based coating technology providing similar product performance as oil based technology; and
* Consumer preference for more environmentally friendly products;
* Regulatory influences such as Environment Canada's Volatile Organic Compound (VOC) Concentration Limits for Architectural Coatings Regulations (P.C. 2009-1535), which sets limits on VOC levels for a number of coatings, including architectural coatings. These new regulations require coatings manufacturers to switch to low-VOC formulations.
Waterborne paints now make up more than 90 per cent of paint products on the market. PCA employs a number of tools that may have an impact on product life cycle and reduce the environmental impacts associated with paint and other liquid HHW products:
* Variable fees paid to the Program by brand owners, which increase with the size of the container or product;
* Promotion to the consumer of the "B.U.D." rule, i.e. Buy what you need, Use what you buy and Dispose of the remainder responsibly;
* Operation of a paint exchange program whereby leftover paint is made available to the public free of charge;
* Educating the consumer on the proper storage of leftover paint; and
* Research and development into alternative management options for collected materials.
Fluorescent Lights
Fluorescent lighting technology has been very stable over the last few years. As previously reported, the lifespan of fluorescent lights has increased substantially in the last decade, reducing the environmental impact associated with these products. Energy Star TM rated lights can now last up to 12 years, an increase from an average of 3 years in 2003. 2 Smaller diameter fluorescent tubes are now available in the marketplace, which provide the same or more light while using 50% less material resources by weight. 3 The amount of mercury contained within fluorescent lights has also been decreasing. Manufacturers who are members of Electro-Federation reported a decrease in the amount of mercury in fluorescent lights by 81.6% in 2006, as measured against a 1990 baseline 4 .
More recently, there has been a market shift towards Light Emitting Diode (LED) technology, which has contributed to the environmental impact of the lighting market as a whole. Acceptance of LED technologies is increasing as prices decrease, and consumers are consequently making the switch from traditional CFL and fluorescent tubes to LEDs. As a result of this shift in purchasing behaviour and the significantly longer lifespan of LEDs, sales of fluorescent lights have been decreasing since the start of the program and are expected to continue to decrease in the future. This change will result in a positive environmental impact as fewer lights containing mercury will require disposal. These trends will only become visible as the market adapts to the new technology and will be monitored by the Program over time.
2 Stewardship Ontario (2009). Draft Consolidated Preliminary Municipal Hazardous and Special Waste Program Plan Volumes I and I
I.
4 Personal Communication with Wayne Edwards, Electrical Equipment Manufacturers Association of Canada.
3 European Lamp Companies Federation. Climate, Environment and Health. Please refer to http://www.elcfed.org
Appendix A – Advertising
Example of Print Advertising published in the Leisure Guide.
Appendix B – Point of Sale and Point of Return Materials
5 x 8 Rack Card
4 x 3 HHW Depot Sign
11 x 17 Lights Awareness Poster
Appendix C – Product Care Manitoba Website
Map of the Manitoba collection sites, identifying locations to drop-off paint, fluorescent lights, and HHW.
Appendix D – 2015 Collection Sites
Retail Collection Sites
| Paint | | | Fluorescent | Full HHW | Retailer Collection Sites | | City | |
|---|---|---|---|---|---|---|---|---|
| | | | Lights | | | | | |
| | Y | | Y | | | Ashern Home Hardware | | Ashern |
| | | | Y | | | Border View Lumber Inc. | | Cartwright |
| | Y | | Y | | | Boundary Co-op Ltd | | Boissevain |
| | Y | | Y | | | Brandon Home Hardware Building Centre | | Brandon |
| | | Y | | | Canadian Tire | | Steinbach | |
| | Y | | Y | | | Carman Co-op | | Carman |
| | Y | | | | | Cloverdale Paint (Winnipeg) | | Winnipeg |
| | Y | | Y | | | Countryside Home Building Center | | Fisher Branch |
| | Y | | Y | | | Dauphin Home Hardware | | Dauphin |
| | Y | | | | | E.G. Penner Building Centres Inc. | | Steinbach |
| | Y | | Y | | | Elm Creek Co-op Ltd | | Elm Creek |
| | Y | | | | | Flin Flon Home Hardware Building Centre | | Flin Flon |
| | Y | | Y | | | Heritage Co-op Home Centre | | Minnedosa |
| | | Y | | | | Home Hardware - Selkirk | | Selkirk |
| | | | Y | | | Janzen's Paint & Decorating (Steinbach) | | Steinbach |
| | | | Y | | | Janzen's Paint & Decorating Ltd (Brandon) | | Brandon |
| | Y | | | | | Janzen's Paint and Decorating Ltd (Winkler) | | Winkler |
| | | | Y | | | Killarney Home Hardware | | Killarney |
| | | | Y | | | London Drugs #66 | | Winnipeg |
| | Y | | Y | | | Minnedosa Home Hardware | | Minnedosa |
| | Y | | Y | | | Molgat Shopping Centre | | Laurier |
| | Y | | Y | | | Moore Building Centre | | Killarney |
| | Y | | Y | | | Morris Home Hardware | | Morris |
| | | | Y | | | MR Lampshops | | Winnipeg |
| | Y | | Y | | | Neepawa-Gladstone Co-op | | Neepawa |
| | Y | | Y | | | Pembina Consumers Co-op | | Oakbank |
| | | | Y | | | Princess Auto - Panet Road | | Winnipeg |
| | | | Y | | | Princess Auto - Portage Ave | | Winnipeg |
| | Y | | Y | | | Rivers Home Hardware | | Rivers |
| | | | Y | | | Robinson Lighting | | Winnipeg |
| | | Y | Y | | RONA Bldg Centre Portage la Prairie #1375 | | | Portage La |
| | | | | | | | | Prairie |
| | Y | | | | | RONA Building Centre (Brandon) #2235 | | Brandon |
| | Y | | Y | | | RONA Building Centre (Gimli) #620 | | Gimli |
| | Y | | Y | | | | | |
| Paint | | Fluorescent | Full HHW | Retailer Collection Sites | | City | |
|---|---|---|---|---|---|---|---|
| | | Lights | | | | | |
| | Y | Y | | | RONA REVY Winnipeg #64870 | | Winnipeg |
| | Y | Y | | | RONA REVY Winnipeg #64880 | | Winnipeg |
| | Y | Y | | | RONA REVY Winnipeg #64890 | | Winnipeg |
| | Y | Y | | | Rossburn Home Hardware | | Rossburn |
| | | Y | | | Russell Home Hardware | | Russell |
| | Y | Y | | | Snow Lake Home Building Centre | | Snow Lake |
| | Y | Y | | | St. Laurent Home Hardware Building Centre | | St. Laurent |
| | Y | Y | | | Ste Anne Builders Supply | | Ste. Anne |
| | Y | Y | | | Sun Valley Co-op Ltd. | | Altona |
| | | Y | | | Super-lite Lighting Ltd. | | Winnipeg |
| | | Y | | | Total Lighting Sales | | Winnipeg |
| | Y | Y | | | Tru Hardware (Tru Valley) | | The Pas |
| | Y | Y | | | Twin Valley Co-op | | Russell |
| | Y | | | | Windsor Plywood - North | | West St. Paul |
| | Y | | | | Windsor Plywood (Brandon) | | Brandon |
| | Y | | | | Windsor Plywood (Winnipeg) | | Winnipeg |
| | Y | Y | | | Winnipegosis Hardware | | Winnipegosis |
| | Y | | | | Wm Dyck & Sons (1993) | | Niverville |
Private and Municipal Collection Sites
| Paint | | Fluorescent Lights | | Full HHW | | Private / Municipal Collection Sites | | |
|---|---|---|---|---|---|---|---|---|
| | Y | | Y | | | | B.A.R. Waste Authority Co-op Inc | Arborg |
| Y | Y | Y | Y | | | | Birtle Waste Disposal Grounds (Town of | |
| | | | | | | | Birtle) | |
| | Y | | Y | | Y | | Brandon Eastview Landfill | Brandon |
| | Y | | Y | | | | Carman Transfer Station | Carman |
| | Y | | Y | | Y | | City of Steinbach Landfill | Steinbach |
| | Y | | Y | | Y | | Evergreen Environmental Tech | Minnedosa |
| Y | | Y | | | | | Lac du Bonnet Transfer station | Lac Du Bonnet |
| | Y | | Y | | Y | | Louise Integrated Waste Management | Pilot Mound |
| Y | | | | | | | Mid Canada Environmental Services Ltd. | Ile des Chenes |
| | Y | | Y | | Y | | Miller Environmental | Winnipeg |
| | Y | | Y | | | | Normac Landfill | MacGregor |
| | Y | | Y | | | | Parkland and District Recycling | Dauphin |
| | Y | | Y | | | | Pembina Valley containers | Morden |
| | Y | | Y | | | | Pierson Edward Landfill | Pierson |
| Y | Y | Y | Y | | | Portage & District Recycling Inc (PDRI) | | Portage la |
| | | | | | | | | Prairie |
| Paint | | Fluorescent Lights | | Full HHW | | Private / Municipal Collection Sites | | |
|---|---|---|---|---|---|---|---|---|
| | Y | | Y | | Y | | Responsible Electronics Recycling Ltd | Selkirk |
| | Y | | Y | | Y | | RM Gimli (Gimli Industrial Park) | Gimli |
| | Y | | Y | | | | RM of Miniota Waste Disposal Grounds | Miniota |
| | Y | | Y | | | | RM of Pipestone | Reston |
| | Y | | Y | | Y | | Winfield Road Transfer Station | Stonewall |
| | Y | | Y | | | | Roblin/Shell River Waste Disposal | Roblin |
| | Y | | Y | | | | Shoal Lake Recycling Center | Shoal Lake |
| | Y | | Y | | | | Strathclair Landfill | Strathclair |
| | Y | | | | | | Town of Grandview, Waste Disposal Ground | Grandview |
| Y | Y | Y | Y | Y | Y | | Whitemouth-Reynolds Waste Management | |
| | | | | | | | Facility | |
| | Y | | Y | | Y | | Winkler Public Works Yard | Winkler |
Total Collection Sites
| | Paint | Lights only | Full HHW | Paint & Lights | Total # of sites |
|---|---|---|---|---|---|
| | only | | | | |
| 14 | | 13 | 10 | 42 | 79 |
Appendix E – Audited Financial Statement
|
Summer 2014
Volume 26, Issue 2, www.ibiblio.org/culture
Chair's Message Mabel Berezin, Cornell University
Even though it is only August, I am guessing that many of you are counting the days before the return of fall's more routine obligations. With the ASA, less than two weeks away, it is now time for the pre-meeting newsletter. It is also my last chance to address all of you as section Chair.
Going forward, the most striking thing about being chair of the Culture section is the incredible energy and generosity that our elected officers and members bring to section activities. The term "passion" has almost slipped into cliché these days—but nonetheless our members are passionate about our section! Hardly a request for a volunteer or information remains unanswered in our cyber linked world for more than an hour! And, unlike life, in many instances gratification was instant!
In contrast to many other ASA sections, the Culture section assigns duties to the Chair-elect—so it really feels like one has been Chair of the section for two years rather than the more traditional one year term.
As Chair of the section, I became impressed with the wide range of activities and interests of our members as they moved culture into new and exciting areas.
Bourdieu. Section member Abigail Saguy's What's Wrong with Fat? is featured in an Author Meets Critic session. The variety of session topics, as well as the number, is impressive. I encourage you to attend as many as possible (ASA asks us to take attendance!).
Tim Dowd and his session organizers have put together five wonderful sessions on topics that range from the culture industries to networks to cognition to consumption. In addition, thanks to Claudio Benzercy and Ruth Braunstein, culture is hosting 15 roundtables this year! Ten ASA regular sessions are devoted to culture. ASA President Annette Lareau has organized a Thematic Session on Pierre
Inside:
Claudio Benzecry and Ruth Braunstein have also organized a book writing workshop with Eviatar Zerubavel for junior scholars who wish to turn their dissertations into scholarly monographs.
(Continued on Page 3)
The work of the section goes beyond the meetings. This year we had a record number of submissions to our prize committees.
Chair's Message, p. 1 New Section Officers, p.2 Junior Scholar Spotlight: Neha Gondal, p. 2 Four Questions For… Howard S. Becker, p. 3 2014 Section Awards, p. 5 Culture Panels and Roundtables @ ASA, p.6
Co-Editors: Claudio Benzecry(UConn),Andrew Deener(UConn), &Jonathan Wynn
Student Editors: Michael Rodriguez-Muñiz (Brown University)
(UMass)
New Section Officers!
Chair Elect (One year term, beginning 2014): Geneviève Zubrzycki (Michigan University)
Chief Operating Officer (Three-year term, beginning 2014): Allison Pugh (University of Virginia)
Council Members (Three-year terms, beginning 2014): Lauren Rivera (Northwestern University) and Shyon Baumann (University of Toronto)
Student Representative (One year term, beginning 2014): Michael Stambolis-Ruhstorfer (UCLA)
Junior Scholar Spotlight: Neha Gondal
Neha Gondal is currently Assistant Professor of Sociology at The Ohio State University. She received her Ph.D. from Rutgers University in 2013. Her research interests lie at the intersection of social networks and culture with a particular focus on relational meaning, micro-macro linkages, and emergence. She regularly utilizes Exponential Random Graph Models – a cutting edge technique for the statistical modeling of networks - and frequently employs multiple-network data advancing a complex, layered, and contextual approach to social networks.
In a set of three papers recently published in Poetics, Social Networks, and the European Journal of Sociology, Neha and her co-author, Paul McLean, argue that a type of tie in a network may have several meanings. Using data on multiple-networks in Renaissance Florence illustratively, they demonstrate that meaning diversity leaves traces in the network's structure and can be linked to actors' heterogeneous involvements in diverse network-domains. They also explore the sociocultural processes underlying the production of elite solidarity in this context. Neha likewise investigates how relational understandings vary on the basis of sibship-size in a distinct paper published in Sociological Forum. In another article published in Social Networks, she investigates the macrostructural features of emergent research areas and the micro-mechanisms structuring the field using literature on the feminization of labor in Asia. In her dissertation research, Neha conceptualizes a general category of 'lessinstitutionalized' social locations that lack cultural cues to action and interpretation. She applies this concept to several empirical examples to demonstrate how such locations offer a unique window into examining cultural emergence.
Neha is currently working on several new projects investigating the relational construction and legitimation of symbolic differences between stratified groups. She also expects to begin a collaborative project exploring the adoption of fuel conservation strategies within informal networks of Air Force pilots. Neha has received awards from ASA's mathematical sociology and family sections and well as from the International Network for Social Network Analysis recognizing her research.
('Chair's Message,' continued from Page 1)
In addition, with David Smilde's guidance, we managed to produce a special issue of Qualitative Sociology 37 (2) on research methods in cultural analysis.
We have to thank the committee heads Genevieve Zubrzycki (book), Peter Stamatov (article) and Xiaohong Xu (graduate student paper) as well as their committee members for all of their hard work. The recipients of the awards will receive their prizes at the Business Meeting and we will hear more about their wonderful research.
As my chair period ends, we continue our robust enrollments with 1,145 members—largest ASA section. We look forward to thinking about celebrating the section's 30 th anniversary in 2016.
I happily turn over the position of chair to Tim Dowd of Emory, and welcome our new chair-elect Genevieve Zubrzycki of Michigan.
It has been a wonderful experience for me to serve the section as Chair. I thank all of you who have helped me along the way. A special thanks to our intrepid newsletter team, Claudio Benzecry, Jonathan Wynn and Andrew Deener who patiently wait for my Chair's letter! A warm welcome to our new newsletter team Ailsa Craig, Alexandra Kowalski, and Erin O'Connor.
But let's not end here—for all of you who are in San Francisco, please come to the business meeting (11:30 Monday, August 18) for more thank yous and introductions. And of course come to our reception at 6:30 Monday at the Wyndham Parc for what Georg Simmel would call an exercise in "Sociability", or our section reception--if you prefer!
Four Questions For… Howard S. Becker
1) How did you become interested in the study of culture?
I never became "interested in the study of culture" as a separate "field" of research or thinking. When I entered the sociology business, the enterprise of defining everything and then arguing about the definitions interminably was in full flower. But I had learned, from Everett Hughes, to be very skeptical about that kind of thing and to devote myself rather to learning about how the social world worked.
So I always understood "culture" to be part of a complex of ideas revolving around how collective action occurred, an idea that got its meaning from its role in that collection of ideas and their combinations. Insofar as I worried about definitions, which wasn't much, I relied on the one I learned from Robert Redfield which, as I remember, went like this: "Shared understandings made manifest in act and artifact."
2) What kind of work does culture do in your thinking?
As I said, culture is part of a complex of ideas which revolve around the phenomenon of collective action; to put it in less fancy language, people doing things together. This complex of ideas is less a system of definitions than a kind of imagery that points to an area of reality I'd like to understand.
Here's the image. As I learned from Louis Wirth, when I was a student, people always live in groups. By extension, everything they do, they do with other people. So the researchable question, the question you try to find the answer to, is simple: how do they do that? Not so much what some folks might take that to mean—how is it possible for them to act together—but something more prosaic and less earth-shaking: how, in this particular case (whatever
you're studying), do they coordinate their activity so that whatever they're doing gets done the way it actually turns out. There's no suggestion in that that it "must" turn out in some particular way, or else something awful will happen. It turns out however it turns out and, for me, the job is to find out how that all happened.
"Culture," in the Redfield sense of shared understandings, gives part of the answer to that question: part of what happens is that, when people interact, they often have in mind how they think other people will respond to what they've just done or are about to do. Very often they guess right about that because they (or people like them) have often done that sort of thing before and this is the way they did it and it worked out okay, so let's do it that way again. My model for this, no surprise, is playing music together, where the people playing refer to already known ways of playing—twelve distinct tones to an octave, keys, systems of notation, and all the rest of it (which I wrote about in a piece about "inertia" that I've tucked into the new book What About Mozart? What About Murder? Reasoning from Cases). For me, "culture" is a name for that kind of shared knowledge which lets people save time and get things done more easily just because they all already know how to do "that," whatever "that" is.
I don't think that this means that everything is nice and friendly and cooperative, just that insofar as they get done whatever they get done that's part of how they do it, by relying on stuff they already know or think will be known to everyone else. I don't think the end result "has to be" anything in particular, it's just whatever it turns out to be. Usually, the shared understandings don't cover the immediate situation completely and then the people involved have to figure out something else to do. The result might not, often doesn't, satisfy everybody or even satisfy anybody, but it's what happens.
Four So "culture" helps me answer questions about how people act together, but it's only part of the answer. A lot of what happens arises on the spot as the result of a bunch of people working out the solution to an immediate problem of doing whatever. If you asked for names, I'd say Dewey, G.H. Mead, Park, Redfield, Hughes, Blumer—the usual suspects, so to speak. (Oh, my, no European names!) 3) What are some of the benefits and limitations to using culture in this way?
Questions The benefit is that it gives you a way to a general account of one of the things that goes into the development of collective activity. I don't see any particular limitation to using the "culture" the way I think about it because whatever it doesn't do, you can insert some other idea to do that for you. 4) How does your approach to culture shape the types of research topics and settings? My research topics and settings mainly come about in a pretty haphazard way. I didn't study medical students because I thought that was such a fabulous place for a sociologist to look at, but because Everett Hughes called me and said he had this money to study a medical school and did I want a job doing field work in the medical school in Kansas City. I studied marijuana use because I was fascinated by Lindesmith's study of opiate addiction and knew that marijuana resembled that in some ways and differed in others, and thought it would make a good topic for a project.
So I'd say that "culture" doesn't shape the choice of topics or settings, because I make those choices in a more haphazard, situationally affected way than that suggests. The idea of "culture" does inform (a better verb here than "shape," I think) the way I approach a new thing to study. I look for shared understandings, usually by being very attentive—this is another old fieldwork trick—for situations where the ordinary shared understandings don't exactly work right, which is a common occurrence. Because those situations bring to the surface, make explicit, what otherwise is so taken for granted that no one even notices it. It's an old fieldwork maxim: look for trouble, when people argue or fight, that's where the payoff is, where you find out what ordinarily doesn't get mentioned.
For… "Culture" came into these, and all the other things I've done, in the way I've suggested. I thought of all these things as "things people did together." That's a trick of thought I use habitually: see how even the most seemingly individual things really have a collective component, as people's marijuana experiences take their shape in part from the way definitions around them give potential meaning to an ambiguous chemically caused collection of events. It's what I did to make the arts amenable to research as I think of it: see the making of works of art as a collective enterprise involving all the people and organizations that contribute in any way to the work turning out as it does.
2014 CULTURE SECTION AWARDS
Winner of Mary Douglas Prize for Best Book:
Virag Molnar (New School), Building the State: Architecture, Politics, and State formation in Postwar Central Europe (Routledge 2013)
Honorable Mention to: Colin Jerolmack (New York University), The Global Pigeon (University of Chicago Press 2013) and Ofer Sharone (MIT), Flawed System/Flawed Self (University of Chicago Press 2013)
Committee: Genevieve Zubrzycki (Committee Chair, University of Michigan), Cheris Shun-ching Chan (University of Hong Kong), Marion Fourcade (UC Berkeley), and Iddo Tavory (New School for Social Research).
Section Co-Winners of Clifford Geertz Prize for Best Article: Iddo Tavory (New School) and Nina Eliasoph (USC), "Coordinating Futures: Toward a Theory of Anticipation," American Journal of Sociology , 118(4), 2013, pp. 908-942. and Arnout van de Rijt, (Stonybrook) Eran Shor, Charles Ward, and Steven Skienaa, "Only 15 Minutes? The Social
Awards Stratification of Fame in Printed Media," American Sociological Review, 78(2), 2013, 266–289 Committee: Peter Stamatov (Committee Chair, Yale University), Amin Ghaziani (University of British Columbia), and Lauren Rivera (Northwestern University). Co-Winners of Richard A. Peterson for Best Student Paper:
Hassan El Menyawi (New York University), "The Great Reversal: How Nations in the Muslim World Went from Tolerating Same-Sex Practices to Repressing LGB People, 1750—2010."
and
Laura K. Nelson (University of California, Berkeley), "Enduring Cultural/Cognitive Structures: Political Logics as
Culture Panels & Roundtables @ ASA 2014 San Francisco, CA August 16-19
Saturday, August 16 8:30 AM
25. Regular Session. Culture and Inequality
University of Toronto
Grooming the New Elites: Cultural Capital and Educational Strategies in Urban China. Yi-Lin Chiang, University of Pennsylvania
Social Stratification and Cultural Practice in the United Kingdom. Yaojun Li and Alan Warde, Manchester University; Michael A. Savage, London School of Economics and Political Science
4:30 pm
Session Organizer: Timothy J. Dowd, Emory University Presider: John O'Brien, New York University-Abu Dhabi More than Just a Soundtrack: Towards a Technology of the Collective in Hardcore Punk. Black Hawk Hancock, DePaul University; Michael J. Lorr, Florida State College-Jacksonville
Session Organizer and Presider: Natalie Boero, San Jose State University
Cooking Under Fire: Food Work Among Low-Income Mothers. Sarah Bowen, Sinikka Elliott, and Joslyn Brenton, North Carolina State University
Gender Inequality, the State, and Multiculturalism—Does Multiculturalism Increase Gender Inequality in Migrant Communities? Amanda Admire, and Ronald Kwon, University of California-Riverside
Learning to Labor and Love: State Work and Marriage Programs' Neoliberal Assumptions of Cultural Deficiency. Jennifer Randles, California State University-Fresno; Kerry Woodward, California State University-Long Beach
Meaning of Work and Money in the Ghetto. Ranita Ray, University of Nevada-Las Vegas
Middle-Class Mothering and the Body: Status and Self- Identity Practices. Katherine Mason, Miami University
148. Regular Session. Cultural Studies 1: Identity in Action: Music, Religion and the Everyday
34. Regular Session. Media Sociology: Mass Media and Popular Culture
Now Casting: The Emotion Economy of Reality TV. Laura Grindstaff, University of California-Davis
Culture Mirrored Boundaries: The Intersection of Ongoing Homeland-Hostland Contexts in Bangladeshi Immigrants' Boundary-Work in Los Angeles. Tahseen Shams, University of California-Los Angeles What (Not) to Wear as Hijab: Unveiling Fragmented Acculturation in a Muslim American Community. Melissa J. K. Howe, NORC-University of Chicago Discussant: John O'Brien, New York University-Abu Dhabi
Session Organizer: David Grazian, University of Pennsylvania
From Father Knows Best to Desperate Housewives:
Wheaton College
Racially Integrated Films? Segregation, Marginalization and Audience Receptions. Minjeong Kim, Rachelle Jeneane Brunn, and Kimberly Johnson, Virginia Polytechnic Institute and State University
Panels Sunday, August 17 170. Thematic Session. Bourdieu, Culture, and Empirical Research Session Organizer: Annette Lareau, University of Pennsylvania
Suburban Television Shows, 1950-2007. Brian J. Miller,
Chinese Youths Watching U.S. TV: Critical Cultural Consumption and the Construction of Textual Authenticity. Yang Gao, Singapore Management University
Presider: Sabrina Pendergrass,University of Virginia
Design.
How to Turn Habitus from Conumdrum to Research
Bourdieu and the Hard Embodiment of Culture:
Loic Waquant,University of California-Berkeley
Methodological and Theoretical Challenges. Omar A.
Studying Culture in Digital Environments: Bourdieu, Big Data, and Interdisciplinary Collaboration. Gabe Ignatow, University of North Texas
Discussant: Diane Reay,Cambridge University
179. Regular Session. Cultural Studies 2: Aesthetic Choices (and Constraints): From Creation to Mediation
Session Organizer: Timothy J. Dowd, Emory University Presider: Ashley E. Mears, Boston University How High and Low are Made: Aesthetic Knowledge and
Lizardo,University of Notre Dame
10:30 AM
Session Organizer and Presider: Susan A. Dumais, City University of New York-Lehman College Entering the Creative Class: The Role of High-Status Culture. Sharon Koppman, University of Arizona From Concerted Cultivation to College: How Parenting Practices Shape Postsecondary Success. Daniel J. Potter, American Institutes for Research; Josipa Roksa, University of Virginia Gender and Bourdieu's Field Theory. Diana Lee Miller,
70. Regular Session. Cultural Capital
Symbolic Boundaries in Fashion Photo Shoots. Elise C Laan, and Giselinde Kuipers, University of Amsterdam So Much Rides on the Programming: Decision Making Processes and Innovation in Performing Arts Organizations. Gregory Trainor Kordsmeier, Indiana University-Southeast
Linda Wohl,
The Front Line of Culture.
Wendy Griswold and
Hannah
Book Reviewing in an Age When Everybody's a Critic.
Northwestern University
Phillipa K Chong,Harvard University
Discussant: Ashley E. Mears, Boston University
193. Regular Session. Sociology of Culture
Property in Print: Copyright Law and the American Magazine Industry. Heather A. Haveman and Daniel N. Kluttz, University of California-Berkeley Organizational and Institutional Foundations of Omnivorousness in the United States: The W.P.A. and the Folk Festival. Jennifer C. Lena, Columbia University The Emergence of a Market for Contemporary Art in Brazil. Amanda Brandellero, University of Amsterdam Strategic Enrollment: How Art Investment Fit into the Traditional Art Market. Erica H. Coslor, University of Melbourne
Presider: Laura E. Braden, Erasmus UniversityRotterdam
Discussant: Laura E. Braden, Erasmus UniversityRotterdam
267. Regular Session. Habitus
Session Organizer and Presider: Eva Illouz, Hebrew University
All Hands on Deck: Evaluation in Creative Industries.
Clayton Childress, University of Toronto; Brian Moeran, Copenhagen Business School
Bringing Theodicy Back In: Suffering and the Sociology
of Meaning. Christina Simko,
Jeffrey Olick,University of Virginia
Culture of Algorithms.
University of Chicago
Enacting the Scripts of Utopia: Collective Violence and the Sacred in the Chinese Cultural Revolution. Guobin Yang, University of Pennsylvania
Making Cents and Nonsense of Art. Alison Gerber, Yale University
Discussant: Jeffrey C. Alexander, Yale University
Session Organizer and Presider: Omar A. Lizardo, University of Notre Dame
10:30 AM
Culture University of Pittsburgh; Karin D. Knorr Cetina, A Social Aesthetics as a General Cultural Sociology? Benjamin Merriman and John Levi Martin, University of Chicago Becoming a Dumpster Diver: Towards an Understanding of Habitus as Context-specific, Multiple and Decentralized. Sharon Cornelissen, Princeton University Rethinking Bourdieu's and Mauss' Habitus through Neurophysiology: Ballet and Habitus. Chantelle P. Marlor, University of the Fraser Valley The Reflexive Habitus: Bridging the Gap between Critical Realist and Bourdieusian Social Action. Claire Laurier Decoteau, University of Illinois-Chicago Discussant: Omar A. Lizardo, University of Notre Dame
Session Organizer and Presider:
235. Regular Session. Popular Culture and the Politics of Authenticity
University of California-Davis
Laura Grindstaff,
Black Exploitation Television The New Millenium
Black Media.
Minstrel Show: The Impact of Corporate Ownership on
California-Riverside
Jermaine Hekili Cathcart,University of
Bloody Feminism in Hollywood: Content Analysis of a Feminist-coauthored Teen-film Cycle. Neal King and Talitha Rose, Virginia Polytechnic Institute and State University
Lil' Wayne for Exercising, Adele for Relaxing at Home: Artists, Listening Situations, and Racial Crossover. John Sonnett, University of Mississippi
Panels 2:30 PM 306. Regular Session. Cultural Studies 4: The Production and Circulation of Culture Session Organizer: Timothy J. Dowd, Emory University Presider: Vaughn Schmutz, University of North CarolinaCharlotte The Coming of Age: Older Characters in Hollywood Films, 1960-2013. James J. Dowd, University of Georgia Globalization and Popular Music. Explaining Global Success of Pop Music Acts in Nine Countries, 19602010. Marc Verboord, Erasmus University-Rotterdam; Amanda Brandellero, University of Amsterdam Molly Deaths: A Product of the Rave Culture/Drug War Impasse. Tammy L. Anderson, University of Delaware Street Art and the Cultural Production of Urban Coolness. Virag Molnar, New School for Social Research Discussant: Vaughn Schmutz, UNC-Charlotte
Inventing the Authentic Self: American Television and Chinese Audiences in Global Beijing. Yang Gao, Singapore Management University
To See or Not to See: Race and Theatrical Casting. Robin Leidner, University of Pennsylvania
12:30 PM
Session Organizer:
365. Section on Sociology of Culture Roundtable Session
Timothy J. Dowd,Emory University
Monday, August 18
263. Regular Session. Cultural Studies 3: Cultural Fields and Markets: Formation and Transformation
7
Session Organizers: Claudio Ezequiel Benzecry and Ruth Braunstein, University of Connecticut
Table 1. Consumer Studies Network
Concrete Terroir: The Aesthetics of a City's Restaurant
Table Presider: Cara E. Bowman, Boston University Is This Gonna Look Good? Families Consuming Opportunities to Prepare for College. Cara E. Bowman, Boston University
Scene. John T. Lang,Occidental College
Political Consumerist Projects and Profit-Seeking.
Doing Good Work by Selling Good Food: Balancing
Elisabeth Singer,
Amy
The Lies People Tell Themselves: Eating Identity vs.
Franklin and Marshall College
Behavior. Michele Darling,University of Virginia
Institutional Practices of Christian Simple Livers.
Voluntary Simplicity: The Vacillating Interactional and
Kristina Kahl,University of Colorado-Boulder
Table 2. Cultural Consumption
Sticky Status? The Status Differentiation and Transitivity across Markets. Kangsan Lee, Northwestern University Who is More Likely to Symbolically Manage their Entrepreneurial Intentions? Loose Coupling in International Comparison. Patricia H. Thornton, Duke University; Kim Klyver, University of Southern Denmark Be an Apprentice, Not a Worker: Navigating the Organizational Culture of Commercial Art. Gabrielle Raley, Knox College
Culture Sci-Fi and Skimpy Outfits: Making Boundaries and Staking Claims to Star Trek: Into Darkness. Sarah M. Corse and Jaime Hartless, University of Virginia Coming of Age in Online Media Fandom: A Longitudinal Study of Young Women's Romantic Expectations. Carrie Clarady, University of Maryland-College Park; Jessica Paula Wiederspan, University of Michigan Reifying the Active Audience? Radio, Reception and Resistance. Amy C. Foerster, Pace University The Online Place of Popular Music. Explaining Pop Artists' Media Attention in the Digital Age. Marc Verboord, Erasmus University-Rotterdam; Sharon Van Noord, Independent Scholar Table 6. Culture and Politics Table Presider: Jeffrey A. Halley, University of TexasSan Antonio Culture and Defensive Modernization in Thailand, 18551932: A Project of Civilization. Keerati Chenpitayaton, New School University Distorted Public Discourse and the Pseudo-Public in Chinese Public Sphere. Muyang Li, State University of New York-Albany
Table Presider: Christena Nippert-Eng, Illinois Institute of Technology
Table 3. Cultural Production
The Arlington Confederate Monument: Resistance to Rationalization and Critique of Federal Ideology through Federal Sculpture. Jeffrey A. Halley, University of TexasSan Antonio; Thomas R. Moore, Vanderbilt University We Didn't Know it Was History until after it Happened: Whites' Narratives about Desegregation. Sandra K. Gill, Gettysburg College
Table 7. Levels of Culture in Everyday Interaction
Southern California
Table Presider: Paul R. Lichterman,University of
Table Presider: Diana Bevin Graizbord, Brown University
Table Presider: Tamara Kay,Harvard University
Beyond Objectivity: On Punditry and Legitimation.
Samuel Matthew Claster,Edinboro University-
Pennsylvania
Building Cases with Buildings: Physical Evidence on
Trial at Museums of Poor People's Housing. Robin
Bartram,Northwestern University
Political Embeddedness: Boundary Processes in U.S. and German News Reporting. Matthias Revers, University of Graz
Producing the Postmodern Moment: Television Commercials from 1948-1989. Lucas Sherry, University of North Carolina-Chapel Hill Theorizing Hybridization: Negotiating and Leveraging Culture Across Transnational Fields. Tamara Kay and Nicole Arlette Hirsch, Harvard University
Panels Levels of Culture in Everyday Interaction. Kushan Dasgupta and Edson Cruz Rodriguez, University of Southern California Table 8 . Materiality
Discussion of Special Issue of Qualitative Sociology: Reassembling Ethnography Actor-Network Theory and Sociology. Diana Bevin Graizbord and Gianpaolo Baiocchi, Brown University
Table 4. Cultivation and Status
1920's Etiquette Books and the Production of Culture. Jamila Jamison Sinlao, University of California-Santa Barbara
Table 9. Music and Taste
Table Presider: Jeffrey R. London, City University of New York-Graduate Center Improving Cultural Cartography with Correlational Class
8
Table 5. Culture and Markets
Cultural Intermediaries and the Construction of
Table Presider: Jennifer Smith Maguire, University of Leicester
Legitimacy in the Shanghai Wine Market. Jennifer Smith
Driving Taste, Shifting Identities: Valuation and Cultural Repertoires in Boston's Food Truck Economy. Connor John Fitzmaurice, Boston University
Maguire,University of Leicester
Analysis: Which Shared Cultural Schemas Structure
University of California-Berkeley
American Musical Tastes? Andrei G. Boutyline,
Precarious Work and Cultural Production in the Portland, of New York-Graduate Center
Oregon Music Scene. Jeffrey R. London,City University
The Evolution of Genres in a Network Perspective. YunJoo Sung and Kira Choi, Seoul National University
Table 10. Narrating the Self; Embodying Culture Table Presider: Brian Soller, University of New Mexico Bearing Witness: Victims' Relatives and Challenges to the Execution Narrative. Annulla Linders, University of Cincinnati
Let's Stay Together? Cultural Scripts and the Longevity of Adolescent Romances. Brian Soller, University of New Mexico; Carl W. Stempel, California State University-East Bay
Inequality and Popular Culture. Dustin Kidd, Temple University
Louisiana State University
Toward a Theory of Cultural Engagement: Gender,
University of Colorado
Culture, and Music. Benjamin Lee Hutcherson,
Thomas Kinkade-Caliber: Exemplification and Classification Work. Amanda Koontz Anthony and Amit Joshi, University of Central Florida
Table 14. Trauma, Memory, Belonging
Table Presider: Michelle Hannah Smirnova, University of Missouri-Kansas City
Keepin' It Real, Keepin' It Tight: Narrative Identity in Fields of Cultural Production. Kyle Puetz and Michael Gibson, University of Arizona
Cultural Trauma and the St. Francis Dam Collapse.
Part of Flora and Fauna: Botho and the Safari Guide in
Charles Brady Potts,University of Southern California
Northern Botswana. Sakhile Kaone Matlhare,
Northwestern University
Therapeutic Pasts and Moral Futures: Narratives and the Management of Mobility. Kelly J. Nielsen, University of California-San Diego
Conflict and Change in the World of Tattooing: A Subculture of Consumption. David Paul Strohecker, University of Maryland-College Park
History You Can Touch: Mapping Memory and Space at the Former Stasi Prison in Berlin-Hohenschönhausen. Jeremy Brooke Straughn, Westminster College Real Russians: Cultural Citizenship Defined by Soviet Political Humor. Michelle Hannah Smirnova, University of Missouri-Kansas City
Table 11. Recipes for Success Elite Chefs, Restaurants, and Culinary Styles in New York and San Francisco Table Presiders: Omar A. Lizardo, University of Notre Dame and Claudio Ezequiel Benzecry, University of Connecticut
Culture Table 15. Working Cultures Table Presider: Geoff Harkness, Grinnell College Consuming Labor: Charisma and Identity in Music Industry Work. Alexandre Frenette, City University of New York-Graduate Center
Distinction and Status in the Firehouse: How Firefighters Maintain Boundaries and Earn Prestige. Roscoe C. Scarborough, University of Virginia
Table 12. Symbolic Boundaries Research Network Table Presider: Bethany Bryson, James Madison University
Equal but Separate? Gender, Culture, and the Social Organization of Public Space. Alexander Davis, Princeton University
Panels Step in the Arena: How Social Class Shapes the Performative Context. Geoff Harkness, Grinnell College Disappearing into the Object: Aesthetic Enrollment and the Cultural Labor Process. Michael Louis Siciliano, University of California-Los Angeles 10:30 am Section on Sociology of Culture Council and Business Meeting 2:30 pm
In Comparison, I'm Really Lucky: How Breast Cancer Patients Utilize Symbolic Boundaries as a Coping Mechanism. Laura E. Rogers, University of CaliforniaSan Diego
The Scandal as the Play of Symbolic Boundaries. Mark D. Jacobs, George Mason University
Are Boundaries to Keep People Out or In? Nancy DiTomaso, State University of New Jersey-Rutgers
Table 13. Taste and Classification
Session Organizer and Presider: Timothy J. Dowd, Emory University
Table Presider: Dustin Kidd, Temple University Capital Volume and Highbrow Arts Participation: How Economic and Cultural Capital Affect Taste Boundaries. Susan A. Dumais, City University of New York-Lehman College; Durmus A. Yuksek, Louisiana State University and Turkish Military Academy; Yoshinori Kamo,
9
448. Section on Sociology of Culture Invited Session. Big Data and the Study of Culture: Prospects for the Future
Big Data: Can It Solve Cultural Sociology's Behavioral Problems? Emily Ann Marshall, University of Michigan; Hana Shepherd, State University of New Jersey-Rutgers Modeling an Ecology of Music Genres Using Big Data: The Case of the Emergence of Electronic Dance Music Genres in the UK, 1985-1999. Alex van Venrooij,
University of Amsterdam
Measuring Meanings in a World of Big Data. John W. Mohr, University of California-Santa Barbara Discussant: Timothy J. Dowd, Emory University
Measuring Moderately Subtle Dimensions of Culture with Medium-Size Data. Arnout van de Rijt and Steven Skiena, State University of New York-Stony Brook; Charles Ward, Google
4:30 PM
Session Organizers: Laura E. Braden, Erasmus University-Rotterdam and Timothy J. Dowd, Emory University
485. Section on Sociology of Culture Paper Session. Cultural Consumption in a Changing World (cosponsored with the Section on Consumers and Consumption)
Presider: Alex van Venrooij, University of Amsterdam Understanding Cultural Omnivores: Social and Political Attitudes. Tak Wing Chan, University of Oxford Signs of Emerging Cultural Capital? Analyzing Localised Symbolic Struggles using Class Specific Analysis. Henk Roose, Ghent University Symbolic and Material Resources: The Relevance of Cultural Omnivorousness during the Great Recession. Matthew Stimpson, University of California-Berkeley Discussant: Alex van Venrooij, University of Amsterdam
6:30 PM
Joint Reception: Section on Political Sociology and Section on Sociology of Culture
Tuesday, August 19
513. Section on Sociology of Culture Paper Session. Cultural Industries: 20th Century Roots and 21st Century Challenges
8:30 am
Session Organizer and Presider: Rodney Benson, New York University
Corporate Capitalism on the Great White Way. Kyla Thomas, Princeton University
Art World Decentering? Cultural Production, Place, and the 21st Century Urban Field. Samuel Shaw, Vanderbilt University
Counting Clicks: Commensuration in Online News in the United States and France. Angele Christin, Princeton University
Turning Green into Gold: Cultural Pragmatics of the Open Access Movement in Academic Publishing. Casey Brienza, City University London Discussant: Rodney Benson, New York University
10:30 am
543. Section on Sociology of Culture Paper Session. Culture and Cognition
Session Organizers: Thomas DeGloma, City University of New York-Hunter College and Asia Friedman, University of Delaware
The Social Construction of Irrelevance: A Case-Study in the Sociology of Attention. Eviatar Zerubavel, State University of New Jersey-Rutgers
Presider: Thomas DeGloma, City University of New York-Hunter College
The Depth of Fields: The Optics of Scientific Disunity. David Peterson, Northwestern University
Drawing Lines with Numbers: Measurement and Quantification as Classification Instruments. Hector Vera, National Autonomous University-Mexico
Anticipating the Future: Temporal Regimes of Meteorological Decision Making. Phaedra Daipha, State University of New Jersey-Rutgers
12:30 PM
Session Organizer and Presider: Neha Gondal, The Ohio State University
571. Section on Sociology of Culture Paper Session. Culture and Networks: Connections, Meaning and Beyond
Culture and Networks in Everyday Interaction: Ambivalent Ties in a Housing Coalition. Paul R. Lichterman, and Nicole Esparza, Christopher Weare, USC
Umea University;
Finding Cultural Holes: How Structure and Culture Diverge in Networks of Scholarly Communication. Daril Vilhena, University of Washington; Jacob Gates Foster, University of California-Los Angeles; Martin Rosvall,
Washington;
Jevin D. West,University of
T. Bergstrom,
James A. Evans,University of Chicago; Carl
How Symbols Assume Multiple Meanings in One
University of Washington
Context. Danielle Hedegard,University of California-San
On the Road to Happiness: Mapping the Social-Cultural Identity of a Buddhist Community. Jose A. Rodriguez, Universitat de Barcelona; John W. Mohr, University of California-Santa Barbara
Diego
Style Popularity in High Fashion: Resilience, Replication, and Embeddedness of Cultural Elements. Frederic Clement Godart and Charles Galunic, Institut Européen d;Administration des Affaires
10
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Part II – AgriStability Participant Declaration
I hereby declare that the terms of this declaration shall govern my participation in the AgriStability Program in all years that I participate in that program, and that:
1. all of the information that I, my authorized representative and any other participant(s) named herein have provided to date or will provide to the Agriculture Financial Services Corporation (“AFSC”) in the future is accurate, true, complete, correct and not misleading. I also understand and acknowledge that I am obligated to ensure that all of the information that has been provided to the AFSC in relation to my farming activities and operations by me, my authorized representative and any other participant(s) named herein is complete, accurate, correct and true and is not misleading;
2. neither I, my authorized representative nor any other participant(s) named herein shall alter my or their farming operation, business structure or accounting methods in order to receive or attempt to receive a benefit or entitlement, or to attempt to receive an increase of a benefit or entitlement under the AgriStability Program except upon reasonable notice to the AFSC, whereupon the AFSC may in its absolute discretion make whatever adjustments it deems necessary to determine program benefit entitlement;
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Client Information
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Form A5006-03
AgriStability Participant Declaration
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3. I understand and acknowledge that I am required to provide the Agriculture Financial Services Corporation ("AFSC") with all information and records relevant to my farming operations, and the farming operations of any other participant(s) named herein, and that neither I nor any other participant(s) named herein will be relieved from any obligations or from any liability whatsoever in the event that incomplete, inaccurate, incorrect, misleading or untrue information has been provided to date or is provided to the AFSC in the future by me, my authorized representative or any other party, whether or not such information is provided or has been provided fraudulently, negligently or innocently to the AFSC;
4. I understand and acknowledge that I and any other participant(s) named herein may be denied payment of benefits, awards and the opportunity to participate in or to continue to participate in the AgriStability Program in the event that incomplete, inaccurate, incorrect, misleading or untrue information has been provided to date or is provided in the future to the AFSC in relation to my farming activities and operations, or in relation to the farming activities of any other participant(s) named herein, whether that incomplete, inaccurate, incorrect, misleading or untrue information is provided or has been provided to the AFSC innocently, negligently or fraudulently by me, my authorized representative or any other participant(s) hereunder;
5. I understand that the AFSC will rely upon the information that I, my authorized representative and any other participant(s) named herein have provided or will provide in the future in order to determine my entitlement and the entitlement of other participants named herein to participate in and receive payment of benefits and awards pursuant to the AgriStability Program;
6. I understand that any inaccurate, untrue, incomplete, misleading or incorrect information provided may adversely affect the AFSC and may adversely affect me and other participant(s) named herein;
7. I consent to the release of all of the information that has been provided to date or will be provided in the future by me and my authorized representative, including all of my personal information, including but not limited to, all such information provided to the Canadian Revenue Agency (CRA), Agriculture and Agri-Food Canada, AgriInvest Administrators, Alberta Agricultural and Forestry, all programs administered by the AFSC including but not limited to the Agrilnsurance program, AgriStability program, AgriInvest program, and AgriRecovery Initiatives and all other persons, agencies and parties as the AFSC in its absolute discretion deems necessary for:
(i) the administration of all current and future AFSC Federal and provincial programs related to agriculture, including but not limited to the AgriStability program, AFSC lending and AFSC insurance;
(ii) the AFSC, Federal and provincial policy and program development;
(iii) the AFSC, Federal and provincial policy and program evaluation;
(iv) research and statistical development; and
(v) statistical purposes.
8. I consent to the release to the AFSC of all of my information and the information of any other participant(s) named herein, and for the purposes set out in section 7 (i)-(v), including but not limited to my personal information and the personal information of any other participant(s) named herein as defined by the Freedom of Information and Protection of Privacy Act of Alberta, the Personal Information Protection Act of Alberta and any other Federal or Provincial legislation, relating to my farming operations and the farming operations of any other participant named herein, which is or may be in the possession of any other party, as the AFSC may in its absolute discretion require, including but not limited to records of commodity sales and purchases and farm input costs.
9. in consideration of the AFSC reviewing my application to participate in the AgriStability Program, for each and every year that I participate in the AgriStability Program I agree:
(i) to allow the AFSC and its representatives complete access to my farm and all of my farm records, and the said records of any other participant(s) named herein, wheresoever situated, immediately upon demand made to me or any other participant(s) named herein;
(ii) to notify the AFSC within sixty (60) days in writing of any changes to the information originally provided by me, my authorized representative or any other participant(s) named herein, including but not limited to receipt of any CRA Notice of Reassessment or other relevant information by me, my authorized representative or any other participant(s) named herein, for any program year or for any reference year;
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AgriStability Participant Declaration
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(iii) that AgriStability Program information, including but not limited to taxation records and all information provided to date and the future, may be combined with the information of other participants in the AgriStability Program for the purpose of determining AgriStability Program entitlements, and I consent to the release of that information to other AgriStability Program participants with whom I, or any other participant(s) named herein, am being or may be combined;
(iv) that I will be bound by and comply with all Federal and Provincial legislation, regulations and policy relating to the AgriStability Program, including, without limiting the generality of the foregoing, the provisions of the AgriStability Program Guidelines (as amended from time to time), the provisions of the AgriStability Program Handbook (as amended from time to time), and the provisions of any Implementation Agreement enabling and related to the AgriStability Program (as amended from time to time), each of which are incorporated by reference hereto;
(v) that the AFSC may deduct from my AgriStability Program benefit, or such benefit payable to any other participant(s) named herein, any amount which the AFSC in its absolute discretion determines is owing by me, or any other participant(s) named herein, to the AFSC, the Government of Alberta, the Government of Canada, or any Federal or Provincial department, agency or Crown Corporation;
(vi) that I shall immediately upon demand repay to the AFSC any and all AgriStability Program overpayments which the AFSC may in its absolute discretion determine that I, or any other participant(s) named herein, have received and that I shall pay interest to the AFSC on such overpayments calculated at the Canadian Imperial Bank of Commerce prime rate plus 2% per annum, adjusted quarterly and calculated 30 days from the notification date that I or my authorized representative or any other participant(s) named herein received payment, to the date of repayment in full to the AFSC. Any demand for repayment may be made by registered mail to the address described in Part I "Participant Information", and shall be deemed to have been received by me or my authorized representative and any other participant(s) named herein three (3) by remedies generally available to AFSC at law. I agree to pay all charges, costs or expenses incurred by AFSC, including its administrative and clerical costs, and its legal expenses on a solicitor and his own client full indemnity basis, related to the enforcement of any of my obligations under the AgriStability program; days after posting; I agree that payment of the amounts owing to AFSC are enforceable in the manner set out in the Act or
(vii) that the AFSC is not obligated to accept my application, my application submitted by authorized representative or the application of any other party for participation in the AgriStability Program, and that the AFSC has the absolute discretion to refuse my application, the application of my authorized representative and the application of any other party in the event that I, my authorized representative or any other party named herein fails, neglects or refuses to provide any documentation or information requested by the AFSC;
(viii) that I and any other participant(s) named herein may be denied current and future AgriStability Program participation and AgriStability Program payments in the event that the AFSC in its absolute discretion determines that:
(a) any information provided by me, my authorized representative or any other participant(s) named herein to the AFSC or to the CRA was at the time it was provided or subsequently became inaccurate, incomplete, incorrect, misleading or untrue, whether or not such inaccurate, incomplete, incorrect, misleading or untrue information was knowingly, intentionally, negligently or innocently provided by me, or on my behalf by my authorized representative or any other participant(s) named herein; or
(b) I, my authorized representative or any other participant(s) named herein have failed, refused or neglected to strictly comply with any of the terms or conditions governing my participation in the AgriStability Program, including but not limited to failing, refusing or neglecting to deliver documentation or information requested by the AFSC;
10. that in the event that I have signed this document on behalf of a corporate entity, I am an officer of that corporate entity with lawful authority to sign on behalf of that corporate entity, and that corporate entity is currently duly registered and actively carrying on business in Alberta and is properly and completely named and described in this document;
11. that I am obligated to retain, preserve and produce to the AFSC immediately upon demand all documents and records of every kind whatsoever relating to my farming activities and operations, and the farming operations and activities of any other participant(s) named hereunder, for the production year to which any application for an award or benefit applies, and also for a period of seven (7) consecutive years preceding the production year to which such application applies. I further understand and agree that, in the event that any of the documents or information in any form are in the possession of any other person or party I am obligated to recover and deliver all such documents and information to the AFSC forthwith upon demand by the AFSC, and I agree to fully cooperate with the AFSC in order to recover such documents and information and I agree to execute any and all further documents that the AFSC may request that I execute in order to recover such documents and information. I further agree that I shall be liable to pay for all costs incurred to obtain or to attempt to obtain such documentation or information;
AgriStability Participant Declaration
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12. in the event that my participation or the participation of any participant(s) in the AgriStability Program expires, terminates or is terminated for any reason, then my obligations hereunder and the obligations of any of the other participant(s) named herein shall survive such termination;
13. my obligations and the obligations of any other participant(s) named hereunder shall continue and shall survive in the event that there is a material change or a nonmaterial change of any of the terms or conditions of the AgriStability Program; and
14. all claims that I make or that are made on my behalf or on behalf of any other participant(s) named herein may be subject to either or both a pre-payment and a post-payment audit as directed and deemed appropriate by the AFSC in its absolute discretion. I shall fully cooperate with all such audits. The AFSC shall be entitled to audit all claims or the documentation or information submitted in support of any claim, including but not limited to claims or the documentation or information submitted in support of any claim that have been audited, reviewed or otherwise approved by an accredited accounting firm or designated individual or financial institution, notwithstanding that any claim or the documentation or information submitted in support of any claim has been accepted or otherwise determined to be correct by the CRA.
Signature - Participant / Signing Officer
Date:
Printed Name - Participant / Signing Officer
To contact AFSC or submit forms
Please return signed Declaration to the address below or drop off at your local AFSC Branch. Faxed or emailed copies will not be accepted. If you have any questions or concerns please contact AFSC toll free at 1.877.899.2372.
Address: AFSC, AgriStability Administration 5718 56 Avenue Lacombe, AB T4L 1B1
Website: www.AFSC.ca
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TARGETING DOCUMENTATION: STEPS FOR IDENTIFYING THE ULTRA POOR FOR FONKOZE'S CHEMIN LEVI MEYO PROGRAM
by
Karishma Huda
Table of Contents
1. Introduction
1.1 The CLM Program
Fonkoze's Chemin Levi Meyo (CLM) program, which translates to Path to a Better Life in Creole, is a unique approach towards microfinance. Drawing inspiration from BRAC's Challenging the Frontiers of Poverty Reduction/Targeting the Ultra Poor (CFPR/TUP), CLM enables the ultra poor in Haiti to "develop new and better options for sustainable livelihoods by strengthening their physical and socio-political asset base" (Matin and Hulme, 2003). The ultra poor are subjected to a complex set of deprivations that require more than credit inputs to overcome. Coupled with income generating opportunities, the ultra poor require social safety nets that address the various dimensions of poverty that plague them.
Microfinance organizations have generally bypassed the poorest due to their intricate set of needs and coined them as high risk cases. In the context of Haiti, however, CLM embraced the inclusiveness of the poorest sector of the population by adopting BRAC's methodology of "pushing down" (drawing upon the knowledge of local villagers to target the absolute destitute within their village), and "pushing out" (realizing that the ultra poor need not only credit, but a holistic poverty alleviation approach with social development at its core) (Matin, 2005).
If targeting the ultra poor can be drawn through a Venn diagram (see Appendix 1), where one circle represents the poor who are dismissed by traditional development efforts, and the other circle represents the poor who are accepted into mainstream microfinance, CLM could be seen as concentrating on the overlapping shaded area between the two spheres. Through this innovative program, CLM attempts to bring the traditionally excluded ultra poor into the microfinance realm by offering them a strategic set of inputs: assets, healthcare, stipends, entrepreneurial training and supervision.
1.2 The Targeting Process
Fonkoze's targeting approach incorporates a strong participatory ethic, where the community themselves play an integral role in selecting the ultimate beneficiaries. This combines programmatic and local streams of knowledge (Matin and Halder, 2002), where various perspectives are combined to ensure proper targeting of the ultra-poor. This
bottom-up approach involves the following main stages: determining a target area, engaging with the community, home visits and selection.
2. Targeting stages
2.1 Determining a target area
Materials needed: the most recently published poverty map
Time needed: 2 hours
Targeting team members needed: 2-3
2.1.1 Reviewing of the poverty map
As a starting point to the targeting process, a poverty map is obtained from the ministry of social welfare that clearly shows all of the habitations of a communal section
1.
The map defines the boundaries between the habitations, presents major geographic
landmarks such as roads, mountain ranges, rivers, etc, and gives an approximate number of households for each habitation. While this information is relevant, the
ministry's latest maps are approximately 8 years old – therefore the information must be verified through actual field research.
Once the poverty map has been reviewed, the targeting team selects a habitation to commence targeting with the objective of eventually covering every habitation in that
communal section. Fonkoze/Concern should engage with only 1 habitation at a time, for feasibility, until all habitations of the communal section have been targeted.
2.2 Engaging with the community
2.2.1 Segmentation mapping
Materials needed: large butcher paper, markers
Approximate time needed: 3 hours
Targeting team members needed: 2
1 The administrative divisions in Haiti are as follows: Department, Arrondismment, Communal Zone, and
Habitation. A habitation is in the lowest administrative division in Haiti.
5
Upon initiating the targeting process in a habitation, the targeting team first finds approximately two key individuals to provide local insight and guide the team through every step of the process. By walking around the habitation and interacting with the local community, the team can easily identify two individuals who are well respected by the community, knowledgeable about the intricacies of the area, and committed to helping the team with their targeting efforts.
Due to the prevalence of a wide mixture of poverty levels in rural Haiti, it is impossible to isolate "the poorest" areas – for instance, homes are often miles apart from one another, and non-poor households are in the same proximity as very poor households. This implies that every home in a habitation needs to be evaluated in order to identify the poorest.
Because habitations consist of anywhere between one-hundred to three-hundred households (approximately), the targeting team collaborates with the local community to divide a habitation into segments of fifty households 2 . These segments are then targeted separately – each has their own separate wealth ranking, preliminary selection, and final selection. The segmentation is a way of dividing the habitation into "bite-sized" components, making the targeting process of such a large area more feasible.
In order to divide a habitation into segments, the team does the following:
- Meets with local community members to draw a habitation map with all major landmarks, roads, rivers, prominent households, etc.
- The local community defines sub-regions of the habitation on the map, as well as the approximate number of households in each sub-region.
- With the help of the community, the team divides the map into segments of approximately fifty households (trying to adhere to natural boundaries such as rivers, roads, etc.)
Selection of a segmentation mapping venue
The team, along with the key individuals, selects about 10 community members to sit together and draw a segmentation map of the habitation. It is imperative that this
2 Normally, wealth rankings are done with no more than one-hundred households – because houses in Haiti are geographically so far apart from one another, wealth rankings should consist of even a smaller number of houses. For instance, two houses that are 10 kilometers away from each other will be able to disclose very little information about one another – thus including them in the same wealth ranking would not be very useful. Therefore, after the map is drawn, the team should consultatively decide to divide the map in segments of fifty households
activity occurs somewhere neutral (i.e. in neither a church nor a vodou temple so as not to exclude any participants), in a centrally located area that is reasonably accessible by all of the participants, and in a quiet location free from external disruption. A village school (with a door that is able to close) is typically an appropriate venue. The key individuals are instrumental in selecting this locality.
Meeting introduction
Once all participants have come together in this locality, the meeting commences with an introduction by Fonkoze targeting team members. The targeting team will typically consist of the CLM case manager as well as a few other individuals trained in Fonkoze's targeting methodology. Because the segmentation map meeting is the first formal encounter with the community, it is the team's opportunity to lay the foundation for the targeting process. In the introduction, the Fonkoze targeting team sets out the following objectives:
- Explain to the community that Fonkoze is undertaking a new project in this area, for which a tremendous amount of information pertaining to the habitation and its inhabitants is needed.
- Convince the participating members that Fonkoze's work rests on their knowledge and their willingness to share this knowledge with the team
- Communicate that this meeting will be followed by a wealth ranking meeting, for which their presence is also requested
- Engage in dialogue by answering any questions that the participants may have about the meeting, Fonkoze's use of the information, etc.
Although participants will press for specifics, it is important during the targeting process not to convey that the information will be used toward the selection of CLM participants. This is to limit information distortion due to heightened community expectations. Although participants are usually aware that the targeting is part of some sort of selection process, the team should make a concerted effort to be as neutral as possible in describing their intentions. The team often refers to the process as information collection for a project that is not yet defined.
Drawing of the map
After the introduction, a participant volunteers to draw the map of the habitation on a large sheet of butcher paper taped to the wall. The team may have an outline of the habitation already prepared on the sheet (taken from the poverty map). This map is just a basic outline of the habitation. Although one volunteer holds the marker and is the designated map artist, the participants collaboratively provide specific geographical information to add on to the map, such as major rivers, roads, mountain ranges, etc. The participants also help the map artist to divide the habitation into the various sub-regions that exist, and mark a few of the major landmarks (i.e. key households, vodou temples, churches, etc.) This map does not need to be particularly detailed – it is simply a starting point which will be elaborated upon in the participatory wealth ranking.
Although one person is the designated map artist, the process is very interactive, with participants often huddled around the butcher paper specifying exactly where on the map these localities are. The purpose of this consultative, community engaging approach is to combine different streams of knowledge into the targeting process. It is important, therefore, to have a balanced gender mixture and to have a diverse group of participants. Fonkoze solidarity group centre chiefs, for example, provide a very different perspective from Fonkoze staff or community village elders – all of these varying perspectives should be incorporated into every step of the process.
Segmentation of the map
Once the participants are satisfied with the accuracy of the information on the map, they then approximate the number of households that exist in each sub-region. This involves discussion at length, and once an average number is agreed upon, it is placed on the map. This step is crucial, for this is what determines how the habitation will be segmented. As mentioned, it is necessary to divide the habitation into "bite-sized" components of around fifty households to make the wealth rankings and the targeting of everyone more feasible. Therefore, if approximately two-hundred households exist in the habitation, the map should be divided into approximately four segments. This translates into four separate wealth rankings to cover this habitation. 3 Once the team effectively communicates his point to the participants, they proceed to segment the habitation map into households of fifty. Natural borders such as rivers, etc. are taken into account so the
3 It is a valid concern that the targeting process is labor intensive, and conducting all of the targeting steps four times around just to cover one habitation will be time-consuming and onerous. The solution should not be to consolidate segments or skip steps. As stated previously, households all along the socio-economic spectrum exist within one geographic area. Therefore, effective targeting can only be done by capturing every household in the process. Instead, expanding the targeting team so there is more efficient division of labor would make the targeting tasks more feasible without sacrificing effectiveness. Additionally, rural Haiti is land abundant, scarcely populated and mountainous, contributing to the fact that homes are far apart and situationally placed upon difficult terrain. This implies that properly utilising local knowledge to pre-determine the poorest households and their location will significantly minimise the effort of the targeting team. This will be further discussed in the participatory wealth ranking section.
divisions are as natural as possible. As soon as a consensus is reached on how these segments should be divided, the segmentation borders are drawn on the map.
2.2.2 Participatory Wealth Ranking (PWR)
Materials needed: flipchart, easel, markers, ash, a large stick, stones, leaves, twigs, index cards, notepad, pen, refreshments
Approximate time needed: introduction (30 min.), criteria listing (1 hour), village mapping (1 hour), wealth ranking (1 hour)
Targeting team members needed: 3
The wealth ranking meeting is scheduled typically for a few days after the segmentation mapping, and the main objectives are as follows:
- To understand local criteria for the different socio-economic categories that exist in the area
- To draw a map of the local area that shows the placement of all households that exist in the area
- To categorize each household according to their socio-economic grouping
The PWR meeting is crucial to the targeting process, "as it is through this process that community knowledge on poverty is incorporated with other knowledge sources to identify the ultra poor" (Ali, et al, 2004).
Preparation for the PWR
It is imperative to have a large number of attendees at the PWR (approximately 30-40) that represent varying occupations, socio-economic backgrounds, and a mixture in gender. In order to ensure this, the invitational process is a crucial element. The team, along with the help of the key informants and the participants of the segmentation mapping, decide the day after the segmentation mapping meeting whom they would like to invite to the PWR meeting. They compose a list of names, and draft invitational letters to each household informing them of the PWR meeting, and cordially requesting their attendance. Regardless of literacy level, the extension of these formal invitations is a necessary gesture to make community members feel welcome and to ensure their presence.
Similar to the segmentation mapping meeting, a neutral venue that is accessible by all is chosen by the team and the key informants to hold the PWR meeting. Approximately three hours are set aside for the meeting, for which reason it should be scheduled to end either by lunchtime, or commence after lunchtime 4 .
Three team members are needed to conduct the PWR:
- facilitator – the facilitator should be a dynamic speaker trained in participatory methods. It is the facilitator's role to lead all the PWR activities, encourage participation among everyone, mediate when participants attempt to control the discussion, and keep the energy level high so participants do not lose interest.
- facilitator's assistant – this person is responsible for making a list of all of the household names as participants place the name cards on the area map, ensuring that the name cards are in tact as participants walk around, keeping time of the activities so they do not run too long over the allotted limit, and assisting the facilitator however else is deemed necessary
- map artist – the map artist's duty is to transfer the area map as it is being constructed on the ground onto a flipchart
People who have not been formally invited will undoubtedly arrive at the meeting. It is the responsibility of all the team members to ensure that small children are asked to leave. Also, there should be limited entry of individuals without letters of invitation to keep the number of participants to approximately forty people. While a mixed audience is necessary, the number of participants should not get too high in order to maintain order during the discussions.
After most people have arrived, the facilitator commences by thanking participants for their attendance, introducing the team members, stating the objective of the meeting without revealing too much about how the information will be used (as in the segmentation mapping meeting), and laying out the schedule of activities planned for the meeting. S/he also takes their questions/comments, allaying any suspicions or concerns that they may have 5 .
4 Approximately half an hour should be added on to this step, as participants will arrive late and slowly trickle in.
5 This will be discussed in more detail in "Challenges and Biases".
Criteria listing
In the first part, the participants are asked by the facilitator to establish five social categorizations that describe the economic levels of the people in that habitation: very rich, rich, middle, poor, very poor. It is imperative that they use their own local terms for these categories. As a tool, the facilitator often draws a vertical "wealth line" on the flip chart, with the top of line representing the very rich and bottom of the line representing the very poor. S/he then draws three other points in between, each point from top to bottom representing a socio-economic category from richest to poorest. Once this is done, the facilitator asks the participants to label each of these socio-economic levels. This is a way of getting the participants to use their own language to describe these categories without the facilitator having to impose his/her concepts of labels.
Participants are then asked to state their criteria for each of these categorizations. It is important for the facilitator to assert that this criterion pertains to the economic levels that exist in that particular habitation – for example, their criteria for the very rich in Port-au-Prince is not relevant for this exercise. The facilitator often asks who the richest person is in the area, and asks what makes that individual very rich. This is a way of grounding the concepts to their reality, rather than coming up with theoretical criteria of what the rich should have. Answers often resemble things like several animals, large amounts of land, few children, a few different wives, a tractor, a large amount of fertile land etc. The facilitator writes all the criteria down on a flip chart, making the list as exhaustive as possible and ensuring that everyone participates in the discussion. This exercise is repeated for all five categories, with the very poor often being described as beggars, not having a home, having no family networks, going 2-3 days without food, etc. If there is a discrepancy in the criteria (for example, a rich person is stated to have more donkeys than a very rich person), the facilitator goes back to the criteria for the other categories and presses the participants to rethink the concepts (i.e., "how can a rich person have more donkeys than a very rich person? If the richest person here has 4 donkeys, than think of a person here who is a little less rich than him–who is he? How many donkeys does he have?) This is a way of helping the participants to think critically, and to cross-check the criteria to ensure that it is accurate and follows a logical order.
Once all the criteria have been recorded for all five categories, the facilitator goes back and reviews it all with the participants. S/he encourages the participants to change any criterion that does not fit or to add anything they may have forgotten.
Area Mapping
Once this is completed, the area mapping can continue. During this second phase, the facilitator selects two people from the audience (preferably a man and a woman) to volunteer as the map drawers. These two individuals, along with the help of the others in the audience, recreate the area segment on the floor using local materials (i.e. chalk, ash, rocks, sticks, etc.) The facilitator reiterates that this is not the map of the entire habitation, but a particular segment of the habitation (the segmentation map is posted up for reference).
Just like on the segmentation map, all the major roads, rivers, landmarks, etc. are recreated on the floor map. Using a stick, the map drawers trace the boundaries of the area on the ground. It is up to the participants to gather the materials they need and utilize them as they deem appropriate. Typically they use stones to mark mountains ranges, twigs to mark rivers, and leaves to mark major landmarks such as vodou temples, churches, major households, schools, etc. Once everyone has reached a consensus that the boundaries, roads, etc. are accurate, the facilitator traces over the stick drawn lines with ash. Using local resources to draw the map is a PRA tool 6 that enables participants to have ownership of the process. The event is designed in a way to not only provide invaluable local knowledge to the targeting team, but for the participants to enjoy themselves through community interaction and hands on participation.
The facilitator's role is particularly important in this phase. This exercise is very participatory, with many people walking around to pinpoint things on the map, speaking at the same time, and often arguing with one another over the location of things. While intense engagement and the blending of varying perspectives are necessary for accurate information, the facilitator needs to maintain order. The exercise tends to become male dominated with the women standing on the sidelines, so it is also the facilitator's role to encourage women to contribute their knowledge to the exercise. At the same time, the facilitator must let the people lead the exercise without imposing his/her own methods of working – a delicate and difficult balance to maintain.
Once the area map has been finalized on the ground, the map drawer transposes the same map onto the flipchart. This map, which will eventually also have the households on it, will act as a guide for the team when they go to conduct home visits. Because the
6 PRA is "a family of approaches, behaviours and methods for enabling people to do their own appraisal, analysis and planning, take their own action and do their own monitoring and evaluation." (Chambers, 2002)
homes in rural Haiti are not clustered, but very far apart from one another, this map is a necessary tool to effectively conduct the home visits for preliminary and final selections. 7
This floor map also acts as a visual aid - participants can use this visual representation of the area to accurately position households on the map. The facilitator and his assistant write the name of each household on an index card. The participant map drawers, with the help of the other attendees, indicate where on the map each household is located. The facilitator then places the index card in the relevant location on the floor map.
This phase requires the collaboration of all targeting team members: while the facilitator places the household index cards on the map, the facilitator's assistant simultaneously writes up a master list of all of the households that exist in this area. It is important that the master list contains both the proper name and nickname of the head of households to avoid any later confusion. The map artist on the team transposes the households placed on the floor map onto the flipchart map. Through effective division of labor, the team has come up with an accurate map as well as a comprehensive list of households in a minimal amount of time. These will be necessary in the following targeting phases: the wealth ranking and home visits.
Wealth Ranking
The completion of the area mapping session is an appropriate time to take a break before the wealth ranking commences. The team thanks everyone sincerely for their participation and offers them all cold drinks and snacks for their dedication.
As the group breaks, the team approaches seven individuals to participate in the wealth ranking session. During the area mapping, the team pre-identified six participants who were very involved and had a good understanding of the local area as well as its inhabitants. This group, along with the key informant, is invited to stay on for another hour to offer their assistance in the wealth ranking session.
After refreshments, these 7 individuals are taken to another location nearby, such as an empty school, one of their homes, etc. The team gathers all the cards representing the households as well as the socio-economic criteria that participants listed early on, and initiates the wealth ranking. The team members explain that this session is particularly sensitive, as participants will now be asked to categorize each household according to their socio-economic standing and justify why. They state that the information will be
7 This will be discussed in greater detail during the "Home Visits and Selection Section".
kept confidential and not disclosed to other village members. While it is natural that participants may be tempted to classify themselves or their family members as poor in order to be eligible for Fonkoze's program 8 , accurate information is vital if the program is to be implemented successfully.
The team puts each of the socio-economic categories on to a label, and places the label on the ground. The facilitator then goes through each index card, and asks each of the 7 members in which category this particular household belongs. Once an agreement has been reached, that index card is put with the relevant socio-economic category on the ground. By the end, the team members have 5 piles of index cards on the floor (each pile representing a category).
In many instances, there is a unanimous decision. But more often than not, there is disagreement and participants quarrel among themselves. The facilitator's role here is to ask everyone to justify their answers – for example, a participant may say "X is poor because he has 6 children who do not go to school, he only has 2 goats and goes 2 days at a time without food." Participants may argue about this back and forth, and the facilitator should be encouraging of the debate. It is only through this engagement that a thorough and accurate decision about each household can be reached. If they do not reach a consensus on their own, the facilitator refers them back to their stated criteria – "for a poor person, you said that s/he has to have these following traits: does this person possess these traits?" – and s/he goes through each criteria one by one. Through this process, a consensus among the participants usually comes about.
After each household has been categorized, the facilitator does a final review of the piles. This is the participants' opportunity to change their minds and recategorize households into different piles should it be necessary.
The logic of having a small group conduct the wealth ranking lies in accountability. While testing the methodology, we conducted the wealth ranking with all forty or so participants. With so many people, it is difficult to have every individual explain their reasoning behind their decisions, which is the most important part of the process. It is also difficult to manage the debates among so many people. Emotionally, participants also feel important at being selected to disclose such delicate information to the targeting team, and therefore take the responsibility much more seriously.
8 This will be discussed in more detail in "Challenges and Biases".
Once the wealth ranking has been finalized, the facilitator's assistant jots down each household and its relevant category in a notebook. The team then thanks the participants for staying on longer than all others to help them with this initiative, and for providing such sensitive and critical information candidly. The team then assures them that when they go to each of these households to assess their living conditions, they will not reveal anything that was discussed. It is important to reiterate to participants that this information will be verified as a way of ensuring honesty and promoting objectivity in the discussion. It is also important to emphasize to them that their information is the foundation of Fonkoze's work - a project designed to benefit the area could never ensue without their local knowledge and expertise.
2.3 Home visits and selection
Materials needed: area map (constructed by the participants), master list of households and their respective socio-economic categories, KAT evaluation forms, a clipboard,
pen/pencil
Approximate time needed: one half day
Team members needed: 4
All the previous targeting processes culminate to these final steps: preliminary and final selection of CLM participants. The focus of the wealth ranking results is the two last
socio-economic categories: poor and very poor. Typically, many households will be classified as poor, and few as very poor. To get an accurate sense of who may qualify to
participate in CLM, the team should visit all households from both categories. The objectives of the home visits are as follows:
-
To verify the accuracy of the information received during the participatory wealth ranking session
To select CLM beneficiaries based on physical observations of their living conditions and personal accounts of their socio-economic status
- To initially engage with potential program recipients
2.3.1 The "home visit" team and their approaches
Each home visit is typically done with two individuals from the targeting team. If the targeting team has 4 people, for instance, they can divide into two teams and complete
all the home visits faster. The area map is their guide to locating each of the homes.
15
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If both individuals on the "house visit team" are very familiar with the KAT Evaluation 9 , they may both choose to ask questions from the survey through casual rapport. They can then complete the evaluation once they have left the household. This method is preferable. However, if one member is not that familiar with the KAT evaluation, perhaps s/he will stand in the background and complete the form while the other member engages in rapport. Regardless of the method, at least one of the two individuals should know the KAT evaluation well, and questioning should occur in a natural, unobtrusive way.
It is advised that only two members conduct the home visit so as not to intimidate household members. The interaction should be as natural as possible. For this reason, it is also advised that team members do not approach the households with clipboards, forms, or behave in a manner that will create suspicion among those in the household. Although the team's objective is to get all of the KAT evaluation questions answered, this should be done casually and amiably.
For instance, several of the questions on the KAT evaluation (i.e. the type of house, what the roof is made of, whether there is a latrine, etc.) can be answered through physical observation. For other questions that require more insight, indirect inquiry is preferred to direct, intrusive questioning. Rather than ask questions directly from the survey, such as "do you have a radio?" the question can be better phrased as "did you hear the latest news on your radio this morning?" Not only is this form of inquiry more engaging and friendly, household members are likely to be more honest if they do not feel like they are under interrogation.
2.3.2 Preliminary selection
Usually the day after the home visits, the targeting team sits together with the KAT evaluations to do the preliminary selection of CLM participants. The points on each KAT evaluation form are calculated, and a preliminary list of participants is made based upon these points. However, participants are not selected solely on this point system - the team discusses each of these individuals in depth, recollecting their situations, characteristics, and putting forth their recommendations of who should be selected for the program from this list. It is therefore necessary for this meeting to take place while the encounters with household members are still fresh in their minds. In-depth notes on the KAT evaluations help jog team members' memories for the discussion– for example,
9 Fonkoze's poverty scorecard used to collect baseline information, as well as determine which Fonkoze programme individuals fit into (i.e. Kredi Solidaire, Ti Kredi, CLM).
members often write "good candidate for CLM" on the actual KAT evaluation form after a house visit.
The following criteria are often considered favorable for preliminary selection 10 :
- Poor living conditions (mud home with thatch roof, no bed, etc.
- The household provider is an able bodied woman with little to no financial support
- Dependents
- Having difficulty finding food everyday
- Low level of income earned fro low-wage labor or begging
- Owning no animals or fertile land
- Not owning any luxury items (i.e. radio, T.V., furniture, etc.)
The team devises a final preliminary list of all candidates whom they believe should be selected for the CLM program. This list consists of typically ten to twelve names.
2.3.3 Final Selection
After the targeting team pre-selects the households that qualify for the CLM program, a final selection is to be done by the CLM Program Director and any other executive decision-makers who oversee the program. 11
The final selection committee is to go to each of the households the targeting team preliminarily selected to verify that they are in fact qualified for the program. They are to conduct a similar rapport session with the household members to mainly determine if they own any productive assets, receive significant assistance through remittances or local kin, or if they are physically unable to work – as these are the main exclusion criteria for program.
This final step can be a bit contentious, as the arrival of senior level officials and repeated home visits can raise expectations or suspicions of household members. However, as mentioned previously, the targeting process is intended to intertwine different levels of knowledge – therefore, the perspectives of those individuals who have spent years in the field and are in tune with Fonkoze's institutional objectives are just as relevant as the local, community perspective.
Out of approximately ten to twelve households, the final selection committee is to approve roughly 6 to 8. They are then to have a discussion the next day with the
10 This is not an exhaustive list.
11 This final step of the methodology has not yet been tested
targeting team to discuss these results. The idea is for the two teams to debate any disagreements that exist in the selection until the ultimate list of participants who are to receive the assets are decided upon.
3. Targeting Criteria
Fonkoze's targeting strategy is unique in the sense that it is designed to be adaptable to its multi-tiered microfinance structure. In essence, everyone categorized as poor or very poor and that score within a specific point range spectrum have a place in the program – if not in CLM, then in Ti Kredi or Kredi Solidaire.
The selection decisions are based upon pre-defined program criteria, as well as the ultimate decisions from the household visits. Annex 2 illustrates the different inclusion and exclusion criteria for the final selection. In order to be eligible, a household must meet at least two of the inclusion criteria, and cannot meet any of the exclusion criteria.
The targeting team develops strong impressions of the household members, and sometimes morally disagrees with the exclusion criteria – as one Fonkoze targeting team member stated "he is so poor, he has nothing – just because he is a man, he should not be excluded." While this can be disheartening for the team as well as some household members, the exclusion/inclusion criteria were carefully thought out to coincide with Fonkoze's social objectives and to add objectivity to the targeting process.
CASESTUDY OF ASELECTED CLM B E N E F I C I AR Y
Richer Solange
Richer Solange was one of the first selected to receive an asset under the CLM program. She lives in a small one-bedroom shack in the centre of Boucan Kare which she shares with her seventy-six year old mother and four small children. A widow, she is the sole income earner in the family.
Richer washes clothes in neighbors" homes, and this is the only source of income for her family. "It is frustrating," claims Richer, "because sometimes I work and do not get paid. There are days that my mother and children go without eating. Once, my family went 3 days in a row without food because people were not paying me."
Richer's mother, Senioresse, is a beggar. As a supplement to Richer's income, she usually begs for food and occasionally receives money from the priest. Her children do small jobs for a bit of food as well. One of her children attends school, as there is a well-established neighbor who pays the school fees.
Richer is resigned to the fact that her situation will never change. When she was informed that she will be a beneficiary of the CLM program, she felt more optimistic about her future. Clearly, handing her an asset is only half of the challenge. If coupled with the proper guidance, the CLM program has the potential to bolster her self-confidence and help her to recognize her entrepreneurial capabilities. "I don't know if things will change," she said, "but at least there is a chance that it will."
4. Challenges Occurred and Biases Present
While the steps may appear to be clear cut and simple to implement, in the testing of the methodology as well as the first initial targeting sessions, we encountered several challenges.
4.1 Striking a Gender Balance
One of the most challenging tasks of the targeting team is to be pro-active about striking a gender balance, as men have a tendency to dominate the participatory activities. During the wealth ranking for instance, women most often remained on the benches while the men were involved in drawing the floor map. When the women were asked why they were not participating, a common response was "the men are doing fine, they do not need us."
The key informants chosen to assist in all steps of the targeting process often contribute to this exclusion of women. There were instances when these key informants were overpowering the discussions, silencing women when they attempted to speak, and selected only men to participate in the wealth ranking exercise. His justification would often be that "Haitian men take the initiative in the outside world; the women do not know how to do anything outside of the house."
Although the targeting team have several responsibilities upon their shoulders during this targeting process, one of the most important ones is to constantly encourage the women to share their knowledge and to relegate the voice of overpowering male participants. In the end, it is preposterous to marginalize the voices of those individuals whom this program seeks to empower, and to allow for this to happen would be going against the program's explicit mission.
4.2 Accuracy of information
Although the targeting team remains evasive about what all of this community information will be used for, participants usually deduce that Fonkoze's objective is to "give something" to certain individuals within the community. This will be even more prevalent as the targeting process spreads, and asseting as well as targeting take place in areas that are nearby to one another.
This situation is difficult to manage and in most cases unavoidable, but can have serious consequences. For instance, if individuals suspect that either they or a family member are potential beneficiaries, it is common to exacerbate the severity of their socioeconomic situation. In one case, the key informant was a priest who was described by the others as "rich" in the wealth ranking. He was well-dressed, earned a higher income than most in the village, and lived in a large, concrete house. However, he kept insisting that he was "rich in spirituality, but financially very very poor." This caused a huge argument in the wealth ranking that was difficult to quell. There were several discrepancies such as this, where households were described by one group as extremely poor, and another group as rich.
The targeting team managed the situation tactfully by forming a smaller committee of participants to review the wealth ranking results after the official wealth ranking was done. They ensured the participants of the smaller committee that home visits will be conducted to make sure that the households match the socio-economic category that they were placed in. Therefore, it is in no one's interest to misrepresent families. They also emphasized that as trusted members of the community to be as honest as possible. One targeting member stated, "we are here to try and think of ways to help the members of this community. If you give us incorrect information, we will not be able to help the ones who need it. So please, appropriately sharing your knowledge is vital for us to help those in need here." In this sub-group, results were drastically changed – families were switched around from poor to very rich, from medium rich to very poor, etc. and everyone expressed their opinions. During the home visits, these final results were indeed more accurate than the first set of results from the larger wealth ranking.
It is rational behavior to try and gain something for those closest to you if the opportunity presents itself, in which case it is understandable that participants would strategically place households in categories where they seemed most likely to "get something." Targeting team members should thus expect this, and deal with the situation in a professional manner where they maintain "quality control," but without dispelling anyone's opinion.
5. Conclusion
Fonkoze, with the assistance of Concern, has devised a targeting methodology modeled after BRAC's CFPR/TUP program, but tailored to the Haitian context. The intent behind this methodology is to "combine local knowledge on poverty with academic and programmatic conceptions of poverty to find and identify the appropriate ultra poor." (Matin and Halder, 2002)
Although the steps are clearly defined in this document, complications will undoubtedly arise in their implementation. The targeting process does not necessarily follow a smooth, linear trajectory, for which reason there should be no expectations of what the steps "should" look like. A participatory targeting approach also depends greatly on the dynamic between the targeting team and the community. The community's provision of information is dependent on trust. These relationships take time to harness, and thus targeting experiences in different localities will not necessarily resemble one another.
It is not effective to force each step of the process to fit the "mold" outlined in this document, as this is a guide to be built upon rather than a manual to be followed step by step. The core of this methodology is "handing over the stick" to community members rather than maintaining a strong grip on its execution and results. It is therefore important to listen to the participants, adhere to their ideas, be innovative and adaptable to each situation, and record lessons learnt from each experience.
References:
Ali, T., et al., "Stories of Targeting: Processing Documentation of Selecting the Ultra Poor for CFPR/TUP Program," Dhaka and Ottawa: BRAC and Aga Khan Foundation, 2004
Huda, K., personal communication, Aug. 4, 2006
Matin, I. and Halder, S. "Combining targeting methodologies for better targeting of the extreme poor: some preliminary findings from BRAC's CFPR/TUP program," Dhaka: BRAC, 2002 (unpublished BRAC research report, mimeo), 20 p.
Matin, I. and Hulme D., "Programs for the poorest: learning from the IGVGD program in Bangladesh," World Development 2003:31 (3): 647-65
Appendices:
Appendix 1: Selection of CLM Participants
Ultra poor
who are bypassed
by microfinance
institutions
Poor who
integrate into
mainstream
microfinance
Beneficiaries Selected
for CLM
Appendix 2: Criteria for selection
Appendix 3: Illustration of Targeting Steps
Criteria Listing
Facilitator listing socio-economic criteria with participants as part of the PWR (Participatory Wealth Ranking)
[Section 2.2.2]
Area Mapping
Facilitator's assistant making a final list of the households. The household names are written on the index cards and placed on the floor map.
[Section 2.2.2]
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Information Technology Policy
This policy provides guidance about acceptable use and security of IT resources including hardware, software and networks, provided by Riverside Training. This policy applies to all access relevant to the company whether this is on a computer/lap top on company premises or mobile use of a laptop at home and use of software through a home computer.
The policy establishes a framework and describes the standards that users are expected to observe when using these facilities and ensures that users are aware of the legal consequences attached to inappropriate use of the facilities.
This policy should be read in conjunction with other policies and procedures pertaining to acceptable standards of conduct and behaviour that can be found in the Staff Handbook and Health & Safety Policy.
This policy complies with the Regulation of Investigatory Powers Act 2000, Tele communications (Lawful Business Practice) Interception of Communications) Regulations October 2000, the Human Rights Act 1998 and the Data Protection Act 1998.
This Policy will be monitored and reviewed on an annual basis by the Strategic Management Group.
Context
All Riverside Training's IT facilities and information resources remain the property of Riverside Training. By following this policy, it will help to ensure IT facilities are used:
o legally;
o securely;
o without undermining Riverside Training;
o effectively;
o efficiently;
o consistently; and
o in a spirit of co-operation, trust and consideration for others;
The policy relates to all Information Technology facilities and services provided by Riverside Training. All staff and learners are expected to adhere to it.
Responsibilities
Riverside Training uses the services of a specialist IT Support who can be contacted through the Office Manager.
Individual users should inform the Office Manager if IT equipment in their work space fails to operate and the Office Manager will arrange for IT Support to be contacted.
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IT Policy V1.1
Precautionary and Disciplinary Measures
Deliberate and serious breach of the policy statements will lead to disciplinary measures being taken as outlined in the Staff Handbook which may include the offender being denied access to computing facilities.
2.1 Copyright:
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Any employee found to be accessing the company network and/or associated software packages with another employee's password without the authorisation of the Office Manager will be dismissed.
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Users should avoid using email where conflicts arise. An email can be easily misinterpreted; users are advised to speak to individuals directly if the content of an email may create confusion, misunderstanding or conflict.
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Don't forward emails warning about viruses (they are invariably hoaxes and IT Support will probably already be aware of genuine viruses - if in doubt, contact them for advice).
Email etiquette:
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Monitoring of emails
The company regularly monitors all employees' email traffic; however, it is company policy not to view the content of any employee's emails unless:
During the monitoring process it is identified that there is excessive email traffic to nonbusiness related contacts.
They form part of a formal disciplinary investigation.
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Employees caught utilising the company computer and internet systems for personal usage in working time will have formal disciplinary action taken against them.
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The company regularly monitors all employees' internet access logs, however, it is company policy not to view the internet sites visited by employees unless:
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o During the monitoring process it is identified that employees have been actively accessing pornographic or other unsuitable sites.
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Any employee found using company equipment to download or store pornographic, offensive or otherwise unsuitable material will be dismissed.
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Care of equipment:
Don't re-arrange how equipment is plugged in (computers, power supplies, network cabling, modems etc.) without first contacting IT Support.
IT Policy V1.1
Don't take food or drink into rooms which contain specialist equipment like servers. Access to such rooms is limited to authorised staff.
Environmental impact of IT
Riverside Training is committed to reducing the environmental impact of its services, wherever possible, and to this end has introduced a number of measures:
1. Automatic shutdown of computers when not in use,
2. Recycling of printer cartridges and waste printed output, and
3. Double-sided printing on the photocopier
4. Black and White photocopying will be set as default unless otherwise selected.
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Prospective, non-interventional, uncontrolled, open-chart, pharmacoepidemiologic study of prescribing patterns for anti-diabetic drugs at tertiary care hospital in Erode
Radhika P. R., Nandha Kumar J., Chetan H. Borkhataria
Nandha College of Pharmacy, Perundurai Road, Koorapalayam Pirivu, Erode-52, Tamil Nadu, India
The aim of this study is to determine current prescribing patterns for anti-diabetic drugs adopted by physicians in Erode. The prospective, non interventional, uncontrolled, open-chart, pharmacoepidemiological study was conducted from January -2007 to April -2007 at a diabetic care centre having 350 diabetic patients. The pattern of prescribing anti-diabetic drugs was recorded along with glycosylated haemoglobin levels, total cholesterol, high-density lipoprotein, low-density lipoprotein, very low-density lipoprotein and triglycerides in insulin-dependent diabetes mellitus and non-insulin-dependent diabetes mellitus patients and the values were observed. The prescribing pattern of the oral anti-diabetic drugs shows that out of the various oral anti-diabetic drugs' available, drugs from only two groups were prescribed. Sulphonylureas, biguanides and combination therapy accounts for 31.43%, 20.28% and 33.71% of prescriptions, respectively, while insulin alone and with OAD's accounts for 6.28% and 8.29% prescriptions, respectively. Overall, prescribing trend is away from monotherapy with insulin and sulphonylureas and towards combination therapies.
Key words: Diabetes mellitus, oral anti-diabetic drugs, demographic profile, pharmacoepidemiologic
INTRODUCTION
further expanded the therapeutic arsenal.
Diabetes mellitus is a complex heterogenous disorder or insulin dysfunction comprising various clinical subtypes and has multifactor aetiology. A variety of patho-physiological processes get affected in diabetes mellitus, resulting in alterations in several metabolic pathways. Globally, diabetes mellitus is assuming an epidemic proportion due to an increase in the population and general lifespan. The prevalence of the disease, especially of type 2 non-insulin-dependent diabetes mellitus (NIDDM), is very high. [1] It is associated with a myriad of complication and in most instances it need proper attention from an economical point of view as regarding diagnosis and treatment cost, than the actual disease itself. Drug therapy is the most commonly used method of any disease treatment in general practice. However, the patterns of drug prescribing are often inappropriate. [2,3] General practice database has been used as an effective method for pharmacoepidemiologic research. [4] Until 1990s, prescribers had two classes of drug to control hyperglycaemia (insulin and sulfonylurea). The introductions of other anti-diabetic drugs have
Despite having used different methodologies that have estimated the future global trends in the frequency of diabetes mellitus generally agree that Asia is the major site of a rapidly emerging epidemic of diabetes. [5] India and China are, and will remain, the leading countries in terms of the number of people with diabetes mellitus in the year 2025. Among the 10 leading countries in this respect, 5 are in Asia. Although only a moderate increase in the total population in China is expected in the next 25 years, China is estimated to contribute almost 38 million people to the global burden of diabetes in the year 2025. India due to its immense population size and high diabetes prevalence will contribute 57 million. [6] The number of people with diabetes is increasing due to population growth, ageing, urbanization, increasing prevalence of obesity and physical inactivity. Surveys were generally performed in the middleaged population and data were more limited at younger and older ages.
The introduction of new classes of medication to treat hyperglycaemia of type I and type II diabetes has found a place in the therapeutic armamentarium but details of their use patterns are not known. We sought to determine
Prof.
Address for correspondence: Radhika P. Rajan, Nandha College of Pharmacy, Perundurai Road, Koorapalayam Pirivu, Erode-52, Tamil Nadu,
India. E-mail: firstname.lastname@example.org
Received: 04-03-2008; Accepted: 03-10-2008; DOI: 10.4103/0973-8258.56289
whether anti-hyperglycaemic prescribing patterns changed concurrently with new drug introduction and whether such changes were related to changes in the underlying patient population. The present study is based on the prescribing patterns related to their trends as of monotherapy or combination drug therapy, presumably in attempts to reduce the hyperglycaemic symptoms, directly impact the underlying disease pathogenesis and achieve better glucose control.
RESEARCH DESIGN AND METHODS
A prospective, non-intervention uncontrolled open chart, pharmacoepidemiologic study included outpatients attending a diabetic care centre in Erode district of Tamil Nadu. A proforma to record the demographic profile of patients and the prescribing pattern of diabetic drug were prepared and standardized after a pilot study of 30 prescriptions which were independently analysed by various prescribes. The inclusion criteria were age, sex and prescribed diabetic drugs for the first time. The sugar level in blood and urine were estimated in the clinical pathology laboratory of the hospital. A total of 350 patients satisfying these criteria were enrolled during visits to the medical outpatient department during January 2007–April 2007.
The demographic profile of patients, documentation of their clinical history and the prescribing pattern of anti-diabetic drug were recorded on the standardized proforma by the undergraduate pharmacy student volunteers. Prescribers were unaware of the study and its objectives. Structured interviews with a questionnaire served as the main data collection method. In addition to receive an anti-diabetic
drug, instructions regarding therapeutic life style changes and dietary therapy were given to men and women were noted. The numbers of patients prescribed for primary and secondary prevention of diseases were also studied. The patients were grouped according to the type of anti-diabetic drugs prescribed. All patients were included in four or five groups according to the prescribed anti-diabetic drugs. The documentary parameters included patient's age, sex, weight and height. Accordingly, baseline levels of fasting glucose, HbAIC, total cholesterol, HDL, LDL, VLDL and triglyceride were recorded. The patients were presented for follow-up on day 14, day 28, day 42, day 56, day 70, day 84 and day 98.
RESULT
Of the 350 patients who received diabetic drugs, 58% were men (203/350) and 42% were women (147/350). The drug prescriptions, when classified according to patients age and sex, it was noted that there were more female patients in the age of 40-60 years (total 55.43% patients) when compared with males. The majority patients of the age >60 were male (total 29.14%). Nearly 50.57% patients had foot problems. The age of these subjects ranged from 31 to 96 years. Male were 103 and female were 74 in number. The risk for foot ulceration leading to amputation increased in people >40 who have had diabetes for 10 years or longer. [7] Sixty percent of patients with diabetes have some form of neuropathy, but in most case, (30–40%) there are no symptoms. The percentage of symptoms suggesting neuropathy was 30–40% in diabetes patients compared with 10% of people without diabetes. [8] At the baseline, the mean fasting blood sugar level (BSL) was 179.18 ± 73.25 and mean postprandial BSL 248.36 ± 62.21 for the severe cases. For the mild cases at the baseline, the mean fasting BSL was 132.25 ± 23.75 and mean postprandial BSL was 219.63 ± 48.32. Data given in Table 1 were the average of readings collected at every visit of patient on their follow-up to the hospital. HbA1C and VLDL were more frequency documented for insulindependent diabetes mellitus (IDDM), whereas triglyceride and forting glucose sere were found more often in NIDDM patients [Table 1, Figure 1].
It was found that of these 93.45% were receiving monotherapy and 6.45% were undergoing combination therapy [Table 2].
*Average of values found out every time on patient's visit
Table 2: Details of diabetic drug prescribed
DISCUSSION
Of the 350 patients who received diabetic drugs, 58% were men (203/350) and 42% were women (147/350). The prescription of drugs when classified according to their age and sex was noted that more female patients in the age of 40–60 years (total 55.43% patients) when compared with males. The majority patients of the age >60 were male (total 29.14%). It was seen that most of the females were affected due to the diabetes and were prescribed with the anti-diabetic drugs. Surveys were generally performed in middle-aged populations and older ages. Data on diabetes prevalence are usually presented in broad age bands, which suggest a biologically implausible step like increasing in diabetes prevalence with increasing age. Patients <60 years of age were nearly of 70.86% and patients >60 were 29.14%. Patients of nearly 28% were of IDDM (type 1) and 72% were of NIDDM (type 2).
Patients <60 years of age were nearly of 70.86% and patients >60 were 29.14%. Patients of nearly 28% were of IDDM (type 1) and 72% were of NIDDM (type 2). The age and body mass index were analysed. The medical reports sent out to the physicians are important document for basic data on the patients' stage in chronic conditions. Day et al. [9] reported that >40% of diabetic patients in general practice had no biochemical evaluation, eye or foot examination. In a randomized controlled trial, Hayes et al. [10] reported routine care in general. Practice for NIDDM patients is less satisfactory than care by hospital diabetic clinic, Single et al. Concentrating on the metabolic control of diabetic patients, Holland et al. [11] revealed that general practitioners providing care on an organized basis can reach a degree of glycaemic control equal to that reached by a hospital clinic. This implies that, in the absence the diagnosis in the medical report, the general practitioner cannot be sufficiently sure that the patient is free of these complications. Hyperglycaemia and glucose intolerance are the common links between various clinical subtypes and are due to various causes such as:
2. Underutilization of glucose due to insulin deficiency or resistance.
1. Overproduction of glucose because of enhanced glycogenolysis and gluconeogenesis. As both these pathways of glucose production are normally kept under inhibition by insulin, they get activated in insulindeficient state.
Type 2 diabetes is associated with a loss of life of 5–10 years. [12] Diabetes is currently the fourth leading cause of death by disease in the United States. Type-II diabetes represents about 98% of all diabetes cases among persons older than 45 years of age, [13] approximately 18% in the range of 65 to 75 years of age and 40% of them older than 80 years of age. [14] Patients who are able to achieve good glycemic control with diet and exercise usually show significant improvement within six weeks and often have near-target blood glucose values within three months. However, this approach ultimately fails to control hyperglycemia in up to 90% of patients. When a patient does not show reasonable improvement within six weeks to three months of intervention with diet and exercise, pharmacotherapy should be added to the treatment plan. [15]
Biguanides and sulphonylureas have been traditionally used for the treatment of NIDDM or type 2 diabetes mellitus, but suffer from several pitfalls. In fact, biguanides are no longer recommended, as their use may result in a dangerous and often fatal complication, lactic acidosis. [16] Sulphonylureas are virtually the only drugs presently in use for the treatment of NIDDM, the most prevalent clinical subtype of diabetes mellitus, even though many patients do not show adequate response to the therapy initially (primary failure) or after some time (secondary failure). Moreover, their use may result in sustained and severe hypoglycaemia, cholestatic jaundice and various dermatological, haematological and allergic side effects. [17]
Therefore, search for more effective and safer hypoglycaemic agents has been felt, particularly after it was established that strict control of blood glucose levels slows the development and progression of the devastating chronic complications of diabetes mellitus. [18] With better understanding of the metabolic derangements of diabetes mellitus in recent year it became possible to develop more effective hypoglycemic agents, which act at various stages of the altered hormonefuel homeostasis.
The regular therapy of insulin was given to the IDDM patients and the fasting glucose level, glycosylated hemoglobin levels, total cholesterol, HDL, LDL, VLDL and triglycerides were found out for IDDM and NIDDM
patients and the value was observed. The drugs prescribed for the IDDM and NIDDM patients were classified into five groups and the number of patients undergoing the monotherapy and combination therapy was noted. It was found that 93.45% were receiving monotherapy and 6.45% were undergoing combination therapy. The use of insulin monotherapy decreased (6.5%) than the use of insulin with any oral anti-diabetic drugs (OAD) (7.4%). Similarly, the prescription of sulphonylureas and biguanides was also decreased than the combination of sulphonylureas and biguanides.
In current practice, most physicians use HbA1C and fasting plasma glucose (FPG) when assessing glycaemic control. Recently, there is a great interest in including postprandial glucose in assessing overall glycaemic control for several reasons. In monotherapy, all pioglitazone, metformin and glipizide improve glycaemic control (HbA1C and FPG), but their effects on postload glycaemia are different. Prescription of sulfonylurea in monotherapy declined and its use in combination with biguanides and thiazolidinediones has been found to be increasing. This suggests that sulfonylurea monotherapy has been supplemented in part by combinations of sulphonylureas in newer drugs. Thus, there is evidence that clinicians are beginning to accept that combination therapies will be useful for achieving glycaemic targets.
It is well known that use of metformin and sulphonylureas in patients with renal insufficiency may be hazardous, increasing the risks of lactic acidosis and hypoglycaemia, respectively. [19,20] Therefore, the apparent of prescribing these drugs among patients with nephropathy would be expected. The prescribing pattern shows that of the various OADs available, drugs from only two groups were prescribed: sulphonylureas (31.43%) and biguanides (33.71%). The combination of these drugs accounts for 20.28% of the prescriptions. These findings were different than that of the western population where the drugs like rosiglitazone (thiazolidinedione) were also prescribed in considerable amount. Use of non-sulfonylurea insulin secretagogues (e.g., repaglinide, nitaglinide) and thiazolidinedione insulin sensitizers (e.g., troglitazone, rosiglitazone) has been reported in the countries like USA and UK. [21] In South India, among the thiazolidinediones, only selected drugs like pioglitazone were prescribed and that was also in very less amount. If we look at the drug utilization or prescribing trends of the OADs in the USA alone since 1990–2001; it shows that the sulfonylurea was the most prescribed drug (75.77%) till 1996. But after the entry of biguanides, especially metformin, in 1995 and thiazolidinedione insulin sensitizers in 1997, the proportion of description of sulfonylurea decreased, studied in 2001.
As per the survey held in Maharashtra (India), pioglar tablet was preferred in both males and females. Glimulin tablet was used more frequently in females. In our study, we have found that most preferred drug was metformin followed by glipizide. From Table 2 it is clear that the prescriptions with combination drugs are also increasing in number due to their advantages over monotherapy of OADs. Most prescribed combination is of metformin and glipizide.
Insulin therapy is prescribed for the IDDM patient. In our study, 6.28% prescription were of insulin alone, while 8.29% were of the insulin with OADs. These combinations were useful as the insulin monotherapy may cause the severe hypoglycaemia. Some of the prescription along with allopathic medication also contains diet restrictions for some patients. Studies on the dietary management were done in the other countries also, suggesting that the simultaneous use of the dietary management with the drugs will give better result in management of disease. [22]
Some patients were also advised the exercise for the sharp control over glucose level. It also helps in the control of weight as the use of some biguanides and thiazolidinediones may cause iatrogenic gain in weight.
CONCLUSION
The anti-hyperglycaemic drug prescription pattern has changed in recent years and these changes are attributed to the introduction of different classes of medication in the market. Overall, the prescribing trend has been away from monotherapy with insulin and sulphonylureas and towards combination therapy, presumably in an attempt to reduce hypoglycaemic symptoms, directly impact the underlying disease pathogenesis and achieve better glucose control.
REFERENCES
1. Kanugo A, Shatuvere A, Samalk. Antibodies to ICA 12 and GAD65 in patients with NIDDM from Eastern India. Diabetologia 1997;4:164.
3. Lesar T. S, Briceland L, Stein D. Factors related to errors in medication prescribing. J Am Med Assoc 1997;277:341-7.
2. Stanton LA, Peterson GM, Rumble RH, Cooper GM, Polack AE. Drug related admissions to an Australian Hospital. J Clin Pharm Ther 1994;19:341-7.
4. Skegg DC. Pit falls on pharmaco epidemiology. Br Med J 2000;32:1171-2.
6. Liesenfeld B, Heekeren H, Schade G, Hepp KD. Quality of documentation in medical reports of diabetic patients. Int J Qual Health Care 1996;8:537-42.
5. Goyal P, Sharma G, Baljinderpal, Singh J, Singh J, Kaur Randhawa G. Prospective, nonintervention, uncontrolled, open-chart, pharmacoepidemiologic study of prescribing patterns for lipid lowering drugs at a tertiary care teaching hospital in North India. Clin Ther 2002;24:12.
7. Franz MJ, Bantle JP, Beebe CA, Brunzell JD, Chiasson JL, Garg A.
Evidence-based nutrition principles and recommendations for the treatment and prevention of diabetes and related complications Diabetes Care 2003;26:51.
9. Don't loss your nerves Dr. S. M. Sadikor Hon. Endocrinologists, Jaslok Hospital and Research centre. Mumbai-26.
8. World Health Organization. How to investigate drug use in Health Facilities? Geneva, Switzerland: World Health Organization; 1993, publication no: 1930049.
10. Wilkes E, Lawton EE. The Diabetic, The hospital and primary care. J R Coll Gen Pract 1980;30:199-206.
12. Lebovitz HE. Diabetes: Clinical science in practice. In: Leslie RD, Robbins DC, editors. New York: Cambridge University Press; 1995. p. 450-64.
11. Singh BM, Holland MR, Thorn PA. Metabolic control of diabetes in general practice clinics: Comparison with a hospital clinic. Br Med J 1984;289:726-8.
13. Rockvile MD. Diabetes vital statistics. USA: American Diabetes Association; 1996.
15. Kadhe G, Arasan RE. Advances in drug delivery of oral hypoglycemic agents Special section: Diabetes. Curr Sci
14. Harris MI. Diabetes in America National Institutes of Health National Institute of Diabetes and Digestive and Kidney Diseases. 1995;2:95-1468.
2002;83:1539-43.
17. Zermatten A, Heptner W, Delaloye B, Séchaud R, Felber JP. Extrapancreatic effect of glibenclamide: stimulation of duodenal insulin-releasing activity (DIRA) in man. Diabetologia 1977;13:85.
16. Fulop M, Hoberman HD, Rascoff JH, Bonheim NA, Dreyer NP, Tannenbaum H. Lactic acidosis in diabetic patients.Arch Intern Med 1976;136:987.
18. Diabetes control and complication trial research group. N Engl J
19. Defronzo RA. Pharmacologic therapy for type 2 diabetes mellitus. Ann Intern Med 1999;131:281-303.
Med 1993;329:978-86.
20. Inzucchi SE. Oral antihyperglycemic therapy for type 2 diabetes: Scientific review. J Am Med Assoc 2002;287:360-72.
22. Coulston AM, Mandelbaum D, Reaven GM. Dietary management of nursing home residents with non-insulin-dependent diabetes mellitus. Am J Clin Nutr 1990;51:67-71.
21. Cohen FJ, Neslusan CA, Conklin JE, Song X. Recent antihyperglycemic prescribing trend for US privately insured patients with Type 2 Diabetes. Niger J Clin Pract 2004;7:15-20.
Source of Support: Nandha College of Pharmacy, Erode,
None declared.
Conflict of Interest:
|
Controlling Chemical Exposure Industrial Hygiene Fact Sheets
Concise guidance on 16 components of industrial hygiene controls
New Jersey Department of Health and Senior Services Division of Epidemiology, Environmental and Occupational Health Occupational Health Service
PO Box 360 Trenton, NJ 08625-0360 609-984-1863
October 2000
James E. McGreevey Governor
Written by:
Eileen Senn, MS, CIH
Occupational Health Surveillance Program
James S. Blumenstock Senior Assistant Commissioner Public Health Protection and Prevention Programs
Eddy Bresnitz, MD, MS State Epidemiologist/Assistant Commissioner Division of Epidemiology, Environmental and Occupational Health
Kathleen O'Leary, MS Director Occupational Health Service
David Valiante, MS, CIH Acting Program Manager Occupational Health Surveillance Program
Funding: This project was supported in part by a cooperative agreement from the U.S. Department of Health and Human Services, National Institute for Occupational Safety and Health (NIOSH).
Reproduction: The NJDHSS encourages the copying and distribution of all or parts of this booklet. All materials are in the public domain and may be reproduced or copied without permission. Citation as to the source is appreciated.
This document is available on the Internet at: www.state.nj.us/health/eoh/survweb/ihfs.pdf
Citation: Senn, E.,Controlling Chemical Exposure; Industrial Hygiene Fact Sheets,
Trenton, NJ: New Jersey Department of Health and Senior Services, October 2000.
Table of Contents
Methods for Controlling Workplace Exposure
Methods for Controlling Chemical Exposure
Evaluation and control of chemical exposure in the workplace are major components of an effective safety and health program. Workplace controls at the source of chemical release are inherently better than controls at the worker, such as personal protective equipment. This concept is known as the Hierarchy of Controls. The box lists control measures in order of most effective to least effective.
CONTROL AT THE SOURCE
Substitution: Many harmful chemicals and processes are currently used as a matter of tradition although less harmful alternatives exist. Substitution is complex and requires research and experimentation. If successful, however, it is the most powerful and desirable control method. More information is given in Industrial Hygiene Fact Sheet 2, Substitution.
Mechanize the process: Handling of particularly hazardous chemicals can be done by using mechanical arms or robots to keep workers away from the source of exposure.
Isolate/enclose the process: Isolating the source of exposure can be accomplished through actual physical enclosure, preferably with separate rooms or buildings, closed doors, always with the direction of airflow into the restricted area from other areas, As a further precaution, regulated areas can be established with access only to a limited number of essential employees. The amount of time that employees spend in regulated areas should be minimized. A hazardous operation can sometimes be performed during the second or third shifts to reduce the number of workers potentially exposed; this is isolation by time. More information is given in Industrial Hygiene Fact Sheet 3 , Isolation .
CONTROL ALONG THE PATH
The Hierarchy of Controls - in order of most effective to least effective
CONTROL AT THE SOURCE
* Substitute a safer chemical or process
* Mechanize the process
* Isolate/enclose the process CONTROL ALONG THE PATH
* Local exhaust ventilation
* General ventilation
* Housekeeping CONTROL AT THE WORKER
* Worker education
* Enclose the worker
Local Exhaust Ventilation (LEV): A hood or intake near the point of a chemical release can capture or draw contaminated air from its source before it spreads into the breathing zone of workers
* Respirators, gloves, goggles, and chemical protective clothing
* Lunch and locker rooms, lavatories, eye wash, shower
involved in the operation using the chemical or workers at nearby operations. Contaminated air is drawn away by fans through ductwork to some type of air cleaner like a baghouse or electrostatic precipitator. More information is given in Industrial Hygiene Fact Sheet 4, Ventilation.
General ventilation: General or dilution ventilation involves the introduction of fresh air so that levels of chemicals in the work area are diluted. Levels of chemicals in the air will still be highest at the source. Pockets of high levels of chemicals may exist if the fresh dilution air is not mixed well throughout the work areas. More information is given in Industrial Hygiene Fact Sheet 4, Ventilation.
Housekeeping: Good housekeeping involves the removal of chemicals from room and work surfaces. For example, floors, walls, ceilings, doors, stairs, rafters, tables, chairs, machinery, equipment, and tools should be kept free of chemicals so that they do not get into the air or come into contact with employees' skin or food. Housekeeping using dry wiping or sweeping or the use of compressed air should be eliminated because they often create massive worker exposure. Wet wiping and mopping using water will raise less dust and result in cleaner surfaces. Special vacuums with high efficiency filters on the exhaust air stream, called HEPA (high efficiency particulate absolute) vacuums, should be used rather than regular vacuums. Regular vacuums allow fine dust to get into the air by passing through collection bags. Prompt spill clean-up by properly trained and equipped
Match Controls to the Form of the Chemical DUST, FUME, FIBER, MIST
* Ventilation
* Housekeeping, HEPA vacuum
* Respirators
* Clean break and lunch rooms
* Clean storage for food, etc.
* Hand-washing facilities
* Gloves
* Chemical Protective Clothing VAPOR, GAS
* Ventilation
* Respirators
LIQUID (if vapor also present, see above)
* Hand-washing facilities
* Gloves
* Chemical Protective Clothing
employees is necessary to avoid exposures. More information is given in Industrial Hygiene Fact Sheets 5 and 6, Housekeeping and HEPA Vacuums and Spill Clean-up.
CONTROL AT THE WORKER
Worker education: Everyone who works with chemicals should know the chemical name as well as brand or trade name of each chemical or chemical mixture, their health hazards, and other hazards such as fire or explosion. Employers are required by law to provide this information, along with training in how to use chemicals safely. There should be written operating procedures for all activities involving chemicals, including how to handle spills. More information is given in Industrial Hygiene Fact Sheet 1, Hazard Communication.
Enclose the worker : Workers can be located in control booths/rooms as a method of control. One disadvantage of this method is the social isolation of the worker. Worker enclosures should be as roomy and comfortable as possible. They should be provided with heating and air conditioning and provided with clean air from an uncontaminated location. They should be under slight positive pressure to keep out contamination.
Personal Protective Equipment (PPE): Improper use of personal protective equipment is dangerous! OSHA's PPE standard, 1910.132, requires employers to determine the appropriate personal protective equipment for each hazard and to train employees on how and when to use PPE. Training must also be given on the limitations of PPE. OSHA's respirator standard, 1910.134, requires employers to have a respirator program written and implemented if workers use respirators. The cost of properly providing PPE is often underestimated. It may be less expensive to control a hazard at the source than to provide PPE and administer its use properly year after year. For some jobs which are done only rarely, PPE may be appropriate.
Respiratory protective equipment: There are many kinds of masks which cover the mouth and nose to prevent chemicals from being inhaled. Some filter out chemicals. Others provide clean air from a compressor or bottled air. Proper respirator selection requires knowing which chemicals are in the air in what amounts. A combination of filters and cartridges may be required to protect against a mixture of chemicals. All respirators leak to some degree, especially those which operate under negative pressure. With these, the wearer must pull air in by breathing through paper filters or cartridges of activated charcoal or other absorbent. Negative pressure respirators should never be used in an oxygen deficient atmosphere. More information is given in Industrial Hygiene Fact Sheet 7, Respiratory Protective Equipment.
Match Controls to the Routes of Exposure INHALATION
* Ventilation
* Housekeeping, HEPA vacuums
* Respirators
* Isolation
INGESTION
* Clean break and lunch rooms
* Clean storage for food, etc.
* Hand-washing facilities SKIN ABSORPTION
* Gloves
* Chemical protective clothing INJECTION
* Design job to avoid contact
Gloves: Gloves can provide some protection from chemicals when skin contact cannot be avoided. Gloves must be properly selected, fitted, maintained, and used in order to be effective. No glove can provide complete protection against skin contact with a chemical. There will always be some permeation through the glove and degradation of the glove, increasing over time. Glove vendors are a good source of information on which gloves provide protection against which chemicals. More information is given in Industrial Hygiene Fact Sheet 8, Gloves.
Skin washing and barrier cream: Frequent and thorough washing is one of the easiest ways to reduce skin contact with chemicals or ingestion of chemicals. Barrier creams are not as effective as properly selected gloves and chemical protective clothing (CPC). However, a protective cream or lotion for the hands, arms, face, and neck can be used in addition to gloves and CPC. More information is given in Industrial Hygiene Fact Sheet 9, Skin Washing and Barrier Creams.
Chemical protective clothing: Special chemical protective clothing (CPC) such as coveralls, aprons, head covers, shoes, and boots can be used to protect parts of the body potentially exposed to chemicals. Street clothing and shoes should not be worn at work because of the danger of them becoming contaminated and carrying chemicals into cars and homes, exposing others and continuing workers' exposures past working hours. CPC must be properly selected, fitted, maintained, and used in order to be effective. No clothing can provide complete protection against skin contact with a chemical. There will always be some leakage, permeation, and degradation which increase over time. More information is given in Industrial Hygiene Fact Sheet 10, Chemical Protective Clothing and Footwear.
Eye and face protection: Splash-proof chemical goggles, face shields, and respirators with full face pieces provide some protection against chemical splashes. Ordinary safety glasses are intended for protection against large flying particles and do not provide protection from chemicals. More information is given in Industrial Hygiene Fact Sheet 11, Eye and Face Protection.
Lunch and break room: A clean room for lunch and breaks with a refrigerator, microwave oven, and vending machines will help to encourage employees to avoid eating in work areas where they may ingest or continue to inhale chemicals. A clean storage area should be provided for food, beverages, and cigarettes. Employees should be instructed to HEPA vacuum the outside of their PPE, and wash hands (first with any
gloves on, then ungloved) and face (first with any respirator on, then with it off) prior to eating, drinking, or smoking. Clean shelving should be provide for storage of gloves and respirators while using the room.
Locker and change room: Workers can accidentally take chemicals, particularly dusts, out of the workplace on their shoes, clothing, and other belongings unless measures are taken to prevent this from happening. Vehicles, homes, and other places where the workers go may become contaminated and other people sharing these spaces may become exposed. If chemicals are taken home, children, elders, pets, and others with greater susceptibility to health effects may be exposed. This is known as "take home exposure". Clean storage for street clothing, shoes, and personal belongings should be provided so that they are kept from contact with chemicals. One way to do this is providing two lockers for each worker, one for work items (dirty) and one for personal items (clean). Personal belongings, including wallets and purses, should be kept out of work areas so there is no chance of them becoming contaminated with chemicals. More information is given in Industrial Hygiene Fact Sheet 12, Locker, Shower, and Change Rooms.
Lavatories: Clean, convenient lavatories with skin cleaner, towels, and warm water will encourage employees to wash chemicals often from their hands and face. Additional hand-washing facilities in work areas are an extra incentive to wash up often. Where chemicals get on the body or hair, clean showers with warm water should be provided for use before going home. Skin cleaner, shampoo, and towels should be provided with the showers.
Emergency eyewash and shower: An eyewash fountain should be located close to any work area where a chemical might splash into or otherwise enter the eyes. If there is the possibility of skin exposure, an emergency shower or hose should also be provided. This equipment should be tested regularly to make sure that is working. A bottle of water is not satisfactory as an eyewash because it cannot provide 15 minutes of flushing which is the recommended length of time for flushing chemicals from the eyes.
Industrial Hygiene Fact Sheet 1
Hazard Communication
The OSHA Hazard Communication Standard (1910.1200) is different from many other OSHA rules because it covers all hazardous chemicals. The rule also incorporates a downstream flow of information which means that producers of chemicals have the primary responsibility for generating and disseminating information, whereas users of chemicals must obtain the information and transmit it to their own employees. In general, it works like this:
Chemical Manufacturers/Importers
* Determine the health, fire, reaction, and explosion hazards of each product.
Chemical Manufacturers/Importers/Distributors
* Communicate the hazard information and associated protective measures downstream to customers through labels on containers and Material Safety Data Sheets (MSDSs).
Employers
* Identify and list all hazardous chemicals in their workplaces.
* Obtain current MSDSs and labels for each hazardous chemical.
* Develop a system to ensure that all incoming hazardous materials are labeled.
* Review each MSDS to make sure it is complete. Discard old versions.
* Make sure that MSDSs are available to workers. (Consider MSDS management software)
* Develop and implement a written hazard communication program.
* Communicate hazard information to workers through labels, MSDSs, and a formal training program.
* Inform workers of protective measures for hazardous chemicals.
DANGER Contains ASBESTOS Fibers Avoid Creating DUST Cancer & Lung Disease Hazard
For more information, see the actual OSHA standard and the following publications:
Chemical Hazard Communication -- OSHA Publication 3084; Free by calling
202-693-1888 Hazard Communication -- A Compliance Kit -- OSHA Publication 3104; Order No. 029-016-00147-6; cost $18.00; Order by calling 202-512-1800 Hazard Communication Guidelines for Compliance Order No. 029-016-00127-1; cost $1.00; Order by calling 202-512-1800 OSHA Instruction CPL 2-2.38D. Free by calling 202-693-1888 or on the Internet at www.osha.gov
Also, under the New Jersey Worker and Community Right to Know Act, every container at a private employer's facility must bear a label indicating the chemical name and Chemical Abstracts Service (CAS) number of the five most predominant substances in the container. For more information, call RTK at 609-984-2202.
Industrial Hygiene Fact Sheet 2 Substitution
Many harmful chemicals and processes are currently used as a matter of tradition although less harmful alternatives exist. Substitution of less harmful chemicals and processes for particularly hazardous ones has the advantage of completely removing a hazard from a workplace so that the potential for exposure is gone. Substitution is a complex process that requires research and experimentation. If successful, however, substitution is the most powerful and desirable control method.
Some examples of possible substitutions include:
* alkaline degreasing for trichlorethylene and chlorinated, fluorinated hydrocarbons (HCFCs or freons)
* water-based or melting glues for solvent-base glues
* water-based for solvent-based paints and lacquers
* emulsion cleaning (water containing non-chlorinated organic solvent and an alkaline mix of tensides) for perchloroethylene in dry-cleaning
* lead-free for leaded paints and pigments
* cadmium-free pigments for ones containing cadmium
* silica-free abrasive blasting materials for those containing free silica
* vegetable oil mixture for organic solvents in cleaning offset printing presses
* paper wool, perlite, or polystyrene for asbestos and fiberglass insulation
*
electronic thermometers for those containing mercury
Sometimes the same chemical can be used in a different form, for example:
* a slurry instead of a dry powder
* a brick of material instead of a dry powder
* a material encapsulated in a dissolvable plastic bag or gelatin capsule
* a waxy material instead of a dry powder
Sometimes a different process with less potential for exposure can be substituted, for example:
* flow coating or dipping instead of spraying
* water-based caustic or abrasive or water blasting for paint-stripping with solvent-based strippers containing methylene chloride or N-methyl pyrrolidone (NMP)
* water blasting instead of abrasive blasting
Functional analysis for substitution
Silica
FREE
Abrasive
Silica
FREE
Abrasive
One way to approach substitution is to use functional analysis, a method derived from the product development field, which can help define the problem and find substitutes. In the first step, the basic requirements to be met by the product are determined by asking "Why is it used?". The second step is characterized by brainstorming alternative ways to meet the basic requirements. Free and open brainstorming is very important because humans are very good at restricting themselves by rejecting new ideas as too expensive, too troublesome, or not technically suitable. The final step is to assess the alternatives for workability and safety. It is important to compare the chemicals being considered for substitution not only for toxicity but also routes of entry, vapor pressure, flammability, particle size, safe disposal, etc. Don't substitute with a chemical for which toxicity has not been studied at least as well as the chemical
which is being replaced. Lack of toxicity information is a warning sign, not a sign of immunity from problems. It may be difficult to identify the potential disadvantages of a substitution. These may include increased noise, additional cleaning steps, waste disposal difficulties, etc. The real question to ask is which chemical's problems will be easiest to control.
Substitution and pollution prevention
A secondary benefit of substitution can be reduction or elimination of waste and the costs associated with its disposal, regulatory compliance, liability, and environmental impact. It is clear that pollution prevention is far more desirable than pollution treatment, control, and remediation. Free, confidential consultation for industrial pollution prevention is available to industry in New Jersey from:
New Jersey Technical Assistance Program for Industrial Pollution Prevention New Jersey Institute of Technology, Advanced Technology Center Building 323 Martin Luther King, Jr. Blvd.; University Heights Newark, New Jersey 07102
973-596-5864
Available services include the following:
1. On-site assessment of processes and procedures;
2. Literature research on existing, successful waste reduction technologies;
3. Referrals to qualified experienced professionals accomplished in process design, modernization, troubleshooting, and engineering;
4. Industry specific case study workshops and presentations to trade associations on waste reduction opportunities;
5. Development of pollution prevention demonstration projects with trade associations and utility authorities.
Industrial Hygiene Fact Sheet 3
Isolation
Enclosed operations -- Isolation of the source of exposure can be accomplished through actual physical enclosure, preferably separate rooms or buildings, and closed doors. The direction of airflow must be into the restricted area from the cleaner areas. Therefore, the isolated area must be under negative pressure compared to surrounding areas. This is accomplished by exhausting extra air from the isolated area to the outdoors using fans in either general or local exhaust ventilation. Exhaust air must be decontaminated before release to the outdoors. There should be no connections between the isolated area and other areas via the ventilation system, ceiling plenums, pipe chaseways, openings in walls, etc.
Regulated areas -- As a further precaution, regulated areas can be established around enclosed operations with access only to a limited number of essential employees. Entrances to regulated areas should be posted informing workers that the areas may be entered only by authorized personnel and the special procedures, such as wearing respirators, that must be followed in the regulated area. A roster of employees entering and leaving the regulated area should be kept. No smoking, eating, drinking, chewing tobacco or gum, or applying cosmetics is permitted in regulated areas. Air locks with interlocked doors add an extra measure of isolation. Computerized card readers and doors with alarms prevent unauthorized entry.
Isolation by time -- The amount of time employees spend in isolated or regulated areas should be minimized. A hazardous operation can sometimes be performed during the second or third shift to reduce the number or workers potentially exposed.
Glove boxes -- Glove boxes are usually small units that have two or more ports in which arm-length rubber gloves are mounted. The worker places her hands in these gloves to perform tasks inside the box. Construction materials vary widely, depending on the intended use. Clear plastic is frequently used because it allows visibility of the work area and is easily cleaned. Glove boxes generally operate under negative pressure so that any air leakage is into the box. Exhaust air must be decontaminated. Because these units have low airflow, scrubbing or absorption of exhaust air can be accomplished with little difficulty.
Enclose workers -- Workers can be protected by enclosure in a special isolated booth or room from which they can observe and control an operation using chemicals. One disadvantage of this method is the social isolation of the worker. Worker enclosures should be as roomy and comfortable as possible. They should be provided with heating and air conditioning and provided with clean air from an uncontaminated location. They should be under positive pressure to keep out contamination.
Industrial Hygiene Fact Sheet 4 Ventilation
Ventilation supplies and moves air through spaces. It is important to distinguish between two types of ventilation -- general or dilution ventilation and local exhaust ventilation (LEV).
General or Dilution Ventilation
General ventilation reduces the concentration of air contaminants by mixing and diluting the contaminated air with clean, uncontaminated air. Air is supplied or exhausted from an area or building by large fans in walls or ceilings. Sometimes general ventila- tion is provided by opening doors and windows; this is not a reliable way of providing the amount or direction of flow of air that may be necessary. General ventilation can effectively remove large amounts of hot or humid air or dilute low concentrations of contaminants. General ventilation does not eliminate the exposure. It should not be relied on to reduce chemical exposures unless the amount of contaminant is small and is produced at a
For more information, obtain:
* A Basic Guide to Industrial Ventilation, available from the NJDHSS, 609-984-1863
* Industrial Ventilation: A Manual of Recommended Practice, available from the ACGIH, Cincinnati, OH 513-742-2020
constant rate. It can also be considered for use in areas where workers are far away from the source of exposure.
Local Exhaust Ventilation (LEV)
Local exhaust ventilation is the ventilation of choice for controlling air contaminants.
LEV captures contaminants at or near the point where they are generated and removes them. LEV systems are usually permanently installed; portable units are also commercially available. LEV has these basic elements:
* Hoods that capture the contaminants as close as possible to their source.
* Ducts that transport the contaminants
* Air cleaning devices that remove the contaminant from the air
* Fans that move the air through the ventilation system and discharge the exhausted air outside.
* Make-up air that replaces the exhausted air.
LEV must be properly designed, constructed, operated, and maintained in order to be effective.
How To Check Exhaust Ventilation
Use a smoke tube, burning incense or children's soap bubbles to generate smoke or bubbles to float in the air. Smoke tubes that emit a highly visible smoke are made for this purpose. Notice whether the smoke/bubbles and therefore the air moves into the exhaust hood. One caution is that the light smoke/bubbles will only partially imitate how heavier dusts, such as lead and silica, are removed. An exhaust hood might suck up the smoke/bubbles but not the dust. However, with this in mind, the smoke/bubbles can be valuable even in these cases. Cross drafts, interfering air turbulence, inadequate exhaust, "eddies" and "backwaters" all become very apparent.
Maintenance of Ventilation
Scheduled periodic checks and preventive maintenance of the entire ventilation system by qualified maintenance personnel are essential to good operations but are often neglected. These items should be checked:
Hoods
* Dents, holes, or other damage.
Ducts
* Plugging - tap with a screwdriver - a "thud" indicates the duct is plugged.
* Correct position of adjustable dampers.
* Dents, holes, loose joints, or other damage.
* Some ducts contain fused dampers that close in case of fire. These fuses may melt causing the dampers to close.
* Changes to system which limit airflow, for example, 90 degree bends in ducts.
Motors and Fans
* Belts may be loose or broken.
* Low voltage and undersized fan.
* A fan may be installed backwards.
* A motor may be wired wrong and a fan may be rotating backwards. A centrifugal fan, when running backwards, will not reverse the air flow but will pull a lower volume of air.
* Fan blades may be dirty, plugged, rusted, broken.
Air Cleaning Devices
* Filters or other collection devices may be clogged.
* Dents, holes, loose doors, or other damage.
Make-Up Air
* If the amount of clean make-up air brought into the area does not equal the amount of exhaust air, the workplace becomes "starved" for air and negative pressure is created. This will put a strain on the ventilation system causing it to move less air.
* Test for negative pressure by noticing the direction of air movement at windows, doorways, and other openings into the workplace using smoke/bubbles. If air rushes into the workplace, it is "starved" for air and more make-up air must be provided.
Some manufacturers of small-scale, pre-fabricated local exhaust ventilation systems:*
Alsident, Denmark c/o Lab Safety Supply, Janesville, WI 800-356-0783
www.alsident.com
Nederman, Westland, MI 313-729-3344 www.nederman.com
* Mention of any product name does not constitute endorsement by the NJDHSS
PACE, Laurel, MD 301-490-9860
www.paceusa.com
Industrial Hygiene Fact Sheet 5 Housekeeping and HEPA Vacuums
Good housekeeping involves the prompt and complete removal of chemicals from room and work surfaces, including floors, walls, ceilings, doors, stairs, rafters, tables, chairs, machinery, equipment and tools. The purpose of good housekeeping is to prevent chemicals from getting into the air or coming into contact with workers' skin or food. Housekeeping activities can themselves be a significant source of chemical exposure if good practices are not used. Housekeeping methods which should be avoided with chemicals are dry sweeping, dry dusting, use of compressed air for cleaning, and use of ordinary (non-HEPA) vacuum cleaners because they often create massive worker exposure. Recommended housekeeping methods are described below. What may seem like extraordinary methods are recommended to assure that surfaces are truly chemical-free. Surfaces just looking clean is not enough because chemicals may still be present in amounts capable of causing exposure.
Wet wiping: Wiping should be done using the three bucket method. Assemble two buckets with clean water, an empty bucket for dirty excess cleaning solution, and a container of cleaning solution. To clean the work surface, pour cleaning solution onto a clean cloth. Wring excess solution into the empty bucket. Wipe the surface with the cloth. Add more cleaning solution to the cloth and continue wiping until all surfaces have been covered. Discard cloths as they become dirty. To rinse, dip and wring out a clean cloth in the first rinse bucket. Wipe off the work area. Rinse the cloth in the first bucket again and wring out thoroughly. Rinse the cloth in the second bucket and wring out thoroughly again. Continue wiping in this way until all surfaces have been rinsed. The rinse water in the buckets should be changed periodically, depending on the amount of contamination.
Rinse Bucket
Mop Bucket
Cleaning
Solution
Wet mopping: Mopping should be done using the three bucket method. To clean, assemble a bucket of cleaning solution, a mop and mop bucket for dirty rinse, and a bucket for clean rinse. Place the mop into the cleaning solution and then wring excess solution into the mop bucket. Mop small sections of the work area until the mop is dry. Slosh the mop in the clean rinse bucket and then wring into the mop bucket. Continue until the entire surface has been cleaned. To rinse, follow the same procedure except the bucket of cleaning solution is exchanged for a second rinse bucket. The rinse water in the buckets should be changed periodically, depending on the amount of contamination.
Vacuuming with a HEPA vacuum: Standard vacuums may allow fine dust into the air by allowing it to pass through normal bags and filters. HEPA (High Efficiency Particulate Absolute) vacuums are special vacuums with high efficiency filters on the exhaust air stream. HEPA stands for High Efficiency Particulate Absolute, a filter capable of removing 99.97% of particles down to 0.3 microns. Some HEPA vacuums also have activated charcoal filters on the exhaust air stream; these are designed for mercury and some other volatile chemicals. Some HEPA vacuums are wet/dry. Most models are electric; some are pneumatic. Models come in capacities from 4 to 15 gallons. Most are portable floor models; some units are designed to be carried on the back.
Some manufacturers of HEPA vacuums* are:
Cat Vac, Algonquin, IL
708-658-1444
Hild, Chicago, IL 800-451-2457
Lab Safety Supply, Inc., Janesville, WI 800-356-0783
Minuteman International, Addison, IL 800-323-9420
Nikro, Villa Park, IL 708-530-0558
Nilfisk of America, Malvern, PA 800-645-3475
Pullman-Holt, Tampa, FL 800-237-7582
Tornado ToxVacs by Breuer, Chicago, IL 800-VACUUMS
Care to avoid chemical exposure must be taken when using a HEPA vacuum. Attachment nozzles should be used in a manner that does not cause the chemical to become airborne. Care must be taken especially when removing and replacing the disposable waste bag and HEPA filter; manufacturer's instructions should be followed. HEPA vacuum users should wear appropriate personal protective equipment.
Vacuuming with a central vacuum system : Some workplaces have installed a central vacuum system with ports for attaching cleaning hoses and tools. These are useful when large amount of material which would quickly fill a portable vacuum cleaner must be cleaned up. Central systems are commercially available, however they must be customized for the layout of the particular workplace. Air cleaning devices for the exhaust air should be isolated or placed outdoors. If it will be recirculated into the workplace, the exhaust should be HEPA filtered.
* Mention of any product does not constitute endorsement by the NJDHSS.
Industrial Hygiene Fact Sheet 6 Spill Clean-up
The following issues should be addressed in advance in every workplace that uses chemicals, preferably by establishing written spill clean-up procedures:
1. Lines of authority. To whom in management spills should be reported. Who is responsible for taking charge of the spill area.
2. Site control measures. Spill containment and area protection procedures. Limiting the spread of the chemical until clean-up begins. Decontamination of employees if contaminated during the spill.
3. Criteria for assessing the size and difficulty of cleaning up the spill and deciding whether the spill will be cleaned up by:
a. employees in the immediate area of the spill
b. employees on the Hazardous Materials team
c. an outside contractor
4. Step-by-step procedures for conducting the clean-up under various probable scenarios of size and difficulty.
5. Equipment available for use in spill clean-up.
6. Training of personnel to be involved in the clean-up.
7. Personal protective equipment to be used during the clean-up.
8. Reoccupancy criteria for deciding that enough clean-up has been done and the area can be reoccupied.
9. Disposal procedures for the chemical-contaminated waste.
10. Legal requirements including compliance with OSHA and PEOSH regulations; compliance with regulations on chemical disposal.
11. Medical surveillance to be certain that employees performing clean-ups are not getting sick and are medically capable of wearing protective equipment during clean-up activity.
Spill
Absorbant
For more information, see How to Prepare for Workplace Emergencies, OSHA Publication 3088. Free by calling 202-693-1888.
Industrial Hygiene Fact Sheet 7
Respiratory Protective Equipment
Respirator Types
Respiratory protective equipment consists of devices that cover the mouth and nose to prevent chemicals in the air from being inhaled. There are two major types:
* Air-purifying respirators: particulate masks, cartridge style respirators, gas masks, and Powered Air Purifying Respirators (PAPR). These all filter the workplace air before it is inhaled. PAPRs deserve special mention and recommendation for consideration. They use a battery-powered blower to push the contaminated air through air purifying filters or cartridges and into the facepiece. In this group, only PAPRs supply air at positive pressure, which is a major advantage in minimizing leakage into the facepiece. PAPRs are often more comfortable than negative pressure, air-purifying respirators.
* Supplied air respirators: Self Contained Breathing Apparatus (SCBA), airline systems, and Emergency Escape Breathing Apparatus (EEBA). These provide clean air from an air compressor or bottled compressed air. Many of these supply air at positive pressure.
Respirator Limitations
Respirators can provide only limited protection against inhaling chemicals in the air. Even if they are properly selected, fitted, maintained, and used, respirators are a problematic control measure for the following reasons:
* They are not comfortable, especially under hot conditions;
* They limit communication about work issues and enforce social isolation;
* They put extra stress on the heart and lungs;
* They do not prevent skin exposure;
* They can be a source of exposure by inhalation and ingestion if they are contaminated inside the facepiece;
* Those with negative pressure inside the facepiece allow leakage under the facepiece to some degree, allowing inhalation exposure;
* Chemicals may break through the filters of air-purifying respirators;
* Air-purifying respirators only protect against certain chemicals at relatively low levels and offer no protection whatsoever against many chemicals.
* Air-purifying respirators require the user to be clean-shaven.
* Air-purifying respirators cannot be used in oxygen deficient atmospheres.
Fitting respirators
Because everyone's face is different and every respirator manufacturer's facepiece shapes and sizes are different, not every size or model of respirator will fit a given individual. Therefore, the employer must have samples of several styles and sizes from several manufacturers available for fit testing purposes. Each exposed worker must be fit tested to determine which brand and size will give the individual the best face seal. All respirators with tight-fitting facepieces must be fit tested.
There are two types of fit tests:
* Qualitative fit tests are based on whether a test chemical can be detected by an individual wearing a respirator. The test chemicals used are isoamyl acetate (banana oil), irritant smoke, or saccharin. Respirator manufacturers can recommend where to purchase inexpensive qualitative fit test kits.
* Quantitative fit tests involve placing the respirator wearer in an atmosphere containing an easily analytically detected, relatively non-toxic aerosol. The atmosphere inside the respirator is sampled continuously through a probe to measure how much test chemical leaks into the facepiece. Quantitative tests do not rely on a person's sense of taste or smell, which can vary greatly between individuals, and therefore are much more accurate than qualitative tests. Quantitative tests require expensive equipment and training for the person administering the test, however.
Once a fit test has been done, a mask of the appropriate brand, style and size for that employee should be ordered and assigned exclusively to that employee. Even though a respirator has been fit tested, daily changes in putting on the respirator, in strap tightness, hair, etc., may affect the fit. Thus employees should be instructed to do one of the following seal checks each time a reusable mask is put on. (Such checks can not be done with disposable respirators.) If the check fails, the respirator should be readjusted and perhaps tightened on the face.
* Negative pressure seal check: The user closes off the inlets of the cartridges or filters by covering them with the palms or a thin glove, then inhale gently so that the facepiece collapses slightly and holds breath for about 10 seconds. If the facepiece remains slightly collapsed and no inward leakage is detected, the respirator is probably tight enough.
* Positive pressure seal check: The user closes off the exhalation valve by covering it with the palm or a finger, then exhales gently so that the facepiece inflates slightly and holds breath for about 10 seconds. If the facepiece remains slightly inflated and no outward leakage is detected, the respirator is probably tight enough. For some respirators, this method requires that the wearer remove the exhalation valve cover which disturbs the respirator. In this case it is better to use the negative pressure fit check.
Comfort
Another consideration should be comfort. While it is important, it must never take priority over protectiveness. A comfortable mask which fails to keep out contaminants gives a false sense of security and presents a health risk to employees. Of course a protective mask which is uncomfortable is unlikely to be worn consistently, and so in the end will not be protective. Both factors must be considered. Again, PAPRs may offer greater comfort than other air-purifying respirators.
Respirator Programs
Respirator use must be part of a comprehensive program established by the employer, for which OSHA requires the following elements to be documented in a written program:
* The basis for selection of a specific type of respiratory protective equipment.
* Provision for medical screening of each employee assigned to wear a respirator to certify if he/she is physically and psychologically able to wear a respirator.
* Provisions for testing for the proper fit for tight-fitting respirators.
* Procedures for proper use of respirators in routine and foreseeable emergency situations.
* Provisions for regularly cleaning and disinfecting.
* Provisions for proper storage.
* Provisions for periodic inspection and repair.
* A periodic evaluation by the administrator of the program to assure its continued functioning and effectiveness.
* An employee training program in which the employee can become familiar with the respiratory protective equipment through hands-on practice and be trained in the proper use and the limitations of the equipment.
* Employee training in the respiratory hazards to which they are potentially exposed.
A single individual should be designated to develop and manage the respirator program. Without a definite chain of supervision, there is no assurance that written procedures will be followed. The manager of the respirator program should ensure that all phases are implemented initially and carry out periodic review and evaluation to ensure their continuing quality.
Protection Factors
The effectiveness of a respirator in providing protection is described by the protection factor of the respirator. This is a number assigned by NIOSH or respirator manufacturers which indicates by what factor the air concentration of a contaminant outside the facepiece is reduced by the respirator. A protection factor of 10, for example, indicates that if the airborne concentration of a dust is 12 mg/ M³, that the average fit-tested user will be exposed to ten times less inside the respirator facepiece, or 1.2 mg/M³.
NIOSH Approval
A major consideration in choosing a respirator appropriate to a particular job is approval by NIOSH. Both disposable and reuseable respirators may be NIOSH approved. If a reuseable, cartridge, air purifying respirator is used, the cartridge must be approved for the contaminants present in the workplace. For example, only a charcoal cartridge or canister will be approved for organic vapors. Only a particulate filter will be approved for dusts, fumes and mists. NIOSH approves particular combinations of facepieces, cartridges, retainer rings and filters. It is important to use approved combinations. Mixing and matching will void NIOSH approvals.
Changing rules
Occupational respiratory protection matters are in a state of flux. OSHA, NIOSH, and other regulatory requirements, respirator categories, and approvals are changing. A new OSHA respirator standard went into effect during 1998. The existing consensus standards are being revised. When purchasing respirators, ensure that they will meet upcoming as well as current requirements.
For more information, see new OSHA standard 1910.134 and the following publication: Respiratory Protection, OSHA Publication 3079 - Available on the Internet - www.osha.gov - or free by calling OSHA Publications at 202-693-1888.
Respirators are sold primarily through safety equipment distributors. Some major respirator manufacturers are listed below.* They can provide the names of distributors of their products. Many manufacturers also have educational videotapes and publications and can offer technical assistance in dealing with respirator selection, fitting, maintenance, and use.
3M-Racal, St. Paul, MN 800-243-4630 www.3m.com
Alpha Pro-Tech, St. Lake City, UT 801-936-3240 www.alphaprotech.com
Bullard Company, Cynthiana, KY 800-827-0423 www.bullard.com
Aearo Safety Corp., Southbridge, MA 800-225-9038 www.aearo.com
Devilbiss, Maumee, OH
877-849-9564 www.devilbiss.com
National Draeger, Inc., Pittsburgh, PA 800-615-5503 www.draeger.net
Lab Safety Supply, Janesville, WI 800-356-0783 www.labsafety.com
MSA Co., Pittsburgh, PA 888-277-5449 www.msanet.com
Moldex/Metrics, Inc., Culver City, CA 800-421-0668 www.moldex.com
North Safety Products, Cranston, RI 401-943-4400 www.northsafety.com
Scott, Monroe, NC 800-633-3915 www.scottaviation.com
Survivair, Inc., Santa Ana, CA 888-APR-SCBA (888-277-7222) www.survivair.com
U.S. Safety, Lenexa, KS 800-821-5218 www.ussafety.com
Willson/Dalloz, Reading, PA 800-345-4112 www.cdalloz.com
* Mention of any product does not constitute endorsement by the NJDHSS
Industrial Hygiene Fact Sheet 8 Gloves
Gloves can provide some protection from chemicals when skin contact cannot be avoided. Gloves must be properly selected, fitted, maintained , and used in order to be effective. There are many types of chemical resistant gloves available on the market. Choosing the correct glove can be difficult because no glove is resistant to all chemicals. Selection for protection against chemical mixtures is especially difficult and may require "double-gloving", the wearing of one type of glove over another type. Even gloves that offer good chemical resistance may protect the hands for only a limited time before chemicals permeate through the glove material. Glove manufacturers can provide breakthrough times for their gloves against common chemicals. The breakthrough time is the elapsed time between initial contact of the chemical on the surface of the glove and the analytical detection of the chemical on the inside of the glove. For mixtures,
a glove should be selected on the basis of the chemical contaminant with the shortest breakthrough time. Gloves manufactured by various companies may provide different levels of protection because of manufacturing and quality control differences. Hazard assessment should be done in compliance with the OSHA standard on general requirements for personal protective equipment (29 CFR 1910.132). Selection should be done in compliance with the OSHA standard on hand protection (29 CFR 1910.138) and consider the tasks being performed in relation to the following features:
Glove Composition-- The most common types of chemical resistant gloves are:
Latex --A natural rubber material often made into thin disposable gloves which offer very little chemical resistance. In thicker gauges, latex offers some protection from acids, alkalis, and undiluted ketones and aldehydes. Does not protect against hydrocarbon solvents. High resistance to cuts. WARNING:
Workers who use latex gloves frequently are at risk for developing latex-related contact dermatitis and asthma. If latex gloves are used, select powder-free gloves with reduced protein content.
Nitrile -- This synthetic rubber offers protection from oils, grease, many solvents, esters, acids, and caustics. It also offers good puncture, cut, and abrasion resistance. Not recommended for ketones and some organic solvents.
Neoprene -- This synthetic rubber offers resistance to a broad range of chemicals, including oils, solvents, acids and caustics. Neoprene remains flexible at low temperature, but offers only limited protection from cuts and snags.
Polyvinyl chloride (PVC) -- A synthetic thermoplastic polymer, PVC offers protection from many acids, caustics, and alcohols. It also offers good protection from abrasion, but some glove styles are susceptible to cuts. Not recommended for ketones and other solvents.
Polyvinyl alcohol (PVA) -- High resistance to aliphatic and aromatic hydrocarbons, chlorinated solvents, esters, and most ketones. Glove will break down in water and light alcohols. Resists cuts and abrasion.
Ethylene vinyl alcohol (EVOH) -- This is one of the most chemical resistant materials available. These flat-film gloves are used as liners inside PVC or nitrile gloves due to their thin structure.
Butyl -- Used against polar organics like acetone. Ineffective against hydrocarbons and chlorinated solvents. Moderate resistance to cuts, snags, puncture, and abrasion.
Viton ® -- Recommended for use with chlorinated and aromatic solvents. Not for use with ketones, esters, and amines. Limited resistance to cuts and snags.
Silver Shield® -- Lightweight, flexible foil laminate stands up to almost any chemical. Often used as an overglove in hazardous materials incidents.
4H -- Patented, plastic, five-layer laminate handles more than 280 chemicals and chemical mixtures including epoxy, organic solvents, acids, bases, paints, degreasing agents, and adhesives. For heavyduty work are best used under other chemical resistant work gloves. For handling small, delicate items, wear under latex gloves.
Size -- Gloves should fit well. Most gloves come in extra small, small, medium, large, and extra large; some come in numbered sizes. Tight-fitting gloves can cause restricted motion and discomfort while loose-fitting gloves can be hazardous. Sizes may vary among styles and manufacturers.
Thickness -- Thickness of glove material is usually measured in mils (1 mil=0.001" gauge). Lower gauge gloves allow better dexterity and flexibility. Higher gauge gloves give better overall protection, but less flexibility.
Length -- Wrist/forearm length protects hands and wrists; elbow length also protects the forearm for extra splash protection or during immersion; shoulder length protects the whole arm during full arm immersion or glove box applications.
Lining -- Lining inside the glove can absorb perspiration and add temperature protection. Glove liners can also be purchased separately.
Cut, snag, puncture, and abrasion resistance -- These vary widely.
Disposable or reusable -- Disposables are intended for one time use. Gloves that are reused, even after being washed, may offer less protection than when new because chemicals may have begun to breakthrough. For that reason, reusing gloves is risky and gloves should be discarded after the breakthrough time has elapsed.
Some glove manufacturers are listed below. They can provide names of local distributors and technical assistance on glove selection, fitting, maintenance, and use.
Ansell Edmont, Coshocton, OH 800-800-0444 www.ansell-edmont.com
Best, Menlo, GA 800-241-0323 www.bestglove.com
Guardian Glove, Willard, OH 800-243-7379 www.guardian-mfg.com
Lab Safety Supply, Janesville, WI 800-356-0783 www.labsafety.com
North Safety Products, Cranston, RI 888-943-9434 www.northsafety.com
Industrial Hygiene Fact Sheet 9 Skin Washing and Barrier Creams
Skin Washing
Skin washing is one of the easiest ways to reduce ingestion and skin absorption of chemicals. In order to prevent accidental ingestion of chemicals, washing should take place, especially before eating, drinking, or smoking. All exposed skin, including hands, arms, face, and neck should be washed frequently and thoroughly during the work day to reduce the time that chemicals are in contact with the skin. Washing facilities should be placed near work areas and be supplied with warm water, skin cleaner, a fingernail brush, and paper towels. In addition, a mirror will help workers to see any visible contamination on their necks and faces. The more convenient and well designed the washing facilities, the more likely they will be used.
Skin cleaners should not dehydrate, abrade, or irritate the skin. They should be pH neutral. Cleaners should be properly selected for removing the chemical(s) in use. Solvents should never be used for cleaning the skin because they defat and damage the skin. Dispensing units are preferable to bar soap which may become contaminated. Where running water is not available, disposable wet wipes such as wet paper towels or baby wipes can be provided. Try to avoid products with sensitizers, like lanolin or limonene.
Barrier Creams
Barrier creams are not as effective as properly selected, fitted, and used gloves and chemical protective clothing (CPC). However, a protective cream or lotion can be used in addition to gloves and CPC. Protective barrier agents should be applied to clean, exposed skin -- usually the hands, arms, face and neck. After contact with the chemical, both the barrier and any chemical should be washed off and the cream reapplied. The barrier should also be removed at lunch and at the end of the workday.
A barrier cream must be properly selected for use against the particular chemical. Some are useful for protecting against solvents while other types protect against water-soluble materials. Barrier cream manufacturers can provide information on the proper selection and use of their products.
Industrial Hygiene Fact Sheet 10
Chemical Protective Clothing and Footwear
Special chemical protective clothing (CPC) such as full-body ensembles, coveralls, shirts, pants, aprons, head covers, can be used to protect parts of the body exposed to chemicals. Cloth work clothing should be worn under CPC rather than street clothing. This work clothing should be laundered by the employer and not taken home by the worker. Street clothing and shoes should not be worn at work because of the danger of them becoming contaminated and carrying chemicals into cars and homes, exposing others and continuing workers' exposure past working hours. Street clothing and shoes also do not provide adequate protection from chemicals.
No clothing can provide complete protection against skin contact with a chemical. There will always be some breakthrough which increases over time. In many cases, seams and closures have shorter breakthrough times and higher permeation rates than the fabric. CPC must be properly selected, fitted, maintained, and used in order to be effective. There are many types of CPC on the market. Choosing the correct CPC can be difficult because no fabric or garment is resistant to all chemicals. Manufacturers and vendors can provide breakthrough times for their CPC against common chemicals. Because of manufacturing and quality control differences, CPC manufactured by various companies may provide different levels of protection. Hazard assessment should be done in compliance with the OSHA standard on general requirements for personal protective equipment (29 CFR 1910.132). Selection should consider the tasks being performed in relation to the following features:
Material --CPC materials can be categorized into three general types:
Limited-use general protection: Provides protection from toxic dusts like lead and asbestos. Includes such patented fabrics as Tyvek® -- spunbonded olefin fibers, and Kleenguard® . Can be worn several times until contaminated, soiled, or damaged.
Limited-use chemical protection: Provides protection from chemical hazards, however, breakthrough times must be considered. Includes Tyvek® /Saranex® 23-P -- chemical resistant film on Tyvek®; Tychem™ 9400 -- multiple films; Kappler CPF™ I, II, III, and IV-- a multi-layer barrier film material laminated to a polypropylene substrate; Chemtuff™, Chemrel™, and Chemrel Max™ -- a flexible laminate bonded to a polymer substrate.
Chemical splash protection: Vinyl offers good basic protection from initial liquid penetration. Durable fabrics coated with PVC, rubber, neoprene, nitrile, and polyurethane each have their own strengths and weaknesses concerning chemical protection. Not intended to protect against regular or prolonged chemical contact.
Size -- CPC should fit well. Most CPC comes in sizes from small to XX Large, or even XXX Large. Some are available in women's dress sizes.
Thickness, weight, breathability, flexibility, wicking ability, and thermal properties -- These all affect comfort and performance.
Cut, snag, puncture, and abrasion resistance -- These vary widely.
Disposable or reusable -- Decontamination and reuse of CPC is a complex and controversial issue. CPC must be cleaned before being removed to allow safe doffing. Actual decontamination represents a subsequent step. Surface contamination may be able to be removed with detergent. It is not clear whether matrix contamination, which occurs when the fabric has been permeated by chemicals, can be effectively removed. Doing so may require the use of solvents and/or heat. No guidelines exist on how clean CPC needs to be before reuse. For all these reasons, reusing CPC is risky.
Chemical resistant footwear
The state of the art for testing footwear for chemical breakthrough is not as far along as for gloves and CPC. Normal safety shoes do not offer adequate chemical protection. A variety of over-theshoe covers and over-the-sock industrial footwear is commercially available. The latter tend to be made of vinyl, PVC, polyurethane, or blends of these. Over-the-shoe protection is available in many of the fabrics described under CPC above. Selection should be done in compliance with the OSHA standard on general requirements for personal protective equipment (29 CFR 1910.132). Size, thickness, weight, breathability, flexibility, wicking ability, thermal properties, and cut, snag, puncture, and abrasion resistance should all be considered. In addition, other hazards to feet, for example from falling objects or piercing the sole, need to be considered. Therefore, selection should also be done in compliance with the OSHA standard on foot protection (29 CFR 1910.136).
Some manufacturers of chemical protective clothing are listed below.* They can provide the names of local distributors and technical assistance on CPC selection, fitting, maintenance, and use.
DuPont, Wilmington, DE 800-44-TYVEK (800-448-9835) www.dupontprotectiveapprl.com
Kimberly-Clark, Roswell, GA 800-255-6401
Lakeland Industries, Inc., Ronkonkoma, NY 516-981-9700 www.lakeland.com
Kappler, Gunterville, AL 800-633-2410 (ext. 4242) www.kappler.com
* Mention of any product does not constitute endorsement by the NJDHSS
Industrial Hygiene Fact Sheet 11
Eye and Face Protection
Splash-proof chemical goggles, face-shields, and respirators with full facepieces provide some protection against chemical splashes. Special purpose goggles can provide protection against mists. Ordinary safety glasses are intended for protection against flying objects and do not provide ad- equate protection from chemicals. An eye hazard assessment should be done in compliance with the OSHA standard on general requirements for personal protective equipment (29 CFR 1910.132). Selection should be done in compliance with the OSHA standard on eye protection (29 CFR 1910.133) and consider the tasks being performed in relation to the following features:
* Compliance with ANSI Z87.1-1989, American National Standard Practice for Occupational and Educational Eye and Face Protection.
* Compatibility with respirator use
* Compatibility with the use of prescription lenses
* Field of vision
* Venting -- ventilation should be adequate but well protected from splash entry.
* Comfort and fit
Goggles come in a number of different styles: eyecups, flexible or cushioned. Goggles should be kept in a case when not in use. They should be cleaned after each use and replaced if scratched or if the headband has lost its elasticity.
Faceshields are designed to protect the face from splashing liquids or flying objects. They are not meant to provide eye protection. Therefore, proper eye protection must be worn under a faceshield.
Contact Lenses
Blanket recommendations against the use of contact lenses in the workplace were common in the past but are no longer valid. OSHA has published an enforcement procedure authorizing the use of gas permeable and soft contact lenses in all workplaces and with all types of respirators. The American Academy of Ophthalmology and the American College of Occupational and Environmental Medicine now agree that, under the Americans with Disabilities Act, individuals should not be disqualified from performing their essential functions in an industrial environment unless it can be proven that they pose a direct threat to the health and safety of themselves or others. Contact lenses do not offer eye protection, so the required, correctly selected eyewear for the specific hazard must be worn over them.
Industrial Hygiene Fact Sheet 12
Locker, Shower, and Change Rooms
Workers can accidentally take chemicals, particularly dusty materials, out of the workplace on their shoes, clothing, and other belongings unless measures are taken to prevent this from happening. Vehicles, homes, and other places where the workers go may then be contaminated and other people sharing these spaces may be exposed. If chemicals are taken home, children, elders and others with greater susceptibility to health effects may be exposed. To prevent chemicals from leaving the workplace, clean storage for street clothing, shoes, and personal belongings should be provided so that they are kept from contact with chemicals. One way to do this is providing two lockers for each worker, one for work items and one for personal items. Personal belongings, including wallets and purses, should be kept out of work areas and away from work clothing so there is no chance of them becoming contaminated with chemicals.
The layout of locker, shower, and change rooms is important in assuring that the worker is not contaminated with chemicals at several junctures:
* while putting on work clothes, shoes, and PPE (donning)
* while taking off work clothing, shoes, and PPE (doffing)
* after showering
One good arrangement is to have two sections -- a clean section and a dirty section, with locker, skin washing, and toilet facilities in both and shower facilities in between. The clean section has an outside entrance/exit, lockers for street clothing and shoes, and a supply of clean uniforms and chemical protective clothing (CPC). Work shoes are kept in the dirty section. On arriving at work, the individual enters the clean section through the outside exit, removes all street shoes and clothing (ideally including socks and underwear) and puts on a clean uniform and CPC, including gloves and respirators. They walk through the shower room into the dirty section, put on their work shoes and proceed to their work area.
At the end of the day, the individual enters the dirty section and removes gross contamination from CPC by HEPA vacuuming; gloved hands are washed. All clothing and CPC are removed, leaving on the respirator. More heavily contaminated items, for example boots and gloves, should be removed first. Dirty CPC and uniforms are deposited in the trash and laundry, respectively. Work shoes are kept in lockers in the dirty section. The individual proceeds into the showers where the respirator is removed after the face and outside of the respirator are washed and the hair wetted. Respirators are deposited in a container in the shower area. The individual then proceeds to the clean area in a towel, puts on their street clothing and shoes, and exits to the outside.
Showers should be clean, with skin cleaner, shampoo, towels, and warm water.
Industrial Hygiene Fact Sheet 13
Air Sampling
The goals of air sampling can include:
* Identify where ventilation and engineering controls are needed.
* Compare chemical exposures before and after controls are installed.
* Assess how well ventilation controls are working.
* Assess the potential for worker exposure by inhalation of a chemical.
* Determine if worker exposures to chemicals are within exposure limits.
The limitations of air sampling include:
* A complete picture of potential worker exposure may not be provided.
* Exposure by ingestion and skin absorption cannot be measured.
* Exposure under all working conditions may not be provided.
Who can perform air sampling?
Air sampling is best designed by an individual with industrial hygiene training who understands the difficulties of selecting a workable sampling strategy and equipment. A company employee can be trained to collect the air samples once the sampling strategy and equipment have been well planned. The industrial hygienist can be from within your company -- perhaps from corporate headquarters -from OSHA consultation, from your workers' compensation insurance carrier, or a private consulting company. The industrial hygienist will need the cooperation of workplace management to answer the following questions which affect sampling decisions.
* Which workers should be selected for sampling? The workers with the worst exposures in each job category should be selected.
* Where should sampling devices be placed? Personal samples should be taken in the worker's "breathing zone", by attaching the sampling device to a worker's collar. Area samples should be taken at and around the suspected sources of exposure.
* When should samples be taken? Samples should be taken on each shift, the week-end, and during maintenance or turnarounds, whenever the worst exposures are anticipated.
* How long should the samples be taken for? If exposures don't change much during the day, then full-shift sampling of up to 10 hours is appropriate. If there are peak exposures, then short-term samples during the peaks should be taken in addition to the full-shift sampling.
* How many samples are needed? The more samples are taken, the more the results are likely to be representative of actual exposures. As a rule of thumb, 10% to 50% of similarly exposed workers should be sampled. Every worker with a unique exposure should be sampled.
* What information should be recorded during sampling? The workers wearing sampling devices should be observed during sampling. All the tasks they perform which could give rise to exposure should be described along with the time at which they were performed. Ventilation conditions, temperature, humidity, barometric pressure, wind conditions, as well as personal protective equipment in use should also be noted.
* How soon will results be available? With direct reading instruments or devices, results are immediately available. Other methods require sending samples to a laboratory for analysis and results may take days or weeks to be received.
Air Sampling Equipment
There are many kinds of air sampling equipment. Most require calibration before and after use to be sure they are operating properly. Types include:
* Piston or bellows hand pump used with color-changing gas/vapor detector tubes. These are easy to use, relatively inexpensive, give short-term, direct reading area sampling results but are inaccurate plus or minus 25% or more.
* Free-diffusion dosimeter badges allow a gas or vapor to diffuse into a collection device without the need for a pump. These badges are relatively inexpensive and require no calibration. Most give full-shift results. Some are direct reading; others must be sent to a laboratory for analysis which is fairly expensive. Accuracy varies.
* Battery-powered pumps used with sample collection devices like filters, glass tubes containing charcoal, or other solid or liquid absorbent. The pump is connected to the collection device by a flexible hose. The pump is worn on the worker's belt and the sampling device is attached to the worker's collar. These can be used to collect either short-term or full-shift samples. Most of these collection devices must be sent to a laboratory for analysis. Accuracy varies.
* Portable meters for specific chemicals or types of chemicals which contain a batteryoperated pump and provide direct-reading area monitoring. These include aerosol meters which measure particulate concentrations; and Flame Ionization Detector (FID) meters, Photo Ionization Detector (PID) meters, Infrared Absorption (IR) meters, and portable Gas Chromatographs (GC) which measure gas and vapor concentrations. Such meters tend to be expensive and relatively difficult to use. They must be zeroed then calibrated prior to each use with a known concentration of the chemical to be sampled and periodically returned to the manufacturer for "factory" calibration. Accuracy varies.
* Fixed monitoring systems for specific chemicals are used to collect and analyze grab samples. Samples are drawn sequentially from a series of pick-up points in the workplace. These are located where there is the potential for chemical release. The samples are carried through tubing to a centrally located analytical instrument of one of the types described above under portable meters. Results are regularly reviewed to check that controls are working and to detect slowly developing leaks. High results such as from a sudden, large leak are used to activate audible and/or visible alarms and other control measures.
Sampling and Analytical Methods
Sampling and analytical methods published by NIOSH or OSHA should be used when laboratory analysis is needed. Samples should be sent to a laboratory which is successfully participating in the AIHA Laboratory Accreditation Program, which incorporates the AIHA/NIOSH Proficiency Analytical Testing (PAT) Program. A list of such laboratories is published every April and September in the American Industrial Hygiene Association (AIHA) Journal and can be obtained by calling AIHA at 703-849-8888.
Worker Notification
All workers whose exposure has been monitored either directly or indirectly, by the sampling of a "similarly exposed" individual, should be informed of the results and a copy of the results placed in their medical or personnel file. Whenever a worker's exposure has been found to exceed an exposure limit, he or she should be individually notified of the result and the corrective action being taken to reduce exposures. This notification should be done within a few days of receipt of the sampling results and is most effective if done in writing as well as verbally.
Calculating Air Sampling Results
The industrial hygienist who designed the sampling strategy should be consulted concerning whether any calculations must be made on the sampling data, for example, time-weighted average exposures, additive exposures of several chemicals, or exposures for unusual work shifts.
Reporting Air Sampling Results
It is very important that air sampling results be presented with all the information about where, how, when, etc. the samples were taken so that the results can be correctly and fully understood.
Interpreting Air Sampling Results
Sampling results can be compared to a number of different criteria for evaluation:
* Previous results at the same workplace.
* Previous results at other comparable workplaces.
* Current results at other locations within the workplace.
* Exposure limits, if any.
If control measures are effective and well-maintained, one should expect to see exposure levels stable over time and as low as similar workplaces with good controls.
Exposure Limits
Exposure limits have been set for about 700 chemicals; they have not been set for many thousands of other chemicals. Lack of an exposure limit does not mean a chemical is harmless or non-toxic. There are many gaps in science's knowledge of chemical toxicity and routes of exposure.
Air sampling results are compared against exposure limits to evaluate how much improvement in controls is needed. Some of the exposure limits apply to the average exposure over a whole work day of 7 to 10 hours. Other exposure limits apply to short term exposures of 15 to 30 minutes. Some chemicals have a notation indicating that they may be absorbed through the skin as well as inhaled.
Many exposure limits are not completely safe because they are based on incomplete scientific information. The OSHA limits consider economic and technical feasibility as well as health effects. If you assess exposures and controls and make improvements as this document recommends, you will be lowering exposures and have a better chance of being in compliance with exposure limits.
There are a number of different sources for exposure limits for chemicals:
* NIOSH Recommended Exposure Limits (RELSs).
* ACGIH Threshold Limit Values (TLVs) and Short Term Exposure Limits (STELs)
* OSHA Permissible Exposure Limits (PELs). These are enforceable by OSHA.
A consolidated source of information on exposure limits is the NIOSH Pocket Guide to Chemical Hazards. The pocket guide lists exposure limits and other key information on 677 chemicals. To order, call NIOSH at 1-800-356-4674.
Industrial Hygiene Fact Sheet 14 Wipe Sampling
Wipe sampling is an important and evolving industrial hygiene tool which allows surface contamination to be evaluated to assess the potential for worker exposure by skin absorption and/or ingestion of a chemical. Such wipe samples complement visual observation and review of procedures and increase the level of information available to evaluate the effectiveness of various control programs such as personal protective equipment (PPE), PPE decontamination, worker decontamination, housekeeping programs, the migration of contaminants out of isolated areas into clean areas, and take-home contamination. The results can be used to document that control programs are effective, or alternatively, that they are not working as expected and need modification. Sampling for contamination on the inner surface of PPE is an effective way to test its adequacy in preventing dermal exposure.
In planning wipe sampling, be clear about your goals. The areas to be wiped vary somewhat by what you are trying to find out.
To assess the potential for ingestion of a chemical and to assess housekeeping, wipe sample on skin or other surfaces which contact food, beverage, gum, cigarettes, etc.. These may include lunchroom tables, the interior of refrigerators, the interior of lockers, the spouts of drinking fountains, and the drop slots of vending machines. Also wipe sample on the inside of respirators after use and respirator storage containers.
To assess the potential for skin absorption of a chemical and to assess housekeeping, wipe sample on workplace surfaces with which workers come into frequent contact. These may include machinery, tools, switches, and work tables and chairs. Also wipe sample on the inside of PPE, such as gloves, coveralls, and boots. The outside of shoes and boots can also be tested to see if they have the potential to contaminate the hands of a worker who is putting them on or taking them off.
To assess the effectiveness of PPE and PPE decontamination, wipe sample on the inside of PPE after it has been worn and the outside after decontamination. The inner surfaces of gloves, and the inside of sleeves or collar of PPE are relatively easy to reach.
To assess worker decontamination, wipe sample workers' skin when they have washed up to eat lunch or leave work. Direct skin sampling should not be done for substances that are irritants, cause dermatitis of contact sensitization, are easily absorbed by the skin, or are corrosive because the pressure of sampling may increase exposure. Instead, sample surfaces that might contact the skin. Alternatively, rinse the skin with water and analyze the rinse water.
To assess housekeeping, wipe sample on floors and work surfaces.
To assess the migration of a contaminant out of an isolated areas into a clean area, wipe sample on floors and work surfaces just outside the isolated area and then at distances further and further from it.
To assess the potential for take-home exposure of a chemical, wipe sample personal items such as pocketbooks, wallets, street clothing and shoes. Also wipe sample the inside of personally owned vehicles. If necessary, people's homes may be sampled. Obviously, great care is required to do such sampling in a non-blaming, respectful manner.
In all cases assess background levels -- Some samples should be collected on clean skin and surfaces in areas of the workplace which are believed to be uncontaminated such as offices or conference rooms, or production areas which don't use the chemical in question. Results from these will be useful for comparison with the actual samples.
Wipe Sampling Methods
For standard wipe sampling, a glass fiber filter, paper filter, smear tab, gauze pad, or baby wipe are generally used for sample collection. The media can be wet with distilled water or other solvent to improve collection. Through a template with an opening of known size (100 cm² is standard) the surface to be sampled is "wiped" with the media, using maximum pressure and moving in concentric squares from the outside to the inside of the sampling area. The filter is then folded with the exposed side in, placed in a sampling vial, and sent to the laboratory for analysis. A fresh pair of clean, disposable, non-powdered gloves are worn for each sample.
Interpreting Sample Results
Wipe sample results should be converted to standard units; either mg/m 2 or g/100 cm² are common. It may be helpful to arrange the results from the lowest to the highest result so that differences can be compared. The results of background samples will provide some basis for showing how clean things could be while the highest samples will define the worst case scenario for the workplace.
Industrial Hygiene Fact Sheet 15 Medical Exams and Tests
Background
When employees are potentially exposed to chemicals, it is often beneficial to monitor their health to determine if any exposures have proven harmful. For the chemicals listed in
the boxes, medical exams and tests for exposed workers are required by
OSHA. A medical program should be designed to detect adverse effects of exposure as early as possible, at a stage when serious permanent effects are
still preventable. Some health effects, however, take many years to develop;
testing for these effects before the latency period has passed will not be ex- pected to find disease. For other health effects, for example, lung cancer,
there is no test which finds the disease soon enough to allow prevention. Yet the tests should still be performed because early treatment may increase survival time.
Choosing a Physician
The medical program should be designed by and carried out under the direction of a physician knowledgeable in occupational medicine. See end of this Fact Sheet for information on obtaining a list of Physicians in New Jersey Specializing in Occupational and Environmental Illness. Board certification in occupational medicine is an important physician qualification.
Timing of Medical Exams and Tests
Job-related medical exams and tests should be given at these points in times:
* Upon hiring, before placement in exposure to establish a baseline for future health monitoring. Takes place before a worker begins a job with potential exposure to a chemical.
* Periodically during exposure to compare findings to the baseline and other previous findings. Takes place at regular intervals, for example, once a year.
* Upon assignment of a respirator to ensure that the worker is fit enough for the extra strain a respirator places on the heart, lungs, etc.
* Upon termination of exposure to evaluate findings when exposure or employment ends for any reason.
* When the latency period required for the disease to develop has passed to see if effects which develop over a long period of time, for example, cancer, have developed.
Chemicals with Comprehensive OSHA Standards and Medical Testing Requirements 1910.1001 to 1910.1052
* Acrylonitrile (.1045)
* Arsenic (inorganic) (.1018)
* Asbestos (.1001)
* Benzene (.1028)
* Cadmium (.1027)
* Coke oven emissions (.1029)
* Cotton dust (.1043)
* 1,2-Dibromo-3-chloropropane (DBCP) (.1044)
* Ethylene oxide (.1047)
* Formaldehyde (.1048)
* Lead (.1025)
* Methylene Chloride (.1052)
* Vinyl chloride (.1017)
Typical Medical Exam
A typical medical examination contains the following elements. The exam should be tailored to detect the effects of specific chemicals.
* Employment History to identify any previous exposure to chemicals or other health hazards.
* Medical History with emphasis on the target organs for acute and chronic health effects associated with the chemicals to which the worker is exposed.
* Physical Exam to appraise the functioning of the target organs.
* Sign and Symptom Questions to elicit the earliest signs of health damage from the chemical(s).
Types of Medical Tests
There are basically two types of job-related medical tests:
* Tests for Disease look for evidence that an individual has already developed an occupational disease, for example, chest x-rays, lung function spirometry, blood tests for kidney and liver function.
* Tests for Toxic Substances look for chemicals in the body which indicate exposure has taken place, for example blood tests for lead, urine tests for mercury, exhaled breath tests for solvents.
The tests should be tailored to detect the health effects or presence of specific chemicals. General medical screenings "to see if anything is wrong" should be avoided.
Information to Provide to the Physician
Before designing and carrying out the medical program, the physician should be given the following documents by management for review:
* Job titles and description of job duties for the employees in the medical program. These should be very detailed.
* Description of chemical exposures for the employees in the medical programs, such as a list of chemicals used, Material Safety Data Sheets, routes of exposure, and exposure levels, if known.
* Description of control measures for the employees in the medical program.
* OSHA Standards, if any, for chemicals to which the employee is exposed.
Handling of Medical Information/Confidentiality
Results of medical exams and tests must be kept in separate, locked medical files. No medical-related information should be placed in an employee's personnel file. Results of exams and test should be conveyed in detail to the worker by the physician. Otherwise, results are confidential and may be shared with others by the physician only as needed. Supervisors, managers, and safety personnel may be told only of identified work restrictions, needed accommodations, possible emergency treatment, and special evacuation procedures. If a physician identifies any medical conditions unrelated to the job, this information should be provided to the employee only, not the employer.
OSHA Carcinogens For Which No Exposure is Permitted and Medical Testing Requirements, 1910.1003 to 1910.1016
* 2-Acetylaminofluorene (.1014)
* 4-Aminodiphenyl (.1011)
* Benzidine (.1010)
* bis-Chloromethyl ether (.1008)
* 3,3' Dichlorobenzidine (.1007)
* 4-Dimethylaminoazobenzene (.1015)
* Ethyleneimine (.1012)
* Methyl chloromethyl ether (.1006)
* alpha-Naphthylamine (.1004)
* beta-Naphthylamine (.1009)
* 4-Nitrobiphenyl (.1003)
* N-Nitrosodimethylamine (.1016)
* beta-Propiolactone (.1013)
Laboratory Analysis
Urine or blood samples should be submitted to a laboratory which is proficient in the specific analysis. Not all clinical laboratories are proficient in specialized analyses for chemicals. For blood lead, OSHA compiles a list of laboratories which they approve. At present, the most reliable indication of proficiency for other chemicals is successful participation in the interlaboratory comparison programs for specific chemicals sponsored by the College of Physicians (CAP) or the Quebec Toxicology Center. Questions on a lab's proficiency should be directed to a laboratory's quality control department.
Interpreting Lab Test Results
Results of lab tests should first be compared with what the level would be in an unexposed individual, then the level associated with early health effects, then the levels associated with more and more serious health effects.
Biological
Exposure Indices (BEIs)
are reference values set by the ACGIH which represent the level expected in the test from an individual who has been exposed to chemicals to the same extent as a worker with inhalation exposure to the ACGIH TLV exposure limits. For lead and cadmium, OSHA has set levels of test results which trigger actions such as checking that control measures are working, more frequent medical exams and tests, and removal of the worker from exposure to the chemical.
Medical Removal from Exposure
If abnormal medical exams and/or tests are found, the occupational physician may recommend medical removal from exposure. The OSHA lead and cadmium standards specify blood and urine test levels which trigger such removal.
The employee should retain wages, seniority, and other benefits during the medical removal. Return to exposure should only be at the physician's recommendation.
The Importance of Evaluating Group Results
The results of medical exams and tests should be evaluated on a group basis as well as individually. This is important because chemical exposure might cause only mild increase in symptoms in each individual which, when seen in the aggregate, might provide an important clue that exposure is having adverse health effects.
Recordkeeping
In general, employers are required by OSHA to keep all medical records for the duration of the employee's employment plus 30 years.
The Americans With Disabilities Act (ADA)
Under ADA, medical exams and tests may not be used to screen out or terminate people with medical disabilities, including those which are job-related. Rather, the employer is expected to accommodate the disability to the extent reasonably possible, consistent with business necessity, as long as the person can perform the essential functions of the job.
For more information, see the medical surveillance portions of the OSHA standards for the chemicals listed in the boxes, and the following:
* Physicians in New Jersey Specializing in Occupational and Environmental Illness-- free by calling the New Jersey Department of Health and Senior Services, 609-984-1863.
* Association of Occupational and Environmental Clinics (AOEC) -- a network of clinics affiliated with medical schools throughout the United States specializing in evaluating workers exposed to chemicals and other Occupational and environmental hazards. For the name and address of the nearest clinic, call 202-3474976.
* ACGIH Biological Exposure Indices (BEIs) -- order by calling 513-742-2020.
* The ADA and Injured Workers -- free by calling the ILR Program on Employment and Disability, Cornell University, 607-255-2906, fax 607-255-2763.
* ADA Technical Assistance Center -- 1-800-949-4232.
Industrial Hygiene Fact Sheet 16
Access to Medical and Monitoring Data
In 1980, OSHA issued a standard (1910.20) requiring employers to provide employees with information to assist in the management of their own health and safety. The standard permits employees or their designated representatives (union, lawyer, etc.) direct access to their personal exposure and medical records that are maintained by the employer. Access means the right and opportunity to examine and copy records. Access must be provided in a reasonable manner and place. If access cannot be provided within 15 days after the request, the employer must state the reason for the delay and the earliest date when records will be made available. The employer may give the employee copies of the requested records, give the employee the records and the use of a photocopier, or lend the employee his/her records for copying off the premises.
Employers must maintain records for a number of years specified by OSHA, usually 30 years after the last date of employment of the employee involved. Under this standard, OSHA representatives have access to exposure and medical records of all employees.
Exposure Records
Exposure records may include any of the following, including studies done in-house or by consultants:
* Industrial hygiene sampling data from personal, area, grab, wipe, or other forms of sampling for chemicals, noise, radiation, heat, cold, microorganisms, or other hazard;
* Material Safety Data Sheets or any other record which reveals the identity of a toxic substance or harmful physical agent.
If an employee does not have exposure records, the employer must provide records of other employees with job duties which are similar to those of the employee. Access to these records does not require consent of the other employees.
Medical Records
Medical records may include any of the following, including both records generated by a company health provider and those contracted out:
* Medical histories and questionnaires;
* Results of laboratory tests and results of medical exams;
* Results of tests on blood, urine, breath, hair, fingernails, etc for toxic chemicals;
* Medical opinions, diagnoses, and recommendations;
* Worker medical complaints.
Access to the medical records of another employee may be provided only with the written consent of that employee.
For more information, see the actual standard and the following publication: Access to Medical and Exposure Records -- OSHA Publication 3110. Free by calling 202-693-1888.
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1 GARY E. KLAUSNER (STATE BAR NO. 69077), and
2 STUTMAN, TREISTER & GLATT
DANIELLE A. PHAM (STATE BAR NO. 269915), Members of
3 1901 Avenue of the Stars, 12th Floor Los Angeles, CA 90067
4 Telephone: (310) 228-5600
5 Email: email@example.com
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7 for Debtors and Debtors in Possession
8 Debtors' Mailing Address:
9 100 Pleasant Valley Road
10 Attn: Robert Katz, CRO
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PROFESSIONAL CORPORATION
Telecopy: (310) 228-5788
firstname.lastname@example.org
Reorganization Counsel
Colorep, Inc. and Transprint USA, Inc.
Harrisonburg, VA 22801-9790
UNITED STATES BANKRUPTCY COURT CENTRAL DISTRICT OF CALIFORNIA LOS ANGELES DIVISION
In re
COLOREP, INC.,
a California corporation,et al. ,
Debtors.
Tax I.D. Nos. 94-3055026 (Colorep, Inc.) and 54-1200596 (Transprint USA, Inc.)
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Case No. 13-bk-27689-WB
Chapter 11 (Jointly Administered)
DEBTORS' FOURTH CHAPTER 11 STATUS REPORT IN CONNECTION WITH MARCH 27, 2014 STATUS CONFERENCE
Status Conference
Date: March 27, 2014
Time: 10:00 a.m.
Location: Courtroom 1375
255 East Temple Street
Los Angeles, CA 90012
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forth in the Meserole Prepetition Loan Agreement (the "Meserole Prepetition Loan"). The Debtors' obligations under the Meserole Prepetition Loan were purportedly secured by a first priority security interest on virtually all of their tangible and intangible assets. Meserole filed a Proof of Claim against the Debtors, asserting a secured claim in the amount of $20,083,057.80, exclusive of attorneys' fees and other expenses, as of the Debtors' petition date.
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B. Events Precipitating the Debtors' Bankruptcy Filings.
A detailed explanation of the events precipitating the Debtors' bankruptcy filings is provided in the First Status Report. In sum, however, the Debtors' bankruptcy filings were the result of diminished cash flow which rendered the Debtors unable to pay ordinary course operating expenses and overhead, acquire necessary raw materials to meet customer demands, and purchase parts and supplies required for the maintenance of their equipment and production facility in Virginia. These conditions resulted in a decline in the quality and availability of the Debtors' product, impairing the Debtors' relationships with certain key vendors and customers.
The Debtors attempted to stabilize their business through the Meserole Prepetition Loan, and through an effort to obtain additional outside capital infusions, neither of which proved sufficient to ameliorate the Debtors' declining revenues and liquidity issues. The Debtors eventually determined that a Chapter 11 filing in which the Debtors could maintain their operations while attempting to find a "going concern" buyer was their most feasible alternative.
C. The Debtors' Sale of Substantially All of Their Assets.
The Debtors' most pressing challenge in these Chapter 11 cases was to stabilize business operations so that the Debtors could remain operational, and preserve both the value of the Debtors' assets and the jobs of as many employees as possible while the Debtors implemented a sale process for substantially all of the Debtors' assets. By an order entered August 12, 2013 [Docket No. 109] (the "Sale Procedures Order"), the Court approved a sale process under which the Debtors were authorized to conduct a marketing effort in an attempt to so solicit Qualified Bids, as that term is defined in the Sale Procedures Order, for the Debtors' assets.
The Debtors retained Hilco IP Services LLC d/b/a Hilco Streambank ("Hilco") to market the Debtors' assets, and to organize, with the assistance of the Debtors' reorganization
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counsel, a sale process for the Debtors' assets. Neither Hilco nor the Debtors received any Qualified Bids for the Debtors' assets, but the Debtors did receive an offer from Meserole and Fuller Smith Capital Management, LLC ("Fuller Smith", and together with Meserole, the "Buyer") to purchase substantially all of the Debtors' assets through an entity known as AirDye Solutions, LLC. The Debtors and their representatives engaged in weeks of negotiations with the Buyer with respect to the terms and conditions of the proposed sale. Ultimately, the Debtors reached a deal with the Buyer that conferred meaningful benefit on the Debtors' estates, including, but not limited to: (i) the Buyer's assumption of certain paid-time-off obligations for employees terminated by the Debtors and re-hired by the Buyer; (ii) satisfaction by the Buyer of all employee wage claims entitled to priority under Bankruptcy Code section 507(a)(4); (iii) payment by the Buyer of all ordinary course postpetition operating expenses; (iv) assumption of the Debtors' liability relating to unpaid prepetition payroll taxes; and (v) assumption and/or payment by the Buyer of certain administrative claims of the Debtors' professionals. In addition, the Debtors negotiated a requirement under the Sale that the Buyer extend employment offers to at least seventy-seven (77) of the Debtors' approximately 100 employees.
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The Court approved the Sale by an order entered October 4, 2013 [Docket No. 222] (the "Sale Order"). The Sale closed on October 7, 2013 [Docket No. 223]. As explained below, see infra Section D, the Buyer has failed to perform certain obligations under the "Asset Purchase Agreement" governing the Sale [Docket No. 214] (the "APA"), and the Debtors and their counsel have communicated extensively to the Buyer and their counsel the need to resolve these issues.
D. The Principal Disputes or Problems Likely to be Encountered By the Debtors During the Remainder of This Case, and the Debtors' Recommended Resolutions to Such Disputes or Problems.
Prior to the closing of the Sale, the principal challenges faced by the Debtors related to the Debtors' lack of funding absent the postpetition financing approved by the Court (the "DIP Financing"), and issues related to the marketing and approval of a sale of substantially all of the Debtors' assets. Now that the Sale has closed, and the costs associated with the operation of the Debtors' business terminated, these problems no longer affect the Debtors' estates.
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The Debtors are currently monitoring the Buyer's performance under the APA. As of the date of this Status Report, the Debtor believes that the Buyer has failed to make certain payments to the Debtors' professionals, which the APA and the Sale Order required under Schedule 2.3(f) to the APA, including payments to be made to the Debtors' chief restructuring officer ("CRO"), Executive Sounding Board Associates, LLC ("ESBA"); and to the Debtors' reorganization counsel, Stutman Treister & Glatt Professional Corporation ("ST&G"). The Debtor is currently seeking confirmation that any unpaid payments will be made promptly.
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The Buyer also failed to pay amounts owed to an ordinary course vendor of the Debtors, Summit Reprographics, Inc. ("Summit"), for services rendered during these bankruptcy cases, as required under the APA. So as to prevent Summit from having to bear the brunt of the Buyer's failed performance, ST&G has paid $19,470.49 to Summit to satisfy its postpetition invoices. ST&G has informed the Buyer's counsel that it seeks repayment from the Buyer for the amount paid to Summit.
The Debtors and their counsel are also continuing to investigate the extent to which the Buyer has performed additional obligations under the APA and Sale Order have gone unsatisfied. If the Buyer does not promptly satisfy all outstanding obligations owed under the APA and Sale Order, the Debtorswill file a motion with the Court seeking to compel the Buyer to satisfy all outstanding obligations under the Sale Order and the APA.
As the Debtors sold substantially all of their assets to the Buyer, the Debtors do not believe that a Chapter 11 reorganization plan would be feasible. The Debtors are continuing to evaluate whether dismissal or conversion of this case to Chapter 7 would be in the best interests of the stakeholders in these cases.
E. The Debtors' Compliance with the Bankruptcy Code and Applicable Guidelines of the United States Trustee.
To date, the Debtors have been in substantial compliance with their obligations under Bankruptcy Code sections 521, 1106, and 1107, and under the guidelines established by the Office of the United States Trustee (the "US Trustee").
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Specifically, the Debtors, on August 9, 2013, filed separate Schedules and Statements of Financial Affairs. The Debtors have also satisfied all US Trustee guidelines. Specifically, the Debtors have submitted separate 7-day packages, attended an initial debtor interview and their meeting of creditors under Bankruptcy Code section 341(a), and are current on their Monthly Operating Reports.
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F. Parties Claiming an Interest in Cash Collateral of the Debtors, and the Debtors' Use of Cash Collateral.
Prior to the closing of the Sale, Meserole, as the lender under the Meserole Prepetition Loan Agreement, and Fuller Smith, as "DIP Agent" under the DIP Financing, asserted priority liens against substantially all of the Debtors' assets, including cash collateral. As partial consideration under the Sale, Meserole credit bid $19.75 million of the amount outstanding under Meserole Prepetition Loan Agreement, and Fuller Smith credit bid $250,000 of the amount outstanding under the DIP Financing. The Court approved a Sale of all "Acquired Assets," as that term is defined in the APA, including the Debtors' cash and cash collateral, free and clear of all liens, claims, and encumbrances under Bankruptcy Code section 363(f). Accordingly, the Debtors no longer have any cash collateral to which any security interests attach.
G. The Debtors' Professionals.
As of the date of this Status Report, the Debtors have filed applications to employ the following bankruptcy professionals under Bankruptcy Code section 327: (i) Stutman, Treister & Glatt Professional Corporation ("ST&G") as their general reorganization counsel [Docket No. 51] (the "ST&G Application"); (ii) Stubbs, Alderton & Markiles ("Stubbs") as their special corporate counsel [Docket No. 84] (the "Stubbs Application"); and (iii) Hilco as their exclusive agent for marketing a sale of the Debtors' assets [Docket No. 166] (the "Hilco Application").
The ST&G Application was approved by the Court through an order entered August 15, 2013 [Docket No. 126]. ST&G's services have included, among other things, representing and advising the Debtors with respect all aspects of these cases, including issues relating to the DIP Financing, use of cash collateral, executory contracts, claims and avoidance actions, and the Sale.
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The Stubbs Application was approved by the Court through an order entered August 22, 2013 [Docket No. 144]. Stubbs' services have included, among other things, providing general corporate advice to the Debtors and their boards of directors, and analyzing and preparing certain contracts or agreements of the Debtors as part of their governance and operations, as well as the Sale.
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The Hilco Application was approved by the Court through an order entered September 25, 2013 [Docket No. 197]. Hilco's services have included, among other things, overseeing and implementing the marketing of the Debtors' assets, and conferring with the Debtors and their counsel as to such process.
On July 30, 2013, the Debtors filed a motion (the "ESBA Motion") under Bankruptcy Code sections 105(a) and 363 seeking an order authorizing the employment of ESBA as the Debtors' CRO. The Court held a hearing on the ESBA Motion on October 24, 2013. At this hearing, the Court approved ESBA's employment under Bankruptcy Code section 327, rather than 105 and 363. The Court entered an order approving ESBA's employment in these cases on November 18, 2013 [Docket No. 245]. ESBA's services have included managing the Debtors' day-to-day operations, and providing advice and guidance to the Debtors' board of directors in the development of the Debtors' restructuring options and cash requirements related thereto, as well as all aspects of the Sale.
H. Projected Income and Expenses for the First Six Months of the Case.
The Debtors submitted with the First Status Report a budget covering the Debtors' projected cash flow for the period from July 27, 2013 through October 10, 2013. The Sale closed prior to the outside date of this budget. Under the APA, the Buyer has assumed the costs of operating the Debtors' business. Moreover, the Debtors are no longer generating any income subsequent to the closing of the Sale. Accordingly, no additional budget is attached to this Status Report.
I. The Claims Bar Date.
A deadline for creditors to file claims against the Debtors' estates has not been set in these cases. As a result of a sale that did not produce cash for the Debtors' assets (ass opposed to the assumption of liabilities and release of claims), the Debtors did not receive consideration that might
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be paid to unsecured creditors. Accordingly, the Debtors have deferred filing a motion to set a bar date, while they evaluate whether to seek dismissal or conversion of these cases.
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J. The Debtors' Plan and Disclosure Statement.
As of the date of this Status Report, the Debtors' exclusive periods to file and solicit a Chapter 11 plan under Bankruptcy Code section 1121(c) have expired. As explained above, see supra Section I, the Debtors do not intend to file a plan, and are evaluating whether to seek dismissal or conversion.
K. Unexpired Leases and Executory Contracts.
On August 9, 2013, the Debtors filed their Schedules and Statement of Financial Affairs. Included with these filings are the Debtors' separate Schedule G's, which list the Debtors' known executory contracts and unexpired leases. Subsequent to the filing of the Debtors' Schedules, the Debtors continued their investigation as to whether they were counterparties to any additional executory contracts or unexpired leases. As part of the sale procedures approved by the Court, the Debtors served on all known executory contract or unexpired lease counterparties a notice of the Debtors' proposed cure amount for such contracts or leases. Under the APA, upon the closing of the Sale, the Debtors assumed and assigned specific executory contracts and unexpired leases listed in the Notice to Counterparties to Executory Contracts and Unexpired Leases That are Proposed to Be Assumed and Assigned [Docket No. 194].
The Debtors do not have assets to satisfy their obligations under any executory contracts or unexpired leases that were not assigned to the Buyer. Accordingly, the Debtors have entered into stipulations with certain counterparties to executory contracts and unexpired leases providing for the rejection of their respective contracts or leases. Three of such stipulations have been approved by order of the Court. On January 7, 2014, the Debtors filed a stipulation providing for the rejection of an unexpired lease of personal property between the Debtors and Leaf Funding, Inc. A proposed order approving this stipulation is pending before the Court.
The Debtors, on November 25, 2013, also filed a motion seeking entry of an order authorizing the Debtors to reject all other executory contracts and unexpired leases not assigned to the Buyer [Docket No. 251] (the "Rejection Motion"). The Rejection Motion was served on, among
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1 2 3 others, all counterparties to the contracts and leases that the Debtors seek to reject. No objections to the Rejection Motion were filed, and the Court entered an order granting the Rejection Motion on January 23, 2014 [Docket No. 272].
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PROOF OF SERVICE OF DOCUMENT
I am over the age of 18 and not a party to this bankruptcy case or adversary proceeding. My business address is: 1901 Avenue of the Stars, 12 th Floor, Los Angeles, California 90067. A true and correct copy of the foregoing document entitled (specify): DEBTORS' FOURTH CHAPTER 11 STATUS REPORT IN CONNECTION WITH MARCH 27, 2014 STATUS CONFERENCE will be served or was served (a) on the judge in chambers in the form and manner required by LBR 5005-2(d); and (b) in the manner stated below:
1. TO BE SERVED BY THE COURT VIA NOTICE OF ELECTRONIC FILING (NEF): Pursuant to controlling General Orders and LBR, the foregoing document will be served by the court via NEF and hyperlink to the document. On (date) March 13, 2014, I checked the CM/ECF docket for this bankruptcy case or adversary proceeding and determined that the following persons are on the Electronic Mail Notice List to receive NEF transmission at the email addresses stated below:
Service information continued on attached page
2. SERVED BY UNITED STATES MAIL:
On (date) March 13, 2014, I served the following persons and/or entities at the last known addresses in this bankruptcy case or adversary proceeding by placing a true and correct copy thereof in a sealed envelope in the United States mail, first class, postage prepaid, and addressed as follows. Listing the judge here constitutes a declaration that mailing to the judge will be completed no later than 24 hours after the document is filed.
Service information continued on attached page
3. SERVED BY PERSONAL DELIVERY, OVERNIGHT MAIL, FACSIMILE TRANSMISSION OR EMAIL
(state method for each person or entity served): Pursuant to F.R.Civ.P. 5 and/or controlling LBR, on (date) March 13, 2014, I served the following persons and/or entities by personal delivery, overnight mail service, or (for those who consented in writing to such service method), by facsimile transmission and/or email as follows. Listing the judge here constitutes a declaration that personal delivery on, or overnight mail to, the judge will be completed no later than 24 hours after the document is filed.
Colorep, Inc.
c/o Law Offices of Joseph P. Bartlett, P.C. 225 Santa Monica Blvd., 11 th Floor Santa Monica, CA 90401
Service information continued on attached page
I declare under penalty of perjury under the laws of the United States that the foregoing is true and correct.
March 13, 2014 Lisa Masse
/s/ Lisa Masse
Date
Printed Name
Signature
This form is mandatory. It has been approved for use by the United States Bankruptcy Court for the Central District of California.
1. TO BE SERVED BY THE COURT VIA NOTICE OF ELECTRONIC FILING (NEF):
Patrick B Howell on behalf of Creditor Sensient Imaging Technologies S.A., Sensient email@example.com, firstname.lastname@example.org;email@example.com
Technologies Corporation
Ron Maroko on behalf of U.S. Trustee United States Trustee (LA)
firstname.lastname@example.org
David W. Meadows on behalf of Creditor Columbia Gas of Virginia, Inc. email@example.com
David W. Meadows on behalf of Creditor Virginia Electric And Power Co firstname.lastname@example.org
Stephan W Milo on behalf of Interested Party Courtesy NEF email@example.com, firstname.lastname@example.org
Margreta M Morgulas on behalf of Debtor Colorep, Inc. email@example.com
Margreta M Morgulas on behalf of Debtor Transprint USA, Inc.
firstname.lastname@example.org
Michael S Neumeister on behalf of Debtor Colorep, Inc.
email@example.com
Michael S Neumeister on behalf of Debtor Transprint USA, Inc. firstname.lastname@example.org
Michael S Neumeister on behalf of Debtor In Possession Transprint USA, Inc. email@example.com
Frank T Pepler on behalf of Creditor Fuller Smith Capital Management LLC firstname.lastname@example.org, email@example.com
Frank T Pepler on behalf of Creditor Meserole, LLC firstname.lastname@example.org, email@example.com
Frank T Pepler on behalf of Creditor Saviva FS 1 LP
firstname.lastname@example.org, email@example.com
Danielle A Pham on behalf of Debtor Colorep, Inc. firstname.lastname@example.org, email@example.com
Jeffrey M. Reisner on behalf of Interested Party Courtesy NEF firstname.lastname@example.org
Christopher O Rivas on behalf of Creditor Columbia Gas of Virginia, Inc. email@example.com
Nicola G Suglia, Esq on behalf of Creditor Canon Financial Services, Inc. c/o Fleischer, Fleischer & Suglia firstname.lastname@example.org
United States Trustee (LA) email@example.com
Colorep, Inc. Limited Service List 6400.000 Rev. 11/27/13 575550v1
580371v1
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Chemsolv, Inc. P.O. Box 13847 Roanoke, VA 24037
Dupont Company Cashier's Office D-8003-3 1007 Market Street Wilmington, DE 19898
Shelter Capital Partners fka Yazam LLC Attn: Rodney Friedman 10880 Wilshire Blvd., Suite 1850 Los Angeles, CA 90024
Nexeo Solutions 3 Waterway Square Place Suite 1000 The Woodlands, TX 77380
Nexeo Solutions LLC 62190 Collections Center Dr Chicago, IL 60693-0621
Other Parties in Interest
Meserole, LLC Attn: Ari Hirt 152 W 57th Street, 4th Fl. New York, NY 10019
Counsel to Meserole LLC DLA Piper LLP (US) Attn: Stuart M. Brown 919 N. Market St., # 1500 Wilmington, DE 19801
Counsel to Meserole LLC DLA Piper LLP (US) Attn: Frank Pepler & Bertrand Pan 550 S. Hope Street, #2300 Los Angeles, CA 90071-2678
Party Asserting A Secured Interest Markman Law, PC 55 East 59th Street 17th Floor` New York, NY 10022
Dolly and Robert K. Raisler Foundation c/o Irell & Manella LLP Attn: Jeffrey M. Reisner, Esq. 840 Newport Center Dr., #400 Newport Beach, CA 92660
Anne Rand c/o Irell & Manella LLP Attn: Jeffrey M. Reisner, Esq. 840 Newport Center Dr., #400 Newport Beach, CA 92660
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Sudden death Dealing with intrusions
Relatives Guide
This booklet has been produced by:
Victims Unit: Office of the First Minister and Deputy First Minister
©
What are intrusions?
Intrusions are strong memories, thoughts or feelings about what happened (or about the person who died) that you cannot forget and find difficult to ignore. They may be upsetting and make it hard to concentrate or forget what happened.
Intrusions occur when your normal flow of thoughts is interrupted and you are reminded strongly of what happened. These intrusions can be repetitive, and become the centre of attention in your mind. Although they are difficult to control, these are normal reactions following a sudden death.
For some people intrusions may not be distressing at all. Other people may feel them very strongly. You may find that some intrusions can interfere with the ability to work, concentrate, and sleep, or make you angry, sad, or afraid.
Types of intrusions
Nightmares – these are one of the most common forms of intrusion, and are a natural reaction to fright following a sudden death. It is normal to have some type of night waking, disturbed sleep, disturbing dreams, nightmares or night terrors following a bad fright or scare. Bad dreams and nightmares following sudden death don't have to be about what actually happened.
Repetitive thoughts – these everyday fantasies, daydreams, and imaginary situations may run through your head during the course of the day. Following sudden death, you may remember some thoughts or memories of what happened repeatedly, either at random or because of a reminder (e.g. something you've seen, heard, or smelt etc. that reminds you of what happened). Intrusions can take the form of:
* Persistent thoughts relating to sudden death such as "Why did it have to happen?" or "Why me?"
* Intrusive images such as remembering (or imagining) the sights, sounds, smells, and other details of what happened
* Impulses such as panic or the urge to check doors and windows.
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Unlike normal daydreams which can be enjoyable or neutral, you may find intrusions of this type unpleasant. They may make you feel sad, agitated, guilty, angry, or less hopeful about the future.
Flashbacks – these are like daydreams only more intense and realistic. People who have flashbacks feel as if they were back at the time of death, being able to see, smell, feel, or hear what happened in great detail. Some people have vivid daydreams about what they imagined happened. If you have a flashback or vivid daydream, you may feel:
* Your emotions take over
* Your breathing and pulse become faster
* You are very frightened or scared
* You re-experience the event very vividly
Flashbacks can seem difficult or impossible to control, but you can manage them with specialist help. For most people, flashbacks will fade with time.
Repetitive play/actions – is a form of intrusion that usually only affects children. After a sudden death, they may repeatedly act out what happened through play. This is normal for children and may help them understand what happened. Older children and adults may find that they repeat activities as a way of going over what happened or as a means of coping. These actions usually fade with time.
What causes intrusions?
Intrusions are a normal reaction to sudden death. They happen after something has reminded you of the trauma (e.g. the smell of smoke, a loud noise, the sight of blood, or a news story). Sometimes they happen at times when you have nothing to do (e.g. around bedtime or first thing in the morning if you have trouble sleeping). Other times they may seem to happen at random.
Usually, people find they get fewer intrusions as time goes by, and that they become less upsetting. However, If you feel intrusions are making your situation worse (e.g. you have difficulty concentrating or getting on with your life because of intrusions) there are ways of managing intrusions.
Skills for managing intrusions and reminders
Avoidance of unnecessary reminders – some places, people, or things will remind you of the person who died or what happened. These may be overwhelming at times when you need to be in control (e.g. school-time or work hours). They may also affect your sleep or dreams. Manage your stress by avoiding severe reminders until you feel you are ready for them:
* Avoid thinking about what happened during work or school. Make time later on to think about it.
* Avoid painful reminders (e.g. location of the death) until you feel ready to deal with them
* Avoid being alone at times when you are reminded strongly of what happened (e.g. late at night)
Be aware of the things that remind you of what happened or times when you would rather not be alone. As times goes on you will be reminded less and less of what occurred.
Distraction – is the most effective way to deal with intrusions when they happen. When an intrusion occurs, if you deliberately think about something else then it won't be able to play out in your head.
In the beginning, it may be difficult for you to switch from the intrusion to the distraction. If this happens to you, there are simple ways of thought-stopping to help you interrupt an intrusion automatically. Thought-stopping actions are quick movements or thoughts that demand your attention:
* Shout "STOP!" out loud or loudly in your head
* Clap your hands together or snap your fingers quickly
* Snap an elastic band worn around the wrist
Once you have stopped the intrusion, you need to prevent it starting up again. Distracting your mind with an enjoyable job or mental exercise is a useful way to do this. Examples of distraction involve:
* Counting backwards in threes from 100 (e.g. 100, 97, 94, 91…)
* Listening to music or singing a favourite song in your head
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* Replacing the negative thoughts with good ones or positive memories, particularly of a safe place or time.
Be creative: some distractions will be more suited to you than others. Find methods that work for you, and practice them.
Relaxation – this is an important skill following sudden death. Learning to relax again can take time, especially if you feel unsafe.
People relax in different ways, from taking a bath, reading a book, or watching television to long walks, running, or playing sports. Not every relaxation technique will be suitable for you, but most people are good at finding at least one that works for them. Relaxations helps you calm down after upsetting thoughts or memories of what happened. Following sudden death, you may need to find different methods of relaxing or unwinding than you used in the past. Examples of relaxing activities include:
* Taking a bath
* Reading a book
* Watching TV
* Prayer/Meditation
* Guided imagery
* Taking long walks
* Deep breathing
* Listening to a relaxation tape
* Listening to music
* Talking with friends
* Exercising
* Playing sport
* Muscular relaxation
* Yoga
Guidelines
Take a flexible approach – your needs and emotions will change over time. Be flexible and creative in helping yourself
* What works for one person may not work for another
* What works at one time may not work later on
* Men and women are likely to cope in different ways
* Be prepared to try different things
Make time to think about the things that worry you – you may be tempted to avoid thinking about what happened if it is too distressing. Having a set time (every day or week) to think about this is helpful. Spend time thinking in private, or talking with a trusted friend, or talking with a therapist/counsellor. Many people use this time to create a diary or scrapbook to help work through their worries and other feelings.
* Make time for thinking in your daily or weekly routine
* Plan what has to be done in this time (e.g. reflection, writing)
* Spend time doing something relaxing or enjoyable afterwards.
Be aware of your reminders – identify the people, places, memories or other things that remind you of what happened. Knowing when to expect these reminders will give you more control. It can also make life less overwhelming (this can be especially important if the media or legal system is involved).
* Be aware that some things will remind you of what happened
* Be prepared for day-to-day reminders
Develop ways to deal with reminders – use distraction and thought stopping to deal with intrusions. For strong reminders (e.g. inquest or court case) use relaxation, deep-breathing, or having a friend or family member with you to reduce distress. For some people having a good cry from time to time will help clear your head and deal with reminders. Whatever method you chose, practice it to make sure it works.
* Practice thought stopping or mental distraction to stop your intrusions
* Use relaxation and/or exercise
* Make time to think about your intrusions, when and how they arise, or what they mean to you
Manage the reminders in your life – avoid too many reminders of what happened until you feel ready. If intrusions affect your concentration, memory, or emotional state then you will need to take time away from things that remind you of what happened. It is a good idea to control or limit your reminders, so that you can get used to them at a manageable pace.
* Be aware of your limits
* Identify reminders which are overwhelming
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* Develop a plan for making severe triggers more manageable (e.g. having someone else around to calm you down)
Beware of using coping methods that will become a problem in the long term, such as the use of alcohol and drugs.
The future
Intrusive thoughts and images can be very upsetting and difficult to prepare for. Most intrusive memories will weaken and fade over time, with the most intense intrusions occurring in the first two years.
In the early stages intrusions tend to be strongest, and following the guidelines outlined can make the experience less overwhelming.
There is no cure for intrusions, but you can manage your reminders and reactions until you are able to deal with them. When intrusions continue or if they interfere with work, education, or family life, there are many effective ways of dealing with them.
* Many people will experience either only slight intrusions or none at all.
* For some people, intrusions can either be prolonged or have a more noticeable effect on work, education, sleep, etc. You can benefit from understanding more about intrusions, learning how to recognise them, and thinking about how to manage them.
* People whose intrusions do not fade with time or upset them a lot may want help with related difficulties (such as sleep disturbance). There are other guidelines available in this series on dealing with such difficulties.
Appendix: Dealing with images
The TV screen method
The TV screen method is a short mental exercise for children and adults. Use it to control unwanted images (remembered or imagined pictures) of what happened. These images can stick in your mind, and may be scary or upsetting. The screen method works by teaching you how to control images in your head as they occur. The more you use it the faster and more effective it becomes.
Parents explaining these steps to young children should use language that you know your child will understand:
* Imagine a TV screen:
* Put the unwanted image on the TV screen so that you can see it properly
* The picture should be as clear or clearer than it is normally
* The TV screen can be any size as long as the picture can be clearly seen
* The picture should stay on the screen unless you change it deliberately
* Imagine a remote control:
* Imagine you have a remote control that works the TV screen
* When you don't want to look at the image on the TV screen anymore, use the remote control to switch the television off
* When the screen goes blank, either go back to what you were doing before or start doing something else (preferably something nice)
* If the picture comes back on the screen, use the remote to turn it off again; or
* If the unwanted picture comes back on the screen, use the remote to switch to another station showing a happy or comforting picture (e.g. a picture of your family, your favourite place to be, a favourite cartoon character, etc.). It is best if you pick these nice pictures in advance
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* Practice:
* The more you use the imaginary TV and remote control the more control you will have
* The more you practice the method with children, the less they will rely on adults to explain it to them each time
* The more comforting or happy images you can think to watch instead of the unpleasant image the better
Dealing with sounds/voices – the radio method
The radio method is a simple exercise for controlling intrusive sounds or voices. Noises such as these (remembered or imagined) can be sources of distress and reminders of the trauma. The radio method is a simple way for children and adults to control these intrusions and get some predictability and stability back following a traumatic loss.
* Imagine a radio:
* Some children may want to close their eyes to do this, others can keep theirs open
* The radio is off and making no sound
* The radio has knobs or buttons on it so that it can be switched to different stations (tuner)
* The radio has knobs or buttons on it to make sounds louder or quieter (volume)
Make the unwanted sound or voice come from the radio:
* Get the child to switch on the radio and tune it until they can hear very clearly the noise which upsets them
* Get them to turn up or down the volume so that the sound is louder or quieter
* Ask the child to tune out the sound a bit so that they can still hear it but it is more fuzzy
* Get them to turn up and down the volume so that this sound gets louder and then quieter again
* When the child feels they know how to use the radio like this, tell them to tune out the noise completely and then turn the volume all the way down so the sound disappears and the radio goes off
* If the noise comes back get them to turn off the radio again; or
* If the noise comes back get them to turn the radio to a different stations (e.g. one that plays their favourite song, jingle, theme from a cartoon, etc)
* Practice:
* The more a person uses their imaginary TV and remote control the better they will work
* The more children practice the method, the less they will rely on adults to explain it to them each time
During early stages, unwanted sounds and voices may be very difficult to control. It may be helpful at night to turn on a radio at a very low level. Soft or relaxing music can often block out unwanted sounds and act as a reassurance (in the same way that leaving a low night-light on can be comforting). During the day, any music or distraction will work just as well.
Dealing with unwanted bodily sensations
There are many popular methods of calming unwanted bodily sensations. The best methods are usually those that replace unwanted feelings with pleasant ones:
* Use massage, aromatherapy, or other pleasant bodily experiences
* Take relaxing baths to let go of tension
* Use a formal relaxation or visualisation technique to get more direct control of the sensations in your body*
Other methods focus on preventing unwanted bodily sensations from arising:
* Provide your body with enough rest each night
* Use exercise and activity to burn off excess energy during the day
* Eat healthily
* Avoid excessive use of alcohol, nicotine, caffeine, or other drugs
* Provide your body with enough relaxation each day
* For more information on formal relaxation and visualisation techniques see the leaflet in this series entitled "Sleep disturbances in adults & adolescents" & "Sleep disturbances in children under 10 years of age"
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Dealing with tastes and smells
Tastes and smells which remind you strongly of unpleasant memories and events (or are re-experienced from time to time when you think about what happened) can be upsetting. These tastes and smells can be controlled with practice and some preparation:
* Tastes:
* Use sweets or strong-tasting pleasant food to act as a counter-taste
* Keep a packet of mints/chewing gum for emergencies
* Keep bottled water or soft-drink for night-time use
* Smells:
* Use a favourite scent (perfume/after-shave) as a counter-smell
* Breathe through your mouth (less ability to smell)
* Keep relaxing or distracting smells for night-time use (e.g. lavender/Olbas oil)
* Other methods for tastes and smells:
* Use a formal visualisation or relaxation method to get more control of your sensations and reactions to them
* Use distraction to keep you occupied
Authors:
Editorial Group:
Summary
Traumatic memories are a normal part of traumatic bereavement. They can be overwhelming and more difficult to deal with from time to time. These are the times when you are most in need of control. Problems with intrusions can be eased through the steps outlined below.
Preparation
Identify your reminders – things that you see, hear, or feel that trigger intrusive thoughts or remind you of the traumatic loss. Examples: people, places, times of day or year, anniversaries, music, news items, traumatic memories, etc.
Identify repetitive thinking patterns – thoughts, images, or impulses related to traumatic loss that are persistent and difficult for you to control. Examples: persistent memories or imaginings of something traumatic; having the urge to check window/door locks; wondering "Why me?" or "If only I…"
Plan ahead –
* Prepare yourself for situations which you think might be especially likely to trigger your intrusions (e.g. anniversaries, court or coroner's investigations, involvement of the media). Decide how to deal with these and practice the method you chose.
* Decide what to do when you are having repetitive thoughts or traumatic memories. You will need to calm your thoughts as well as any physical response. Practice the method(s) you choose.
Skills
Avoidance – avoid situations which remind you strongly of your loss and may overwhelm you. These can be dealt with at a later time.
Distraction – redirect your thinking away from repetitive or intrusive thoughts as soon as they occur. Use thought stopping to clear your mind if intrusions are difficult to control. Practice distraction in advance, including a method you can use in public when necessary.
12
13
Relaxation – make time for relaxation. Identify positive activities that might relieve your stress, tension, or unwanted feelings and make time for these (e.g. exercise, fitness training, writing, hobbies, etc.). Practice until you are happy that you can become relaxed in a short space of time.
Guidelines
Take a flexible approach – the strength and number of intrusions will vary over time so be flexible in how you deal with them. Men and women are likely to have different reminders and coping methods. Use different skills for different situations. If something doesn't work, try again or try something new!
Set aside time to think about what's worrying you – plan what has to be done during this time, and allow time for relaxation afterwards.
What else?
There may be a need, from time to time, for specific help to manage or control certain excessive intrusions or distress. These are best discussed with your GP, health worker, or social services representative, who will be able to consider your options and information available to you. Referral to bereavement/trauma groups and voluntary agencies can also be arranged through these sources.
Professionals guide
Traumatic grief in early childhood Ages 0-5
Traumatic grief in middle childhood
Ages 5-10
Traumatic grief in adolescence
Ages 10-18
Traumatic grief in adults
Traumatic grief
Anger management
Traumatic grief
Dealing with intrusions
Sleep disturbance in adults
and adolescence
Sleep disturbance
in children under 10 years of age
Self care for workers supporting the traumatically bereaved
Guidelines for the immediate response to children and families in traumatic death situations
Relatives Guide
Dealing with sudden death in early childhood Ages 0-5
Dealing with sudden death in middle childhood Ages 5-10
Dealing with sudden death in adolescence Ages 10-18
Dealing with sudden death for adults
Sudden Death
Anger management
Sudden Death
Dealing with intrusions
Sudden Death
Insomnia and sleep disturbance
in adults and adolescents
Sudden Death
Sleep disturbance
in children under 10 years of age
The Coroner
Schools Guide
Traumatic grief in early childhood Ages 0-5
Traumatic grief in middle childhood Ages 5-10
Traumatic grief in adolescence
Ages 10-18
Sudden death
Information for pupils
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Specimen coursework assignment and answer
930 Advanced insurance broking
The specimen coursework assignment and answer provides a guide as to the style and format of coursework questions. These examples indicate the depth and breadth of answers sought by CII markers.
The answer given is not intended to be the definitive answer. Well-reasoned alternative answers can also gain marks.
Before commencing work on your coursework assignment, you need to familiarise yourself with the information in the Coursework Support Centre available on RevisionMate.
Contents
Coursework submission rules and important notes
Before you start your assignment, it is essential that you familiarise yourself with the Coursework Support Centre available on RevisionMate.
Please note the following information:
* This assignment must not be provided to, or discussed with, any other person regardless of whether they are another candidate or not. If you are found to have breached this rule, disciplinary action may be taken against you.
* Important rules relating to referencing all sources including the study text, regulations and citing statute and case law.
* Penalties for contravention of the rules relating to plagiarism and collaboration.
* Coursework marking criteria applied by markers to submitted answers.
* Deadlines for submission of coursework answers.
* You must not include your name or CII PIN anywhere in your answer.
* There are 80 marks available per coursework assignment. You must obtain a minimum of 40 marks (50%) per coursework assignment to achieve a pass.
* Your answer must be submitted on the correct answer template in Arial font, size 11.
* Your answer must include a brief context, at the start of your answer, and should be referred to throughout your answer.
* Each assignment answer should be a maximum of 3,200 words. The word count does not include diagrams however, it does include text contained within any tables you choose to use. The word count does not include referencing or supplementary material in appendices. Please be aware that at the point an assignment answer exceeds the word count by more than 10% the examiner will stop marking.
Top tips for answering coursework assignments
* Read the 930 Specimen coursework assignment and answer, available on RevisionMate.
* Read the assignments carefully and ensure you answer all parts of the assignments.
* You are encouraged to choose a context that is based on a real organisation or a division of an organisation.
* For assignments relating to regulation and law, knowledge of the UK regulatory framework is appropriate. However, marks can be awarded for non-UK examples if they are more relevant to your context.
* There is no minimum word requirement, but an answer with fewer than 2,800 words may be insufficiently comprehensive.
Assignment
Provide a brief context for an insurance broking organisation, or a division of an insurance broking organisation, with which you are familiar.
For this insurance broking organisation or division of an insurance broking organisation:
* Analyse how the changing external environment may impact its ability to add value to insurers and clients.
* Explain three ways in which it adds value to insurers and three ways in which it adds value to clients.
* Make recommendations, based on your analysis, to ensure that it can continue to add value.
Note 1
You are recommended to discuss your own organisation, or one that is familiar to you. Your answer is confidential to the CII and will not be shared. For this specimen answer, which is widely publicised, a fictitious company has been chosen so as not to highlight any company.
Note 2
The word 'briefly' after the word 'explain' in this Assignment question does not appear against any requirements in the explanation. However, in actual live Assignments it can and if for example it appeared here after the word explain in the first bullet you would provide less material than shown here in relation to that first bullet.
To be completed before submission:
Word count: 3152
Start typing your answer here:
Brief context
This answer is based on my employer, BAS Ltd. (BAS), a privately-owned UK regional insurance broker. BAS is engaged in marketing, selling and servicing life and non-life insurance products for clients in the small and medium enterprises, (SME) and personal lines markets.
BAS was formed in 1985, initially trading from a single office. BAS has since expanded both organically and by acquisition to its current size in early 2021 of four offices, each located in either a city or major town, with 75 staff in total. The annual insurance premium generated in 2020 was £32.8million, producing insurance brokerage and client fee income totalling £5.2million.
For the five years 2021- 2025 BAS has two strategic objectives:
* opening three further offices;
* making further acquisitions.
The aim is to produce total income of approximately £ 8 million by the end of 2025.
An explanation of adding value
The key to success in any competitive market is adding value. Providing and maintaining added value is essential if a company is to develop a sustainable competitive advantage.
One common representation of these activities is Porter's concept of a 'value chain':
Source: Michael Porter, 1996.
Whilst the value chain is aimed at the organisation in question (in this case BAS) it can, by extension, be used by BAS to understand the value chains of parties it trades with especially its clients and insurers. BAS, aided by both the information it already holds and in turn by what it can gather about these clients and insurers, is then able to understand what the drivers of their value chains are and how BAS can best seek to support those drivers. BAS is then better able to identify and exploit its sustainable competitive advantages.
Adding value is not a static concept and it is essential that BAS revisit what adding value means on a regular basis.
Three ways in which value is added to insurers
BAS adds value to the insurers it does business with in a number of ways. The following three significant ways have been identified from an interview I had with Susan White, BAS Managing Director. Susan explained to me that value is added for insurers by BAS:
* Creating access to clients.
* Delivering an expert interface between clients and the insurers
* Providing information on clients.
. Each of these three significant ways is further explained below.
Creating access to clients
Whilst BAS's primary role, as stated by the British Insurance Brokers' Association (2021), is to help consumers and businesses access suitable insurance, the corollary of this is that BAS provide insurers with access to BAS clients Without the provision of BAS access, insurers would have to invest in their own distribution network to reach these BAS clients. Of course, were it more effective and profitable for insurers to go direct to BAS clients (as does occur in some market segments) they would likely do so. The relevance of BAS is that it provides an 'on the ground' presence to access clients who are/become insurers' policyholders in a cost- effective way.
Providing information on clients
BAS maintains detailed records of new business gained and renewals. BAS segments clients by numerous categories including size, turnover, number of employees, payroll, nature of business, standard industry code/s and types of insurance arrangements. This enables BAS to best determine which insurers are the most suitable for different classes of insurance business and which types of client.
This information, allied to discussions with insurers to confirm BAS's understanding of classes and business they are interested in, further supported by practical knowledge of insurers' quotation and renewal terms, enables BAS to 'fast-track' business towards those insurers most likely to provide the best terms in practice.
Due to the quality and extent of the information held by BAS on their clients and prospective clients risk information can be presented to insurers where the risk profile of a client is in line with the relevant insurers underwriting philosophies. Therefore, each insurer only receives from BAS risks that match the insurer's risk appetite and where the insurer is likely to be competitive. This pre-marketing selection of insurers maximises the effective time, and therefore minimises costs, that an insurer dedicates to BAS introduced business. This is fully understood and appreciated by the insurers.
The outcomes of all quotation and renewal activity are included in BAS's regular discussions with insurers' account managers, to ensure BAS updates its understanding of insurers changing risk appetites, so as to influence which types of business each insurer is subsequently presented with.
Delivering an expert interface between BAS clients and the insurers
Insurance policies can be complex. BAS add value to insurers by acting as a knowledgeable interface between the insured and the insurer, fielding enquiries from clients and obtaining answers from insurers. BAS also ensure that the insurers' needs and requirements are met as far as possible by the insureds.
Whilst BAS is the agent of its clients, it uses its position to, in effect, act as the clients' insurance department to provide a quality and capable communication route into insurers. By working with insurers, BAS seek to understand their expectations so that when any subject is raised with the insurer BAS is able to provide a complete and clear explanation, on which the insurer can then make its decision.
Three ways in which value is added to clients
BAS adds value to its clients in the following significant ways:
* Delivering bespoke services.
* Investing in continuous professional development.
* Putting clients' interests first.
Each of these significant ways is further explained below.
Delivering bespoke services
Across all of BAS services to clients, BAS have service standards which are set with reference to analysis of client needs. Performance against the achievement of these service standards is monitored, with any identified failings used to address improvements.
For every client BAS provides terms of business at the outset of the relationship. The value of this is that clients' expectations are understood and agreed. MPW Insurance Brokers (2021) Terms of Business Agreement is similar to BAS's. It is intended to be clear, honest and readily understood by clients, so there is no doubt as to its purpose and effect.
BAS provide various added value services to commercial clients, for example:
* Clients are provided with a desk top risk analysis, based on the information gained from them at new business stage, which can be augmented by an on-site risk survey which is provided, at cost by reputable risk surveyors. This provides value through risk identification and recommendations for risk improvements.
* A dedicated named service contact and, in the event of a claim, a named claims contact. These individuals are given widespread authority to manage the clients' expectations and, in the case of commercial clients, keep the account handler aware of developments through the management information system. This provides value through personalised contact for clients.
BAS services to personal clients include supplying emails to clients in flood zones informing them of the precautions to be taken when the Environment Agency (2021) issues flood alert warnings and general newsletters to clients on a range of topical risk and insurance issues.
For all clients BAS undertake regular coverage reviews, pricing checks and resolve issues with insurers. BAS also provide product knowledge. Crucially independent advice is provided based on clients' demands and needs and not on BAS's business interests or what the insurer dictates.
Putting clients' interests first
All sales and service staff, as part of their induction training, are introduced to BAS values and culture which require them to place the clients' interests at the forefront of their considerations and actions. The training incorporates the Chartered Insurance Institute (2021) Code of Ethics and the Financial Conduct Authority (2021) (FCA) 'fair treatment of customers.' The value of this training, which is embedded in BAS's culture, is an enhanced ethical approach.
Investing in continuing professional development
BAS wants each of its clients to regard it as the preferred partner of choice. BAS recognises that each client is unique and that 'off the shelf' solutions are not always appropriate. Therefore, by recruiting capable employees and then investing in their development, BAS creates a team where each member understands their role in providing excellent client service. By being professional, BAS eliminate wastage or duplication. By looking at the bottom line, as well as the top line, BAS generate business efficiency for the insurers, clients and BAS itself.
Changing external environment: impact on ability to add value to insurers and clients
The depth and range of challenges arising from changes in the external environment are evident from a number of sources.
The FCA Business Plan 2020/2021 lists a number of priorities, with these being reflected in the following list of:
* Well- functioning markets;
* Minimising the impact of the financial failure of firms;
* Protecting the most vulnerable;
* Tackling scams;
* Ensuring the delivery of suitable products in a digital age. (FCA 2021)
Against the above regulatory background, BAS needs to regularly review and understand insurers' value propositions, i.e., the values that matter to them in terms of generating a sustainable competitive advantage, so that BAS can seek to assist their delivery. As stated, this a regular and ongoing need.
All the insurers BAS deal with publish their strategic objectives which include their own value propositions. For example, Aviva, an insurer with whom BAS has a large agency, state the following in terms of its interactions with its customers:
"When the unexpected happens, we're there to help. To get issues resolved. And to try and get everything back to normal for our customers as quickly as possible. We can only do that by making sure those customers can speak to people who care. Empathetic people. Good listeners." (Aviva, 2021)
It is evident that there are common themes across insurers. These themes are evidenced in The Future of General Insurance Report 2021 (Deloitte) which, amongst many factors, identifies ownership of liability as opposed to transfer, micro period policies, insurance as a commodity, individual pricing and insurers becoming pure capital providers as future issues to consider .BAS has to pay close attention to such trends and discuss them accordingly with their insurance partners.
BAS has to protect and enhance its own reputation. At the minimum it recognises that the legal and regulatory environment has changed and will continue to change. BAS already has to comply with numerous requirements including:
* Consumer Insurance (Disclosure and Representations) Act 2012.
* FCA rules and guidance as set out in the FCA handbook.
* Insurance Act 2015
Further major changes include the UK General Data Protection Regulation. These have increased the demands placed upon BAS, where the penalties for breaches, whilst potentially
costly, will likely be far more onerous in terms of harm to reputation. Reduction in reputation could threaten the existence of BAS, should a sufficient number of clients feel it is no long longer a trustworthy partner.
The above in turn strongly point towards a number of major challenges, which in summary are:
* Increasing competition.
* Challenge of technology.
* Increasing regulation
* Increasing client expectations.
Merely continuing as BAS has, with incremental changes in performance, appears increasingly woefully inadequate. Without radical changes BAS is at major risk of being swept aside as it would be seen as irrelevant and out of touch with the demands created by the external environment.
The four factors listed above are now considered in the context of the impact on BAS's ability to add value to insurers and clients.
Increasing competition
Insurance brokers including BAS have seen their share of the personal lines market and small commercial business decline due to the rise of direct writers. Direct insurers, such as Direct Line, Hastings and Admiral, report very significant aggregate, and growing shares, of the personal lines market.
Hastings Group Holdings plc; Direct Line Group plc; Admiral Group plc; 2021
In order to survive this shift to direct writers BAS must achieve added value for its clients, insurers and itself. BAS, amongst its current and prospective clients, must stand out if it is to justify being their preferred partner. To add future value BAS must become an integral part of its clients' businesses, as valued business partners. An example is being involved, by a client, in considering the insurance and risk implications of business growth ideas from the planning stage onwards.
Increasing regulation
BAS must embrace regulation rather than see it as a hindrance.
Compliance with regulation is a given and, in most respects, merely sets a minimum required standard to be followed. To delight clients, so reaching the levels that many of them expect, requires a totally client-focused approach to service delivery. To achieve this level of service delivery requires deep understanding of clients so that investment in business efficiency and effectiveness is accordingly targeted. BAS's understanding revolves around fairly easy to obtain facts and figures. Qualitative information is lacking.
Challenge of technology
The internet is used by increasing numbers of clients for the arrangement of their insurances, particularly for personal lines business. In addition, clients are taking advantage of the rapid growth in technological developments and social media for business and personal use. The internet is also being accessed more on mobile devices.
Matouschek, et al (2017) found that for SMEs there is a demand for digital insurance services that is not being met by the industry. This creates both a challenge and an opportunity for BAS.
The challenge for BAS is to ensure clients are communicated with in the way they prefer to be communicated with and BAS use the internet and social media to maximum advantage, both for servicing existing clients and reaching new ones.
However, BAS needs to avoid the trap of falling into a technology 'black hole'. It is not a question of technology for technology's sake. Rather it is about a real opportunity for BAS of understanding what clients and insurers want and then implementing solutions which, wholly but not exclusively, may well have a technological component whilst retaining appropriate human interactions.
Increasing client expectations
Alexanderson (2021) suggests that consumers require "cross- channel experience… connected journey… accuracy and privacy… choices… chatbots… mobile apps… recommended products… automation" and "voice- activated devices" in their dealings with firms. This means that transactions need to be seamless between channels. For example, a client who completes a new business enquiry online through a PC is then able to check its progress via a smartphone and discuss that progress by webchat with a BAS employee.
As far as insurers allow, BAS conduct all business by electronic data transfer. BAS use internal software that automatically completes each insurer's preferred case enquiry form. This adds value by minimising mistakes and reducing transaction costs.
The current BAS model of insurance broking is based around a fairly traditional approach to business acquisition and renewals (instigated by BAS), and mid-term adjustments and claims (instigated by clients making contact). This means that there may be months between contact, which is not indicative of or conducive for a strong and deep relationship. BAS do not appear to best satisfy many clients who will expect far more regular digital contact.
The BAS approach is in rather sharp contrast to many service industries where regular contact is a key component of both the marketing activity and indeed the basic servicing activity. Information, analysis and recommendations are regularly provided by service organisations through email or social media platforms. For example, many service organisations use the opportunity of monthly direct debit payments to remind, by email or text, their clients of the due date. They may also direct clients to other information at this time. This contact is then the basis for building a relationship which is much wider than simply seeking cross-sell and/or upsell opportunities.
BAS can, for example, follow the RAC (2021) model which provides a rich and diverse engagement using an informative website and monthly emails that provide a wide range of motoring related information, going far wider than simply selling RAC services. The intention behind such an approach being to increase client loyalty. The RAC also have quite distinctive personal and business approaches.
Recommendations
The following recommendations flow from the analysis above and are therefore framed to position BAS to remain viable and relevant. BAS needs to continue to add value to insurers and clients, thereby best ensuring its continued existence.
BAS need to appreciate that the scale and nature of the changes cannot be addressed simply by existing internal resources. For example, creating omnichannel capabilities requires external partners. It may be possible to source these from a range of potential knowledgeable partners. However, the clearest way forward would appear to be securing such resources through the use of larger insurance broking partners. A review by the board should decide how this is best achieved. Options include the sale of BAS or taking membership of a network- the Broker
Network (2021) is an example.
Develop an omnichannel approach to client engagement so clients choose how and when to engage with BAS. Also increase the extent to which client engagement, and transfer of data to/from insurers, is handled automatically in real-time.
BAS should widen and deepen its relationships with its clients. Competing on price has been a race to the bottom. The evidence is that clients will respond to simplicity and highly personalised service. This recommendation includes a number of complimentary sub-themes:
a) Develop a clear understanding of which client segments should be focussed on and, through engagement with them, insurers and other potential service providers, create a suite of options (in effect a menu) from which clients can choose.
c) Ensure there is regular contact with clients, in the medium of their choosing, to keep them aware of the relationship and, through information, advertising, inducements and offers, seek to deepen and strengthen the relationship.
b) Deliver the menu in a constant style which is seamless across channels. Recognise that online, whether smartphone, tablet or other device, will be the preferred channel for most clients. However, ensure that clients can engage BAS through any channel.
Create a customer management system which incorporates all relevant client information, whilst ensuring data is acquired, retained, used and removed in accordance with legislative and ethical expectations.
Ensure that all client-facing staff can deal empathically and speedily with client enquiries. This requires that all past and current client engagement is readily available to client-facing staff.
Seek to widen the opportunities to add value for clients, by developing a range of fee-based services, such as risk management services.
Additionally, whilst BAS already undertakes various basic administrative tasks for clients in relation to risk and insurance this has the scope to be widened and deepened so that BAS can add future value as a true strategic partner within clients' businesses.
Segment the business, to concentrate resources on areas where the greatest value can be added, so enhancing long-term profitability.
Invest in continuous professional development for all staff. Require all new employees to achieve relevant qualifications within a stipulated timescale and include this as a condition in their contracts of employment.
Reference List
White, S. 2021. Added Value. Interviewed by (candidate's name) [face to face] Manchester 21 January 2021.
Porter, M. E., 1996. "What is strategy?" Harvard Business Review, November–December, pp61-78.
British Insurance Brokers' Association, 2021. Increasing Signposting [online] Available at: https://www.biba.org.uk/latest-news/biba-urges-insurance-market-to-help-customers-byincreasing-signposting/ [Accessed 13 Feb 2021].
MPW Insurance Brokers, 2021. Terms of Business [online] Available at: https://www.mpwbrokers.com/about-us/terms-of-business/ [Accessed 13 Feb 2021].
Environment Agency, 2021. Flood warnings for England [online] Available at:https://floodwarning-information.service.gov.uk/warnings[Accessed 13 Feb 2021].
Chartered Insurance Institute, 2021. Code of Ethics [online] Available at: https://www.cii.co.uk/about-us/professional-standards/code-of-ethics/[Accessed 13 Feb 2021].
2021 Financial Conduct Authority, 2021. FCA Handbook, [online] Available at: https://www.fca.org.uk/firms/fair-treatment-customers [Accessed 13 Feb 2021].
2021 Financial Conduct Authority, 2021. Business Plan 2020/21, [online] Available at: https://www.fca.org.uk/publications/corporate-documents/our-business-plan-2020-21[ Accessed 13 Feb 2021].
Aviva, Customer Service at Aviva, [online] Available at:https://careers.aviva.co.uk/ourteams/customer-service/ [ Accessed 13 Feb 2021].
Deloitte, The Future of General Insurance Report, 2021, [online] Available at:file:///C:/Users/t_bri/Downloads/gfsi-insurance-turbulence-ahead.pdf [Accessed 13 Feb 2021]
Admiral Group plc, 2021 Investor Relations/Results and Presentations [online] Available at: https://admiralgroup.co.uk/investor-relations/results-and-presentations[ Accessed 13 Feb 2021]
Hastings Group Holdings plc, 2021 Investors Results and Reports [online] Available at: https://www.hastingsplc.com/investors/results-centre [ Accessed 13 Feb 2021]
Direct Line Group plc, 2021 Investors Results and Reports [online] Available at: https://www.directlinegroup.co.uk/en/investors/results-and-reports.category1.year2020.htm [Accessed 13 Feb 2021]
Matouschek, G., Gough, S., Astley, E., Newton, V. and Barth, J.: pwc UK, 2017. Global Business Small Business Insurance Survey [online] Available at: https://www.strategyand.pwc.com/gx/en/insights/digital-sme-insurance-survey.html [Accessed 13 Feb 2021]
Alexanderson.C.2021 Insurance Customer Experience: Meeting the Expectations of Today's Consumer [online] Available at : https://www.duckcreek.com/blog/insurance-customerexperience/ [Accessed 13 Feb 2021]
RAC, 2021. Drive-Business [ online] Available at: https://www.rac.co.uk/business [Accessed 13 Feb 2021]
Broker Network, 2021 The Home of Independent Broking [online] Available at :https://www.brokernetwork.co.uk/ [ Accessed 13 Feb 2021]
Glossary of key words
Analyse
Find the relevant facts and examine these in depth. Examine the relationship between various facts and make conclusions or recommendations.
Construct
To build or make something; construct a table.
Describe
Give an account in words (someone or something) including all relevant characteristics, qualities or events.
Devise
To plan or create a method, procedure or system.
Discuss
To consider something in detail; examining the different ideas and opinions about something, for example to weigh up alternative views.
Explain
To make something clear and easy to understand with reasoning and/or justification.
Identify
Recognise and name.
Justify
Support an argument or conclusion. Prove or show grounds for a decision.
Outline
Give a general description briefly showing the essential features.
Recommend with reasons
Provide reasons in favour.
State
Express main points in brief, clear form.
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User-Service Manual Joerns ® Therapeutic Support Surfaces ProCair Plus
To avoid injury, read user's manual before using.
Important Precautions
Important Notice: The equipment must be installed and operated in the manner for which it was intended. Facility staff/user is responsible for reading and understanding the product user manual and contacting Joerns Healthcare if anything in this manual is unclear. Joerns will not be held responsible for any injuries resulting from failure to comply with the instructions and precautions in this manual.
Warning: Joerns specialty support surfaces are designed as mattress replacement systems. The risk of entrapment may occur when the equipment is placed on bed frames that leave gaps of even a few inches between the mattress and the head panel, foot panel, and bed or side rails. The equipment is NOT to be used when such gaps are present.
Facility staff/user is responsible for ensuring that all mattresses properly fit the bed frames. Joerns is not responsible for the placement of its equipment on bed frames that leave gaps between the mattress and the head panel, foot panel or bed or side rails which present a risk of harm to patients.
Warning: An optimal bed system assessment should be conducted on each patient by a qualified clinician or medical provider to ensure maximum safety of the patient. The assessment should be conducted within the context of, and in compliance with, the state and federal guidelines related to the use of restraints and bed system entrapment guidance, including the Clinical Guidance for the Assessment and Implementation of Side Rails published by the Hospital Bed Safety Workgroup of the U.S. Food and Drug Administration. Further information can be obtained at the following web address: http://www.fda. gov/MedicalDevices/ProductsandMedicalProcedures/ GeneralHospitalDevicesandSupplies/HospitalBeds/ default.htm.
When using the mattress system, always ensure that the patient is positioned properly within the confines of the bed. Do not let any extremities protrude over the side or between the bed rails when the mattress is being used.
Danger Explosion Hazard: Do not use in the presence of flammable anesthetics. Do not use in the presence of smoking materials or open flame. Air flowing through the air mattress will support combustion.
© 2013 Joerns Healthcare • 6110053 RevC • 13-2359
Danger: To reduce the risk of shock, adhere to the following instructions. Failure to do so could result in personal injury or equipment damage.
* Immediately after using the ProCair Plus, unplug it from its power source.
* Do not place or drop the product into water or other liquid.
* Do not place or store the product where it can fall or be pulled into a tub or sink.
* Do not remove the back of the control unit. Refer servicing to Joerns Healthcare.
Warning: To reduce the risk of burns, shock, fire, or personal injury, adhere to the following instructions. Failure to do so could result in personal injury or equipment damage.
1. Use this product only for its intended purpose as described in this manual. Only use attachments and/or accessories that are recommended by the manufacturer.
3. Keep the control unit and power cord away from heated surfaces, e.g. space heaters.
2. If this product has a damaged power cord or plug, is not working properly, has been dropped or damaged, or has been dropped into water, do not operate it. For examination and repair, return the product to Joerns.
4. Never block the air openings of the product. Do not place the control unit on a surface, such as a bed or couch, where the air opening and/or filter compartment, located on the back of the control unit, may be blocked. Keep the air openings free of lint and hair.
6. Do not spill food or liquids onto the control unit. If a spill does occur, turn off the unit, disconnect it from its power supply and allow at least 24 hours for drying.
5. Never drop or insert any object into any opening or hose.
7. Do not use the product outdoors, or where aerosol-spray products are used.
9. Ensure nothing is placed on the power cord and ensure it is not located where it can be stepped on or tripped over.
8. Plug this product only into a properly grounded outlet. Refer to "Grounding Instructions".
10. Do not attempt to service the control unit. Please call Joerns Healthcare for any service requests.
11. The therapy pad (top cover) of this product is not air permeable and may present a suffocation risk. It is the responsibility of the caregiver to ensure that the patient can use this product safely.
Save These Instructions for Future Reference
Bed System Entrapment Information
In April 1999, the U.S. Food and Drug Administration (FDA) in partnership with representatives from the hospital and post-acute bed industry, including Joerns Healthcare, national healthcare organizations, patient advocacy groups, and other federal agencies formed the Hospital Bed Safety Workgroup (HBSW). The workgroup's goal is to improve the safety of bed frames for patients and residents in all health care settings who are most vulnerable to the risk of entrapment. The efforts of the FDA and the HBSW culminated in the FDA's release of recommended guidelines intended to reduce the risk of entrapment, including dimensional limits for critical gaps and spaces between bed system components and clinical guidance for assessment and implementation of bed side rails in various health care settings.
Entrapment zones involve the relationship of bed components often directly assembled by the healthcare facility rather than the manufacturer. Therefore, compliance is the responsibility of the facility.
As the leading manufacturer of long-term care beds and a frontrunner in addressing this critical issue, Joerns Healthcare can offer you the expertise, assistance and products to bring your facility into compliance.
Joerns ® Compliance Solutions
Matching the right bed components in order to meet regulatory guidelines can be complex.
That is why Joerns offers a wide array of compliance options. We assist customers in selecting compliant accessories recommended for their specific bed model.
Creating a Safer Care Environment
While the guidelines apply to all healthcare settings (hospitals, nursing homes and home care), long-term care facilities have particular exposure since serious entrapment events typically involve frail, elderly or dementia patients.
For More Information
To learn more about compliance options with Joerns products, visit our website at www.joerns. com, or contact our Customer Care representatives at 800.826.0270 and ask for free informational publications.
To learn more about entrapment zones, assessment methods, and guidelines concerning entrapment, contact Joerns Healthcare at 800.826.0270 or consult the FDA website: http://www.fda.gov/ MedicalDevices/ProductsandMedicalProcedures/ GeneralHospitalDevicesandSupplies/HospitalBeds/ default.htm.
3
Joerns® Therapeutic Support Surfaces ProCair Plus
Introduction
The ProCair Plus, provided by Joerns Healthcare, is a convertible dynamic pressure redistribution mattress replacement system. Pressure redistribution and alternating pressure therapy have been demonstrated to reduce the risk of pressure ulcers and as being a valuable aid in the treatment of pressure ulcers.
Warning: The risk of entrapment can arise when equipment is placed on bed frames that leave gaps of even a few inches between the mattress and the head panel, foot panel, and bed or side rails. The equipment is NOT to be used when such gaps are present. See "Important Precautions" section of this manual.
The ProCair Plus replacement system is suitable for at-risk patients and treatment for Stage I and II pressure ulcers. The ProCair Plus may also be indicated for additional therapeutic intervention based on patient's specific assessment.
With the addition of an optional control unit, the therapy can take three forms:
* Powered– where the mattress internal pressures are increased
* Alternating– where the mattress therapy cells alternate in pressure.
* Autofirm– provides maximum air inflation that may be used to assist during some patient care procedures or to aid in patient transfer
Pressure Redistribution Optimization (P.R.O.) Technology is a unique, patent pending, air control technology. The P.R.O. Technology system requires no adjustments or manual inflation devices and features a four-zone inner air core that automatically adjusts to meet the needs of each patient based on body profile and weight. The head zone remains static and is comprised of high density foam for maximum patient comfort while the shoulder, torso and foot zones are optimized independently to maximize pressure redistribution.
We have ensured that the ProCair Plus addresses key areas in the treatment of compromised skin: pressure redistribution and reduction in both friction and shearing forces.
Pressure Redistribution
ProCair Plus is a convertible dynamic pressure redistribution mattress system that has three modes of operation: non-powered, alternating pressure and static. The alternating and static modes require the use of an optional control unit (ProTech ES2 or CBC). The non-powered mode requires only that a control unit not be attached and that any external hoses are disconnected from the mattress. In the non-powered mode ProCair Plus functions as dynamic pressure redistribution mattress.
The alternating mode increases circulation to the patient while providing maximum pressure redistribution by alternating pressure between adjacent therapy cells throughout the length of the mattress.
Maximum pressure redistribution is achieved through delivering a specific amount of air to each therapy cell. This distributes the patient's weight evenly over a wide surface area resulting in average pressure readings well below capillary closure levels.
Shear and Friction Reduction
Shearing occurs when the skin is stationary in relation to the support surface, while the underlying tissues and vessels are stretched and damaged. When a patient's skin rubs against another surface, the result is friction. The ProCair Plus therapy cover is constructed of a breathable, non-plasticizing/moisture proof nylon with a scratch resistant rubber backing with low friction and shear properties to protect the patient's skin from these damaging forces.
Indications for Use
Pressure Redistribution
* Pressure Ulcers
* Neurology
* Rehabilitation
* Dermatology
* Amputations
* Burns
The selection of a pressure redistribution surface needs to be based on each individual patient's clinical condition or diagnosis and co-morbidities. The ProCair Plus provides average pressure readings well below capillary closure levels (32mm of Mercury) and allows for adequate perfusion to promote healing.
5
Pain Management
* AIDS
* Oncology
* Arthritis
The ProCair Plus provides uniform distribution of weight over a wide surface area, which relieves pressure against bony prominences and provides a soft, gentle therapy surface on which to lie. For patients experiencing severe pain and discomfort due to pressure and/or positioning limitations, consider the ProCair Plus as an adjunct to pain management interventions.
Note: The above are conditions and diagnoses for which the ProCair Plus may be indicated. Occasionally, there are orthopedic and neurological patients that require body positioning to be maintained in specific alignment. The ProCair Plus has safety features and an inner therapy core to prevent deflation of the therapy cells and to keep your patients in flotation at all times. However, in the event of a puncture or malfunction, the therapy cells may deflate and not provide the necessary alignment. The use of the ProCair Plus for these patients should be considered on an individual basis and discussed with the attending physician.
Features
Mattress Features
* Four-zone (head, shoulder, torso and foot) dynamic pressure redistribution profile with 15 cell internal design automatically adjusts to each patient's body profile and weight
* Dynamic, non-powered mattress easily converts to powered alternating and static modes with connected control unit (ProTech ES2 or CBC)
* The head zone remains static and is comprised of high density foam for maximum patient comfort while the shoulder, torso and foot zones are optimized independently to maximize pressure redistribution
* Automatic re-inflation of air zones through P.R.O. Technology after patient removal - no adjustment or manual inflation required
* Integrated foot zone helps to protect delicate heel area
* Viscoelastic one-inch foam topper provides maximum pressure redistribution, patient support and increased comfort
* The surrounding firm perimeter provide stability during patient care and transfer and helps support patient safety
* Five inch deep internal cells are constructed of
© 2013 Joerns Healthcare • 6110053 RevC • 13-2359
highly durable therapy cells, specially designed for automatic re-inflation without the use of a powered system
* Scratch resistant rubber backing
* 360° zippered, two-way stretch, therapy cover is constructed of a breathable, non-plasticizing/ moisture proof nylon, aiding in the prevention of friction and shearing
* Internal non-kinking hose sets
* Internal fully enclosed fire barrier meets BFD IX-11, 16CFR Part1633 and the expired CA TB603 flammability standards
* Top cover is fluid, stain and odor resistant and is treated with a highly effective bacteriostatic agent to inhibit the growth of bacteria and fungus
* Supports patients weighing up to 500 lbs.*
ProTechnology ES2 Control Unit Features
* Two therapy modes of operation – Alternating and Powered (static)
* Three alternating pressure cycle times: 5, 10 and 15 minutes
* Alternating mode alternates the air pressure in adjacent cells throughout the mattress (excluding the head section)
* Autofirm setting of unit provides maximum air inflation designed to assist both patients and caregivers during patient care and transport
* Compact lightweight control unit is quiet and energy efficient
* Eight comfort control settings to maximize patient compliance and promote healing.
* Crisp, easy to read graphics for intuitive set up and therapy control
* Integrated swing out hanging brackets for fixing to most bed types
* Closed loop pressure sensor control system eliminates concerns of changes in mattress interface pressure due to ambient temperature and pressure changes
* Quick disconnect hoses allow for rapid attachment at the mattress (fixed at the control unit)
CBC Therapy Control Unit Features
* Alternating feature alternates the air pressure in adjacent cells throughout the mattress (excluding the head section)
* Ten comfort control settings to maximize patient
* Therapy modes of operation: Alternate and Static powered
compliance and promote healing
* Crisp, easy to read graphics for intuitive set up and therapy control
* Compact lightweight control unit is quiet and energy efficient
* Integrated swing out brackets for fixing to most bed types
* Quick disconnect hoses allow for rapid attachment at the mattress (fixed at the control unit)
Grounding Instructions
Warning: Use a properly grounded, three-prong, 120V AC outlet for this product. Failure to use a grounded outlet could result in personal injury or damage to equipment or house wiring, including risk of fire. A qualified electrician should be contacted to correct the wiring and ensure a properly grounded outlet.
Before installing this product, have the electrical system checked to make sure the electrical circuits and the electrical service are properly grounded.
Having a three-prong outlet does not necessarily mean it is grounded. Sometimes two-prong outlets are replaced with a three-prong type even though there is no ground wire.
There is always a chance of a loose connection or poor installation of a ground wire that causes the loss of proper ground at the outlet. Inadequate grounding at electrical outlets can occur even if there is a ground wire. Wires can become loose over time at the connection to the outlet.
Note: To install new wires on a circuit requires a qualified electrician.
How to Determine if Outlet has the Proper Grounding
Most hardware stores sell circuit testers (Figure 1) that can be used to test an outlet for proper grounding. The tester plugs into an outlet and by observing the indicator lights you can determine if the outlet is properly grounded. For a higher level of assurance, an electrician should be requested to thoroughly test the electrical system with more reliable equipment.
If repair or replacement of the cord or plug is necessary, please contact Joerns Healthcare for assistance.
Operation
Warning: For important safeguards, see page two.
Caution: The patient's head should be positioned in the center of the top section of the mattress. When using the mattress system always ensure that the patient is positioned properly within the confines of the bed. Do not let any extremities protrude over the side or between the bed rails when the mattress is being used.
Non-Powered Mode
The ProCair Plus in its non-powered mode is a dynamic pressure distribution mattress replacement system consisting of four zones: the head, shoulder, torso and foot. The head zone remains static while the cells in the shoulder, torso and foot areas are connected to the P.R.O. Technology valve that allows air to automatically be drawn into the cells in order to provide the optimal amount of support for each area.
Based on the average patient's body weight distribution, the volume of air in each of these zones was developed to provide the precise amount of air/ foam mix to ensure optimal clinical outcomes, with average pressure readings well below capillary closure levels (32mm of Mercury).
Over a period of time the air in the therapy cells will naturally diffuse and the cells will deflate. If no control unit is used, it is recommended that the patient be removed from the mattress periodically to allow the compressed cells to automatically re-expand to their natural state without the need of an external power system.
7
Mode Selection
The Mode key is used to place the control unit in one of the desired modes of operation.
Comfort Adjust
The Comfort Adjust is located on the right of the control panel. The ES control unit can be customized to meet individual patient needs within a therapeutic window. Use the up and down keys to increase or decrease pressure in the mattress.
Lockout
The unit is designed to lock out all the adjustment controls after the patient has been positioned correctly. Approximately three minutes after the last button is pushed, the Power light begins to flash indicating Lockout is enabled. This feature is to prevent any unauthorized changes to the patient settings. To unlock and make adjustments to the settings, press both up and down Comfort Adjust arrows at the same time. Lockout mode will return after approximately three minutes of inactivity.
Cycle Key
When the unit is placed in Alternating mode, the five minute time light illuminates and the mattress therapy cells will alternate in pressure on a five minute cycle. The cycle times can be adjusted to ten minute and fifteen minute intervals by pressing the cycle key.
ES2 Control Unit (Figure 2)
The ES2 Control unit has three therapy modes: Autofirm, Therapy, and Alternate.
* Autofirm: The Autofirm light illuminates when in Autofirm mode. The mattress is manually inflated and can be used for patient transfer, or for a specific patient procedure where a firm mattress is preferable. The unit is designed to return to Therapy mode after approximately 10 minutes in the Autofirm mode. This feature ensures the patient is not left in the Autofirm mode for an extended period of time.
* Alternate: The Alternate light is illuminated when in the Alternate mode. The pressure automatically alternates between adjacent cells. The alternate frequency is carried out at preset time intervals set by the Cycle Time key.
* Therapy: The Therapy light is illuminated when in Therapy mode. This mode should be used along with the Comfort Adjust keys to increase or decrease the general firmness of the P.R.O. Matt ® Plus mattress.
Power button is used to turn the power on and off and comfort level.
© 2013 Joerns Healthcare • 6110053 RevC • 13-2359
Standby Light
The Standby light illuminates when the unit is initially plugged in, indicating power is available. If the unit is turned off by pressing the Power button, the standby light re-illuminates. If the Standby light illuminates without a caregiver pressing the Power button, it indicates that there has been a power interruption and the therapy control unit is ready to be turned back on. Press the Power button and reset the preferred mode of therapy and comfort level.
Mode Selection
The Mode key is used to place the control unit in one of the desired modes of operation.
Comfort Adjust
The Comfort Adjust buttons are located in the center of the control panel. Use the up and down keys to increase or decrease general firmness in the mattress.
Lockout
The unit is designed to lockout all the adjustment controls after the patient has been positioned correctly. Approximately three minutes after the last button is pushed, the Power light begins to flash indicating Lockout is enabled. This feature is to prevent any unauthorized changes to the patient settings. To unlock and make adjustments to the settings, press both of the up and down Comfort Adjust arrows at the same time. Lockout mode will return after approximately three minutes of inactivity.
Cycle Time
When the unit is placed in Alternate mode, the five minute time light illuminates and the mattress therapy cells will alternate in pressure on a five minute cycle. The cycle times can be adjusted to 10 minute and 15 minute intervals by pressing the Cycle Time key.
CBC Control Unit (Figure 3)
The CBC control unit has two therapy modes: Alternating and Static.
* Powered Static: Used along with the firm/soft dial to increase the general firmness of the P.R.O. Matt ® Plus mattress. After a period of 0-5 minutes, the amber mode switch will illuminate when in the powered Static mode.
Note: The very softest setting in the Powered Static mode is still firmer than the non-powered mode of the P.R.O. Matt Plus mattress.
* Alternating: The pressure automatically alternates between adjacent therapy cells throughout the length of the P.R.O. Matt Plus mattress on a ten minute cycle.
Power
The green Power switch is used to turn the CBC control unit on and off. When in the on position, the Power light is illuminated.
Mode Selection
The Mode switch is used to place the control unit in either the Powered Static or Alternating modes.
Comfort Adjust
The Comfort Adjust dial is located on the left side of the control panel. The CBC control unit can be customized to meet individual patient needs within a therapeutic window. Use the comfort dial to increase or decrease pressure in the mattress.
Low Pressure Alarm
The LOW PRESSURE light will illuminate if there is not enough pressure in the inner air cells. If this occurs, check the hose connection to the mattress to ensure the hoses are tightly connected without air leakage.
The THERAPY PRESSURE light indicates the system has the appropriate amount of pressure in the system.
Transport
Patients being transported on the P.R.O. Matt Plus mattress should be transported in the non-powered mode of operation.
* Turn the control unit off
* Disconnect the air hoses from the mattress inlet valve
* Unplug the power cord from line power
After transport, if powered therapy is desired, reconnect hoses and system power according to setup instructions.
Power Failure
In case of an extended power failure, the P.R.O. Matt Plus mattress system should be disconnected from the control unit. The patient can be left on the mattress which will force out air from the internal alternating cells. In the non-powered state, the mattress will continue to function as a dynamic pressure redistribution mattress replacement system.
Note: ES2 Control Unit Only: In the event of a power failure, if power is restored within approximately one hour, the control unit will return to previous settings. If the duration of a power failure extends beyond an hour, the control unit will default to Standby mode when power is restored.
Mattress Connection
All of the control units have a hose set permanently mounted to the side of the control unit. The connector that attaches to the mattress has three ports. The left and right are of the same connector type and are interchangeable. The center connection is different and must be connected to the center port.
To disconnect the control unit from the mattress, locate the ports at the foot end of the mattress (Figure 4). Disconnect the hose set by pressing down and pulling the left and right connectors (Figure 5). Repeat with the middle connector to fully disconnect the mattress from the control unit (Figure 6).
9
Figure 6
Joerns® Therapeutic Support Surfaces ProCair Plus
Note: If the control unit is not powered for a long period of time the connector should be disconnected from the ProCair Plus mattress and the control unit should be stored (see "Storage and Care" section).
Troubleshooting
ProCair Plus surface is not alternating or increasing in pressure:
1. Ensure the hose connection from the therapy mattress system (mattress) to the control unit is securely connected.
3. Ensure that the Power light is illuminated.
2. Ensure that the control unit is plugged into an AC outlet.
4. If steps 1-3 aren't successful, contact Joerns Healthcare for tech support at 800.826.0270.
Nursing Procedures
Recommended Linen:
Special linens are not necessary for the ProCair Plus, and there is no need for a bottom sheet. The mattress cover should be covering the therapy cells at all times. Based upon the patient's specific needs, the following may be utilized:
* Draw or slide sheet in positioning and to further minimize friction and shearing.
* Add use top sheets, blankets and/or bedspreads as needed for patient comfort.
* Incontinence barrier pad for patients incontinent of urine and stool, and patients with highly draining wounds.
* Keep the amount of padding between the patient and bed to a minimum for optimum performance.
Patient Positioning and Comfort
General Repositioning
Patients should be turned and repositioned per an individual turning schedule or per facility policy.
If it is not counter indicated, it is desirable to keep the back section of the bed in the flat position to provide optimal pressure redistribution and minimize the risk of shearing injuries.
Elevating Patient into Sitting Position
The special properties of the ProCair Plus reduce the opportunity for shear and friction that may occur when raising the back section of other bed systems. As with any surface, sliding can be expected; therefore,
© 2013 Joerns Healthcare • 6110053 RevC • 13-2359
patients should be repositioned after elevation. The knee gatch or knee section of the bed may be elevated first, to help prevent the patient from sliding when the back section is elevated.
Contractures
Contractures and foot drop are a concern for all bedridden and immobilized patients. Physical therapy and any prescribed exercises may be performed on the ProCair Plus as is done on any traditional hospital bed.
Incontinence
Moisture against the skin surface leads to maceration, or softening of the tissues. To prevent maceration, we recommend you use an incontinence barrier pad to absorb the excess moisture.
In the event of incontinence or excess drainage, you should wipe off the excess fluid from the bed surface.
Safety Information
Patient Migration
Specialty bed products are designed to reduce pressure and the shearing/friction forces on the patient's skin. The risk of gradual movement and/or sinking into hazardous positions of entrapment and/ or inadvertent bed exit may be increased due to the nature of these products.
Traction
With any traction or unstable fractures, maintain physician-directed angle of articulation and guard against risks of patient migration or inadvertent deflation of patient surface.
Skin Care
Monitor skin conditions regularly, particularly in areas where incontinence and drainage occur or collect. Early intervention may be essential to preventing serious skin breakdown.
Bed Height
To minimize the risks of falls or injury, the mattress support platform should always be in the lowest practical position when the patient is unattended. Make sure areas under and around the frame are clear of objects, persons and parts of body before adjusting height.
Cleaning
Warning: Unplug the control unit from its power source. Failure to do so could result in personal injury or equipment damage.
Warning: Do not expose the mattress or control unit to excessive moisture that would allow for liquid pooling. Personal injury or equipment damage could occur.
Caution: Do not use harsh cleansers/detergents, such as scouring pads and heavy-duty grease removers, or solvents, such as acetone. Equipment damage could occur.
Control Unit Cleaning
Wipe off dust. If necessary, clean the housing exterior with a disinfectant solution or a mild detergent and a damp cloth, then wipe dry. Wipe power cord.
General Cleaning
If there is no visible soilage with possible body fluids, we recommend that you clean the mattress system with a mild detergent and warm water. If disinfection is desired, you may use a combination cleanser/ disinfectant as explained in "Disinfecting".
1. Patient care equipment that does not come in direct contact with the patient requires only lowlevel disinfection. Wiping surfaces with a properly prepared detergent/disinfectant carries out lowlevel disinfecting.
3. Detergent/disinfectants should not be mixed with other germicides or detergents. Using the proper dilution ensures the most effective killing power of the disinfectant.
2. Processing of dirty patient care equipment should take place in a designated area away from clean or sterile supplies and food preparation areas.
4. Patient care equipment that is used in isolation areas should be disinfected in accordance with all internal policies and procedures regarding such equipment.
Disinfecting
When there is visible soilage, and between patients, we recommend that you disinfect the unit and mattress with a tuberculocidal disinfectant. Disinfectant should be registered with the Environmental Protection Agency (EPA).
2. Prepare detergent/disinfectant (registered by EPA as hospital disinfectant) solution according to instructions on label for correct use-dilution
1. Use rubber gloves and eye protection
3. Thoroughly wipe down entire mattress
4. Remove gloves and dispose; wash hands
Filter Cleaning
When using an optional control unit, check the air filter on the rear of the unit regularly for buildup of dust/dirt. If buildup is visible, turn off the control unit and disconnect the power cord from the wall outlet. Remove the filter by grasping the filter and pulling outward. Replace with the second supplied filter. Ensure the replaced filter covers the entire filter region.
Hand-wash the removed filter in warm soapy water and allow to air dry. When dry, store the filter in a safe place for the next filter maintenance.
Steam Cleaning
Do not use any steam cleaning device on the unit. Excessive moisture can damage mechanisms in this unit.
Do not use any steam cleaning device on the mattress. Excessive moisture can damage mechanisms in this mattress
Maintenance
Warning: Only authorized personnel trained by Joerns Healthcare should perform preventative maintenance. Preventative maintenance performed by unauthorized personnel could result in personal injury and/or equipment damage.
Any maintenance done without Joerns Healthcare's authorization will void any warranties on this product.
11
Storage and Care
When the product is not in use, store the power cord properly. Failure to do so could result in personal injury.
Note: Clean the ProCair Plus as described in the previous section prior to storage.
Support Surface
* Thoroughly wipe down outside of the support surface and allow to air dry.
* Cover with plastic and return to storage area. It is recommended not to fold the mattress and to avoid storage of the mattress other than in a flat format.
Control Unit
The permanently mounted hoses may be stored using the included hose management strap.
The power cord may be wrapped around the unit for convenience. Wrap the unit in a plastic bag for dust resistance then store the unit in an area appropriate for an electronic medical device.
System Specifications
Weight:
*Mattress weight capacity only; total weight must not exceed bed frame manufacturers' specified load capacity.
Dimensions:
Mattress:
36"(91cm)W x 80"(203cm)H x 7"(18cm)D 36"(91cm)W x 84"(213cm)H x 7"(18cm)D 42"(107cm)W x 80"(203cm)H x 7"(18cm)D
ES2 Control Unit
7.5" (19cm) W x 12.25" (31cm) H x 5.5" (14cm) D
CBC Control Unit:
11.18"(28.4cm)W x 5.6"(14.2cm)H x 3.5"(9cm)D
© 2013 Joerns Healthcare • 6110053 RevC • 13-2359
Electrical Specifications:
ES2 Control Unit
US....................................... 120V AC, 60Hz, 0.6A
CBC Control Unit
US ................................................. 120V AC, 60 Hz, 1A
Environmental Conditions
Operating Conditions:
Ambient temperature: +10°C to +40°C
Relative humidity: 30% to 75% non-condensing
Storage And Shipping Conditions:
Relative humidity: 10% to 100%
Ambient temperature: 10ºC to +40ºC
Agency Approvals
Internal Fire Barrier
* Federal Fire Standard 16 CFR Part 1633
* Boston Fire Department BF IX-11 Mattress Fire Test
* Expired CA TB 603
ES2 Control Unit
* Units manufactured prior to 1/1/10 are UL listed Medical and Dental, UL 544tt
* UL Classified: UL 60601-1 CAN/CSA C22.2 No. 60601-1
CBC Control Unit
* UL Classified per Canadian standard: Medical Electrical Equipment, CSA C22.2 NO. 601.1
* UL Classified: Medical Electrical Equipment, UL 60601-1
UL Classification refers to the power unit only, not the complete mattress replacement system.
Call for Assistance
If you have any questions or require service on a Joerns product, please call Joerns Healthcare at 800.826.0270.
Joerns® Therapeutic Support Surfaces ProCair Plus
Notes:
13
Joerns Healthcare Warranty Program Joerns Support Surfaces, ProCair Plus Model
Joerns Healthcare, warrants the ProCair Plus mattress to be sold free from defects in workmanship and materials, under normal and proper use, for a period of five (5) years, three (3) years non-prorated. The cover warranty period is one (1) year. Damages arising from improper use will not be covered by this warranty.
The Pro Technology ES2 control unit will be covered for a period of two (2) years and the CBC control unit will be covered for a period of one (1) year.
Improper use is defined as those caused by:
* Burns
* Needle punctures, cuts or abrasions
* Chemical
* Excessive loads
* Negligent or excessive usage
* Staining
* Improper maintenance, handling and/or cleaning
* Failure to use in the manner indicated in the ProCair Plus user manual
Any modification, repair or alteration done to the ProCair Plus that were not authorized in writing by Joerns Healthcare will void this warranty.
Joerns Healthcare will pay shipping and handling costs incurred in relation to this warranty for the period of one (1) year. Thereafter, those fees will be the sole responsibility of the purchaser. Any claims must be submitted to Joerns Healthcare in writing within the defined warranty period.
www.joerns.com • email: firstname.lastname@example.org
Joerns Healthcare reserves the right to repair or replace the mattress or mattress components free of charge during the warranty period. Substituted components will be of equal or greater quality. No returns, allowances, credits, discounts, charge-backs or other deductions will be made without Joerns Healthcare's prior written authorization.
This warranty is the only warranty applicable to the ProCair Plus and there are no other warranties, expressed or implied, and no one other than Joerns Healthcare has the authority to modify this warranty.
Joerns Healthcare's liability will not exceed the purchase price (plus any shipping/handling fees) of the mattress. Joerns disclaims any liability for consequential damages arising from a breach of this warranty.
All warranty claims must have an assigned Joerns Healthcare Return Authorization (RA) number. Returned products are subject to inspection. It is the sole discretion of Joerns Healthcare personnel to determine if the claim is billable, or a non-charge warranty replacement.
Note to Purchaser: please be advised that some fabric will stretch and all foam (regardless of chemical composition) and padding will compress during the product lifecycle. This is normal and is not included in this or any other warranty applicable to this product. The ProCair Plus warranty is void if the manufacturer's tag is removed from the mattress.
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korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri
KORNELI KEKELIDZE GEORGIAN NATIONAL CENTRE OF MANUSCRIPTS
saredaqcio jgufi
zaza abaSiZe, Salva gloveli, darejan kldiaSvili, Tamar oTxmezuri, maia rafava, mzia surgulaZe
EDITORIAL GROUP
Zaza Abashidze, Shalva Gloveli, Darejan Kldiashvili, Thamar Otkhmezuri, Maia Rapava, Mzia Surguladze
ISBN 978-9941-9564-6-1
© korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri, 2018
saerTaSoriso konferencia
qarTuli xelnaweri memkvidreoba
INTERNATIONAL CONFERENCE
THE GEORGIAN MANUSCRIPT HERITAGE
moxsenebaTa Tezisebi
ABSTRACTS OF PAPEERS
sarCevi
Tamar abulaZe samecniero Sinaarsis xelnawerebi: interdisciplinuri
kvleva, Sedegebi da perspeqtivebi.................................................
nikoloz aleqsiZe, braian uord-perkinsi proeqti „wmindanTa kulti gvian antikur periodSi“:
qristianul samyaroSi wmindanTa kultis ganviTarebis dokumentireba da kvleva...................................................................
ia axvlediani, irina gogonaia, maia karanaZe xelnawerTa erovnul centrSi daculi qarTuli
xelnawerebis Weduri ydebi: kvlevis Sedegebi da perspeqtivebi..........................................................................................
emilio bonfilio bizantiidan kavkasiamde: ioane oqropiri qarTulad..............
aleqsandre boSiSvili, apolon TabuaSvili saqarTvelos ekonomikuri istoriis sakiTxebi –
akad. ivane javaxiSvilis pirad arqivSi daculi gamouqveynebeli masalebi..................................................................
alesandro maria bruni
`daviTnis~ Zveli qarTuli Targmani da misi wyaro:
SedarebiTi teqstobrivi kritikis calkeuli sakiTxebi.......
xaTuna gafrindaSvili, cicino guledani, naTia mirotaZe, dali CitunaSvili, irma xositaSvili
qarTuli palimfsestebi xelnawerTa erovnul centrSi.......
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lia kiknaZe, mixeil qavTaria,
qeTevan tatiSvili, nino qavTaria
NATIA DUNDUA
from Illuminated Manuscripts.............................................................................. 141
VLADIMER KEKELIA
SHORENA MURUSIDZE
Tamar abulaZe
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
samecniero Sinaarsis xelnawerebi: interdisciplinuri kvleva, Sedegebi da perspeqtivebi
samecniero Sinaarsis xelnawerebi, rogorc multikulturuli fenomeni, moicavs mravaldargovan codnas, asaxavs misi gavrcelebis, ganviTarebisa da transformaciis Sedegebs, ganpirobebuls kulturuli da istoriuli konteqstiT. Teoriuli, empiriuli codniTa da gamocdilebiT, praqtikuli mizandasaxulebiT Seqmnili es masala (dasavluri da aRmosavluri, muslimuri) moiTxovs interdisciplinur kvlevas, sistematizacias, sagangebo istoriul-samecniero Seswavlas, Sejerebuls kodikologiis, istoriis, enaTmecnierebis, bunebismetyvelebis, samedicino, zusti mecnierebebisa da sxva dargebis kvlevis meTodebiT. amasTanave, Tanamedrove etapze am tipis kvleva moiTxovs eleqtronuli produqtebis Seqmnas, rac uzrunvelyofs monacemTa farTo gavrcelebas, maTi gamoyenebis SesaZleblobas gaRrmavebuli kvlevisaTvis.
saqarTvelos siZveleTsacavebSi daculia adreuli da gviani Sua saukuneebis qarTuli da arabul-sparsuli samecniero Sinaarsis mravaldargovani da mdidari xelnaweri masala – samecniero informaciisa da unikaluri monacemebis Semcveli Zeglebi, calkeuli Txzulebebi, xelnaweri krebulebi, specialuri leqsikonebi, saganmanaTleblo anTologiebi, enciklopediebi da sxv. am masalis interdisciplinuri kvleva dawyebulia, kerZod:
a) ganxorcielda xelnawerTa erovnuli centrisa da ilias universitetis erToblivi proeqti – `qarTuli, sparsuli da arabuli astronomiuli xelnawerebi saqarTveloSi~ (xelmZR. irakli simonia, Semsruleblebi: Tamar abulaZe, liana samyuraSvili, nestan CxikvaZe, qeTevan patariZe, giorgi melaZe). proeqti ganxorcielda rusTavelis erovnuli samecniero fondis finansuri xelSewyobiT. mis farglebSi SemsrulebelTa jgufma gaaanaliza 300-ze meti qarTuli, 60 arabuli da sparsuli astronomiuli xelnaweri – originaluri Sromebi, Targmnili da komentaruli Sinaarsis Zeglebi: astronomiuli Txzulebebi, astronomiuli Sinaarsis fragmentebi, CarTuli sasuliero, saero, Sereuli tipis xelnawer krebulebSi da calkeul fragmentebad warmodgenili masala; sxvadasxva tipis krebulebi, romlebic Seicavs astronomiul monakveTebs an dasrulebul astronomiul naSroms; astronomiul-astrologiuri Sromebi, romlebSic Warbobs astronomiuli Sinaarsi.
proeqtis ganxorcielebis Sedegad, gamoica eleqtronuli wigni – `astronomiuli xelnawerebi saqarTveloSi~, romlis ZiriTadi nawili monacemTa interaqtiuli bazaa. is Seicavs mdidar teqstur da grafikul informacias, katalogebs, cxrilebs, miTiTebebs da sxv. qarTuli astronomiuli xelnawerebi Seadgens bazis ZiriTad nawils, romelSic asaxulia monacemebi giorgi mTawmidelis, efrem mciris, arsen iyalToelis mier X-XII saukuneebSi Sesrulebuli ioane damaskelis, basili didis, grigol noselis egzegetikuri Txzulebebis Targmanebis, iovane-zosimes kalendaruli naSromis (X s.), abuseriZe tbelis originaluri astronomiul-kalendaruli Sinaarsis Txzulebis (XIII s.), vaxtang VI-is mier Sedgenili da Targmnili astronomiuli masalis (XVIII s.), anton I -is mier volfis da baumaisteris Sromebis Targmanebisa da sxvaTa Sesaxeb. arabuli da sparsuli astronomiuli masalidan warmodgenilia iseTi avtorebis klasikuri Sromebi, rogorebicaa: uluRbegi, nasir ed-din tusi, 'ali yuSCi, al-birjandi, as-sufi da sxvebi. proeqtis farglebSi gamoqveynda agreTve katalogi da ori broSura.
b) 2017 wels daiwyo proeqtis – `samedicino da veterinaruli xelnawerebi saqarTvelos siZveleTsacavebSi~ (rusTavelis erovnuli samecniero fondis dafinansebiT) – ganxorcieleba. proeqti gulisxmobs saqarTvelosa da mis farglebs gareT daculi qarTuli samedicino xelnawerebis (zogadTeoriuli Sromebis, karabadinebis, krebulebSi daculi masalis – samedicino xasiaTis cnobebis, minawerebis, receptebis) interdisciplinur kvlevas, romelSic CarTuli arian centris TanamSromlebi – kodikologebi, qimikosi, istorikosi (liana samyuraSvili, Tamar abulaZe, irina gogonaia, naTia xizaniSvili) da dargis specialistebi (veterinari da farmakologi); eleqtronuli resursis – qarTul samedicino xelnawerTa monacemTa bazis Seqmnas da sakvanZo mniSvnelobis mqone xelnawerTa digitalizacias; xelnawerebSi dafiqsirebuli endemuri jiSebisa da masalis sauZvelze, axali farmacevtuli produqtis Seqmnas, saerTaSorisod miRebuli standartebis dacviT (samkurnalo saSualebebis Seqmna-miReba da winaklinikuri kvleva); saganmanaTleblo programis momzadebas – samagistro kursi: `samedicino codna xelnawer memkvidreobaSi~; qarTuli da inglisuri albomi-katalogis gamocemas. proeqti dasruldeba 2020 wels.
g) analogiur kvlevas vgegmavT qarTuli, sparsuli da arabuli qimiur-teqnologiuri da mineralogiur-gemologiuri xelnawerebis Seswavlis TvalsazrisiT. kvleva moicavs kodikologebis, aRmosavleTmcodneebis, mineralogisa da qimikosis mier iseTi mrvalmxriv saintereso krebulebis monacemebis gaanalizebas, rogorebicaa: `Satberdis krebuli~ (X s.), vaxtang VI-is avtorobiT Seqmnili unikaluri Sroma `wigni zeTebis Sezavebisa da qimiisa qmnis~ (XVIII s.) da sxv. aseve, xelnawerTa erovnuli centris sparsul da arabul xelnawerTa koleqciebSi daculi islamuri mecnierebis sxvadasxva dargis, maT Soris, alqimiis, Teoriuli da praqtikuli qimiis, mineralogiuri codnis amsaxveli calkeuli Txzulebebi, teqstebi, enciklopediebi, specialuri leqsikografiuli masala. sagangebod unda aRiniSnos, rom es monacemebi, umetes SemTxvevaSi, sruliad ucnobia farTo samecniero wreebisaTvis, ar aris gamocemuli, ar aris Seswavlili dargisa da, zogadad, mecnierebis istoriis kuTxiT.
samecniero xelnawerebis interdisciplinuri kvleva, masalis mecnieruli Rirebulebis gansazRvra da Sefaseba Tanamedrove standartebis Sesabamisad, beWduri da eleqtronuli produqtebis momzadeba, specialuri saganmanaTleblo kursebis CarTva umaRlesi saswavleblebis programebSi, xelnawerebSi dafiqsirebuli monacemebis praqtikuli ganxorcieleba, aRniSnuli codnis popularizacia da gavrceleba xels Seuwyobs mecnierebis sxvadasxva dargis istoriis suraTis Sevsebas axali monacemebis, saxelebis, masalis fonze; amasTan, gamokveTs qarTuli da axlo aRmosavleTis kulturuli arealis istoriul-samecniero kontaqtebsa da saerTo tendenciebs.
nikoloz aleqsiZe, braian uord-perkinsi
oqsfordis universiteti (didi britaneTi)
proeqti „wmindanTa kulti gvian antikur periodSi": qristianul samyaroSi wmindanTa kultis ganviTarebis dokumentireba da kvleva moxsenebaSi ganxiluli iqneba evropis kvlevis sabWos proeqti, romelzec muSaoba oqsfordSi 2014 wlis ianvridan mimdinareobs da wels dekemberSi unda dasruldes. am proeqtis farglebSi xdeba sxvadasxva tipis monacemebis (warwerebis, nakawri warwerebis, formaluri hagiografiis, istoriul teqstebSi wmindanebisa da maTi kultis xsenebebis, administraciul dokumentebSi SemTxveviTi damowmebebis da a. S.) Tavmoyra qristian wmindanTa kultis adreul periodSi ganviTarebis Sesaxeb, moyolebuli wmindanTa kultis sawyisebidan IV saukuneSi, vidre ax. w. 700 wlamde (anu im dromde, roca wmindanTa kultTan dakavSirebuli yvela tradicia ukve myarad iyo damkvidrebuli). bazaSi Segvaqvs qristianul samyaroSi arsebul, damwerlobis mqone yvela enaze Sesrulebuli masala. esaa somxuri, kopturi, qarTuli, berZnuli, laTinuri da siriuli enebi. proeqtis safuZvelTa safuZvelia saZiebo monacemTa baza, romelzec muSaoba jer ar dasrulebula, Tumca, mis wvdoma ukve Tavisuflad SeiZleba : http://csla.history. ox.ac.uk/. bazaSi Setanili yvela monacemi mocemulia originalis enaze, agreTve inglisuri Targmanis saxiT da darTuli aqvs mokle komentari, romelic konteqstSi jdeba. agreTve,
Zalian mniSvnelovania, rom es monacemebi xelmisawvdomia, rac iZleva sxvadasxva parametris mixedviT, maTi moZiebis SesaZleblobas.
moxsenebaSi ganxiluli iqneba proeqtis ganxorcielebasTan dakavSirebuli ambiciebi, problemebi da muSaobis procesSi miRebuli zogierTi umniSvnelovanesi winaswari daskvna. aqcenti gakeTdeba imaze, Tu rogor hfens naTels farTo qristianuli masStabiT warmoebuli kultis sakiTxebis kvleva im tradiciebs, romlebic erT romelime konkretul regionSi arsebobs, agreTve aTalsaCinoebs zogierTi wmindanis warmatebas Tu warumateblobas saerTaSoriso aRiarebis procesSi.
ia axvlediani, irina gogonaia, maia karanaZe
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
xelnawerTa erovnul centrSi daculi qarTuli xelnawerebis Weduri ydebi: kvlevis Sedegebi da perspeqtivebi
xelnawerTa erovnul centrSi dacul unikalur xelnawerebs Soris, aRsaniSnavia moWedil ydaSi Casmuli qarTuli xelnawerebi. maT Soris, gansakuTrebuli adgili `oqros xanis~ epoqis, XI-XIII saukuneebis, moWedil da mdidrulad Semkul xelnawerebs uWiravs. wyarosTavisa da berTis saxarebebis ydebi Seqmnilia beqa da beSqen opizarebis mier. qarTuli Weduri ydebis am unikaluri nimuSebis mimarT interesi didia, rogorc kvleviTi, ise saeqspozicio TvalsazrisiT.
aSS-is saelCos dafinansebiT, xelnawerTa erovnul cen trSi ganxorcielda proeqti `uZvelesi qarTuli moWedili Zeglebis diagnostika (XI-XIII saukuneebis qarTuli xelnawerebi)~, romelic iTvaliswinebda xelnawerTa erovnul centrSi daculi 60-mde moWedilydiani xelnaweris ydebis detalur Seswavlas da interdisciplinur kvlevas. proeqtis farglebSi Camoyalibda ydebis kvlevis erTiani midgoma, Seswavlil iqna 56 moWedili yda, identificirda 919 Tvali. qarTuli xelnawerebis moTvaluli Weduri ydebis Seswavla pirvelad profesiul gemologiur kvlevas daemyara, ris safuZvelzec, ydebis arqeografiul aRweraSi Sevida mecnierulad dadasturebuli informacia Tvlebis
raobis Sesaxeb. aranakleb nayofieri aRmoCnda metalis analizi XRF analizatoris gamoyenebiT.
warmodgenil moxsenebaSi, umTavresad, ganxilulia me talze Catarebuli kvlevis Sedegebi:
1. uZvelesi qarTuli xelnawerebis Wedur ydebze aRinusxa XVII-XIX saukunis damRebi, ramac, kodikologiur kvlevasTan erTad, saSualeba mogvca, gangvesazRvra ydebis damzadebis zusti TariRi, damzadebis adgili, rig SemTxvevaSi ostatis inicialebi da sxv. aRniSnuli mniSvnelovan istoriul-kulturul informacias Seicavs da SeiZleba, calke kvlevis sagani gaxdes.
2. kulturuli memkvidreobis specifikis gaTvaliswinebiT, arainvaziuri meTodiT, rentgenul-fluorescentuli analizatoris gamoyenebiT, naxevrad raodenobrivad, Seswavlil iqna Weduri ydebis qimiuri Sedgeniloba. SeirCa 33 yda da maTze daisinja 60 wertili, ramac saSualeba mogvca dagvedgina ara mxolod metalis saxeoba, rac cnobili iyo xelnawerTa aRwerilobebidan, aramed – Senadnobis sruli Semadgenloba da sinji.
zemoaRniSnuli gvexmareba iseTi problemebis gadaWraSi, rogorebicaa: metalis ydebis asakobrivi diapazoni, damzadebis adgili, oqros safaris sisqis dadgena, damzadebis teqnologiuri Taviseburebebi, restavrirebuli da originaluri nawilebis gamovlena, an gamovlenili nawilebis dadastureba.
aRniSnuli proeqtis Sedegebi saxavs saintereso perspeqtivebs xelnawerTa erovnul centrSi daculi kulturuli memkvidreobis kvlevaSi interdisciplinuri midgomebisa da arainvaziuri instrumentuli meTodebis danergvis TvalsazrisiT.
emilio bonfilio
venis universiteti (avstria)
bizantiidan kavkasiamde: ioane oqropiri qarTulad
axali aRTqmis teqstisa da grigol nazianzelis Txzulebebis Semdeg, TxzulebaTa berZnulenovani korpusi, romlis avtorad ioane oqropirs moiazreben, Sua saukuneebis yvelaze xSirad gadawerili xelnaweria. axali aRTqmisa da grigol nazianzelis msgavsad, ioane oqropiris Txzulebebis berZnuli versiebis garda, arsebobs sakmaod adreuli Targmanebi laTinur enasa da faqtobrivad, Zveli qristianuli aRmosavleTis yvela enaze: arabul, somxur, koptur, eTiopur, qarTul da siriul enebze.
warmodgenili moxseneba ioane oqropiris Txzulebebis qarTul Targmanebs Seexeba. kerZod, aqcenti sam aspeqtze gakeTdeba: 1. kvlevis Tanamedrove mdgomareoba, rac Semdegs gulisxmobs: mimoxiluli iqneba, ra aris cnobili „qarTuli" oqropiris Sesaxeb, ra sakiTxebia Seswavlili da ra mijnebSia aRiarebuli ioane oqropiris TxzulebaTa qarTulenovani korpusi; 2. kvlevis saSualebebi – anu moxsenebaSi SevexebiT imas, Tu romeli bibliografiuli masalis moxmobaa SesaZlebeli mkvlevrebis mier ioane oqropiris Txzulebebis qarTuli korpusis Seswavlis procesSi; 3. axali SesaZleblobebi momavali kvlevisaTvis – anu SemoTavazebuli iqneba sasurveli mizani, romelic mokle xanSi unda iyos miRweuli. agreTve, ganxiluli iqneba is sakiTxebi, romlebic Semdgomi kvlevisTvis iqneba gansakuTrebiT sayuradRebo.
amgvarad, warmodgenili moxsenebis amocana aris ara ioane oqropiris Txzulebebis qarTuli Targmanebis kvlevis axali Sedegebis gaxmovaneba, aramed mkvlevarTa safuZvliani dakvalianeba am sakiTxTan dakavSirebiT, momavalSi Casatarebeli samuSaoebis Sesaxeb.
aleqsandre boSiSvili, apolon TabuaSvili
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
saqarTvelos ekonomikuri istoriis sakiTxebi – akad. ivane javaxiSvilis pirad arqivSi daculi gamouqveynebeli masalebi
saqarTvelos ekonomikuri istoriis mecnierul Seswavlas, iseve rogorc uamrav sxva saistorio dargsa Tu disciplinas, safuZveli ivane javaxiSvilma Cauyara. jer kidev 1907 wels daibeWda misi naSromi `saqarTvelos ekonomiuri istoria~ (tfilisi, 1907), sadac mokled daisva sakiTxebi, romlebic momavali kvlevis sagani unda gamxdariyo.
avtorma saqarTvelos ekonomikuri istoriis Seswavlas mtkice safuZveli Cauyara naSromiT: `qarTuli safas-sazomTamcodneoba anu numizmatika-metrologia~ (tfilisi, 1925). xolo, 1930 da 1934 wlebSi ivane javaxiSvilma gamosca `saqarTvelos ekonomiuri istoriis~ pirveli da meore wignebi. aRniSnul gamocemebSi ganxilulia saqarTvelos ekonomikuri istoriis wyaroebi, terminologia da mocemulia umniSvnelovanesi gamokvleva saqarTvelos soflis meurneobis Sesaxeb. 1964 wels ivane javaxiSvilis saxelobis kabinetma, niko berZeniSvilis redaqtorobiT, gamosca meore wignisaTvis gankuTvnili masala saTauriT: `masalebi saqarTvelos ekonomikuri istoriisaTvis~. Semdeg gamoica ivane javaxiSvilis mier Sekrebili ekonomikis istoriis amsaxveli wyaroebi (`saqarTvelos ekonomikuri istoriis
Zeglebi~, wigni I, Tb., 1967; wigni II, Tb., 1974.). ufro adre, 1946 wels – `masalebi qarTveli eris materialuri kulturis istoriisaTvis~ (I, Tb., 1946 (mSebneblobis xelovneba Zvel saqarTveloSi); II, Tb., 1965 (safenel-sagebeli, aveji da WurWeli); III-IV, Tb., 1962 (tanisamosi, qsovilebi da xelsaqme, saomari saWurveli da samxedro saqme).
ivane javaxiSvili `saqarTvelos ekonomiuri istoriis~ pirveli wignis Sesaval nawilSi aRniSnavda, rom saxelmwifo finansebis, vaWroba-mrewvelobis, qalaqebis, mosaxleobis socialur-ekonomikuri mdgomareobis da msgavsi sakiTxebis Sesaxeb, informacia Tavmoyrili iqneboda amave naSromis mesame da meoTxe tomebSi. samwuxarod, daanonsebuli kvlevebis gamocema verc avtoris sicocxleSi moxerxda da arc SemdgomSi ganxorcielebula.
aRniSnuli gamokvlevebi, avtografis saxiT, daculia korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnul centrSi (iv. javaxiSvilis piradi arqivi, NN296311). saarqivo masalas, umeteswilad, dasrulebuli saxe aqvs. masSi Tavmoyrilia umniSvnelovanesi gamokvlevebi iseT sakiTxebze, rogorebicaa:
* saqarTvelos saxelmwifo Semosavlebi XII-XVIII saukuneebSi;
* safinanso uwyeba;
* fasebi, samonastro, safeodalo da saxelmwifo
meurneobebi;
*
satyeo da wylis meurneoba;
* saqalaqo cxovreba, mosaxleoba da demografiasTan dakavSirebuli sakiTxebi;
* gadasaxadebi, fuladi da naturaluri meurneoba;
* saqarTvelos sxvadasxva kuTxis sameurneo-ekonomikuri kavSirebi da sxv.
TiTqmis, yvela es sakiTxi fundamenturadaa gamokvleuli. praqtikulad, arqivis am nawilSi Tavmoyrilia `saqarTvelos ekonomikuri istoriis~ mesame da meoTxe tomebis masala. aqve unda iTqvas, rom zogierTi sakiTxi avtoris mier bolomde damuSavebuli ar aris da, zogjer, mxolod wyarodan amonaweria mocemuli. Tumca, masalis am nawilis samecniero Rirebuleba mainc didia. aRsaniSnavia is faqtic, rom mravali sakiTxi, romlebic ivane javaxiSvilis mieraa gaSuqebuli, dRemde Seuswavlelia.
moxsenebaSi warmodgenili iqneba zogadi informacia ivane javaxiSvilis piradi arqivis zemoT aRniSnuli nawilis Sesaxeb.
alesandro maria bruni
veneciis ka foskaris universiteti (italia)
`daviTnis~ Zveli qarTuli Targmani da misi wyaro: SedarebiTi teqstobrivi kritikis calkeuli sakiTxebi
moxsenebaSi ganxilulia fsalmunebis adreuli, aTonamdeli qarTuli Targmanis teqstebis Taviseburebani. es tradicia saTaves iRebs araugvianes V saukunisa. teqsti ori redaqciiTaa Semonaxuli. uZvelesi qarTuli daviTnis teqstis kritikisadmi bolodroindelma midgomam, gadaafasa Sexeduleba misi kavSiris Sesaxeb somxur tradiciasTan da qarTuli teqstis septuagintasTan kavSiris damadasturebeli sruliad axali samxilebi gamoavlina.
warmodgenili moxsenebis amocana dRemde naklebad Seswavlili teqstobrivi sakiTxebis axleburad warmoCenaa. aqcenti keTdeba zogierT dasavluri tipis wakiTxvaze, romlebic daviTnis orive aTonamdel qarTul redaqciaSi unda daiZebnos. avtori gvTavazobs qarTuli daviTnis teqsturi Taviseburebebis warmoSobis sakiTxis Seswavlisadmi axal midgomas, rac SesaZloa, relevanturi iyos bibliuri teqstebis am konkretuli korpusis amosavali teqstis dasadgenad.
qarTuli teqstis ramdenime monakveTis analizma gamoavlina teqstobrivi msgavsebebi ara mxolod Vetus Latina-sTan, aramed Zvel saeklesio slavur TargmanTanac, romelic kirilesa da meTodes periodiT (863-885 ww.) TariRdeba.
am ukanasknelSi iZebneba qarTuli daviTnis calkeuli sakiTxavebis ekvivalentebi, romlebsac aSkarad ar eZebnebaT paraleli berZnul versiaSi. arsebuli teqstobrivi msgavsebebi qarTul da Zvel saeklesio slavur daviTnebs Soris, SesaZloa aixsnas orivesTvis saziaro sakiTxavebis romelime saerTo, jer kidev daudgeneli an dakarguli berZnuli wyarodan Sesrulebuli Targmanebis kiTxva-sxvaobebiT. wyaroebis SedarebiTi analizis safuZvelze, SesaZlebeli gaxda damatebiTi mtkicebulebis warmodgena im mosazrebis mxardasaWerad, rom fsalmunebis uZvelesi qarTuli redaqcia berZnuli originalidan momdinareobs.
xaTuna gafrindaSvili, cicino guledani, naTia mirotaZe, dali CitunaSvili, irma xositaSvili
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
qarTuli palimfsestebi xelnawerTa erovnul centrSi
xelnawerTa erovnuli centris qarTul xelnawerTa fondSi qarTuli palimfsestebis yvelaze didi raodenoba – 5000-mde palimfsesturi furcelia daculi (A fondSi daculia 17 palimfsesturi xelnaweri; H fondSi – 65, S fondSi – 6, Q fondSi ki – 10 xelnaweri. amas erTvis 23 svanuri palimfsesti, erTi palimfsesti fragmentebis fondSi (Fr 184) da istoriul dokumentTa fondSi daculi ori palimfsesti).
xanmeti teqstebis Semcveli ukve cnobili xelnawerebis garda, palifsestebze muSaobisas gamovlinda sami ucnobi xanmeti fragmenti, romelTagan erT-erTi uZvelesi xanmeti mravalTavis nawils unda warmoadgendes.
xelnawerebis kvlevis procesma kidev erTxel daadastura, rom Sua saukuneebis mwignobrebis mier ifxikeboda da irecxeboda iseTi teqstebis Semcveli xelnawerebi, romlebic aRar Seesabameboda axal liturgikul tradiciasa Tu literaturul gemovnebas. amitomac palimfsestebSi, umeteswilad, vxvdebiT ierusalimuri RvTismsaxurebis amsaxvel uniSvnelovanes teqstebs: ierusalimuri ganCinebis
(leqcionaris) da uZvelesi iadgaris teqstebs (Sesrulebuls rogorc asomTavruli, aseve nusxuri damwerlobiTac).
Zveli qarTuli mwerlobiT dainteresebuli mkiTxvelisaTvis gansakuTrebiT saintereso iqneba palimfsestebSi daculi homiletikuri da hagiografiuli teqstebi. homiletikuri teqstebidan palifsestebSi Semdegi sakiTxavebi gamovlinda: `Tqumuli iovane mTavarepiskoposisa¡ konstantinepolelisa¡ mkudreTiT aRdgomasa uflisa Cuenisa iesu qristÀsa~, ioane oqropiris `moTminebisaT¢s da amis soflisa aRsasrulisaT¢s da moslvisaT¢s uflisa Cuenisa iesu qristesa meored gansjad cxoelTa da mkudarTa, wignis kiTxvisaT¢s da dayudebisa~ da sxv. hagiografiuli teqstebidan ki gansakuTrebiT unda aRiniSnos `svimeon mesvetis cxovrebis~ Semcveli asomTavruliT dawerili palimfsestis 1 furceli da asomTavruliTve gadawerili `balavarianis~ teqsti.
saintereso da mravalferovania palimfsestTa paleografiac, rac damatebiT masalas gvaZlevs qarTuli damwerlobis ganviTarebis Sesaswavlad.
asmaT gvazava, leila gociriZe, Tamar dvaliSvili, sofio cercvaZe
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
werilobiTi memkvidreobis konservaciarestavraciis samecniero kvlevebis Sedegebi
sastendo moxseneba exeba werilobiTi kulturuli memkvidreobis Zeglebis konservacia-restavraciis sakiTxebs; restavraciis teqnikis, teqnologiebis, meTodologiis problemebs; korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centris konservacia-restavraciis laboratoriaSi mimdinare da gasuli wlebis ganmavlobaSi sxvadasxva mimarTulebiT Catarebuli kvlevebis Sedegebs. kerZod, moxsenebaSi ganxilulia Temebi:
* qaRaldsa da etratze Sesrulebuli, moxatuli xelnawerebis miniatiurebis mdgomareobis kvleva. Tema warmodgenilia moqvis (Q-902) oTxTavis miniatiurebis konservaciisa da pigmentebis nimuSebze Catarebuli kvlevis Sedegebze dayrdnobiT. is Sedarda moxatuli aRmosavluri xelnawerebis konservaciis procesSi gamovlenil TaviseburebebTan. agreTve, ganxilulia alternatiul safuZvelze Sesrulebuli miniatiurebis restavraciis procesis specifika da saboloo Sedegebi.
* etratis restavraciis teqnika Sua saukuneebis saqarTveloSi da misi ganviTareba. Cven mier warmodgenilia 2012-2017 wlebSi Catarebuli etratze Sesrulebuli ro-
gorc qarTulenovani, ise ucxoenovani xelnawerebis taqtilur-vizualuri Seswavlisa da restavraciis meTodebis kvlevis Sedegebi.
* luqebis konservacia-restavracia. sakiTxi exeba xelnawerze dasmuli istoriuli beWdebisa da luqebis sakonservacio-sarestavracio da qimiurad damuSaveba – antiseptirebis sakiTxebsa da maTi Semdgomi damuSavebis Taviseburebebs, sfragistikis saerTaSoriso komitetisa da iuneskos mier miRebuli normebisa da standartebis gaTvaliswinebiT.
* tyavis ydis restavracia-konservaciis mniSvneloba sarestavracio masalisa da meTodis specifikis gaTvaliswinebiT. sakiTxi emyareba 2013-2017 wlebSi nakvlevi xelnaweri da nabeWdi wignis ydebis pirveladi dazianebis konservaciisa da restavraciis Taviseburebebs, misi rogorc mxatvrul-istoriuli iersaxis SenarCunebis, ise ydis mTlianobis aRdgenis procesebSi wamoWril sirTuleebs.
Salva gloveli
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
cifruli humanitaria da xelnawerTa erovnuli centri
cifruli/digitaluri humanitaria (digital humanities) humanitaruli mecnierebisa da informatikis mijnaze aRmocenebuli samecniero dargia, romelic humanitarul dargebSi Teoriuli kvlevis dros iyenebs cifrul (digitalur) resursebsa da kompiuterul teqnologiebs. Tanamedrove epoqaSi ufro metad integrirdeba humanitaruli samecniero disciplinebi kompiuterul teqnologiebTan. cifruli, digitaluri humanitariis, digitaluri qarTvelologiis mimarTulebebiT sakmaod aqtiuria xelnawerTa erovnuli centri. digitaluri humanitaria interdisciplinuri dargia da gulisxmobs rogorc humanitarul mecnierebebSi Teoriul codnas, ise informatikis sabaziso da standartuli kvleviTi meTodebis flobas. am mimarTulebiT xelnawerTa erovnul centrSi erTobliv proeqtebs axorcieleben teqstologebi, wyaroTmcodneebi da digitalizaciis laboratoriis mecnierebi. xelnawerTa erovnuli centris struqturac fundamenturi da gamoyenebiTi mecnierebebis, humanitariisa da cifruli/digitaluri mimarTulebebis erTobliobis princips emyareba. Sesabamisad, cifruli teqnologiebis gamoyeneba xorcieldeba rogorc gamoyene- biTi, ise centris fundamenturi mecnierebebis Semswavlel samecniero struqturul erTeulebSi.
xelnawerTa erovnul centrSi cifruli teqnologiebis danergva gulisxmobs Semdegs:
- digitalizacia:
* xelnaweri memkvidreobis (wignebis, sabuTebis, arqivebis) cifruli aslebis damzadeba;
* xelnaweris teqstis gamoyenebis efeqturi SesaZlebloba;
* xelnaweri memkvidreobis originalebis dacvis efeqturi saSualeba.
- fondebis, koleqciebis eleqtronuli katalogizacia:
* safondo masalis Tematuri, dargobrivi, qronologiuri da sxva saxis eleqtronuli katalogebis Seqmna;
* masalis swrafi, efeqturi moZieba;
* samecniero Sromebis Sesrulebis drois Semcireba.
- eleqtronuli korpusebi:
* xelnaweri teqstebis cifruli versiebis Seqmna;
* fragmentuli teqstis identifikacia.
xelnawerTa erovnuli centri ara marto iyenebs cifrul teqnologiebs, aramed aqtiuradaa CarTuli gamoyenebiTi mecnierebebis proeqtebSi da Tavadac qmnis cifrul teqnologiebze damyarebul gamoyenebiT produqts. centri axorcielebs ara mxolod originali masalis digitaluri aslebis Seqmnas, aramed iZleva maTi gamoyenebis efeqtur SesaZleblobasac. am mxriv, mniSvnelovania xelnawerTa erovnul centrSi Seqmnili:
- specialuri sabazo programebi;
- xelnawerTa erovnul centrSi Seqmnili veb-gverdebi.
naTia dundua
goeTes saxelobis frankfurtis universiteti (germania)
tobis wignis qarTuli versiis mniSvneloba bibliis teqstualuri kritikisTvis
tobis wigni bibliis erT-erTi im wignTagania, romelic ebraul kanonSi ar Sesula. savaraudod, es aris erT-erTi mizezi am wignis teqstualuri mravalferovnebisa sxvadasxva enaze, romelTa Soris qarTulicaa.
berZnulad Cvenamde tobis wignma sami teqstualuri formiT moaRwia, amaTgan, ori sruladaa Semonaxuli (G I da G II ), xolo erTi ‒ nawilobriv (G III (6.9-12.22)). qarTuladac wignis sami versia arsebobs (OGeo (=OIDF), S, B), romelTaganac uZveles teqsts OGeo inaxavs.
tobis wignis berZnuli teqstis kritikul gamocemaSi (R. Hanhart 1983: Septuaginta, Tobit, Göttingen, Vandenhoeck & Ruprecht), sadac yvela mniSvnelovani wyaroa Sesuli, qarTuli xelnawerebi ar aris gaTvaliswinebuli, radgan meoreul Targmanadaa miCneuli. gamokvlevam ki aCvena, rom Zveli qarTuli versia berZnulidanaa naTargmni da e.w. G III -is tipis teqsts Seicavs. G III (sadac SemorCenilia) warmoadgens G I -isa da G II is kombinacias da aseve, aqvs sakuTari ikiTxvisebi. G III -is es Sereuli xasiaTi vlindeba mTliani OGeo-s manZilze, rac gvaZlevs safuZvels vivaraudoT, rom unda arsebuliyo sruli G III tipis teqstualuri forma, romlidanac tobis wigni qarTulad iTargmna. moxsenebaSi am varaudis damtkicebas konkretuli magaliTebis safuZvelze vecdebiT.
eka duRaSvili
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
aTonis mTis savaneebis (wm. panteleimonisa da simonopetras) ucnobi qarTuli xelnawerebi
aTonis iverTa monastris qarTul xelnawer koleqcias gansakuTrebuli mniSvneloba aqvs qarTuli mwignobrobisa da zogadad, qarTuli kulturis istoriaSi. sagulisxmoa, rom ivironis garda, qarTuli xelnawerebi, ZiriTaCveni moxseneba swored am xelnawerebis raobas da aTomniSvnelobas exeba.
dad fragmentebi, aTonis mTis sxva monastrebSic inaxeba. maT Soris, wm. panteleimonisa da simonopetras savaneebSi. ramdenime wlis win xelnawerTa erovnulma centrma axlad aRmoCenili qarTuli xelnawerebis cifruli aslebi miiRo. nis samwignobro tradiciebis kvlevis perspeqtivisTvis maT simonopetras monasterSi daculia oTxi xelnaweri: Geo . 151 , 152 , 153 , 154 .
isini, ZiriTadad, fragmentebia – ori furceli da ori akinZuli, magram dazianebuli nusxa. fragmentebi berZnul xelnawerebSi iyo CarTuli. xelnawerebi liturgikuli Sinaarsisaa. Cveni dakvirvebiT, erTi `marxvanis~ fragmentia – Seicavs aRdgomis stiqaronebs da redaqciulad giorgi mTawmidelis `marxvanis~ teqstTan dgeba. Geo.152 fsalmunTa sakiTxavebis krebulia, nusxis naklulobisa da dazianebis
gamo, Znelia krebulis zusti daTariReba, Tumca ukeTesad SemorCenili fsalmunis teqstis tipologiuri Sedarebis safuZvelze, Cans, rom xelnaweri giorgi mTawmideliseuli fsalmunis Targmanis redaqciisaa.
Geo. 153, 154 `Tvenis~ fragmentebia (ivlisisa da dekembris Tveebis ramdenime himnografiuli kanoni da stiqaronebi).
xelnawerebi giorgi mTawmidelis redaqciis `Tvenebis~ fragmentebia da ivironis nusxebs avsebs (dekembris Tve), xolo meore fragmenti, sadac ivlisis Tvis sagaloblebia, aseve giorgi mTawmidelis redaqciis `Tvenia~, Tumca aq sagalobeli repertuari ufro gavrcobilia. gvxvdeba iseTi teqstebic, romlebic ivironis koleqciis `Tvenebis~ nusxebSi ar dasturdeba, mag., wm. kvirikesa da ivlitas, wm. petres.
simonopetras xelnawerebi, Cveni dakvirvebiT, teqstebis redaqciulobis mixedviT, XI-XII saukuneebis unda iyos.
sayuradRebo nusxebi gvxvdeba wm. panteleimonis monasterSic, romlebic XVIII-XIX saukuneebisaa, aRmoCenilia wm. stefanes skitSi, sadac ivironidan gamoZevebuli ukanaskneli qarTveli berebi moRvaweobdnen. am xelnawerebidan gamovyofT iveriis RvTismSoblis xatis (portaitisas) daujdomlis `akaTistos~ teqsts, romelic rusuli enidan aris naTargmni. amaze miuTiTebs teqstze darTuli rusuli frazebi da maTi qarTuli Targmanis ramdenime varianti. teqstis analizma cxadyo, rom Tanamedrove saeklesio praqtikaSi damkvidrebuli `akaTistos~ teqstis originali swored wm. panteleimonis savaneSi daculi qarTuli xelnaweria. xelT gvaqvs slavuridan Sesrulebuli qarTuli Targmanis prototipi.
amgvarad, aTonis savaneebSi arsebuli aqamde ucnobi qarTuli xelnawerebi avsebs wminda mTis qarTuli samwignobro tradiciis istorias da kvlevis axal perspeqtivebs warmoaCens.
jilian evisoni
oqsfordis universiteti (didi britaneTi)
qarTuli koleqcia bodles biblioTekaSi: XXI saukune
moxsenebaSi ganxilulia is gamowvevebi da SesaZleblobebi, rasac oqsfordis bodles biblioTekaSi daculi qarTuli koleqciis menejmentSi vawydebiT. bodles biblioTekis qarTuli wignebisa da xelnawerebis mdidari fondis birTvia uordropis koleqcia, romelic ser oliver uordropma, britaneTis pirvelma mTavarma rwmunebulma amierkavkasiaSi da misma dam, marjorim, Seagroves. 1909 wels, marjoris naadrevi sikvdilis Semdeg, misi saxelobis fondi Seiqmna, romlis amocana qarTvelologiuri kvlevebis waxaliseba iyo. 1910 wlidan, am fondis meSveobiT, bodle gaxda marjori uordropis yvela dokumentis, wignisa da xelnaweris beneficiumi. koleqciis Sevseba 1948 wlamde, oliveris gardacvalebamde, misi Semdgomi Sewirulobebis xarjze grZeldeboda. Sedegad, bodle gaxda qarTuli masalis mTavari sacavi evropaSi. moxsenebaSi Sevexebi koleqciis onlain katalogizebasa da digitalizacias, agreTve, konservaciasTan dakavSirebul kvlevebsa da im nabijebs, rac mecnierTaTvis da sazogadoebis rigiTi wevrebisTvis koleqciis xelmisawvdomobis gasazrdelad idgmeba.
me visaubreb im gamowvevebze, rac ukavSirdeba koleqciis – Sua saukuneebis xelnawerebisa da XIX saukunis arqivis – onlain katalogis Seqmnas da im dilemaze, romlis
winaSe saerTaSoriso katalogizebis standartis SerCevisas vdgebiT.
visaubreb progresze, rac gvaqvs 1972 wlis beWduri katalogis gadayvanis saqmeSi TEI (Text Encoding Initiative) sistemaze, onlain qarTuli katalogis Sesaqmnelad, da imaze, Tu ra sargeblobas moitans IIF (Image Interoperability Framework) saerTaSoriso standartis gamoyeneba.
aRvwer im saSualebebs, romlebic konservaciasTan dakavSirebul kvlevebSi gamoiyeneba, agreTve iseT teqnikur meTodebs, rogoricaa hiperspeqtruli da raman-analizi, rac palimfsestebisa da pigmentebis SeswavlisTvis gamoiyeneba. amasTan ganvixilav saqarTveloze sakmaod bundovani warmodgenis mqone britanuli sazogadoebisTvis uordropis koleqciis xelmisawvdomobis uzrunvelyofasTan dakavSirebul gamowvevebs.
gaiane eliaziani
mesrop maStocis saxelobis Zveli xelnawerebis instituti – matenadarani (erevani, somxeTi)
matenadaranis mZimed dazianebuli werilobiTi Zeglebis restavracia
somxeTis mravalsaukunovan istoriaSi mravali tragikuli movlena ganviTarda. xelnaweri wigni, romelic yovelTvis iyo Sua saukuneebis somxuri kulturis gansaxiereba, aris xalxis Tavze damtydari sirTuleebis utyvi mowme.
matenadaranis, Sua saukuneebis xelnawerebis umsxvilesi sacavis xelnawerebi restavraciis ganyofilebis TanamSromelTa mudmivi meTvalyureobis qveS imyofeba. miuxedavad amisa, 20.000-ze met uZvirfases werilobiT Zegls Soris aris iseTi erTeulebic, romelTa mimarT SeiZleba gamoviyenoT termini „mZimed dazianebuli".
am xelnawerebis savalalo mdgomareobis mizezi isaa, rom isini matenadaranSi kerZo koleqciebidan mravali problemiT Semovida, rac maTi Senaxvis pirobebis darRveviT iyo gamowveuli.
moxsenebaSi ganxiluli iqneba dazianebuli xelnawerebis konservaciisa da restavraciis ramdenime magaliTi.
olga vasilieva
ruseTis erovnuli biblioTeka (moskovi, ruseTi)
qarTuli xelnawerebi ruseTis erovnul biblioTekaSi: koleqciis formirebis istoriasTan dakavSirebiT
ruseTis erovnulma biblioTekam peterburgSi (yofilma saimperatoro sajaro biblioTekam), romelic 1795 wels daarsda, aRmosavluri xelnawerebis Segroveba 1805 wlidan daiwyo, roca petre dubrovskis koleqciis bazaze xelnawerTa ganyofileba Seiqmna. dubrovskis, frolovis (1817), suxtelenis (1836) da tiSendorfis (1858-1859) koleqciebTan erTad, SeZenil iqna SemTxveviTi qarTuli xelnawerebic (xelnaweri wignebi da dokumentebi). ramdenime xelnaweri (batoniSvil Teimurazis biblioTekis mcire nawili) Semovida mecnierebaTa akademiis aziuri muzeumidan (1848 wels) da kavkasiis mefisnacvlis, didi Tavadis mixeil nikolaeviCis biblioTekidan (1866 wels). 1875 da 1879 wlebSi sabininma biblioTekas ramdenime qarTuli xelnaweri aCuqa. Tumca, yvelaze mniSvnelovani SenaZeni 1880 wels ukavSirdeba, rodesac batoniSvil ioane bagrationis biblioTeka misi SviliSvilisgan, ivan grigorieviC gruzinskisgan (ioane qarTveliSvilisgan) miiRes. is aerTianebda 361 xelnawers, 76 avtografsa da 101 nabeWd wigns. maT Sorisaa 996 wels gadawerili tbeTis saxareba da XII saukunis saxareba ori miniatiuriT, romlebic udidesi mniSvnelobis xelnawerebia paleografiuli, kodikologiuri da xelnaweri wignis xelovnebis TvalsazrisiT. koleqciis udides nawils Seadgens XVII-XIX saukuneebis xelnaweri wignebi, romelTagan zogierTi Tavad ioane bagrationis mieraa gadawerili.
Semdgom periodSi, qarTuli xelnawerebi biblioTekas episkoposma porfirim (uspenskim, 1883 wels), aleqsandre III-m (1885 w.) da zvenigorodskim (1886 w.) gadasces. ori mcire koleqcia grenisa (1892 w.) da sabininisgan (1896 w.) SeiZines, xolo erTi SesaniSnavad moxatuli xelnaweri doloberiZisgan iyides (1912 w.).
1922 wels 228 xalnaweri wigni da dokumenti saqarTvelos gadaeca. isini, amJamad, xelnawerTa erovnul centrSia daculi.
dReisaTvis, ruseTis erovnuli biblioTekis koleqciaSi 238 qarTuli xelnaweri wignia, romelTagan 12 erTeuli 1923 wels SeiZines. aqve daculia 150 dokumenti da mcire zomis teqstebi, romelTa umravlesoba XVIII-XIX saukuneebiT TariRdeba.
Sorena TavaZe, revaz kldiaSvili, izolda jiqiZe
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
melnis morfologiuri da elementuri analizi
Tanamedrove konservacia da restavracia interdisciplinuri dargia da aqtiuradaa CarTuli kulturuli memkvidroebis dacvis stardantebis SemuSavebis procesSi. XX saukunis ociani wlebidan, ucxoeTis wamyvan qveynebSi, restavratorebTan erTad muSaoben sabunebismetyvelo dargis mecnierTa jgufebi. sarestavracio saqmem laboratoriul-eqsperimentuli saxe miiRo. restavratorebis, xelovnebaTmcodneebis, qimikosebis, biologebis da fizikosebis CarTulobis Sedegad, mniSvnelovani kvlevebi Catarda. didi muzeumebis umravlesoba aqtiurad iyenebs Tanamedrove kvlevis meTodebs kulturuli memkvidreobis dacvisTvis. koleqciebi iTvaliswinebs saweri masalis daxarisxebas saerTo maxasiaTeblebis mixedviT, amitom xelnawerTa kodikologiur SeswavlaSi melnis tipis gansazRvra erT-erTi aqtualuri da problemuri sakiTxia.
melnis struqturis dasadgenad, CavatareT XVII saukunis dazianebuli xelnaweris melnis speqtraluri analizi, Tu ra elementebisgan Sedgeba Savi da wiTeli (singuri) melnis fxvnilebi. aseve, magniumis oqsidis xsnariT damuSavebuli nimuSebi. am mizniT, Catarda sakvlevi obieqtebis morfologiuri da elementuri analizi maskanirebeli eleqtro- nuli mikroskopiT, romelic aRWurvilia energo dispersiuli mikrorentgeno speqtraluri analizatoriT. vinaidan, qaRaldi da melani ar aris eleqtrogamtari mikroskopSi analizisTvis, platinis Txeli fenebiT daifara. energo dispersiuli gulisxmobs imas, rom eleqtronis nivTierebis atomebze moxvedrisas, iwyeba maxasiaTebeli rentgenuli gamosxiveba, romlis energiasac Sesabamisi deteqtori afiqsirebs. es miuTiTebs imas, rom melanSi Semavali TiToeuli qimiuri elementi Tavis damaxasiaTebeli energiis gamosxivebas iZleva. swored am analizatoriTaa miRebuli speqtrebi, xolo suraTebi – mikroskopis saSualebiT. magniumis oqsidis xsnarSi damuSavebul nimuSebze magniumi darCa, rasac Sesabamisi speqtrebi adasturebs. garda amisa, SeimCneva damatebiT ftoris arsebobac. magniumis oqsidis xsnariT damuSavebisas, sakvlevi obieqti irRveva, rac mikroskopul fotoebze Cans. rentgenodifraqciul speqtrze vxedavT gaganierebul pikebs, rac arTulebs nivTierebis calsaxa indentifikacias. daxvewili pikebis SemTxvevaSi, martivi dasadgenia, ra nivTierebebisgan Sedgeba sakvlevi obieqti. mniSvnelovania melnisgan dazianebuli xelnawerebis Semdgomi kvleva, rac Cvens interess iwvevs, radgan msgavsi kvleva arsebul nimuSebze jer ar Catarebula.
amrigad, sawer saSualebebze Catarebuli teqnikuri da teqnologiuri procesebi, zusti instrumentuli kvleva, diagnostika konservacia-restavraciis sworad warmarTvis winapirobaa.
hubert kaufholdi
miunxenis universiteti (germania)
qarTvelologiuri kvlevebis pioneri germaniaSi: ignac rukerisa da korneli kekeliZis mimowera germanel kaTolike pastors ignac rukers ( 1879-1957 ) qristologiis sakiTxebze muSaobisas, qarTul masalasTan mouwia Sexeba. is qarTuli enis TviTnaswavli mcodne gaxldaT. 1914 wlidan moyolebuli, ormoci wlis ganmavlobaSi, ignac rukeri Svabiis patara soflis – oqsenbronis pastori iyo. 1921 wlis 19 seqtembers man korneli kekeliZes werili miswera, romliTac atyobinebda, rom icnobda mis naSroms – „Zveli qarTuli arqieratikoni" ( 1912 ) da garkveuli informaciis miwodebas sTxovda. i. rukers pasuxi ar miuRia. 1926 wlis 6 ianvars pastorma kvlav miswera k. kekeliZes, amjerad, berZnulad. mas surda sami wignis SeZena: „Zveli qarTuli arqieratikoni, ierusalimuri kanonari ( 1913 ) da 1879 wels TbilisSi dabeWdili axali aRTqmis qarTuli versia. 1926 wlis 3 marts ignac rukerma korneli kekeliZisgan banderoli miiRo, romelSic axali aRTqma da „ierusalimuri kanonari" ido. momdevno dRes, adresatamde miaRwia korneli kekeliZis mier 1926 wlis 20 Tebervals gamogzavnilma, germanul enaze (!) Sedgenilma werilma. am dRidan moyolebuli, maTi mimowera germanul enaze warmoebda. samwuxarod, Cvenamde korneli kekeliZis mxolod orma werilma moaRwia. ignac rukeris 17 werili ki saqarT-
velos xelnawerTa erovnul centrSi, TbilisSi, sruladaa daculi. am werilebidan cxdi xdeba, rom k. kekeliZem i. rukers, sul cota, Svidjer mainc miswera. man pastors sxva wignebic gaugzavna. mimoweraSi saubaria qristologiuri sakiTxebisadmi miZRvnil qarTul xelnawerebze. i. rukerma oTxi wigni gamoaqveyna. Tavis monografiaSi „Ephesinische Konzilsakten in armenisch-georgischer Überlieferung" (miunxeni, 1930) ignac rukerma k. kekeliZis mier miwodebuli informacia gamoiyena, risTvisac mas madloba gadauxada. gasaocaria, Tu rogor sulgrZelad da Tavazianad pasuxobda korneli kekeliZe ignac rukeris zogjer usaSvelod grZel kiTxvebs. mimowera 1930 wels Sewyda. rogorc Cans, rukerma am sferoSi samecniero muSaoba Sewyvita.
aleqsei kaSCeevi
ruseTis saxelmwifo biblioTeka (moskovi, ruseTi)
ruseTis saxelmwifo biblioTekis fondebis dacvis mimarTulebebi
prevenciuli konservaciis seqtori aris biblioTekis mier daarsebuli laboratoria, romlis amocanaa praqtikuli teqnikisa da midgomebis gamocda, romlebic sabiblioTeko koleqciebis dacvis uzrunvelsayofad gamoiyeneba.
prevenciuli konservaciis seqtoris eqspertebi fondebis dacvis Semdegi mimarTulebiT muSaoben:
* sacavebis mikroklimaturi maxasiaTeblebisa da higienuri pirobebis kontroli.
* ganaTebis kontroli wignTsacavebSi.
* RSL dokumentebis gamofenis kontroli.
* sacavebSi haeris analizi.
* fondebis inspeqtireba.
* dokumentebis mikrobiologiuri inspeqtireba.
* Senobis inspeqtireba.
* dokumentebisa da Senobis damuSavebis te-
qnikis SerCeva.
* dazianebis SemTxvevebi.
koleqciebis sacavebSi haeris temperatura 16 0 -dan 20 0 mde farglebSi meryeobs, xolo fardobiTi tenianobis mniSv- neloba, damoukidebeli kondencirebis sistemis meSveobiT, mudmivad daaxloebiT 55 %-is farglebSia SenarCunebuli. sacavebSi dgas temperaturisa da tenianobis Camwerebi.
samuSaos ZiriTadi nawili sacavebSi daculi masalis biodazianebebis prevenciul RonisZiebebs eTmoba – esaa biologiuri zedmxedvelobis sistema (mavneblebis kontroli), romelic mikrobiologiur, entomologiur da rodentologiur sistemebs moicavs.
muSaobaSi Tanamedrove mowyobilebebi da masalebi gamoiyeneba. dokumentebis gasaSrobad Cven klimatur kameras viyenebT – VC 4200 VOTSCH Industrietechnik GmbH (germania). dokumentebis meqanikuri wmendisTvis universaluri sawmendi sistema "HYLA" International GmbH & Co. KG (germania) gamoiyeneba, romelic sxva sistemebTan SedarebiT damzogavi funqcionirebiT gamoirCeva. biblioTekis sacavebis haerSi mtvris, SO 2 , CO 2 , NO, C, Cl 2 -is Semcvelobis gasazomad GANK4 tipis analizatori gamoiyeneba.
xanmokle sagamofeno eqspoziciis dros sagamofeno obieqtebisTvis Seqmnili unda iyos iseTive garemo pirobebi, rogoric maT sacavSi hqondaT. amitom, individualur sagamofeno vitrinebSi wignebis gamofenisas, roca klimat-kontrolis ganxorcieleba SeuZlebeli, sxvadasxva tipis adsorbentebi gamoiyeneba. sagamofeno sivrceSi Cven gamovcadeT "Pro-sorb" da "Art-sorb" saSualebebi, romlebsac 40-60%-iani SefardebiTi tenianobis dros upiratesoba unda mieniWos.
seqtori, agreTve, zedmiwevniT yuradRebiT amowmebs biblioTekis fondebis mdgomareobas: agrovebs monacemebs fondebSi daculi erTeulebis tipis, raodenobisa da ganlagebis Sesaxeb; agreTve, xdeba sacavis sivrcis, nedli masalisa da koleqciebis degradaciis Seswavla, raTa gamovlenil iqnas arsebuli problemebi da daisaxos prioritetebi maT aRmosafxvrelad.
vladimer kekelia
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
korneli kekeliZis saxelobis saqarTvelos] xelnawerTa erovnuli centris qarTuli xelnawerebis fondis Camoyalibebis istoriidan
yovel siZveleTsacavs sakuTari Seqmna-Camoyalibebis istoria aqvs, rac, TavisTavad, did interess iwvevs. magram, garda samecniero interesisa, am sakiTxis garkvevas pirvelxarisxovani mniSvneloba eniWeba yoveli calkeuli instituciis safondo saqmiswarmoebaSi. sakiTxis Sesaswavlad, umniSvnelovanesia koleqciebisa Tu qvekoleqciebis Camoyalibeba-Sevsebis sakiTxebi.
amjerad, gvinda yuradReba SevaCeroT centrSi daculi qarTuli xelnawerebis koleqciis Sevsebis erT etapze, romelic XX saukunis 20-iani wlebis dasawyisSi ganxorcielda.
1922 wlis 29 agvistos sabWoTa kavSiris saxalxo komisarTa sabWos dadgenilebiT, 1923 wels saqarTvelos daubrunda, sxvadasxva dros saqarTvelodan gatanili, ruseTis siZveleTsacavebSi daculi xelovnebis nimuSebi da xelnaweri memkvidreoba. maT Soris, xelnaweri wignebis umsxvilesi koleqcia ruseTis (peterburgi) sajaro biblioTekidan (1917 wlamde ewodeboda saimperatoro sajaro biblioTeka, dRes ruseTis erovnuli biblioTeka).
ruseTis sajaro biblioTekaSi qarTuli xelnawerebi xuT koleqciaSi iyo Tavmoyrili. saqarTvelosTvis gadmosacemi xelnawerebis SesarCevad, peterburgs qarTveli mecnierebi ewvivnen, romlebmac adgilobriv kolegebTan erTad, rTuli da Sromatevadi saqme gawies. aRniSnuli procesebi aRwerilia xelnawerTa erovnuli centris sazogado moRvaweTa pirad saarqivo fondSi dacul masalaSi (ivane javaxiSvilisa da sergi gorgaZis piradi arqivebi).
am masalis mixedviT, sxvadasxva koleqciidan saqarTvelos Semdegi xelnawerebi gadmoeca: dornis koleqciidan (собр. Дорна) saqarTveloSi dabrunda 11 xelnaweri, adgilze darCa 3; koleqciidan `axali qarTli~ seria (Груз. Н. С.) saqarTvelos gadmoeca 12 xelnaweri, adgilze darCa 12; ioane bagrationis koleqciidan (собр. ц. Иоанна) saqarTvelos gadmoeca 179 xelnaweri, adgilze darCa 189; greniskoleqciidan (собр. Гренна) saqarTvelos gadmoeca 8 xelnaweri (1; 2; 3; 6; 11; 12; 13; 14), adgilze darCa 9 (4; 5; 7; 8; 9; 10; 15; 16; 17); sabininis koleqciidan (собр. Сабинина) saqarTvelos gadmoeca 10 xelnaweri, adgilze darCa 16.
garda am xelnawerebisa, sxvadasxva wels, qarTuli xelnawerebis fondi ruseTidan dabrunebuli kidev aTeuli xelnaweriT gamdidrda.
lia kiknaZe, mixeil qavTaria, lili xevsuriani, lali jRamaia
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
aTonis ivironi – qarTuli kulturul-
saganmanaTleblo kera (ivironis qarTul xelnawerTa koleqcia)
aTonis ivironis qarTulma kulturul-saganmanaTleblo keram mniSvnelovani kvali datova Sua saukuneebis qarTul mwerlobasa da kulturaze, qarTuli mecnieruli da sazogadoebrivi azris ganviTarebaze. ivironi iyo axali SemoqmedebiTi centri, sadac, erTi mxriv, gadmoinerga tao-klarjeTSi Seqmnili da Camoyalibebuli saliteraturo skolis tradiciebi da, meore mxriv, qarTuli mwerlobis ganviTarebas axali mimarTuleba mieca. qarTveli aTonelebis – ioane, efTvime da giorgi mTawmidelebis – maRalxarisxovanma Targmanebma araerTi mniSvnelovani bibliologiuri, egzegetikuri, hagiogrfiuli, homiletikuri, metafrasuli, asketikuri Tu liturgikul-himnografiuli krebuli Semogvinaxa.
ivironis monastris qarTuli xelnawerebis koleqcia, romelic dRes 86 xelnawers Seicavs, qarTvelologiisa da bizantinologiis sakiTxebze momuSave qarTvel da ucxoel mecnierTaTvis im aRwerilobebis mixedviTaa cnobili, romlebic al. cagarelma (1883-1886 ww.) da robert bleikma (1932-1933 ww.) Seasrules.
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centris (yofili xelnawerTa institutis) mecnier-TanamSromelTa mier xelaxla aRiwera aTonis qarTuli xelnawerebi. ganmeorebiTi aRweriloba Semdegma faqtorebma ganapiroba:
1. qarTuli Targmanebis berZnuli dednebis identifikacia;
2. TxzulebaTa redaqciulobis dadgena;
3. xelnawerTa Sedgenilobis dawvrilebiTi suraTis warmodgena;
4. anderZ-minawerebis sruli teqstebis gamoqveyneba;
5. saZieblebis Sedgena;
6. aRwerilobis Sevseba bolodroindeli qarTuli da ucxoenovani bibliografiiT.
am samuSaos Catarebis Sedegad, araerTi siaxle gamovlinda:
* ivironis koleqciaSi dadasturda xelnawerebi, romelTa berZnuli dednebi dakargulad iTvleba. amgvarad, qarTuli Targmani originalis mniSvnelobas iZens da utyuar masalas warmoadgens bizantiuri sasuliero mwerlobis Sesaswavlad;
* ivironis koleqciaSi gamovlinda Sua saukuneebis moRvaweTa (efTvime da giorgi aTonelebis, Teofile xucesmonazonis, arsen farsmanyofilis) avtografuli xelnawerebi;
* axleburi kuTxiT warmoCnda giorgi aTonelis `Tvenis~ gadamwerebis, eqvTime aTonelis mier naTargmni `klemaqsisa~ da `barlaamis cxovrebis~ qarTuli nusxis sakiTxebi.
darejan kldiaSvili
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
qarTuli samonastro sulTa matianeebi (kvlevis Sedegebi)
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnul centrSi calke samecniero-kvleviT mimarTulebas warmoadgens qarTuli xelnawerebis anderZ-minawerebis kvleva. am mimarTulebiT ramdenime aTeuli welia mimdinareobs xelnawerebSi minawerebis saxiT Semonaxuli aRap-mosaxseneblebis – sinodikonebis – Seswavla da gamocema. saaRape da mosaxsenebeli matianeebi moRweulia rogorc saqarTvelos, ise ucxoeTis qarTuli eklesia-monastrebidan. maTgan qarTvelologTa (m. brose, n. mari, el. metreveli, qr. SaraSiZe) da saerTaSoriso samecniero sazogadoebis gansakuTrebul interess iwvevs ierusalimis jvris da aTonis iverTa monastrebis saaRape da mosaxsenebeli matianeebi.
adreuli Sua saukunebidan moyolebuli, saqarTvelosa da mis farglebs gareT arsebuli qarTuli eklesiebisa da monastrebis liturgikul praqtikaSi aRap-mosaxseneblebis ramdenime saxeoba gamoiyeneboda. maT Cvenamde moaRwies: eklesia-monastrebis kedlebze Sesrulebuli warwerebis, saaRape Sewirulebis dokumentebis, mosaxsenebeli siebis, damoukideblad gaformebuli sinodikonebis – saaRape wignebisa da mosaxsenebeli matianeebis (aTonis qarTvelTa monastris saaRape wigni, sinas wm. ekaterines monastris qarTvelTa eklesiisa da gergetis samebis matianeebi), agreTve saxarebisa da svinaqsaris minawerebis saxiT da sxv.
liturgikuli xelnawerebidan aRap-mosaxseneblebisa da Sewirulobis aqtebis Sesatanad, ZiriTadad, giorgi mTawmindelis mier Targmnil did svinaqsars da saxarebis sakiTxavebs iyenebdnen. es praqtika mniSvnelovnad aadvilebda RvTismsaxurebis dros svinaqsarsa da saxarebaSi Cawerili pirebis (gardacvlilTa da cocxalTa) moxseniebasa Tu dalocvas, agreTve saaRape gangebiT gaTvaliswinebuli valdebulebebis aRsrulebas.
saukuneTa ganmavlobaSi liturgikuli xelnawerebis aSiebze Setanilma mravalricxovanma aRap-mosaxsenebelebma, faqtobrivad, Seadgina e. w. sulTa matianeebi. kvlevam aCvena, rom tao-klarjeTis monastrebSi svinaqsarisa da saxarebis gamoyeneba aRap-mosaxseneblebis Sesatanad XI saukunis bolo meoTxedidan ierusalimis jvris da aTonis iverTa monastrebis saRvTismsaxuro gamocdilebis gaTvaliswinebiT gavrcelda.
sinodikonebis kvlevas mieZRvna xelnawerTa erovnuli centris mravalwliani proeqti `qarTuli samonastro sulTa matianeebis~ Sesaxeb, romelic iTvaliswinebda sinas mTis qarTuli eklesiisa da istoriuli samxreT saqarTvelos monastrebis xelnawerebSi Setanili sulTa matianeebis teqstebis gamocemas da maT Seswavlas kodikologiuri Tu istoriuli TvalsazrisiT.
pirvel wignSi (gamoica 2008 wels), romelSic sinis mTis sulTa matiane Sevida, mocemulia qarTuli sinodikonebis zogadi mimoxilva da wm. ekaterines monasterSi daviT aRmaSeneblis (1089-1125) mier aSenebuli wm. giorgis qarTvelTa eklesiaSi XV saukunis dasawyisSi Sedgenili mosaxsenebeli matianis kodikologiuri da wyaroTmcodneobiTi analizi.
matianem fasdaudebeli informacia Semoinaxa qarTvel mefeTa, dedofalTa, kaTolikosTa, episkoposTa, sinis mTisa da ierusalimis qarTvel ber-monazonTa – jvarismamaTa da golgoTis moRvawTa, wminda miwasa da sinaze Casul momlocvelTa, maSenebelTa da SemwirvelTa – Sesaxeb IV saukunidan XVI saukunis pirveli naxevris CaTvliT.
amave proeqtis meore wigni, romelic mzadaa gamosacemad, istoriuli samxreT saqarTvelos, kerZod ki, samcxisa da tao-klarjeTis monastrebis (Tiseli, miZnaZori, wyarosTavi, berTa, sveti, parexi, iSxani, bana), xelnawerebSi XI-XVI saukuneebSi Caweril im aRap-mosaxseneblebs eTmoba, romelTa erTianobac ramdenimesaukunovan sulTa matianeebs qmnis. Seswavlili xelnawerebidan, romelTagan sami svinaqsaria (xec: A-97, A-193, Par. Géorg. 4), Svidi oTxTavi (xec: A-28, A-488; matenadarani, Ms. Foreign, 161; harvardi, Houghton MS. Georg. 1; Ms.Georg. 988; ГИМ, Щук. 760; qiem, K-375) da erTi grigol RvTismetyvelis TxzulebaTa krebuli (xec, A-1), amoikiTxa cxraasze meti aRap-mosaxseneblis teqsti, romlebSic tao-klarjeTSi mcxovrebi sami aTasze meti piri ixsenieba.
samxreT saqarTvelos monastrebis wiaRSi saukuneTa ganmavlobaSi Sedgenili sinodikonebi – sulTa matianeebi, saaRape wignebi Tu mosaxsenebel pirTa siebi, xSir SemTxvevaSi, erTaderTi pirvelwyaroa tao-klarjeTis istoriuli provinciebis samonastro cxovrebis, iq arsebuli eklesia-monastrebis istoriisa da mrevlis, politikuri da ekonomikuri istoriis, mkvidri mosaxleobis onomastikonis, sagvareuloTa genealogiebisa Tu calkeuli personaliebis Sesaxeb. gansakuTrebiT didia maTi, rogorc statistikur-demografiuli wyaros mniSvneloba istoriuli samxreT saqarTvelos provinciebis eTnikuri Semadgenlobis, konfesiuri viTarebis da migraciuli procesebis
Sesaswavlad. misi, rogorc Tanadrouli pirvelwyaros, mniSvneloba ganpirobebulia imiTac, rom es masala SesaZleblobas iZleva miukerZoeblad aRdges is konfesiuri, eTnikuri da demografiuli suraTi, romelic arsebobda saqarTvelos samxreT provinciebSi osmaleTis batonobis damyarebamde da mis Semdgomac. meore mxriv, sinodikonebis Semcveli xelnawerebis kodikologiuri da istoriuli TvalsazrisiT kvlevam, rig SemTxvevaSi, SesaZlebloba mogvca, dagvedgina tao-klarjeTis monastrebis skriptoriumebSi Seqmnili, Tu iq daculi, xelnawerebis istoria – warmomavloba, momgeblisa da gadamweris vinaoba, TariRi, daculobis adgili, aseve, is kulturul-politikuri garemo, romelSic es nusxebi Seiqmna.
eqvTime koWlamazaSvili
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
efrem mciris SeniSvna wm. basili kesarielisa da wm. efrem asuris mier ormoci sebastieli mowamis Sesasxmelad warmoTqmuli homiliebis urTierTmimarTebis Sesaxeb
Zvel qarTul literaturaSi e. w. elinofiluri mimarTulebis pirveli damamkvidreblis, XI saukunis II naxevris didi qarTveli mecnieri Teologis, filosofosisa da mTargmnelis, enaTmecnierisa da literaturis istorikosis, efrem mciris, mTargmnelobiTi muSaoba ganuyrelad ukavSirdeba Rrma mecnierul kvleva-Ziebas bizantiuri literaturis, bizantiur-qarTuli literaturuli urTierTobis, Targmanis Teoriis, gramatikis, teqstologiisa da leqsikologiis dargebSi. mis mier Targmnil Txzulebebze darTuli mravalricxovani kolofonebi Seicavs Zalze sayuradRebo da zogjer unikalur informacias am Zeglebisa da maT TargmnasTan dakavSirebuli sakiTxebis Sesaxeb.
erT-erTi aseTi kolofoni, romelic ormoci sebastieli mowamis Sesaqebad wm. efrem asuris mier SeTxzuli homiliis efrem mciriseuli Targmanis kideze (Jer. 23, quT. 8, A-613 xelnawerebSi) gvxvdeba, dRemde ar gamxdara sagangebo kvlevis sagani.
efrem mcirisaTvis kargad iyo cnobili, rom efrem asurs ormoci sebastieli mowamis Sesxma, kesariaSi basi- li kesarielTan Sexvedram da am Temaze saubarma STaagona. (amas TviT efrem asuri mogviTxrobs mis mier SeTxzul `basili didis SesxmaSi~, romelic swored efrem mcirem Targmna qarTulad). amitom `ormoci mowamis SesxmaSi~ efremis mier citirebuli erTi fraza (`rameTu Tqua: iyvnes dassa romelsame Sina ormeocni m£edarni, keTiladmsaxurebiT cxorebulni~) qarTvelma mTargmnelma basiliseulad miiCnia, xolo efrem asuris Txzuleba – mis komentarad.
es literaturuli dakvirveba efrem mcirem ase Camoayaliba sakiTxavis saTaurTan miweril kolofonSi: `SevniSnoT, rom aq avtori (wm. efrem asuri) basili didis ormoci mowamis Sesxmis ganmartebas iwyebs, msgavsad saxarebis an pavles epistoleTa ganmartebisa~.
teqstobrivma kvlevam gviCvena, rom basili didis TxzulebaSi ar moipoveba is fraza, romlis ganmartebac, TiTqos, efrem asurs dauweria. verc efremis Txzulebis sxva adgilebs miviCnevT basili didis xsenebuli Txzulebis ganmartebad. marTalia, efrem mciris literaturuli dakvirvebebi yovelTvis zusti da Rrmaa, magram amas ver vityviT zemoxsenebul kolofonSi gamoTqmul mosazrebaze.
ra gaxda mizezi qarTveli mTargmnelis Secdomisa? es efrem mciris Txzulebis qarTuli Targmanisa da misi berZnuli dednis SedarebiT irkveva. efrem mcires xelT hqonia saTargmni Txzulebis Tavnakluli teqsti, romelSic bundovnad Canda avtoris mier citirebuli frazis raoba.
gdanskis universiteti (poloneTi)
qarTuli xelnawerebi krakovis Cartoriiskebis biblioTekaSi
krakovis Cartoriiskebis biblioTekaSi daculi qarTuli xelnawerebi ukve didi xania interess iwvevs. cnobilia, rom Tavadma Cartoriiskim es xelnawerebi, sxva 11 tomTan erTad, 1860 wels parizis auqcionze SeiZina. samwuxarod, dRemde ucnobia, vis ekuTvnoda isini. legendis Tanaxmad, maTi mflobeli daudgeneli qarTveli princi iyo. ukve XIX saukunis bolos, vlodzimirJ spasoviCma (1829-1906 ww.), polonel-rusma veqilma da literaturis istorikosma, informacia am xelnawerebis Sesaxeb anton antonis Ze cagarels miawoda, romelmac maTi naxva 1891 wels moaxerxa, rodesac is italiaSi miemgzavreboda. Tumca, am xelnawerebis identifikacias, daTariRebasa da aRweras profesor giorgi feraZes unda vumadlodeT. 1932 wels mkvlevarma koleqciaSi sxvadasxva tipis, XII-dan XVIII saukunemde gadawerili liturgikuli krebulebis arseboba daadastura. cota xnis win xelnawerTa cifruli versiebi momzadda, romlebic Cartoriiskebis biblioTekis veb-gverdze aitvirTa. samwuxarod, qarTuli xelnawerebis mdgomareoba savalaloa. aucilebelia maTi dauyovnebeli konservacia. swored amas ukavSirdeba poloneTSi saqarTvelos saelCos mier inicirebuli proeqti, romelic xelnawerebis yovlismomcvel konservacias iTvaliswinebs. qarTuli kulturis es werilobiTi Zeglebi – liturgikuli xelnawerebi, romlebic gaurkvevel viTarebaSi qveynis farglebs gareT aRmoCnda, gansakuTrebul yuradRebas imsaxurebs.
tokios universiteti (iaponia)
saqarTvelosa da sefianTa iranis urTierTobebis kvleva fazlis cnobebze dayrdnobiT: ra iyo giorgi saakaZis sefianTa karze wasvlis mizezi?
sxva dros ukve aRvniSne da davwere kidec, rom XX saukunis bolo aTwleulSi, kembrijSi, fazli xuzani al-isfahanis qronikis mesame tomis aRmoCenam mniSvnelovnad gazarda saqarTvelos istoriis kvlevebis warmoebis potenciali. es wyaro naTels hfens istoriul movlenebs da gvawvdis axal informacias pirovnebebisa Tu socialuri jgufebis Sesaxeb. am moxsenebis avtorma ukve waikiTxa ramdenime moxseneba saqarTvelos istoriuli pirovnebebis, magaliTad, mefe luarsabis, dedofal qaTevanisa da giorgi saakaZis Sesaxeb, gamoiyena ra cnobebi zemoT xsenebuli sparsuli qronikidan. avtori gegmavs informaciis yvelaze mniSvnelovani nawilis nawil-nawil gamoqveynebas. am moxsenebaSi detalurad Sevexebi fazlis cnobebs saakaZis sefianTa karze wasvlis Sesaxeb.
rogorc cnobilia, iskander munSi ambebis Txrobas iwyebs im droidan, roca giorgi saakaZe martyofis ajanyebas Caudga saTaveSi. mematiane winmswreb istorias ar mimoixilavs. fazli, rogorc feiqar xanis veziri, movlenebis TviTmxilveli iyo. unda aRiniSnos, rom misi aRwerebi sefianTa Tvalsawieridan keTdeboda; amitom, misi monaTxrobidan Cans, Tu rogor aRiqvamdnen sparselebi saqarTvelosa
da sefianTa iranTan dakavSirebul movlenebs. imis gaTvaliswinebiT, rom fazlis detaluri aRwerebi originaluria da Tanac saakaZis moRvaweobis periodis Tanadrouli, isini sruliad unikaluria (rogorc ukve aRvniSne, masSi mocemuli cnobebi gansxvavdeba sxva sparsul da ucxouri wyaroebSi daculi cnobebisgan), amitom Cven mas did mniSvnelobas vaniWebT. am etapze, Tqvens yuradRebas mivapyrobT imas, Tu rogor aRwers fazli giorgi saakaZis mier luarsabis samefo karis datovebas. moxsenebaSi yuradReba gamaxvildeba giorgi saakaZesTan dakavSirebuli ambis dasawyisze.
apostolos g. mantasi
ioaninas universiteti (saberZneTi)
„zRvis dayudeba" moqvis saxarebaSi da qaris personifikacia bizantiur xelovnebaSi
moqvis saxarebis publikaciam (saqarTvelos xelnawerTa erovnuli centri, Q-902) warmoaCina udidesi mniSvnelobis xelnaweri, romlis miniatiurebs saqarTveloSi paleologosuri xelovnebis saukeTeso nimuSebs Soris ukavia adgili. xelnaweris 31v furcelze gamosaxulia „macxovris mier zRvis dayudeba", rogorc es maTes saxarebaSia naxsenebi (maTe 8: 23-27). am gamosaxulebis saintereso elementia qaris personofikacia axalgazrda mamakacis saxiT, romelic buks Cahberavs. am detalis gaTvaliswinebiT, moxsenebaSi ganxiluli iqneba qaris personofikacia bizantiur xelovnebaSi.
qaris personofikacia jer kidev ZvelberZnul da romaul xelovnebaSi, agreTve, maTi gavleniT, gvian antikur xanaSi farTod iyo cnobili. swored am ukanasknel xanaSi, ra drosac es siuJeti, ZiriTadad, mozaikuri iatakis gamosaxulebebs Soris gvxvdeba, adaptirda adreqristianul da bizantiur ikonografiasTan, sadac is gamoiyeneboda sarkofagebis Sesamkobad, agreTve xelnawerTa miniatiurebSi da ufro naklebad, monumentur xelovnebaSi.
am personifikaciis mxatvrul SesrulebaSi ramdenime ikonografiuli tipisa da variaciis garCeva SeiZleba. maT Soris arsebuli gansxvavebebi ukavSirdeba, ZiriTadad,
figuraTa materialur fizionomiur Taviseburebebs, maT samoss, Jestikulaciasa da im nivTebs, romlebic xelT upyriaT. am variaciebis axsna xSirad SesaZlebelia ufro farTo ikonografiuli CarCos farglebSi, romlis nawilia qaris personifikacia. ufro iSviaTia antikur xelovnebaSi Camoyalibebuli tipis gameorebis SemTxvevebi, rodesac adgili ar aqvs figuris ideologiur transformacias bizantiuri xelovnebis konteqstis Sesabamisad.
hairapet margariani
erevnis saxelmwifo universiteti (somxeTi)
alastanis mefeebi somxuri da qarTuli pirvelwyaroebis mixedviT
alastanis mefeebs (es zedsaxeli maTi Tavdapirveli samflobelos sapativsacemod miiRes – alastani axalqalaqis maxloblad mdebare sofelia) e. w. „provinciis mefeebs" Soris gansakuTrebuli adgili ekavaT. maTi sxva samflobeloebis mdebareobis, genealogiisa da mmarTvelobis periodebis sakiTxebi damatebiT kvlevas saWiroebs.
informacia am qarTvel mmarTvelTa Sesaxeb, XIV saukunis somxurma pirvelwyaroebma Semogvinaxa. Tumca, imis gamo, rom amaze ufro detaluri monacemebis Semcveli qarTuli wyaroebis naklebobas ganvicdiT, somex avtorTa mier mowodebuli informaciis interpretacia serozul sirTuleebs ukavSirdeba.
erT-erT somxur pirvelwyaros, romelmac sargis kakabaZis yuradReba jer kidev erTi saukunis win miipyro, warmoadgens somxeTis aragacotnis provinciis hovanavanqis monastris uTariRo lapidaruli warwera. warweraSi naxsenebia dedofali Tamari da misi naTesavebi: „didi melqisedeki" da „samefo warmoSobis" giorgi. hovanavanqis warwera, savaraudod, 1360-ian wlebSia Sesrulebuli. is faqti, rom Tamari dedoflad iwodeba, unda aixsnas misi qorwinebiT alastanel melqisedekze. warweraSi naxsenebi giorgi qarTul „parizul qronikaSi" naxseneb giorgisTan, alastanis mefesTan unda gavaigivoT. is 1373 wels mokles.
XIV saukunis mesame meoTxedSi alastaneli mefeebi marTavdnen ara mxolod Sida qarTls, aramed maT garkveuli gavlena dedaqalaq Tbiliszec hqondaT. swored amitom, 1361 wels TbilisSi gadawerili somxuri xelnaweris kolofonis avtori saqarTvelos mefe bagrat V-s (1360-1393) ki ar axsenebs, aramed „saqarTvelos mefed", mis nacvlad, „provinciis mefe" melqisedeks moixseniebs.
parmen margvelaSvili
saqarTvelos mecnierebaTa erovnuli akademiis akad. giorgi wereTlis saxelobis vefxistyaosnis akademiuri gamocemisa da qarTuli enis Tesaurusis komiteti (saqarTvelo)
`vefxistyaosnis~ xelnawerTa variantebi da wereTliseuli nusxa
`vefxistyaosnis~ mokle redaqciis arsebobis mimaniSnebeli Tu damamtkicebeli faqtobrivi mocemuloba gvaqvs wereTliseul xelnawerad saxeldebul S-5006 nusxaSi, romelsac XVII saukuniT aTariRebdnen.
XX saukunis meore naxevaridan rusTvelologiaSi damkvidrda Tvalsazrisi, rom am xelnaweris Cvenebis mxedvelobaSi miReba ar SeiZleba, radgan „igi TviTon aris davalebuli vaxtangiseuli gamocemisagan da xelnaweris Sua monakeTi pirdapir imeorebs vaxtangiseul gamocemas" da, rom „xelnawers zustad gadmoaqvs ara marto 1712 wlis wakiTxvebi, aramed koreqturuli Secdomebi da sxva beWduri cdomilebebic ki" da amitom unda vaRiaroT, rom „mxolod 1712 wlis gamocemaSi SemuSavda poemis axali mokle redaqcia".
mkiTxvelTa did nawils mtkicebulebis Semowmebis SesaZlebloba ara aqvs, radgan, CvenTvis ucnob mizezTa gamo, arc literaturis institutis mier gamocemuli „vefxistyaosnis xelnawerTa variantebis" oTxtomeuli da arc SaniZisa da baramiZis redaqtorobiT 1966 wels gamocemuli xelnawerTa variantebiT aRWurvili `vefxistyaosani~ ar Seicavs S-5006 umniSvnelovanesi nusxis Sua nawilis monacemebs, mxolod varaudi SeiZleba gamovTqvaT am samwuxaro faqtobrivi mocemulobis Camoyalibebis gamo. xelnaweris SeswavliT ki umravles strofSi dasturdeba ara meqanikuri da SemTxveviTi, aramed mniSvnelovani, xSirad ki arsebiTi variantuli sxvaobebis arseboba da irkveva, rom nusxa poemis Sua nawilSic vaxtangiseuli redaqciisagan gansxvavebuli da ufro Zveli dednidan aris momdinare, rom nusxis kaligrafi ar aris kopisti da nusxa swored Sua nawilSia gansakuTrebuli, Seicavs iseT variantul sxvaobas, romelic mas gamoarCevs saerTod yvela sxva xelnaweridan. wereTliseuli nusxis Cvenebebi asaxavs `vefxistyaosnis~ teqstis istoriis adreul etaps, adasturebs poemis daboloebis vaxtangiseuli versiis ufro adre arsebobas da amtkicebs, rom nusxa, romlis srulqmna kaligrafma ver daasrula, XVII saukunisaa, radgan is sparsul qaRaldzea Sesrulebuli, 1710 wlis Semdeg ki saqarTveloSi saerTod ar arsebobs sparsul qaRaldze Sesrulebuli arc erTi xelnaweri furceli.
elene maWavariani
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
qarTuli samsaxovani anbanis mxatvruli Taviseburebani qarTuli xelnawerebis mixedviT
qarTulma xelnawerma wignma samsaxovani anbanis – asomTavrulis, nusxurisa da mxedrulis mravali nimuSi Semogvinaxa. aqve xazgasmiT unda aRiniSnos, rom nusxuri damwerloba swored xelnaweri teqstebis saxiT gvxvdeba.
TiToeuli saxeoba Zvelis wiaRSi isaxeba, Semdgom ki cvlilebebis Sedegad, viRebT damwerlobis axal saxeobas. marTalia, erTi saxeoba meoris saxecvlilebis Sedegia, magram TiToeuli maTgani erTmaneTisagan gansxvavebuli mxatvruli TaviseburebebiT xasiaTdeba.
asomTavrulis moxazulobani – erTi mxriv, vertikalze agebuli, xolo, meore mxriv, wriuli formebiT gamdidrebuli – garkveul sivrceSi – kvadratul areSia moqceuli. erTnairi simaRlis mqone asoebi, sakuTari mxatvruli gadawyvetiT, Tavis mxriv, ornamentul mwkrivebad aRiqmeba teqstis dawerilobaSi.
Semadgenel elementTa Soris, proporciulobis safuZvelze agebuli grafikuli sistema sityvaSi erTmaneTisagan garkveuli intervalebiT dacilebuli moxazulobebiTa da mkveTri, naTeli formebiT monumenturi saxis damwerlobas qmnis. amdenad, mTavruli moxazulobani Soridan advilad aRsaqmelia. amitomac isini taZris fasadebze, freskebze, mozaikur qvaze Tu Wedur Zeglebzea gamokveTili.
singuriT Sesrulebuli an moxatuli mTavruli asoebi, rogorc orientiri mkiTxvelTaTvis, aseve eufleba nusxuriTa da mxedruliT Sesrulebul teqstebs abzacebis dasawyisSi an saTaurebad. zogjer asoTa konfiguracia siuJeturi kompoziciiTaa Seqmnili.
roca bewvebrivi horizontaluri xaziTa da vertikaluri CanaWdeviT grafikulad Sesrulebul mTavrul asoebSi, teqstis yavisferi melani oqrosferSi gadadis, xelnawer furclebs meti mxatvruloba eniWeba.
asomTavruli damwerlobis formaTa cvalebadobam, rac gamowveuli iyo gamartivebuli werisaken miswrafebiT, anbanis axali saxeoba – nusxuri damwerloba Seqmna.
nusxuri damwerlobis mxatvruli Taviseburebani, ZiriTadad, gamoixata gverdze gadaxrili kuTxovani formebis mqone aso-moxazulobebiT: asomTavrulSi Casaxuli mrgvlovani formebis rkalur formebze gadasvliT, dakbiluli grafikuli sistema dekoratiulobis STabeWdilebas tovebs. asoTa formebis mravalferovneba gamowveulia kvadratuli sistemis darRveviT da oTxxazovan sistemaSi aso-moxazulobaTa ganlagebiT. unda SevniSnoT, rom sityvaSi erTmaneTis mijriT dawerili asoebiT, teqsti xSirad Znelad wasakiTxic xdeba.
aso-moxazulobaTa gamartivebulma weram mxedrul damwerlobaSi grafikuli saxe sruliad Secvala. nusxuri damwerlobis gavliT, garkveuli grafikuli kanonzomierebebis Sedegad, martivi erTiani konturis mqone asoTa moxazulobani Seiqmna.
vertikalze agebuli sistema mrgvlovani elementebiTaa gamdidrebuli, rac asomTavruls axasiaTebs, mxedrul damwerlobaSi kvlav moqmedebs, magram oTxxazovani sistemis farglebSi, erTiani konturis mqone moxazulobebiT aRiniSneba.
qarTuli samsaxovani damwerlobiT Seqmnili Zeglebi iSviaTi kaligrafiuli xelwerisaa. maT ganswavluli gadamwerni asrulebdnen.
mxedruli damwerlobiT naweri xelnawerebisa da istoriuli sabuTebis teqstebs mxatvrulobas aniWebs asoTa gadabmis wesebic, rac aseve gadamweris mieraa Sesrulebuli.
giorgi maWaraSvili
ilias saxelmwifo universitetis giorgi wereTlis saxelobis aRmosavleTmcodneobis instituti (Tbilisi, saqarTvelo)
qarTuli erovnuli identoba hagiografiuli da himnografiuli teqstebis mixedviT
vulgatas adgilobriv enebze Targmna qristianul dasavleTSi erovnuli saxelmwifoebriobis ganviTarebisTvis gadamwyveti faqtori aRmoCnda (a. hastingsi). saqarTvelos SemTxvevaSic igive Cans.
saqarTvelo uZvelesi droidan aris evropuli qristianuli civilizaciis nawili. biblia qarTul enaze V saukuneSi iTargmna. sasuliero mwerlobis ganviTarebam da Targmanebma xeli Seuwyo qarTuli enis normebis standartizebas da gaamyara qarTvelTa erTobis enobrivi niSani.
wminda werili israelis saxiT iZleva magaliTs, rogori unda iyos yvela sxva eri. bibliuri swavleba rCeuli eris Sesaxeb qristianul dasavleTSi erovnul ideologiaSi gadaizarda da politikuri Sinaarsi SeiZina. inglisSi ukve XI saukuneSi vxedavT termin `ers~ Tanamedrove mniSvnelobiT (e. smiTi). igive SegviZlia davinaxoT qarTul sasuliero mwerlobaSi, gansakuTrebiT, hagiografiasa da hinografiaSi. aq saqarTvelo warmodgenilia iseve, rogorc bibliuri israeli Zveli aRTqmis wignebSi.
magaliTad, daviT aRmaSenebeli (XI-XII ss.) wers: `vacodve eri Cemi, viTarca mefeTa misTa israeli~. xolo kaTalikosi arsen bulmaisimisZe (XIII s.) aRniSnavs: `ixarebd dRes, ixarebd, qarTvelTa sameufoo, ero morwmuneTao, rameTu arasada umrwemes gyo Sen qristeman, aramed mogca xati T¢si didebuli, romeli T¢T man dahbeWda piriTa T¢siTa~. eris bibliuri gageba warmodgenilia aseve `evstaTi mcxeTelis martvilobaSi~ (VI s.) da `ioane zedaznelis cxovrebaSi~ (X s.). xolo ioane sabanisZe `abos wamebaSi~ (VIII s.) wers: `aRverieniT ersa ucxosa~.
warmodgenili masala cxadyofs Sua saukuneebis dasavleT evropasa da saqarTveloSi erovnuli idealebis msgavsebas. amrigad, ver daveTanxmebiT Cveni drois zogierT mkvlevars, romlebic miiCneven, TiTqos, qarTvelTa erTian erad Camoyalibeba qristianul dasavleTTan SedarebiT gacilebiT gvian moxda (weren, TiTqos es procesi saqarTveloSi XIX saukunis meore naxevridan daiwyo).
ia melnikova
moskovis wm. tixonis marTlmadidebluri humanitaruli universiteti (moskovi)
amierkavkasiaSi marTlmadidebeli eklesiis mowyobis Sesaxeb Seqmnili komisiis muSaoba 1917-1918 wlebis ruseTis adgilobrivi krebis farglebSi (ruseTis saxelmwifo da ruseTis saxelmwifo saistorio arqivebis masalebis mixedviT)
moxseneba eZRvneba ruseTis eklesiis adgilobriv krebaze saqarTvelos saeklesio sakiTxebis ganxilvas (1917-1918 ww.). ufro adre (1906 w.), sakiTxi ganixileboda krebis winare saTaTbiros II ganyofilebis sxdomebze, magram uSedegod. adgilobrivi krebis mowvevisa da muSaobis droisTvis, mdgomareoba Seicvala saqarTvelos eklesiis avtokefaliis aRdgenasTan dakavSirebiT (12.03.1917). sakiTxi ukve sxva sibrtyeSi unda ganxiluliyo. adgilobrivi krebis muSaobis procesSi Seiqmna sagangebo ganyofileba, romelsac unda ganexila amierkavkasiaSi saeklesio cxovrebis mowyobis sakiTxebi „qarTvelTa mier avtokefaliis gamocxadebasTan dakavSirebiT". ganyofilebis xelmZRvaneloba daevala kievis mitropolit vladimirs (bogoiavlenski). adgilobrivi krebis pirveli sesiis farglebSi, gaimarTa ganyofilebis 17 sxdoma (1.09-27.11.1917). meore sesiis farglebSi ki (6/19.0216/29.08) – 7 sxdoma. pirveli sesiis bolos dasrulda muSaoba moxsenebaze „qarTvelTa mier avtokefaliis gamocxade- bis saqmis Sesaxeb". momxseneblad dasaxelebul iqnen prof. v. n. beneSeviCi, prof. i. i. sokolovi, mRvd. v. n. egorovi. es moxseneba daedo safuZvlad patriarq tixonis 1917 wlis 29 dekembris mimarTvas saqarTvelos samRvdeloebisadmi.
moxsenebaSi ganixileba rigi sakiTxebisa, romelic dRemde ar gaSuqebula arc rusul, arc qarTul istoriografiaSi da moyvanilia axali saarqivo masala, qarTuli mxaris patriarq tixonisadmi sapasuxo werilTan dakavSirebiT. aseve, masala or eklesias Soris, kanonikuri urTierTobis aRdgenis mcdelobis Sesaxeb, wm. ambrosis da wm. tixonis patriarqobis dros.
Sorena murusiZe
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
xelnawerTa erovnul cenrtSi daculi qarTvel emigrantTa arqivebi (mniSvneloba da damuSavebis Taviseburebebi)
XX saukunis 80-iani wlebidan daiwyo ucxoeTis sxvadasxva qveyanaSi gabneuli qarTuli emigrantuli masalis moZieba da saqarTveloSi dabruneba. am mxriv, erT-erTi pirveli dawesebuleba, sadac emigrantulma arqivebma daido bina, korneli kekeliZis saxelobis xelnawerTa instituti iyo.
dResdReobiT, xelnawerTa erovnul centrSi daculia qarTuli emigraciis 18 damuSavebuli da daumuSavebeli piradi saarqivo fondi da radio `Tavisuflebis~ qarTuli redaqciis saarqivo memkvidreoba. es masala sxvadasxva dros aSS-dan, argentinidan da evropis sxvadasxva qveynidan aris Camotanili.
didi xnis ganmavlobaSi, qarTveli mecnierebisTvis TiTqmis araferi iyo cnobili emigrantebis saqmianobisa da moRvaweobis Sesaxeb. arsebuli informacia ki ideologiur CarCoSi eqceoda.
1. didia aRniSnuli saarqivo dokumentebis samecniero Rirebuleba. qarTveli emigrantebis arqivebis Seswavlis Sedegad, saqarTvelos uaxlesi istoriis mravali ucnobi faqti gamovlinda.
gare samyarosgan `rkinis fardiT~ izolirebul, sabWoTa kavSiris sazRvrebSi moqceul saqarTvelos ar hqonda msoflios sxva saxelmwifoebTan urTierTobis saSualeba, xolo saqarTveloSi mimdinare erovnul-ganmaTavisuflebeli moZraoba arsebuli politikuri reJimis gamo, fragmentuli da susti iyo. samagierod, gacilebiT aqtiurebi iyvnen saqarTvelos damoukideblobis aRdgenisaTvis mebrZoli qarTveli emigrantebi.
saqarTveloSi sabWoTa diqtaturis dros ikrZaleboda Tavisufali azrovneba. emigraciaSi myof qarTvel mecnierebsa da mwerlebs samecniero da SemoqmedebiTi Tavisufleba hqondaT. am Tavisuflebis kvali naTlad Cans maT saarqivo fondebSi.
emigrantuli arqivebi gamorCeulia im TvalsazrisiTac, rom aq daculia aSS-is prezidentebis – jon kenedis, riCard niqsonisa da ronald reiganis xelmowerili oficialuri werilebi, qarTuli emigraciis aSS-is saxelmwifo struqturebTan, senatorebTan, gubernatorebTan urTierTobebis amsaxveli saarqivo erTeulebi. mniSvnelovani dokumentebi moipoveba disidenturi moZraobis, maT Soris, `TviTgamocemis~ istoriis, kvlevis TvalsazrisiT.
2. xelnawerTa erovnul centrSi daculi piradi saarqivo fondebisgan sruliad gansxvavebuli da unikaluri saarqivo masalaa radio `Tavisuflebis~ qarTuli redaqciis fondi, romelic moicavs radiogadacemebis krebulebs da babinebze Caweril audiomasalas. isini informaciulobiTa da mecnieruli RirebulebiT fasdaudebelia. mxolod radio `Tavisuflebis~ arqivma Semogvinaxa giorgi kvinitaZis, mixako wereTlisa da grigol robaqiZis xmebi.
radio `Tavisuflebis~ masalis mravalferovnebidan gamomdinare, aucilebeli gaxda saarqivo erTeulis aRweris meTodologiaSi kriteriumebis damateba.
3. mniSvnelovania am masalis socializacia-aqtualizacia. emigrantuli saarqivo erTeulebis mimarT samecniero interesi didia. am masalis safuZvelze, xelnawerTa erovnul centrSi araerTi Tematuri gamofena saganmanaTleblo programa Catarda.
maia niniZe
ivane javaxiSvilis saxelobis Tbilisis saxelmwifo universiteti (saqarTvelo)
xelnawerTa genetikuri kvlevis uaxlesi meTodi da misi mniSvneloba qarTul xelnawerTa Sesaswavlad
saqarTvelosTvis, rogorc Zveli da mdidari werilobiTi kulturis mqone qveynisTvis, gansakuTrebiT mniSvnelovania xelnawerTa kvlevis meTodebisa da teqnologiebis daxvewa-ganviTareba. xelnawerTmcodneobis aRmavloba msoflioSi, ZiriTadad, cifruli teqnologiebis ganviTarebas ukavSirdeba, magram aranakleb warmatebulia meTodologiuri Ziebanic. amis araCveulebrivi magaliTia xelnawerTa genetikuri kvlevis Tanamedrove meTodebi da teqnologiebi.
Tu karl laxmanis meTodi emyareboda sxvadasxva wyaroSi gamovlenili msgavsi Secdomebis kvlevas, aRmoCnda, rom teqstebis urTierTmimarTebis dasadgenad mxolod Secdomebze orientireba arasakmarisi iyo da mecnierebma daiwyes variantul sxvaobaTa mTliani speqtris gamoyeneba. es meTodi kidev ufro daixvewa da gerd minkis koherentulobaze damyarebuli genealogiuri meTodis saxiT Camoyalibda. iTvaliswinebs yvela arsebuli variantuli wakiTxvis teqstologiuri kvlevis safuZvelze, teqstis arqetipisken gzamkvlevi struqturebisa da Tavad am arqetipuli saxis Seqmnas. Zalze mniSvnelovan faqtad mimaCnia genetikuri kvlevebis arealSi termin `mowmis~ Semotana, romelic arsebiTad gansxvavdeba `wyaros~, `dokumentisa~ da sxva momijnave cnebebisagan.
karl laxmanis `msgavs Secdomebze~ damyarebuli genealogiuri meTodi arqetipis rekonstruqcias axdenda deduqciiT, koherentulobaze damyarebuli genealogiuri meTodi ki arqetips mozaikasaviT awyobs calkeuli monacemebidan. igi eyrdnoba ara xelnawerebis, rogorc artefaqtebis, aramed maTSi daculi teqstebis, e. w. mowmeebis Seswavlas, radgan teqsti, romelsac xelnaweri Seicavs, genealogiuri TvalsazrisiT, SeiZleba bevrad ufro adreuli iyos, vidre Tavad xelnaweri.
Zveli teqstebis gadawera-gavrcelebisas, xSirad mimarTavdnen kontaminacias, rac arTulebda maTi urTierTmimarTebis garkvevas. calke problemas qmnis SemTxveviTobebi, rodesac or yovelmxriv gansxvavebul teqstur mowmeSi gvxvdeba calkeuli erTnairi nairwakiTxvebi da amis mizezi SemTxveviTobaa da ara kontaminacia. amitom teqsturi mowmeebis istoriasa da genealogiur urTierTmimarTebasTan dakavSirebiT gamoTqmuli nebismieri hipoTeza unda iTvaliswinebdes rogorc kontaminacias, ise SemTxveviT Tanxvedras. mniSvnelovania, rom, sxva genealogiuri meTodebisagan gansxvavebiT, koherentulobaze damyarebuli meTodi orientirebulia yvela am winaaRmdegobis daZlevaze. genetikuri kvlevebisTvis arsebobs sagangebo kompiuteruli programebi, romlebic metad uwyobs xels dargis ganviTarebas. Cvens mdidar xelnawerTa sacavebSi erTi da imave dokumentebis uamravi avtografi da asli inaxeba. amitom mniSvnelovania, Seiqmnas qarTul fontze misadagebuli msgavsi programebic, an modificirdes ukve arsebuli da Cvens mecnierebsac mieceT msgavsi fundamenturi genetikuri kvlevebis Catarebis saSualeba.
nugzar papuaSvili
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
pavle svetlovi – kalistrate cincaZes SoTa rusTavelis Sesaxeb
1. kaTalikos-patriarq kalistrate cincaZis pirad saarqivo fondSi (xec) daculia dekanoz pavle svetlovis piradi werili uwmides kalistratesadmi. teqsti avtografia, dawerili Savi melniT rveulis oTx gverdze, gamogzavnili kievidan TbilisSi 1938 wels. Sinaarsidan Cans, rom is dawerilia pasuxad kaTalikos kalistrates Txovnaze, gamoeTqva azri `vefxistyaosnis~ avtoris msoflmxedvelobis Sesaxeb.
2. dek. pavle svetlovi (1861-1942) rusuli saRvTismetyvelo skolis monumenturi figura da araerTi fundamenturi naSromis avtoria. sasuliero akademiis damTavrebis Semdeg, is Tbilisis sasuliero seminariaSi muSaobda dogmaturi RvTismetyvelebis maswavleblad. Semdeg moRvaweoba gaagrZela kievis universitetSi RvTismetyvelebis doqtoris xarisxiT profesoris Tanamdebobaze.
3. kalistrate cincaZe mas araerTgzis moixseniebs, rogorc saukeTeso pedagogsa da moazrovnes. misi informaciiT, svetlovi aviTarebda pozicias, romlis mixedviTac, sasuliero pirebis politikuri saqmianoba kanonzomieria. SesaZlebelia, aseTi poziciis gamoc Seeqmna mas problemebi sabWoTa xelisuflebasTan. is universitetidan gaaTavisu-
fles da sazogadoebisagan gariyuli aRmoCnda. aRniSnuli werilidan isic Cans, rom svetlovs ekonomiuradac da sulieradac rTuli sibere hqonda. amasTanave, vxedavT, rom mas saqarTvelosTan Tbili mogoneba da siyvaruli akavSirebda.
4. CvenTvis cnobilia rusi sasuliero pirebisa da Teologebis rusTvelologiis sakiTxebiT daintereseba (mitropoliti evgeni bolxovitinovi), Tumca, pavle svetlovis naazrevi specialur literaturaSi, jerjerobiT, SemCneuli ar aris. imis miuxedavad, rom mas am sferoSi sagangebo kvleva ar Cautarebia, aRniSnuli dokumentis saxiT, saqme gvaqvs mecnierul dakvirvebebsa da akademiur poziciasTan. avtoris azriT, rusTaveli ganekuTvneba mxatvruli sityvis im didostatTa ricxvs, romlebic `saxeldebis gareSe adideben qristes~. aq yuradRebas iqcevs rusTvelologiis aqtualuri problemebis farTo konteqstSi warmoCena da paralelebis gavleba saerTaSoriso kulturis korifeebTan.
5. kaTalikos kalistrates adgili `vefxistyaosnis~ kvlevis istoriaSi aRiarebulia. Aamieridan, mis damsaxurebad is iniciativa da provocirebac unda CaiTvalos, romlis nayofic es dokumentia. sasurvelia, aRniSnuli dokumentis qarTulad Targmna, publikacia, da rusTvelologiur literaturaSi misi adgilis gansazRvra.
Tamar patariZe, veronik somersi
luvenis kaTolikuri universiteti (belgia)
grigol nazianzeli: luven-la-nevi – Tbilisi, gamocema – simfonia
gvsurs warmovadginoT erToblivi moxseneba, romelic warmoaCens liuvenis kaTolikuri universitetis aRmosavleTmcodneobis centrSi (belgia) Tegigirebul korpussa da lematizebur simfoniaze muSaobis procesSi mopovebul mniSvnelovan warmateba. isini Semagrebulia NLP programuli uzrunvelyofiT da misadagebulia berZnul da aRmosavlur enebTan (https:// uclouvain.be/fr/instituts-recherche/incal/ciol/gregori-project.html).
moxsenebis pirveli nawilSi SevexebiT berZnul simfonias da vaCvenebT, rogor xdeboda misi Sedgena proeqtis sawyisi etapidan dRemde. es aris kargi SesaZlebloba, pativi mivagoT prof. j. moseis (liuvenis kaTolikuri universitetis aRmosavleTmcodneobis centri) da prof. e. metrevels (xelnawerTa erovnuli centri, Tbilisi), romlebmac safuZveli daudes grZelvadian TanamSromlobas am or institucias Soris. samecniero TanamSromlobis ZiriTadi sakiTxi iyo grigol nazianzelis (IV s.) TxzulebaTa pirveli kritikuli gamocemis momzadeba, Semdgom ki lematizebuli simfoniis publikacia. moxsenebis meore nawilSi naCvenebi iqneba, Tu rogor iqna gamoyenebuli proeqtis bolo etapis miRwevebi sxva teqstebTan (patristikuli, istoriuli da a. S.) da enebTan (somxuri, qarTuli, arabuli, siriuli da a. S.) mimarTebaSi. ZiriTadi aqcenti gakeTebuli iyo qarTul enaze. moxsenebis dasasruls, warmovadgenT Cveni proeqtis saboloo monapovars – onlain bilingvur simfonias.
maia rafava
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
tao-klarjeTidan aTonamde, aTonidan – gelaTamde: qarTul-somxur literaturul urTierTobaTa kvaldakval
1. qarTul-somxur literaturul urTierTobaTa mravalsaukunovan istoriaSi yvelaze adreul, wminda werilis Targmnis, periods enacvleba tao-klarjeTis saRvTismetyvelo-samwignobro keris saqmianobis (IX-X ss.) periodi, roca somxuridan qarTulad Targmnas farTo xasiaTi mieca. somxuri mwerlobiT did dainteresebaze metyvelebs is faqti, rom taoeli moRvaweebi xSirad ver floben berZnuls da Targmnian somxur wyaroebs. X saukunis bolosTvis somxuri mwerlobis mimarT interesi neldeba. amas ZiriTadad, samwerlobo centris taodan aTonze gadanacvleba ganapirobebda.
2. bizantiis politikur-kulturul cxovrebaSi CarTulobam ganapiroba berZnuli wyaroebis uSualod Targmnis tendenciebi, `T¢nier somxurisa~. mdidari bizantiuri literaturuli Zeglebis intesiurad TargmnasTan erTad, qarTvel aTonelTa SemoqmedebiT saqmianobaSi Tavi iCina konfesiuri gansxvavebiT gapirobebulma somxuri monofizituri mrwamsis kritikam da masTan polemikam. es mxolod dasawyisi iyo. mogvianebiT, XI saukunis bolosTvis, qarTveli moRvaweebis mier somxuri monofizitobis kritikam sistemuri xasiaTi miiRo. am mxriv, yvelaze TvalsaCinoa arsen iyalToelis `dogmatikoni~.
3. qarTuli kulturul-samwignobro centris gelaTSi dafuZnebis Semdeg qarTul-somxurma literaturulma urTierTobam sruliad sapirispiro mimarTuleba miiRo. gelaTis samwerlobo centris ayvavebis xanaSi, aseve uSualod mis winare an momdevno periodSi, aqtiurad gamoikveTa somex moRvaweTa daintereseba im filosofiur-saRvTismetyvelo nawarmoebebiT, romlebic gelaTSi iqmneboda.
4. XIII saukunis pirvel naxevarSi samxreT saqarTvelosa da trapizonis imperiaSi Cans ori somexi mwignobari, romlebic qarTulidan somxurad Targmnian diofizituri xasiaTis mniSvnelovan filosofiur-saRvTismetyvelo Sinaarsis Txzulebebs. eseni arian simeon pRinZahaneci da papa minasi. somexi mTargmnelebis mier qarTulidan Sesrulebuli Targmanebidan mecnierulad Seswavlilia mxolod ori Zegli: ioane damaskelis `wyaro¡ codnisa¡~ da prokle diadoxosis `kavSirni RvTismetyvelebiTni~ ioane petriwis ganmartebebiT. kvlevis Sedegad, aSkara xdeba, rom qarTulidan Targmnil somxur teqstebs mTeli rigi siaxleebis gamovlena SeuZlia, rogorc konkretuli Zeglebis Seswavlis, ise zogadad gelaTis, rogorc saSualo saukuneebis mniSvnelovani samwignobro centris, SemoqmedebiTi avtoritetisa da gavlenebis masStabis kvlevis mxriv.
Sarl renu
samecniero kvlevebis safrangeTis nacionaluri centri (parizi, safrangeTi)
iadgari: misi istoriuli, liturgikuli da saRvTismetyvelo mniSvneloba
dResdReobiT, wm. pavles avtorobiT cnobil epistoleTa sagaloblebis garda, elene metrevelisa da misi TanamSromlebis mier gamocemul qarTul xelnawerebze adreuli liturgikuli himnografia cnobili araa. am teqstebis yvelaze Zvel fenas, kirile ierusalimelis katexizmosa da egerias „mogzaurobasTan" arsebuli paralelebis safuZvelze, mivyavarT IV saukunis ierusalimur liturgikamde.
am siZvelis yvelaze kargi dadasturebaa 614 welze adreuli, latalis leqcionarSi arsebuli ramdenime sagalobeli. evqaristuli dResaswaulisa da mwuxris gangebis aRsrulebis struqtura naTlad gviCvenebs qarTuli masalis kavSirs zemoT dasaxelebul wyaroebTan. sagalobelTa saRvTismetyvelo Temebi cxadyofen, rom eklesiaTa liturgikuli locvebi mimarTuli iyo qristes saidumloebisken: vnebis, gardacvalebisa da aRdgomisken.
tatiana sabianina
ermitaJis saxelmwifo muzeumi (sanqt-peterburgi, ruseTi)
samecniero restavraciisa da grafikis konservaciis laboratoriis saqmianobis ZiriTadi mimarTulebebi
samecniero restavraciisa da konservaciis laboratoria ermitaJis saxelmwifo muzeumis erT-erTi uZvelesi laboratoriaa. misi istoria mWidro kavSirSia muzeumis istoriasTan. grafikis pirveli saxelosno 1920-1930-ian wlebSi gaixsna. 1993 wlidan moyolebuli, laboratoria ermitaJis Teatris bolo sarTulzea ganlagebuli.
Cveni laboratoria saxelmwifo ermitaJis samecniero departamentebis ormocze met kuratorTan TanamSromlobs. laboratoriaSi cxrameti restavratoria. isini muSa oben XI-dan XXI saukunemde periodis dasavleT evropis, aRmosavleTis qveynebis da ruseTis gamoCenili mxatvrebisa da graviorebis mier Seqmnil Sedevrebze. laboratoriaSi sakonservaciod Semosuli dokumetebisa da wignebis qronologiuri diapazoni Zv. w. XV saukunidan dRemde periods moicavs. laboratoriis specialistebi ramdenime mTavari mimarTulebiT muSaoben. isini axdenen grafikuli namuSevrebis, sabiblioTeko da saarqivo masalis, wignebis furclebis, dokumentebisa da akinZuli nimuSebis konservacias. 2004 wlis oqtombridan laboratoriaSi gaixsna saamkinZao, sadac xdeba masiuri tiraJiT gamocemuli beWduri wignebis konservacia, agreTve saxelmwifo ermitaJis
ganyofilebebis saregistracio wignebis restavracia. 2013 wlis aprilSi, saamkinZao axal SenobaSi, kerZod „staraia derevnias" sarestavracio da sacav centrSi gadavida.
yvela dokuments, saTiTaod, poliesteris parkSi aTavseben. dasamuSavebeli erTeulebis ricxvi mniSvnelovnad gaizarda, rac gamofenebis mzardma ricxvma, mudmivi eqspoziciebis ganaxlebam da saxelmwifo ermitaJSi Tanamedrove xelovnebis ganyofilebis gaxsnam ganapiroba.
grafikis konservaciis specialistebi muSaoben naxatebis, graviurebis, akvareliT, guaSiTa da pasteliT Sesrulebuli naxatebis, miniatiurebisa da Cinuri „nianxua" naxatebis konservacias. maT muSaoba, ZiriTadad, qaRaldis masalaze uwevT.
laboratoriaSi Semodis ufro meti nimuSi, romlebic etratze, Zvalsa da tetrapanaqszea Sesrulebuli. xdeba agreTve gamoyenebiTi xelovnebis nimuSebis konservacia.
laboratoriis konservaciis specialistebs sakuTari muSaobis Sedegebis gamoqveynebisa da samecniero miRwevebis gaziarebis SesaZlebloba perioduli gamocemebis furclebze aqvT, romlebic saxelmwifo ermitaJis saredaqcio da sagamomcemlo ganyofilebis mier gamoicema.
timoTi seilorsi
tubingenis universiteti (germania)
qarTuli TargmaniT Semonaxuli II saukunis qristianuli mwerlobis Zeglebi Zvel qarTul xelnawerebSi (mokle mimoxilva)
im mecnierTagan, vinc meore saukunis qristianul literaturaze muSaobs, Sesabamisi periodis ZvelqarTul versiebs mxolod ramdenimem Tu dauTmo saTanado yuradReba. warmodgenili moxsenebis mizania, gamoasworos mdgomareoba, yuradReba miapyros qarTul Targmanebs, farTod mimoixilos da Seafasos isini. am mimoxilvaSi ar Semitania II saukunis dasawyisis nawerebi: isini, sabolood, axali aRTqmis nawili gaxda da mravalricxovan qarTul bibliur xelnawerebSi iZebneba. Tumca, gamonaklisia daaxl. II saukunis miwuruliT daTariRebuli teqsti, kerZod markozis saxarebis ganvrcobili daboloeba. amasTan erTad, moxsenebaSi ganxilulia II saukunis Semdegi literatura an tradiciebi: „hermasis mwyemsi", Tomas „macxovris yrmobis saxareba", iakobis protosaxareba, tatianes „diatesaroni"(?), meliton sardinelis Sromebi, „andria da mataTas saqmeni kaciWamiebis qveyanaSi", petres saqmeni (sul mcire, wm. petres martviloba), pavles saqmeni (an zogierTi misi Semadgeneli nawili) da Txzuleba, romelsac hqvia „qristesa da eklesiebis Sesaxeb". marTalia, amgvari mimoxilva raime saxis detalur analizs SeuZlebels xdis, Tumca, is iZleva damatebiT safuZvels imisaTvis, rom uadres qristianul literaturaze momuSave mecnierebma zemore Txzulebebis sxva enaze Targmanebi gaiTvaliswinon. sxvagvarad, maTSi arsebuli masala mxedvelobis miRma iqneba darCenili.
qeTevan tatiSvili, nino qavTaria
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
dasuraTebul xelnawerebSi daculi miniatiurebis Seswavlis axali mimarTulebebi da meTodebi
qarTuli xelnaweri memkvidreoba qristianuli xelovnebis ganuyofeli nawilia. IX-XVIII saukuneebis qarTul xelnawerebSi CarTuli miniatiuruli mxatvrobis nimuSebi Tematuri da ikonografiuli maxasiaTeblebis farTo speqtriT gamoirCeva. XX saukunis bolodan xelnawerTmcodneobis ganviTarebisa da qarTuli kulturuli memkvidreobis saerTaSoriso mimoqcevaSi danergvisaTvis gansakuTrebuli mniSvneloba kvlevis axal mimarTulebebsa da meTodebs eniWeba, maT Soris, cifruli teqnologiebis gamoyenebiT Seqmnil monacemTa bazebs.
xelnawerisa da miniatiuruli mxatvrobis Seswavlis dros, araerTxel wamoiWra sakiTxi teqstisa da vizualuri masalis, kolofonebis, xelnawerTan dakavSirebuli sxva maxasiaTeblebis, siuJetebis, figurebisa Tu calkeuli Temebis Sinaarsobriv problemebze, maT simbolur-saxismetyvelebiT mniSvnelobaze da im ikonografiul kanonze, romlis gaTvaliswinebiTac erTi da igive siuJeti saukuneebis ganmavlobaSi icvleboda.
ikonografia asaxavda Suasaukuneobrivi msoflaRqmis wyobas, xelovnebis filosofiur da zneobriv kriteriumebs; ikonografiis gareSe SeuZlebelia ama Tu im epoqis mxatvruli nimuSebis arsis gageba; ikonografiisa da misi literaturuli safuZvlebis codnas ara mxolod zogadkulturuli an istoriuli mniSvneloba aqvs, aramed praqtikulic. calkeuli mxatvruli skolebisa Tu epoqebis Seswavlisas, maTi TariRisa da warmomavlobis gansazRvrisaTvis ikonografiis codna aucilebeli komponentia. kompoziciis ikonografiuli sqema saSualebas gvaZlevs, mecnieruli dasabuTebis gziT aRvadginoT epoqis Sesabamisi siuJeti Tu scena.
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centris, saqarTvelosa da msoflios sxva siZveleTa sacavebSi dacul qarTul dasuraTebul xelnawerTa korpusis safuZvelze, Seiqmna monacemTa cifruli baza, romelic moicavs IX-XVIII saukuneebis moxatul xelnawerebSi CarTul miniatiurul kompoziciaTa srul ikonografiul indeqss; cifruli humanitariis farglebSi Seiqmna specialuri programa – Online monacemTa baza (MSSQL-is safuZvelze), romelmac saSualeba mogvca, dagvewyo qarTuli masalis damuSaveba da atvirTa.
moxseneba miznad isaxavs, warmoaCinos dasuraTebul xelnawerebSi daculi miniatiurebis Seswavlis axali mimarTulebebi da meTodebi.
bernar utie
samecniero kvlevebis safrangeTis nacionaluri centri (parizi, safrangeTi)
sinas mTis qarTuli xelnawerebi №84 da №90: maTi raobis axleburi gaazreba
sinas mTis qarTuli xelnawerebi №84 da №90 erTi da imave xelnaweris nawilebia. axlad aRmoCenili xelnawerebis katalogSi maTi Sinaarsi bolomde ar aris gansazRvruli. Cven vapirebT, rom am fragmentebis zust raobas naTeli movfinoT: esaa dRemde ucnobi homiletikuri da samonastro teqstebi.
Tea qarTveliSvili
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
Tamar qoriZe
saqarTvelos universiteti (Tbilisi, saqarTvelo)
qarTlisa (aRmosavleT saqarTvelos) da afxazeTis (dasavleT saqarTvelos) kaTolikosebi da maTi titulatura XV-XVIII saukuneebSi
XV saukunis meore naxevarSi, erTiani qarTuli samefos daSlis Semdeg, dasavleT saqarTvelos politikuri ierarqebis iniciativiT, saqarTvelos eklesiac gaimijna qarTlisa da afxazeTis sakaTalikosoebad, magram am movlenis gamo, qarTlisa da afxazeTis kaTolikosebs Ria urTierTdapirispireba ar hqoniaT. Tumca, maT Soris, ideologiur doneze, igrZnoba faruli antagonizmi, rasac kaTolikos-patriarqTa titulaturis analizi cxadyofs.
saqarTvelos eklesiisagan afxazeTis kaTolikosis gamoyofas qarTlis kaTolikosTa titulaturaSi raime mniSvnelovani cvlileba ar mohyolia. rac Seexeba afxazeTis kaTolikosTa titulaturas, XV saukunemde mis Sesaxeb informacia imdenad mwiria, rom Znelia Tqma, rogori iyo is eklesiur gayofamde. Tumca, aSkaraa, rom gamoyofis Semdeg, afxazeTis kaTolikosTa titulaturaSi aSkarad iseTi cnebebi Cndeba, romlebic qarTlis kaTolikosTan misi uflebrivi gaTanasworebis principiTaa SemuSavebuli da miznad isaxavs misi avtonomiuri arsebobis kanonikur gamarTlebas.
qarTlis kaTolikos-patriarqis titulaturaSi gansakuTrebuli adgili uWiravs uflis kvarTisa da masze dafuZnebuli sveticxovlis taZris moxseniebas, rac igulisxmeboda sveticxovlis epiTetSi – `CrdiloeT kedari~. mcxeTis da zogadad, qarTlis `CrdiloeTad~ gaazrebas safuZvlad udevs ierusalimuri kulturul-sarwmunoebrivi tradicia. qarTlisa da afxazeTis sakaTalikosoebis gamijvnis Semdeg, afxazeTis sakaTalikososTvis arsebiTi mniSvneloba hqonda, mcxeTasTan, rogorc `axal ierusalimTan~, gaTanabrebas, amitomac `mcneba¡ sasjulos~ avtorebma afxazTa axlad nakurTxi kaTolikosi iovakime `ierusalimis marjvenad~ gamoacxades. amis fonze, Cans, qarTlis kaTolikosebmac mizanSewonilad miiCnies ierusalimis Temis kvlav wamoweva, risi Sedegicaa XVI saukunis dasawyisidan maT titulaturaSi mcxeTis saydris Zveli simboluri saxelwodebebis dabruneba.
afxazeTis kaTolikosis titulSi andria pirvelwodebulTan Tanamosaydreobis xazgasma qarTlis kaTolikosTan misi ara mxolod gaTanabrebis, aramed upiratesobis mopovebisa da qarTlis, rogorc wminda ninos mier daarsebuli eklesiis daqvemdebarebis SesaZleblobis kanonikur safuZvels warmoadgenda.
gvian Sua saukuneebSi qarTlisa da afxazTa kaTalikosebis titulaturaSi, rogorc wesi, mza saxiT gadadioda ukve Camoyalibebuli formulebi, romelTa Sinaarsis mniSvneloba ar Seesabameboda realobas, amitomac xSiria zeaRmatebuli wodebebi, Tumca kaTolikos-patriarqTa titulis koreqcia Tu Zveli formulebis ganaxleba, garkveul SemTxvevebSi, politikuri koniunqturiT iyo ganpirobebuli. afxazeTis kaTolikosebi konstantinopolis dacemisa da aRmosavleTis marTlmadidebluri sapatriarqoebis dakninebis Semdeg, vidre ruseTis eklesiis gaZlierebamde, Tavs `msoflio~ patriarqsac ki uwodebdnen.
`osmalobis~ dros, qarTuli eklesiis avtokefaliis dacvis mizniT, konstantinopolis patriarqTan warmoebuli molaparakebebisas, qarTlis kaTolikos domenti IV-is titulSi kvlav fiqsirdeba osmalTagan mitacebuli samcxe-saaTabagos geografiuli erTeuli. konstantinopolis patriarqisadmi mimarTuli politikis gagrZelebad unda CaiTvalos qarTlis momdevno kaTolikosebis titulSi `yovlisa saqarTvelosa da aRmosavleTis makurTxevelis~ gacocxleba. am formulis istoriuli safuZveli ki konstantinopoluri `centrizmis~ gaZliereba iyo.
TinaTin qronci
kiolnis universiteti (germania)
imperatorebi da wyali: siaxleebi ierusalimuri kurTxevanis proeqtis Sesaxeb
kiolnis universitetSi (germania) ZvelqarTuli ierusalimuri kurTxevanis Seswavla mimdinareobs. TiToeuli gansaxilveli xelnaweris liturgiuli Sinaarsis detalurma analizma gasaocar aRmoCenebamde migviyvana.
erT-erTi qarTuli sinuri xelnaweris raoba SeiZleba ganisazRvros, rogorc qalaq ierusalimis sakaTedro taZris kurTxevani; meore xelnaweri, romelic mTlianad samonastro wesebs eTmoba da moicavs sulis mosaxseniebel panaSvids „saba ganwmendilis monastris gangebis Sesabamisad", samonastro kurTxevania, romelic, savaraudod, iudeis udabnos saba ganwmendilis lavridan momdinareobs. mesame xelnaweris Sinaarsi iZleva SesaZleblobas, iTqvas, rom es aris kurTxevani, romelic sinas mTaze moRvawe qarTuli TemisTvis iyo Seqmnili da mis mierve gamoiyeneboda.
saaRdgomo RamisTeva ierusalimSi, romelic ierusalimuri kanonaridanaa cnobili da romelic asaxavs liturgiuli wesis ganviTarebas wminda qalaqSi V-dan VII saukunis bolomde, axali, dRemde ucnobi siaxliT gamdidrda. is X saukunis kurTxevanSi aRmoCnda, romelic dReisaTvis sam nawiladaa SemorCenili: Birmingham Mingana geo. 1 + Sinait. iber. 66 / O + Sinait. iber. 18 / O II.
ierusalimi da palestina wyalkurTxevis dros iyenebdnen ara Sua aRmosavleTSi farTod gavrcelebul locvas, romlis sawyisi frazaa „Megas ei, Kyrie ...", aramed gansxvavebul versias, romelic gamoiyeneboda bizantiaSi, misi arsebobis mogviano periodSi, sikvdilis safrTxis qveS myofi pirebis saswrafod mosanaTlad.
erT-erTi yvelaze gasaocari aRmoCena muslimuri gavlenis qveS myofi palestinis qarTul xelnawerebSi iyo konstantinopoluri warmomavlobis locva imperatorisTvis, romelic Sesulia wyalkurTxevis locvebSi.
Cveni gamocdileba adasturebs stefano parentis mier gamoTqmul mosazrebas, kvlevebSi Semdegi saWiroebis arsebobis Sesaxeb: sakmarisi ar aris xelnaweris tipis – „kurTxevanis" rogorc aseTis, an misi calkeuli aslebis Seswavla, aramed aucilebelia [krebulSi Setanili] TiToeuli liturgiuli dResaswaulisa da masTan kavSirSi myofi yvela komponentis detaluri Seswavla.
elena Cepeli
ruseTis mecnierebaTa akademia, msoflio istoriis instituti (moskovi, ruseTi)
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnul centrSi daculi papirusze Sesrulebuli gamouqveynebeli dokumentebi grigol wereTlis koleqciidan xelnawerTa erovnul centrSi daculi Wilze Sesrulebuli xelnawerebi, erT dros grigol wereTlis kerZo koleqcia iyo. isini uaRresad sainteresoa berZnuli papirologiisa da berZnul-romauli egviptis sakiTxebze momuSave mkvlevarTaTvis, agreTve saqarTvelosa da ruseTSi am disciplinis istoriis, XX saukunis dasawyisis pirvel naxevarSi, TbilisSi umaRlesi saganmanaTleblo da samecniero cxovrebis Sesaswavlad da studentebisTvis wereTlis biografiisa da memkvidreobis gasacnobad.
koleqcia Seicavs Wilis fragmentebs, romlebmac II-VII saukuneebSi ZvelberZnul da laTinur enebze Sesrulebuli dokumentebi Semogvinaxa. maTSi Sesabamisi periodis egviptis ekonomikuri da sazogadoebrivi cxovrebaa asaxuli. g. wereTlis koleqcia, agreTve, Seicavs mniSvnelovan dokumentebs (werilebs, statiebis monaxazebsa da Sav nabeWdebs), romlebic naTels hfens Wilze Sesrulebul dokumentebze misi muSaobis process. mecnieri Tavisi kvlevis Sede gebs gamosaqveyneblad amzadebda, Tumca gamoqveyneba ver moaxerxa, radgan stalinuri represiebis dros daiRupa.
moxsenebaSi mimovixilav koleqciis gamouqveynebel nawilsa da masze g. wereTlis muSaobis Sedegebs. ganxiluli iqneba XX da XXI saukuneebSi amave koleqciaze sxva mecnierTa mier Catarebuli kvleviTi samuSaoebi; vaCveneb, rom samecniero sazogadoebis am saqmeSi CarTuloba jer kidev arasakmarisia. Semdeg Sevexebi im bolodroindeli kvlevis Sedegebs, romlebic prof. fric mitofma, doqtorma sofia kovarikma (2006) da doqtorma elena Cepelma (2017-2018) moipoves. saubari iqneba Wilze Sesrulebuli, xelnawerTa centrSi daculi dokumentebis Seswavlis samomavlo proeqtze, raTa isini xelmisawvdomi gaxdnen saerTaSoriso samecniero sazogadoebisaTvis; visaubreb, agreTve, proeqtis mosalodnel Sedegebze, romlebsac didi mniSvneloba eqneba papirologiisaTvis, wyaroTmcodneobisa da arqivTmcodenobisaTvis.
nino ciciSvili
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
kulturaTa gzajvaredinze: XVIII-XIX saukuneebis qarTuli saeklesio xelnaweris Semkuloba
XVIII-XIX saukuneebis qarTul moxatul saeklesio xelnawerebs Soris, vxvdebiT nimuSebs, romlebic, erTi mxriv, sparsuli ornamentuli motivebiT da/an dekoratiuli feradxazovani CarCoTi imkoba, meore mxriv ki, siuJetur gamosaxulebebSi dasavleTevropul mxatvrul da ikonografiul TaviseburebebTan amJRavnebs siaxloves. am mxriv, sagulisxmoa korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centrsa da niko berZeniSvilis saxelobis quTaisis istoriul-eTnografiul muzeumSi daculi rigi xelnawerebis mxatvruli gaformeba: ruisis episkoposis nikoloz orbelianis dakveTiT, gabriel dekanoziSvilis mier gadawerili Jamiswirva (1713 w., A-866); vaxuSti abaSiZis surviliT nikoloz sionis dekanozis Svilis xeliT gadawerili krebuli (1746 w., A-1454), ibakoni wmidisa RvTismSoblisani (XVII-XVIII ss., A-353); Toma kemfeli, mibaZva qristesi (XIX s., S-98); saxareba da locvani (orive XVIII s., K-377, K-418); saxareba maTesi da markozisa, (XIX s., K-677).
XV-XVI saukuneebis mijnidan, postbizantiuri mxatvruli tradiciis paralelurad, saeklesio xelnawerSi TavCenili islamuri dekoratiul-ornamentuli motivebi XVII
saukuneSi ukve intensiur xasiaTs iZens da, amave aswleulis meore naxevridan, kaTolikuri dasavleTisadmi gamZafrebuli interesis miuxedavad, XVIII-XIX saukuneebSic ganagrZobs arsebobas. saeklesio xelnaweris SemkulobaSi sparsul-osmaluri elementebis ara epizoduri `SeWra~, aramed sakmaod myar tradiciad qceva, iseT mniSvnelovan sakiTxebs ayenebs Cven winaSe, rogorebicaa: damkveTis gemovnebisa da skriptoriumebis Tu regionuli tradiciis mniSvneloba, saeklesio da saero miniatiuris kavSiri, xelnawerTa mxatvrobisa da saxviTi xelovnebis sxva dargebis urTierTmimarTeba da a. S.
sagangebo yuradRebas imsaxurebs epoqiseuli kulturul-politikuri procesebis gamoxatuleba saminiatiuro xelovnebasa da saxviTi xelovnebis sxva dargebSi.
Tamar WumburiZe
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
qarTvelologiis istoriis mniSvnelovani wyaro: iulius asfalgis piradi werilebi
qarTuli enisa da literaturis, saqarTvelos istoriisa da materialuri kulturis Seswavlis saqmeSi didi wvlili miuZRviT ucxoel mkvlevrebs: mari broses, Jerar garits, adolf harnaks, anton baumStarks, da-Zma marjori da oliver uordropebs, robert bleiks, paul peeterss, hugo Suxardts da sxv. aqve unda davasaxeloT Cveni Tanamememuleni – qarTveli mecnierebi, romelTac, sxvadasxva garemoebis gamo, ucxoeTSi mouxdaT cxovreba da moRvaweoba, magram sulierad arasodes moswyvetian mSobliur niadags da qarTuli kulturis Zeglebis aRweris, Seswavlisa da gamocemis saqmes moaxmares sakuTari niWi da energia. eseni arian: mixeil TamaraSvili, mixeil TarxniSvili, viqtor nozaZe, kita Cxenkeli, grigol feraZe.
ucxoel qarTvelologTa erT-erTi mniSvnelovani warmomadgenelia cnobili germaneli mkvlevari iulius asfalgi. igi filologiur wreebSi kargadaa cnobili, rogorc mniSvnelovani qarTvelologiuri naSromebis avtori. asfalgi wlebis ganmavlobaSi xelmZRvanelobda miunxenis universitetSi, qristianuli aRmosavleTis kaTedras da iyo Jurnal `Oriens Christianus~-is gamomcemeli.
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnul centrSi daculia misi mimowera qarTvel mecnierebTan. maTgan, didi nawili evropaSi moRvawe qarTvel mecnierTan – mixeil TarxniSvilTan mimoweraa. rogorc asfalgi aRniSnavda, mas swored TarxniSvilma gauRviva interesi qarTuli enisa da literaturisadmi da `namdvili qarTuli gulisxmierebiT~ exmareboda qarTulis SeswavlaSi. germaneli mecnieric, Tavis mxriv, did daxmarebas uwevda m. TarxniSvils mis fundamentur naSromze `Geschichte der kirchlichen georgischen Literatur~ muSaobisas teqstis gamarTvasa Tu samecniero literaturis SevsebaSi. am ori didi mecnieris interesebi da TanamSromloba maT pirad werilebSia asaxuli.
saqarTveloSi moRvawe qarTvel mecnierTagan, iulius asfalgi aqtiurad TanamSromlobda akaki SaniZesa da ivane imnaiSvilTan. is aseve xelnawerTa institutis didi megobari da gulSematkivari iyo, rac kargad Cans mis werilebSi ilia abulaZisa da elene metrevelisadmi. iulius asfalgis werilebSi moxseniebulni arian cnobili evropeli qarTvelologebi, naTlad SeimCneva im periodis samecniero wreebis interesi qarTvel mkvlevarTa samecniero naSromebisadmi da am naSromebis moZiebasa da miRebasTan dakavSirebuli sirTuleebi.
gansakuTrebul interess iwvevs am werilebSi mocemuli cnobebi qarTul xelnawerebze. saqarTveloSi pirvelad swored asfalgisagan gaiges getingenSi daculi qarTuli palimfsestebis Sesaxeb. mniSvnelovania aseve mis mier mowodebuli cnobebi laifcigSi daculi xuTi qarTuli xelnaweris Sesaxeb, romelTagan oTxi k. vulersis katalogSi somxurad iyo miCneuli.
iulius asfalgis werilebi saintereso masalas warmoadgens mkvlevarTaTvis, rogorc qarTvel da ucxoel mecnierTa urTierTTanamSromlobis, ise qarTvelologiis aqtualuri sakiTxebis dasmisa da kvleva-Ziebis TvalsazrisiT.
lela xaCiZe
ivane javaxiSvilis saxelobis Tbilisis saxelmwifo universiteti (saqarTvelo)
romanoz melodosis sagaloblebis Zveli qarTuli Targmanebi
romanoz melodosis sagaloblebis qarTuli Targmanebi dReisaTvis Seuswavlelia. Cven mier winamdebare kvlevaSi ganxilulia ZvelqarTul xelnawerebSi romanozis saxeliT warwerili sagaloblebi, agreTve is saxelwauwereli sagaloblebi, romlebic romanozis mier SemoRebuli poeturi formis (`kontakioni~ anu `ibakoni~) nimuSebia. am tipis sagaloblebi qarTul himnografiaSi, rogorc Cans, VII saukunidan Cndeba. uZveles liturgikul-himnografiul krebulSi – `ierusalimis leqcionari~ saxelwauwerlad Sesuli `ibakoni~ gvxvdeba arqaul liturgikul gangebaze – vnebis SvideulSi. amave tipis sagaloblebi saxelwauwerladaa Sesuli `axali tipis iadgarebsa~ da eqvTime mTawmideliseuli redaqciis `marxvanSi~.
romanoz melodosis sagaloblebis mTeli ciklis Semotana qarTul himnografiaSi, rogorc irkveva, giorgi mTawmidelis saxels ukavSirdeba. giorgi mTawmidelis avtograful `marxvanSi~ (Georgica 5) romanoz melodosis aTamde `ibakonia~ Sesuli avtoris miTiTebebiT. am sagalobelTa qarTuli Targmanebi Tavad giorgi mTawmidels unda ekuTvnodes.
dRisaTvis gamoqveynebul berZnul da slavur `marxvanebSi~ saxelwauwerladaa Sesuli romanozis im sagaloblebis calkeuli monakveTebi, rac qarTul xelnawerebSi sruli teqstebiTaa daculi. es imiT unda aixsnas, rom berZnul-slavuri `marxvanebis~ arsebuli publikaciebi xelnawerTa SedarebiT gviandel tradicias emyareba.
Temo jojua
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri (Tbilisi, saqarTvelo)
tao-klarjeTis qarTuli epigrafikuli Zeglebi: merenesis eklesiis 954 wlis warwera
2017 wlis 11 ivliss saqarTvelos kulturisa da turistuli resursebis kvlevis centris (xelmZRvaneli – Temur xuciSvili) samecniero eqspediciis wevrebma: levan wiqariSvilma, ani imedaSvilma, Salva koRuaSvilma da bebur gozaliSvilma istoriul taos provinciaSi, TurqeTis respublikis erzurumis ilis Senkaias ilCes sofel merenesSi (Yukari Bakraçli) ucnob qarTul asomTavrul warweras miakvlies.
warwera rvastriqons Seicavs da kvadratuli moyvanilobis qvazea (58×45 sm.) amokveTili. warweriani qva, TiTqmis, mTlianad dangreuli eklesiis safasado wyobaSi iyo Cadgmuli. amJamad, eklesiis naSTebi ganaSenianebis zonaSia moqceuli da Senoba-nagebobebiTa da miwis nakveTebiT aris dafaruli.
2017 wlis ivlisis dasawyisSi, naeklesiaris teritoriaze wylis gayvanis samuSaoebi daiwyes da miwis amoTxris dros, warwerian qvas waawydnen. mogvianebiT, qva erT-erTi adgilobrivi mcxovrebis ojaxSi gadaitanes. gadatanis dros, qvis warweriani zedapiri mcired dazianda. dReisaTvis warweriani qva kvlav kerZo piris ojaxSi inaxeba.
merenesis eklesiis warweras, teqstis dazianebuli adgilebis aRdgenisa da qaragmebis gaxsnis Semdeg, aseTi saxiT vkiTxulob:
„[g(a)rd(ai)c]]valaaS{o}t | [k(u)r(a)p(a)l(a)]ti qr{o}n{i} k{o}nsa | [r]]¡id (174+780=954 w.), T(ues)a i{a}nv{a}|rsa ke (25). R(merTma)n d(ide)b(u)l y|v{e}n s(u)li m(a)Ti.
aR(e)S(e)na [w(mida)¡]] | ekl{e}si{a}¡£{e}liTa m{i}q{ae} l{i}s{i}T[a], | R{ue}rk{e}l{i}s{i}Ta da T{o}m{a}siTa, | [-]rTvs{i}Ta (?), [-]m[-]Trs{i}Ta (?), [a(me)n] (?)".
merenesis eklesiis warweris teqsti, Sinaarsobrivad, or nawilad iyofa. aqedan, warweris pirveli nawili gvauwyebs, rom 954 wlis 25 ianvars gardaicvala „aSot kurapalati", anu tao-klarjeTis qarTvelTa samefos erT-erTi xelmwife, bagrationTa saxlis taos Stos warmomadgeneli, opizis monastris saxelganTqmul qtitorul reliefze gamosaxuli istoriuli piri – kurapalati aSot II.
merenesis eklesiis warweris meore nawili mogviTxrobs, rom 954 wels, kurapalat aSot II-is gardacvlebis Semdgom, axloxanebSi aigo „wmida¡ eklesia¡" anu warweris Semcveli taZari. warwera gvauwyebs, rom eklesiis mSeneblobaze moSaobda xuTi (?) ostati: miqaeli, Rverkeli da Toma, agreTve, kidev ori (?) piri, romelTa saxelebis amokiTxvac, jerjerobiT, ver xerxdeba.
merenesis eklesiis 954 wlis warweris aRmoCena mniSvnelovani samecniero movlenaa. misi teqsti mravalmxriv saintereso cnobebs gvawvdis tao-klarjeTis qarTvelTa samefos istoriisa da qronologiis, Sua saukuneebis qarTuli paleografiisa da tao-klarjeTis saeklesio xuroTmoZRvrebis SeswavlisaTvis.
TAMAR ABULADZE
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
MANUSCRIPTS OF SCIENTIFIC CONTENT: INTERDISCIPLINARY STUDY, RESULTS AND PROSPECTS
Manuscripts of scientific content, as a multicultural phenomenon, envelope multi-branch knowledge, reflect results of its spreading, development and transformation conditioned by cultural and historical context. This material (of the western, oriental and Muslim origin) demands for interdisciplinary study, systematization, special historical-scholarly study combined with the methods of codicology, history, linguistics, natural sciences, exact sciences and other branches of science. Simultaneously, at the modern stage of development, studies of this type should involve the creation of digital products for wider dissemination and promotion of deeper studies.
Multi-branch manuscripts of early and late Middle Ages in Georgian, Arabic and Persian, which contain scientific information and unique data, narratives, collections, special glossaries, educational anthologies, encyclopaedias, etc. are preserved at different archives. Interdisciplinary study of these materials has been launched. Namely, the following has already been accomplished:
a) The joint project "Georgian, Persian and Arabic Astronomical Manuscripts in Georgia" (Head of the project: Irakli Simonia. Participants: Tamar Abuladze, Liana Samkurashvili, Nestan Chkhikvadze, Ketevan Pataridze and Giorgi Meladze) was implemented jointly by the K. Kekelidze Georgian National Center of Manuscripts and Ilia State University. The project was funded by Shota Rustaveli National Science Foundation. More
than 300 Georgian and 60 Arabic and Persian astronomical manuscripts have been analyzed under the project: astronomical compositions, fragments of astronomical content found in church, secular and combined literature, or composition fragments; various collections, which contain passages of astronomical content, or complete astronomical works; combined astronomical and astrological works with prevalent astronomical content.
Digital book "Astronomical Manuscripts in Georgia" has been produced. An interactive database constitutes the main part of the book. It comprises rich textual and graphical information, catalogues, tables, instructions and etc. The database is based mainly on Georgian astronomical manuscripts, including the exegetical works of St. John of Damascus, St. Basil the Great, St. Gregory of Nyssa translated into Georgian in 10 th -12 th centuries by Giorgi Mtatsmindeli, Ephrem Mtsire and Arsen Ikaltoeli; a calendar by Ione-Zosime (10 th c.), an original composition by Abuseridze Tbeli of astronomical and calendar content (13 th c.), astronomical work compiled and translated by Vakhtang VI (18 th c.), translations of the works of Wolf and Baumeister made by Anton I (18 th c.), etc. Arabic and Persian astronomical material is represented by classical works of Ulugh Beg, Ali Qushji, Nasir al-Din Tusi, Al-Birjandi, Abd al-Rahman al-Sufi, etc. A catalogue and two booklets have also been produced under the project.
b) In 2017 was launched a project "Medical and Veterinarian Manuscripts in Georgian Archives" (The project is funded by Shota Rustaveli National Sciense Foundation). The project envisages an interdisciplinary study of Georgian medical manuscripts (general theoretical works, accounts and colophons of medical character and prescriptions found in various collections). Staff members of the Center – codicologists, chemist and a historian (Liana Samkurashvili, Tamar Abuladze, Irina Gogonaia, Natia Khizanishvili), as well as the specialists in the field (veterinarian and pharmacologist), are involved in the project. A digital database of Georgian medical manuscripts will be created and manuscripts of special importance will be digitized; new pharmaceutical products will be created by use of endemic species and materials, and according to international standards (creation of medications and their preclinical study); educational program – the Masters Course – will be drawn: "Medical Knowledge in the Written Heritage"; an album-catalogue in Georgian and English will be published. The project will be finalized in 2020.
c) The study of the same type is planned to be carried out for research of Georgian, Persian and Arabic manuscripts of chemical-technological and mineralogical-gemmological content. Codicologist, orientalists, mineralogist and chemist will analyze the following manuscripts: "Shatberdi Collection" (10 th c.), unique manuscript "A Book about Mixing Oils and Chemical Experiments" (18 th c.) by Vakhtang VI. Apart from this, the works in alchemy, theoretical and practical chemistry, compositions containing mineralogical knowledge, texts, encyclopaedias, special lexicographic material in Persian and Arabic from the collections of the Center will be studied. It should be underlined that these data are mainly unknown to the scholarship; they have not been published and studied from the point of view of the scientific field and standpoint of history of science.
Interdisciplinary study of scientific manuscripts, defining their scientific value and correspondence to modern standards, publication of the texts in a printed and digital format, introduction of special educational courses into university programs, implementation of the knowledge preserved in manuscripts into practice, its popularization and dissemination will promote the process of perfecting historical overview of various fields of sciences in light of new data, names and materials. Historical and scientific contacts between Georgia and near East, and general tendencies will also be defined.
IA AKHVLEDIANI, IRINA GOGONAIA, MAIA KARANADZE
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
THE REPOUSSÉ METAL COVERS OF OLD GEORGIAN MANUSCRIPTS PRESERVED AT THE NATIONAL CENTRE OF MANUSCRIPTS: RESULTS AND PROSPECTS OF THE STUDY
The repoussé metal covers are of special note among unique manuscripts held at the Korneli Kekelidze Georgian National Center of Manuscripts. Richly adorned covers of 11 th -13 th centuries – the Golden Age in Georgia – are of special note. Repoussé metal covers of Tskarostavi and Berta Gospels were created by Beka and Beshken Opizaris. These unique covers are of special interest both for scholarly studies and for exhibition purposes.
Thanks to financing from the Embassy of United States in Georgia, a project "Diagnostics of the Oldest Georgian Repoussé Heritage (Georgian Manuscripts of the 11 th -13 th centuries) was conducted at the Korneli Kekelidze Georgian National Center of Manuscripts. The goal of the project was to study some sixty metal covers of Georgian manuscripts and to carry out interdisciplinary research. A unified approach to the problem was worked out; 56 metal covers were studied and 919 gemstones identified. It was the first time that the study of repoussé metal covers was based on gemological study. Based on this, scientifically validated data on the identity of the gemstones was introduced into archaeographic description. Fruitful was the analysis of cover metals carried out by means of XRF analyzer.
The presented paper deals mainly with the results obtained during X-ray fluorescence analysis of the covers:
1. Repoussé metal covers of ancient Georgian manuscripts are punched with workmaster's marks dating to 17 th -19 th centuries. Their study, together with the codicological research, made it possible to define exact time of their production, place of production and in certain cases initials of a workmaster, etc. The workmaster's marks comprise significant historical and cultural information and may be the subject of a special study.
2. Taking into consideration cultural heritage value of the objects under the study, a noninvasive method was applied. Chemical composition of the manuscript covers was studied by means of an X-ray fluorescence analyzer, partially quantitatively. 33 covers were selected for the analysis and tested in 60 points. This made it possible not only to define type of a metal, already known from the descriptions of the manuscripts, but also the complete composition of an alloy and content of precious metal in it was established.
The above study assists in defining chronology of the covers, place of their production, the gilding thickness and technological principles of the production. Thanks to the study, restored and original fragments of a cover have been revealed, or estimates have been approved.
The project provides a perspective for the use of interdisciplinary approach and application of noninvasive instrumental methods for studying cultural heritage held in the Georgian National Center of Manuscripts.
NIKOLOZ ALEKSIDZE, BRYAN WARD-PERKINS
University of Oxford (Great Britain)
THE CULT OF SAINTS IN LATE ANTIQUITY PROJECT: DOCUMENTING AND EXPLORING THE DEVELOPMENT OF THE CULT OF SAINTS ACROSS THE CHRISTIAN WORLD
This paper will discuss a major European Research Council project, that has been working in Oxford since January 2014 and is due to conclude in December this year. The project is documenting and analysing the written evidence for the early development of the cult of Christian saints, in all its different forms (inscriptions, graffiti, formal hagiography, mentions of saints and their cult sites in historical texts, incidental references in administrative documents, etc.) from the very beginnings of saintly cult in the fourth century to around AD 700 (by which time most of the practices that we associate with the cult of the saints were firmly in place), and across all the early written languages of Christendom - Armenian, Coptic, Georgian, Greek, Latin and Syriac. At the heart of the project is a searchable database, which, although still in course of construction, is already freely accessible on line: http://csla.history.ox.ac.uk/. Here all the evidence is presented in its original language, as well as in English translation, with brief commentary to set it in context, and, very importantly, tagged so that it can be searched in a wide variety of different ways.
The paper will explain the ambitions and the challenges of the project and some of its most important initial conclusions, focusing above all on how a Christendom-wide examination of cult sheds new light on the practices of particular regions, and also on the success, or failure, of some saints to achieve international standing.
EMILIO BONFIGLIO
University of Vienna (Austria)
FROM BYZANTIUM TO THE CAUCASUS: JOHN CHRYSOSTOM IN GEORGIAN
After the text of the New Testament and that of Gregory of Nazianzus, the corpus of writing which in the medieval manuscripts are attributed to John Chrysostom enjoys the largest manuscript transmission in Greek language. Besides Greek, however, and inasmuch as the New Testament and Gregory of Nazianzus, John Chrysostom too was very early translated into Latin and, virtually, into all languages of the ancient Christian East: Arabic, Armenian, Coptic, Ethiopic, Georgian, and Syriac.
This paper deals with the medieval Georgian translations of John Chrysostom. In particular, it concentrates on three aspects: (i) the state of the art, that is it will provide an overview concerning what is known of the 'Georgian' Chrysostom, which aspects have been studied, what are the recognised boundaries of Chrysostomian corpus in Georgian translations; (ii) the tools, that is it will offer a short insight on which bibliographical material scholars of John Chrysostom may draw on for the study of the Georgian Chrysostomian corpus; and (iii) avenues for future research, that is it will suggest urgent desiderata and address the issue of which topics in particular would deserve further scholarly attention.
The aim of this paper is thus not that of offering fresh research on the topic of the Georgian translations of John Chrysostom, but of equipping scholars with a solid point of departure for future research on the topic.
ALEKHSANDRE BOSHISHVILI, APOLON TABUASHVILI
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
ISSUES OF ECONOMIC HISTORY OF GEORGIA: UNPUBLISHED MATERIALS PRESERVED IN A PRIVATE ARCHIVE OF IVANE JAVAKHISHVILI
Ivane Javakhishvili laid foundation to the scholarly study of economic history of Georgia, as well as to the study of numerous other branches and disciplines of history. In 1907 was published his monograph "Economic History of Georgia" (Tiflis, 1907). Certain questions were raised in the monograph, which later would become objects of the study.
The monograph of the scholar "Georgian Currency Circulation, or Numismatics and Metrology" (Tiflis, 1925) laid the foundation for the study of economic history of Georgia. In 1930 and 1934 Ivane Javakhishvili published first and second volumes of "Economic History of Georgia". Review of historical sources for Georgian economy, terminology and an exhaustive study of agriculture in Georgia are given in the volumes. In 1964, Ivane Javakhishvili Studio published materials for the second volume (Editor N. Berdzenishvili): "Materials for Economic History of Georgia". Next were published sources for economic history of Georgia collected by Ivane Javakhishvili ("Monuments of Economic History of Georgia", book I, Tb., 1967; book II, Tb., 1974). Prior to that, namely in 1946, was published "Materials for History of Material Culture of Georgian Nation" (I, Tb., 1946 – Construction Art in Old Georgia; II, Tb. 1965 – Bedclothes, Furniture and Crockery; III-IV, Tb., 1962 – Garments, Fabric and Handicraft, Armour and Military Skills").
In the preface to vol.1 of his "Economic History of Georgia", Iv. Javakhishvili noted that information about finances, trade and industry, cities, socio-economic status of population and some other similar issues were to be discussed in volumes 3 and 4 of the work. Unfortunately, the author did not publish the announced volumes. They still remain unpublished.
Autograph of the above mentioned studies are held at Korneli Kekelidze Georgian National Center of Manuscripts (Private Archive of Iv. Javakhishvili, №№296-311). The archive contains mainly completed results of the study. The following important issues are discussed in the manuscript:
* Income of the Georgian State in 12 th -18 th centuries,
* Financial entity,
* Prices; monastic, feudal and state economy,
* Forest and water management,
* The city life; population and demographic issues,
* Taxes; money management and subsistence economy,
* Economic links between different regions of Georgia, etc.
Almost all these issues were studied fundamentally. Practically, this part of the archive contains materials of volumes 3 and 4 of the "Economic History of Georgia". It should be noted that several issues were not completed by the author and are given in a form of excerpting from the source. Despite this, scientific value of these materials is high. Of note is also the fact that a big number of issues studied by Iv. Javakhishvili, have not been studied by other authors till now.
General information about the above-mentioned part of Iv. Javakhishvili's private archive will be discussed in the presentation.
ALESSANDRO MARIA BRUNI
Ca' Foscari University of Venice (Italy)
THE OLD GEORGIAN TRANSLATION OF THE BOOK OF PSALMS AND ITS SOURCE-TEXT: SOME ISSUES IN COMPARATIVE TEXTUAL CRITICISM
The paper discusses some textual features of the earliest, Pre-Athonite, Georgian version of the Psalms. This tradition originated no later than the fifth century and survives in two redactions. Recent developments in textual criticism of oldest Georgian Psalter have motivated a reassessment of the relationship with the Armenian tradition and have provided fresh evidence of reliance on Septuagint.
The present report aims at offering a new insight into some textual issues that have been hitherto rather less studied. The focus is on some Western-type readings that are to be found in both redactions of the pre-Athonite Georgian version of the Psalms. The author proposes a new approach to tackle the question of the origin of these textual features that might be relevant to solving the problem of establishing the source-text of this biblical corpus.
The analysis of several passages has revealed a number of textual agreements not only with the Vetus Latina, but also with the Old Church Slavonic translation which dates from the Cyrillo-Methodian period (863–885 C.E.). The latter offers equivalents to some readings of the Georgian Psalter that apparently have no counterpart in Greek. The existing textual affinity between the Georgian and the Old Church Slavonic Psalters can be explained by postulating independent derivations of the shared readings from a common, still unidentified or lost, Greek source. Thanks to a comparative approach to the sources, an additional proof can therefore be offered to support a Greek origin of the Oldest Georgian tradition of Psalms.
ELENA CHEPEL
Russian Academy of Sciences, Institute of World History (Moscow, Russia)
UNPUBLISHED PAPYRUS DOCUMENTS IN THE ARCHIVE OF GRIGOL TSERETELI AT THE GEORGIAN NATIONAL CENTRE OF MANUSCRIPTS
The papyrological collection kept at the Georgian National Centre of Manuscripts, once private collection of Grigol Tsereteli, presents considerable interest to the scholars in the field of Greek papyrology and history of Graeco-Roman Egypt, as well as for the studies of the history of this discipline in Georgia and Russia, of the higher education and scientific life in Tbilisi in the first half of the 20 th century, and for the students of Tsereteli's biography and heritage. It contains papyrus fragments of documents written in ancient Greek and Latin coming from 2 nd -7 th centuries and reflecting economic and social life in Egypt of that period. The Archive of G. Tsereteli contains also valuable documents (letters, draft articles, draft transcripts) which shed light onto the process of his work on this papyrus documents which the scholar intended to prepare for publication but never published because of his tragic death during the Stalin's purges. This presentation will give an overview of the unpublished part of the collection and of Tsereteli's work on it. It will then describe the work done on the collection by other scholars in the 20 th and 21 st century, revealing the lack of attention by the academic community and proceed to an overview of recent research undertaken by Prof. Fritz Mitthof, Dr Sophia Kovarik (in 2006), and Dr Elena Chepel (in 2017-2018), towards the future project of studying these papyrus documents and making them available for the international community, as well as anticipating some possible results of this project for the discipline of papyrology, source studies, and archival studies.
DALI CHITUNASHVILI, KHATUNA GAPRINDASHVILI, TSITSINO GULEDANI, IRMA KHOSITASHVILI, NATIA MIROTADZE
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
GEORGIAN PALIMPSESTS AT THE GEORGIAN NATIONAL CENTRE OF MANUSCRIPTS
The largest collection of palimpsests, containing some 5,000 palimpsest folia, are held in the collection of Georgian manuscripts at the Georgian National Center of Manuscripts (17 palimpsest manuscripts are held in Fund A, 65 – in Fund H, 6 – in Fund S, and 10 manuscripts – in Fund Q. Apart from the above, 23 palimpsests are held in Svaneti; one palimpsests is preserved in the Fund of Fragments (Fr 184) and two palimpsests in the Fund of Historical Documents).
While working on palimpsests, three unknown "khanmeti" palimpsest fragments have been revealed, one of which should be a fragment of one of the oldest "khanmeti" polycephalions.
The study of the manuscripts once again reaffirmed that the bookmen of Middle Ages, when re-employing parchment for re-writing, scrapped the surface and washed the ink of those texts, which did not correspond to new liturgical tradition or literary taste. For this reason, important texts reflecting the liturgy celebrated in Jerusalem can be found in the first palimpsests layers: the Lectionary of Jerusalem and the most ancient Iadgari texts (executed both in Georgian asomtavruli and nuskhuri scripts).
For those interested in Old Georgian Literature, homiletic and hagiographic texts preserved in palimpsests are of special interest. From homiletic texts the following readings have been revealed: "Sermon of St. John, the Archbishop of Constantinople, on the Resurrection of our
Lord Jesus Christ", St. John the Chrysostom,"On Patience and End of the World, and Coming of Our Lord Jesus Christ to Judge the Living and the Dead, about Reading Book and Asceticism", etc. From hagiographical texts of special note are a single palimpsest folio containing fragment of a text from "Life of St. Simeon Stylites", executed in asomtavruli script, and a text of "Barlaam and Iosaph" executed in asomtavruli script as well.
Interesting and diverse is also the paleography of palimpsest texts. It provides additional material for studying development of the Georgian script.
TINATIN CHRONZ
University of Cologne (Germany)
EMPERORS AND WATERS: NEWS FROM THE JERUSALEM EUCHOLOGION PROJECT
Studies on the Jerusalem Euchologion in Old Georgian are going on at the University of Cologne (Germany). The detailed analysis of the liturgical contents of each manuscript under consideration allowed us a lot of suprising discoveries.
The model of one of the Georgian Sinai manuscripts could be identified as a cathedral Euchologion for the city of Jerusalem, another codex with exclusively monastic rites, including a funeral service "according to the order of St. Sabas Monastery" as a monastic Euchologion, probably from Mar Saba in the Judean Desert. The content of the third manuscript suggests that this is an Euchologion made and used in a Georgian community living on Sinai.
The celebration of the Easter Vigil in Jerusalem, known through the Old Georgian Lectionary of Jerusalem, reflecting the liturgical development in the Holy City between the 5th and the end of the 7th century, was enriched by a hitherto unknown new witness. It is found in a 10th- century Euchologion, today preserved in three parts: Birmingham Mingana geo. 1 + Sinait. iber. 66 / O + Sinait. iber. 18 / O II.
For the consecration of the baptismal water Jerusalem and Palestine did not use the otherwise widespread Middle Eastern prayer with the incipit "Megas ei, Kyrie ...", but a different formula, which occurs in later centuries in Byzantium only for the emergency baptism of persons in danger of death.
One of the most surprising finds in the Georgian manuscripts from Islam-dominated Palestine is a Constantinopolitan prayer for the Emperor in the euchology of Water Liturgies.
Our experience confirms Stefano Parenti's desideratum: It is not enough to examine the book type "Euchologion" as such or individual copies of it, but a detailed study is neccessary for each liturgical celebration with all its respective components.
EKA DUGASHVILI
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
UNKNOWN GEORGIAN MANUSCRIPTS FROM MONASTERIES OF MOUNT ATHOS
(St. Panteleimon and Simonopetra)
Collection of Georgian manuscripts held at Iviron Monastery on Mount Athos is important for history of Georgian literature and culture. Georgian manuscripts, apart from Iviron, are held in other monasteries of Mount Athos, mainly in a form of fragments. Among these clisters are St. Panteleimon and Simonopetra monasteries. Several years ago, Georgian National Center of Manuscripts received digital copies of newly discovered Georgian manuscripts.
Our presentation concerns namely these manuscripts and their importance for prospects of study of Athos literary traditions.
Four Georgian manuscripts are held in Simonopetra: Geo. 151, 152, 153 and 154.These are mainly the fragments, two folios and two bound, though damaged codex. The Georgian fragments were inserted into Greek manuscripts. The above manuscripts contain liturgical texts. In our opinion, one of the manuscripts is a fragment of Triodion. It contains sticherons and from the point of view of the redaction, stands close to the text of Triodion by Giorgi Mtatsmindeli. Geo. 152 is a collection of Psalm readings. Due to fragmented character of the text and damages, precise dating of the manuscript is not possible, though typological comparison with psalm text which is preserved better, it is obvious that the manuscript is a redaction of Giorgi Mtatsmindeli's translation of Psalms.
Geo. 153 and 154 are fragments of a Menaion (several hymnographic canons and sticherons for July and December). The manuscripts are fragments of Menaion, Giorgi Mtatsmindeli's redaction, and they complete Menaion texts from Iviron collection (for December). The second fragment containing July hymns is also a Menaion, Giorgi Mtatsmindeli's redaction, though its hymn repertoire is more complete. It also contains the texts which are not found in Menaion texts from Iviron collection, e.g. St. Kvirike and St. Ivlita, St. Peter.
According to our assumption, manuscript from Simonopetra, based on their editorial features, should be dated to 11 th -12 th centuries.
Interesting manuscripts were found in St. Panteleimon Monastery as well. They date to the 18 th -19 th centuries. The manuscripts were found in St. Stephen's skete, where the last Georgian monks lived after they were banished from Iviron. From these manuscripts I would like to highlight Akathistos Hymn in praise of Iviron Theotokos (the Panagia Portaitissa), which was translated from the Russian. This is suggested by Russian phrases and several versions of their translation found on margins of the text. The text analysis suggests that original of the Akathistos Hymn used in modern church practice, is found in the Georgian manuscript held at St. Panteleimon Monastery. We have the prototype of a Georgian translation from the Slavic original.
Thus, Georgian manuscripts from the monasteries on Athos, unknown until recently, enrich history of Georgian manuscript production on Mount Athos, and propose new prospects for the studies.
NATIA DUNDUA
Goethe University of Frankfurt (Germany)
IMPORTANCE OF THE GEORGIAN VERSION OF THE BOOK OF TOBIT FOR TEXTUAL CRITICISM OF THE BIBLE
The Book of Tobit is a book of scripture which has never been recognized by Judaism as a canonical book. Probably this is the reason for textual diversities of the book in different languages, including Georgian.
The Book of Tobit in Greek came down to us in three textual forms. The two of these are complete (G I da G II ). The third one survived just partially (G III (6.9-12.22)). Georgian translation exists also in three versions (OGeo (=OIDF), S, B). Ogeo comprises the oldest text.
The Georgian manuscripts have not been entered into the critical edition of the Greek texts of the Book of Tobit (R. Hanhart 1983: Septuaginta, Tobit, Göttingen, Vandenhoeck & Ruprecht), which includes all significant sources, since they were considered to be secondary translations. The study has shown that old Georgian version was translated from Greek and that it contains the text of the so called G III type. The surviving parts of G III are combination of G I and G II . They include own readings as well. Mixed character of G III can be traced throughout Ogeo. This gives grounds for assumption that there must have existed complete textual form of G III type from which the Georgian translation of the Book of Tobit was made. We will attempt to prove this consideration by reference to specific examples.
TAMAR DVALISHVILI, LEILA GOTSIRIDZE, ASMAT GVAZAVA, SOPIO TSERTSVADZE
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
THE RESULTS OF THE SCIENTIFIC STUDY OF THE CONSERVATION AND RESTORATION OF THE WRITTEN HERITAGE
The poster session concerns the issues of conservation and restoration of the monuments of written cultural heritage; the problems of restoration techniques, technologies and methodology; the results of studies accomplished in the Laboratory of Conservation and Restoration at Korneli Kekelidze Georgian National Center of Manuscripts during the past year.
Namely, the following subjects are discussed in the presentation:
* The evaluation of the state of preservation of the miniatures executed on paper and parchment. The issue is presented by the example of the results of conservation and pigment analysis accomplished on the miniatures of Mokvi Four Gospels (Q-902). The results were compared with peculiarities revealed during the conservation of illuminated Oriental manuscripts. Specificity of the restoration process of the miniatures executed on alternative basis and the final results are also discussed.
* Parchment restoration techniques in medieval Georgia and its development over time. Results of the tactile and visual evaluation of the Georgian and foreign-language manuscripts and the results of the study of restoration methods are presented. The study is based on the results obtained in 2012-2017.
* Conservation and restoration of bullas. The subject concerns the issues of chemical treatment and antiseptization of historical seals and
bullas found on hand written documents and peculiarities of their further treatment according to the norms and standards by the International Committee of Sphragistics and Unesco.
* Importance of restoration and conservation of the leather covers, taking into account specificity of restoration materials and methods. The subject is based on peculiarities of conservation and restoration of primary damages of manuscript and printed book covers in such a way that their original artistic and historical appearance is retained. Difficulties which arise in a process of restoring leather covers in full are discussed. The study is based on the results obtained in 2013-2017.
GAYANE ELIAZYAN
Mesrop Mashtots Institute of Ancient Manuscripts – Matenadaran (Armenia)
RESTORATION OF SEVERELY DAMAGED MONUMENTS OF WRITTEN CULTURE IN MATENADARAN
The centuries-old history of Armenia abounds with tragic events. Manuscripts, which have always been an embodiment of Armenian medieval culture, are the witnesses of all shortcomings experienced by the nation.
Manuscripts of Matenadaran, the largest depository of medieval manuscripts, are being attentively monitored. Despite this, among some 20,000 invaluable sources of literature there is a certain part of ruined manuscripts.
The reason for their sad condition is associated with the fact that these manuscripts already had problems at the time when they were acquired from private collections. This was due to their storage in inadequate conditions.
The presentation will address several examples of conservation and restoration of the ruined manuscripts.
GILLIAN EVISON
University of Oxford (Great Britain)
MANAGING THE BODLEIAN LIBRARIES' GEORGIAN COLLECTION IN THE 21 ST CENTURY
This paper discusses the challenges and opportunities to be found in the management of the Georgian Collection held at the University of Oxford's Bodleian Libraries. The nucleus of the Bodleian Library's rich holdings of Georgian books and manuscripts is the Wardrop Collection, formed by Sir Oliver Wardrop, the first British Chief Commissioner of the Transcaucasus, and his sister Marjory. After Marjory's early death in 1909, the Marjory Wardrop Fund was founded for the encouragement of Georgian studies and from 1910, through this fund, the Bodleian became the beneficiary of all Marjory Wardrop's papers, books and manuscripts. They were supplemented by further donations from Sir Oliver until his death in 1948. As a result, the Bodleian has become a major European repository of Georgian material. In this paper I will cover online cataloguing of the collection, digitisation, conservation research and the promotion of the collection both to scholars and the general public.
I will discuss the challenges of online cataloguing of a collection that contains both medieval manuscripts and 19 th century archives and the dilemma that this poses when choosing an international cataloguing standard. I will share the progress made with transfer of the data from a 1972 printed catalogue to TEI (Text Encoding Initiative) for an online Georgian catalogue and discuss the work that still needs to be done. I will describe the progress made in digitisation of manuscripts and the benefits that using the International Image Interoperability Framework (IIF) standard brings. I will describe tools available for Conservation Re- search and what techniques such as Hyperspectral Imaging and Raman analysis can do to enhance understanding of palimpsests and pigments. I will also discuss the challenges of promoting the Wardrop collection to a British general public only vaguely aware of Georgia.
SHALVA GLOVELI
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
DIGITAL HUMANITIES AND GEORGIAN NATIONAL CENTRE OF MANUSCRIPTS
Digital Humanities is a scholarly field that emerged at the intersection of computing technologies and the disciplines of Humanities. It uses digital tools and computer technologies for carrying out theoretical studies in Humanities. In the present era, Humanities get closely integrated with digital technologies. Korneli Kekelidze Georgian National Center of Manuscripts actively works towards implementation of digital Humanities and digital Kartvelological studies.
Digital Humanities is an interdisciplinary field of studies and implies both theoretical knowledge in Humanities and proficiency in basic and standard research methods of computer science. Scholars working on texts and written sources, and the staff of the digitization laboratory at the Georgian National Center of Manuscripts carry out joint projects in this direction. Structure of the Center also is based on the principle of integrity of fundamental and applied sciences, Humanities and digital fields of studies. Correspondingly, digital technologies are being used in structural units of the Center carrying out both applied and fundamental studies.
Implementation of digital technologies in the Georgian National Center of Manuscripts implies the following:
- Digitalization:
* Creation of the digital copies of the manuscript heritage collections (of codices, documents and archives).
* Effective use of manuscript texts.
* Effective preservation of the originals of the manuscript heritage collections.
- The creation of digital catalogues of the stocks and collections:
* Creation of thematic, chronological and other type digital catalogues of the collections.
* Quick and effective search of the materials.
* Making scholarly studies more time-efficient.
- Digital corpora:
* Creation of the digital copies of manuscripts.
* Identification of text fragments.
The Georgian National Center of Manuscripts not only uses digital technologies, but it is also actively involved in the projects in applied sciences and creates own products based on digital technologies. The Center not only makes digital copies of original materials, but also provides an opportunity of their effective use. From this point of view, of special note are
- Web-pages
- Special database programs and
developed in the National Center of Manuscripts.
LALI JGAMAIA, MIKHEIL KAVTARIA, LILI KHEVSURIANI, LIA KIKNADZE
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
IVIRON OF ATHOS: GEORGIAN CULTURAL AND EDUCATIONAL CENTER (Collection of Georgian Manuscripts in Iviron)
Georgian cultural and educational center of Iviron on Mount Athos left significant mark on Georgian literature and culture of Middle Ages, as well as on the development of Georgian scholarly and social thought. Iviron was a new creative center where, on the one hand, the literary traditions created and shaped in Tao-Klarjeti were implemented and, on the other hand, a new trend of Georgian literature development was born. Thanks to high quality translations by Georgian Athonites – Ioane, Eptvime and Giorgi Mtatsmindelies – a big number of bibliological, exegetical, hagiographical, homiletic, metaphrastic, ascetic, liturgical and hymnographic collections survive.
Information about the collection of Georgian manuscripts held in the Monastery of Iviron, which comprises 86 codices to this day, is available to Georgian and foreign scholars, working on the issues of kartvelology and byzantology, thanks to the catalogues compiled by Al. Tsagareli in 1883-1886 and Robert Blake in 1932-1933.
Researchers of the Korneli Kekelidze Georgian National Center of Manuscripts (the former Institute of Manuscripts) have catalogued Georgian Manuscripts on Mount Athos anew. There were the following reasons for this:
1. Identification of Greek originals of the Georgian translations;
2. Establishing to which redactions compositions belong;
3. Establishing detailed picture of the content of manuscripts.
4. Publishing complete texts of colophons;
5. Compiling Indices;
6. Enriching the description volumes with new Georgian and foreign-language bibliography.
The following new findings were made during accomplishment of the above work:
* Existence of those texts in Georgian translation, Greek originals of which are lost, was confirmed. Therefore, Georgian translations have the power of the originals and can be used as trustful material for studying Byzantine church literature;
* Autograph manuscripts of Georgian church figures (Eptvime and Giorgi Athonites, priest-monk Teopile, Arsen – the former Parsman) were reveled in the Iviron collection;
* Issues concerning the copyists of Giorgi the Athonite's "Minaion" and problems of the Georgian manuscripts "Ladder of Divine Ascent" and "Barlaam and Ioasaph", translated by Eptvime the Athonite, were highlighted in a new light.
IZOLDA JIKIDZE, REVAZ KLDIASHVILI, SHORENA TAVADZE
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
MORPHOLOGICAL AND ULTIMATE ANALYSIS OF THE INK
The modern conservation and restoration is an interdisciplinary field. It must be taken into consideration during the processes of standard-setting of cultural heritage protection. Since 1920s, specialists in Natural Sciences of developed countries have been working jointly with the restorers. Restoration turned into laboratory-experimental task. Significant studies have been carried out with involvement of restorers, art specialists, chemists, biologists and physicists. Majority of large museums use modern research methods for protection of cultural heritage. The collections take into consideration grading of writing materials according to general characteristic. Therefore, defining type of ink in codicological studies of the manuscripts is one of the topical issues.
Ink spectral analysis of the 17 th century manuscript damaged by ink corrosion has been carried out with the purpose of establishing ink structure. The task was to define constituent chemical elements of black and red ink (sinopia) powders. Samples treated with solution of magnesium oxide were also studied. Morphological and ultimate analysis was carried out by means of scanning electron microscope equipped with energy-dispersive micro X-ray spectrum analyzer. The method works in the following way: a beam of X-rays is focused into the sample being studied. The incident beam excites an electron. Energy is released in the form of an X-ray, which is measured by spectrometer. As the energies of the X-rays are characteristic of the difference in energy between the two shells and of the atomic structure of the emitting element, energy dispersive spectroscopy allows the chemical composition of the specimen to be measured: each chemical element contained in the ink is characterized by individual energy of the radiation. For visual study a microscope was used. The spectral diagram has shown that the samples treated with solution of magnesium oxide contained residual magnesium. Existence of fluorine was also noted. When treated with the solution of magnesium oxide, the sample disintegrated. This can be seen in microscope photos. The x-ray diffraction spectrum shows the broad diffuse peaks. This makes strict identification of chemical elements difficult. In case of sharp peaks, substances existing in the sample can be easily identified. The further study of the manuscript damaged by ink corrosion is important, since this type of study of existing samples has not yet been conducted.
Thus, technical and technological study and precise instrumental analysis of writing materials is a prerequisite for proper conservation and restoration.
TEMO JOJUA
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
GEORGIAN EPIGRAPHICAL MONUMENTS OF TAO-KLARJETI: INSCRIPTION OF MERENESI CHURCH, DATED TO 954
On 11 July 2017, members of the Center for Research of Georgia's Culture and Tourism Resources (Head – Temur Khutsishvili) – Levan Tsikarishvili, Ana Imedashvili, Shalva Koguashvili and Bebur Gozalishvili – were on expedition to the village of Merenesi in historical Province of Tao (Turkey, Erzurum ili, Şenkaya ilçesi, Yukari Bakraçli), where they found an unknown Georgian asomtavruli inscription.
The eight-line inscription is executed on a rectangular stone slab (58x45 cm). The slab belonged to the stonework of the now entirely ruined church façade. At present, the site of the church hosts plots of agricultural land.
In the beginning of July 2017, construction of the water supply system started at the site of the ruined church, during which the inscribed slab was unearthed. Later on, it was moved to the house of the local villager. Inscribed side of the slab was slightly damaged during transportation. At present, the slab is still in the possession of a private person.
After reconstructing damaged fragments of the inscription and deciphering the abbreviations, text of the inscription of Merenisi church can be read as follows:
"Ashot Courapalates died in Chronicon [r]¡id (174+780=954), in the month of January, on the 25 th day. Let God glorify their (pluralis maiestatis) soul.
This Holy church was built with hands of Michael, Ghuerkeli and Thomas (here follow two (?) names which cannot be read so far), Amen (?)."
Based on its content, text of the Merenesi Church can be subdivided into two parts. The first part of the inscription states that on 25 January, 954, died "Ashot Courapalates", i.e. one of the kings of the Georgian Kingdom of Tao-Klarjeti – Courapalates Ahot II, representative of the Tao branch of the Bagrationies, the ktetor depicted on the widely known bas-relief of Opiza Monastery.
The second part of the inscription narrates that in 954, shortly after the death of Ashot II, "the Holy church", i.e. the church to which the inscription belonged, was constructed. Five (?) masters worked on the construction of the church: Michael, Ghuerkeli, Thomas and two (?) more individuals, whose names cannot be read so far.
Discovery of the inscription of Merenesi Church, dated to 954, is an important find of scholarly significance. Its text provides very interesting accounts about history and chronology of the Georgian kingdom of Tao-Klarjeti, as well as the data for the study of the Georgian paleography and church architecture of Tao-Klarjeti.
TEA KARTVELISHVILI
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
TAMAR KORIDZE
University of Georgia (Tbilisi, Georgia)
CATHOLICOI OF KARTLI (EAST GEORGIA) AND APKHAZETI (WEST GEORGIA) AND THEIR TITLES IN THE 15 TH -18 TH CENTURIES
In the second half of the 15 th century, after dissemination of the Kartli Kingdom, Georgian church was split into Catholicosates of Kartli and Apkhazeti on the initiative of political hierarchs of West Georgia. This did not become the reason for open confrontation between Catholicoi of Kartli and Apkhazeti. Though, latent ideological antagonism between them can be observed when analyzing titles of Catholicoi-Patriarchs.
Secession of the Catholicosate of Apkhazeti from Georgian Church did not entail any significant changes in the title of Catholocoi of Kartli. What concerns titles of the Catholicoi of Apkhazeti, taking into consideration that we have very little information about the issue till the 15 th century, it is difficult to say what it was like till splitting. One thing is certain: changes to titles of Catholicoi of Apkhazeti were introduced after the splitting with the purpose of equating Catholicos of Apkhazeti with Catholicos of Kartli and for canonical justification of the former's autonomy.
The mentioning of Christ's tunic and of the Svetitskhoveli Church built over it was underlined in the title of the Catholicos-Patriarch of Kartli. This was implied in the epithet of Svetitskhoveli: "cedar of the
North". Cultural and faith tradition of Jerusalem was the basis for considering Mtskheta, as well as Kartli in general, as the "North". After splitting of the Catholicosates of Kartli and Apkhazeti, equating of the latter with Mtskheta as the "New Jerusalem" was important. Therefore the authors of the "Faith Commandments" announced Iovakime, newly consecrated Catholicos of Apkhazeti, "the right hand of Jerusalem". In these circumstances, Catholicoi of Kartli deemed it appropriate to focus on Jerusalem. As a result, starting from the beginning of the 16 th century, old symbolic names of the Mtskheta church were revived.
In the title of the Catholicos of Apkhazeti it was underlined that he was locum tenens of Andrew the First Called. This was aimed not only at his equating with the Catholicos of Kartli, but also at giving him priority compared to the latter. This approach created canonical basis for dependence of the Church established by St. Nino on the Church of Apkhazeti.
In Late Middle Ages, titles of the Catholicoi of Kartli and Apkhazeti contained ready formulas, content of which did not correspond to reality. As a result unmerited titles were frequent, though introducing corrections in the title of Catholicos-Patriarch, or the use of the old formulation in certain cases was conditioned by political situation. After the fall of Constantinople, till Russia gained her power, Catholicoi of Apkhazeti called themselves even the World Patriarch.
During the Ottoman domination, title of Domenti IV, the Catholicos of Kartli, still contained mention of a geographical unit of Samtskhe-Saatabago seized by the Ottomans (See negotiations with the Patriarch of Constantinople). Revival of the formula "the Consecrator of All Georgia and of the East", used in the title of Catholicoi of Kartli succeeding thereon, should be considered continuation of the policy oriented on the Patriarch of Constantinople. Strengthening of Constantinopolitan "centrism" can be considered a historical basis for this formula.
ALEKSEI KASHCHEEV
The Russian State Library (Moscow, Russia)
WORK TRENDS ON STOCKS PRESERVATION OF THE RUSSIAN STATE LIBRARY
The Section for Preventive Conservation is a laboratory established by Library to experiment the practical techniques and solutions for preservation of library collection.
Experts of the Section for Preventive Conservation work in the field of funds preservation. Such as:
* supervision of microclimate characteristics and hygiene conditions of storehouses
* control of the light in book-depositories
* exhibiting control of RSL documents
* analysis of air in book-depositories
* inspection of funds
* microbiological inspection of documents
* inspection of premises
* choose of processing technique for documents and premises
* damage situations.
Temperature of the collection storages are kept at 16°C to 20°C, while the relative humidity constantly at about 55%, through separate air-conditioning systems. Temperature and moisture recorders are installed in storehouses.
The main part of work is devoted to the preventive maintenance of biodeteriorations of materials – system of biological supervision (pest control). Which includes – microbiological, entomological, rodentological supervisions.
The modern devices and materials are used in work. By the technique of drying of documents developed by us apply climatic chamber VC 4200 VOTSCH Industrietechnik GmbH (Germany). At the mechanical cleaning of documents, as the most sparing, the universal cleaning system "HYLA" International GmbH & Co. KG (Germany) is used. Measurements of average concentration of dust, SO 2 , CO 2 , NO, C, Cl 2 in air of all storehouses of library are spent by gas analyzer GANK-4.
At short term exhibitions make demands to exhibit the given objects in those conditions in which them store. Therefore to climate regulation in individual exhibition cases in premises with an uncontrolled climate the buffer materials are used. We tested materials "Pro-sorb", "Art-sorb" in showroom, which is more preferable in the range of relative humidity of 40-60%.
The Section also carries out a thorough examination to evaluate the state-of-being of the library holdings, gathering data in terms of the type, quantity, grade, location, storage space, raw materials and the collection degradation to detect problems and therefore to make priorities for remedies.
HUBERT KAUFHOLD
University of Munich (Germany)
A PIONEER OF GEORGIAN STUDIES IN GERMANY. THE CORRESPONDENCE BETWEEN IGNAZ RUCKER AND KORNELI KEKELIDZE
The German Catholic pastor Ignaz Rucker (1879-1957) studied christological issues and had come across Georgian literature. Georgian he had learned by self-study. Since 1914 he worked for over forty years as a pastor of the small village Oxenbronn in Swabia. On September 19, 1921, he wrote a Latin letter to Korneli Kekelidze in Tbilisi, whose work „Old Georgian Archieraticon" (1912) he knew, and asked for information. He received no answer. With a letter of January 6, 1926, he turned again to Kekelidze, this time in Greek. He wanted to acquire three books: the Old Georgian Archieraticon, the Jerusalem Canonarion (1913) and the Georgian New Testament printed 1879 in Tbilisi. On March 3, 1926, he received from Kekelidze a package with the New Testament and the Canonarion. The next day a letter from Kekelidze dated February 20, 1926 arrived written in German (!) language, which has been preserved. From now on, the correspondence took place in German. Unfortunately, only two letters of Kekelidze have been preserved. The 17 writings of Rucker to Kekelidze, on the other hand, are completely preserved in the Manuscript Centre in Tbilisi. From this it can be seen that Kekelidze wrote to Rucker at least seven times. He also sent more books to him. The letters deal with information from Georgian manuscripts on Christology. Rucker published four books. In his „Ephesinische Konzilsakten in armenisch-georgischer Überlieferung" (Munich 1930) he used the information which he had got from Kekelidze and thanked for it. It is remarkable with what patience and helpfulness Kekelidze answered the apparently sometimes very extensive inquiries of Rucker. The correspondence ends in 1930. Rucker does not seem to have continued his scientific work in this field.
NINO KAVTARIA, KETEVAN TATISHVILI
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
THE NEW DIRECTIONS AND METHODS FOR THE STUDY OF MINIATURES FROM ILLUMINATED MANUSCRIPTS
Georgian manuscript heritage is an indivisible part of Christian art. Miniatures which are included in the 9 th -18 th centuries manuscripts are notable for wide diversity of themes and iconographic features. Starting from the end of the 20 th century, of special importance were new directions and methods of studies, including databases compiled by use of digital technologies, for introduction of Georgian cultural heritage into International scholarly circulation.
An issue of content problems associated with text and visual materials, colophons, other features of manuscripts, scenes, figures or individual themes, their symbolic significance and iconographic rules, strict application of which resulted in variation of the same scene from century to century, systematically emerged during the studies.
Iconography reflected medieval world perception, philosophic and moral criteria of art. Understanding essence of art pieces in different epochs is impossible without iconography. The knowledge of iconography and of its literary foundation has not only cultural or historical significance, but practical importance as well.
VLADIMER KEKELIA
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
FROM HISTORY OF ACQUISITION OF THE COLLECTION OF GEORGIAN MANUSCRIPTS AT THE KORNELI KEKELIDZE GEORGIAN NATIONAL CENTRE OF MANUSCRIPTS
Each archive has its history that generates the interest. Apart from the scholarly interest, the study of the issue is of paramount interest for administration of collections in each individual institution. Issues of creation and enhancement of the collections and sub-collections are essential for the study.
This time, we will draw your attention to the case of acquiring collections in the beginning of 1920s.
In 1923, according to the resolution of the Council of People's Commissars of Soviet Union issued on 29 August 1922, pieces of art and manuscripts, taken out from Georgia at different times and held at Russian archives, were returned to Georgia. Among them was a largest collection of manuscripts from the Russian (St. Petersburg) Public Library (known as the Imperial Public Library till 1917, and as the National Library of Russia – at present).
Georgian manuscripts held at the Public Library of Russia existed in five collections. Georgian scholars visited St. Petersburg to select the manuscripts that were to be transferred to Georgia. Jointly with the local colleagues of theirs they accomplished difficult and labour-intensive task. The above processes are described in private funds of public men (namely, in private archives of Ivane Javakhishvili and Sergi Gorgadze), held at Korneli Kekelidze Georgian National center of Manuscripts.
According to the above documents, Georgia received the following manuscripts selected from different collections: eleven manuscripts from Dorn Collection returned to Georgia. Three ones are still remaining there. Georgia received twelve manuscripts from "Georgian New Series". Twelve more manuscripts still remain there. Georgia received 179 manuscripts from the Collection of Ioane Bagrationi. 189 ones are still remaining there. Eight manuscripts from Gren Collection (1; 2; 3; 6; 11; 12; 13; 14) were transferred to Georgia. Nine more ones (4; 5; 7; 8; 9; 10; 15; 16; 17) are still kept in Russia. Georgia received ten manuscripts from the Collection of Sabinin. Sixteen more ones are still there.
Apart from the above-mentioned, in different years, a dozen of manuscripts held in Russia have enriched the local collection of Georgian manuscripts.
LELA KHACHIDZE
Ivane Javakhishvili Tbilisi State University (Georgia)
OLD GEORGIAN TRANSLATIONS OF ROMANOS THE MELODIST'S HYMNS
Georgian translations of Romanos the Melodist's hymns have not yet been studied. This paper concerns hymns signed by Romanos, as well as unsigned ones, written in a poetical form introduced by Romanos (kontakion). The kontakion was introduced in Georgian hymnography probably in the 7 th century. Unsigned kontakion found in one of the most ancient liturgical-hymnographic collections "Lectionary of Jerusalem" is adapted to archaic liturgical rule and was performed during the Holy Week. Hymns of the same type are found in the "new type Tropologion (Iadgari)" and "Triodion" (Ekvtime Mtatsmindeli's redaction).
As it turned out, introduction of a cycle of Romanos the Melodist's hymns into Georgian hymnography was linked with the name of Giorgi Mtatsmindeli. Some ten kontakia written by Romanos the Melodist are found in the autograph of "Triodion" by Giorgi Mtatsmindeli (Georgica 5). Georgian translation of these hymns should belong to Giorgi Mtatsmindeli proper.
The published versions of the Triodion in Greek and Slavic languages contain the fragments of Romanos' hymns, though unsigned, preserved in their entirety in Georgian translation. This should be explained by the fact that the existing publications of the Triodion in Greek and Slavic languages are based on comparatively late traditions.
DAREJAN KLDIASHVILI
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
THE GEORGIAN MONASTERY SYNODAL RECORDS (Results of the Study)
The study of colophons in Georgian manuscripts is a separate scientific-research area at Korneli Kekelidze Georgian National Center of Manuscripts. In this connection, the study and publication of surviving synodal records has been going under way for several decades. Synodal records containing remembrence of deceased and dates of commemoration services are available both from Georgian monasteries in the country and abroad. The interest of kartvelologists (M. Brosset, N. Marr, El Metreveli and Kr. Sharashidze) and of international scholarship is specifically focused on synodal records from the Cross Monastery in Jerusalem and Iveron Monastery on Mount Athos.
Starting from early Middle Ages, several varieties of synodal records have been used in liturgy of Georgian monasteries abroad. They came down to us in a form of inscriptions on the walls of churches, charters of donations for commemoration services, remembrance lists, seperate synodal records – agape and remembrance books (agape book of the Georgian monastery on Mount Athos, synodal records from the Georgian church in St. Catherine Monastery in Sinai and Trinity Church of Gergeti), as well as colophons of commemorative content found in Gospels and synaxaria, etc.
Mainly Big Synaxarion translated into Georgian by Giorgi Mtatsmindeli and Gospel readings (from liturgical manuscripts) were used for writing entries of agape-commemoration and donation content. This
practice simplified the process of honoring and blessings of the inscribed individuals (both dead or alive) during the Service, as well as helped in execution of obligations envisaged by agape.
Numerous agape-commemorations written on the margins of liturgical manuscripts make up the so called synodal records. As the study has shown, the use of synaxarion and Gospel for writing agape-commemorations spread starting from the last quarter of the XI century, when the liturghical experience of Cross monastery in Jeruselam and Iveron Monastery on Mount Athos was implemented in the former.
The long-term project "Georgian Monastery Synodal Records" of the Georgian National Center of Manuscripts was focused on the study of synodal records. The project envisaged publication of synodal records found in the manuscripts of the Georgian church in Sinai Monastery and in monasteries of South Georgia, and their study with methods of codicology and history.
In the first book (published in 2008), which includes the synodal records of Sinai Mount, there is a general overview of Georgian synodal records, as well as codicological and source study analysis of a collection of synodal records compiled in the beginning of the XV century in the Georgian church of St. George built by Davit the Builder (1089-1125) in St. Catherine's Monastery. The chronicle has preserved valuable information about Georgian kings, queens, catholicoi, bishops, Georgian monks who carried out their activities on Mount Sinai and in Jerusalem, in Jvarismama and Golgotha, about pilgrims visiting the Holy Land and Sinai, constructors and donors, starting from the IV century and till the first half of the XVI century (inclusive).
The second book of the same project, which is ready to be published, is dedicated to agape-commemorations of the XI-XVI centuries included in the manuscripts from Samtskhe and Tao-Klarjeti monasteries, historical provinces in South Georgia (Tiseli, Midznadzori, Tskarostavi, Berta, Sveti, Parekhhi, Ishkhani and Bana). These make up the synodal records which cover many centuries. More than nine hundred agape-commemo- ration texts, with mentioning of more than 3,000 individuals, residents of Tao-Klarjeti, have been read out from the studied manuscripts, including three Synaxaria (Nat.Cent.Man.: A-97, A-193, Par. Géorg. 4), seven Four Gospels (Nat.Cent.Man.: A-28, A-488; Matenadaran, Ms. Foreign, 161; Harvard, Houghton MS. Georg. 1; Ms.Georg. 988; ГИМ, Щук. 760; Nat. Cent.Man.: K-375) and one collection of works by St. Gregory the Theologian (Nat.Cent.Man.: A -1).
Synodal records compiled in the monasteries of South Georgia – synodal records proper, agape books or lists of individuals to be commemorated – in many cases are the only primary sources about monasticism in historical provinces of Tao-Klarjeti, about history of churches and parish in the province. They are important for studying political and economic history and onomasticon of the indigenous population, genealogies of families in the province and data on individual personalities. They are important statistical-demographic source for studying the ethnic composition, confessional situation and migration processes in the historic provinces of South Georgia. Its importance as of a contemporary historical source is enhanced by possibility of reconstructing confessional, ethnic and demographic environment that existed before and after establishment of the Ottoman domination in the southern provinces of Georgia. On the other hand, the study of the manuscript containing synodal records by means of codicological and historical methods, in a number of cases, allowed us to identify the history of the manuscripts produced in scriptoriums of Tao-Klarjeti or held in local monasteries: their origin, date and place of preservation, as well as cultural and political environment in which these manuscripts were produced.
EKVTIME KOTCHLAMAZASHVILI
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
EPHREM MTSIRE'S NOTE ABOUT INTERRELATION OF ST. BASIL OF CAESAREA AND ST. EPHREM THE SYRIAN'S HOMILIES TO FORTY MARTYRS OF SEBASTE
Ephrem Mtisre was the prominent Georgian scholar-theologist, philosopher and translator, linguist and historian of literature in the second half of the 12 h century, the first translator who introduced hellenophilic translation method in old Georgian literature. His translation activity was coupled with scholarly studies in Byzantine literature, the study of Byzantine-Georgian literary relations, theory of translation, grammar, textual criticism and lexicology. Numerous colophons supplied by Ephrem Mtsire to the compositions translated by him, contain interesting, in certain cases even unique information concerning the issues associated with these written monuments and their translation.
One of such colophons, found on the margin of a text of the homily by St. Ephrem the Syrian, written for eulogization of the Forty Martyrs of Sebaste and translated by Ephrem Mtsire (manuscripts Jer. 23, Kut. 8 and A-613), has not been the subject of study until recently.
Ephrem Mtsire was well aware of the fact that the homily on Forty Martyrs of Sebaste written by Ephrem the Syrian was inspired by discussion of the issue with Basil of Caesarea during their meeting in Caesarea (Ephrem the Syrian narrates this story in "Eulogization of Basil the Great" translated by Ephrem Mtsire into Georgian). Therefore, the Georgian translator attributed one of the phrases cited by Ephrem the Syrian in "Eulogization of the Forty Martyrs of Sebaste" to St. Basil, considering the text by Ephrem the Syrian as a commentary to St. Basil’s text.
Ephrem Mtsire shaped his observation in a colophon added beside the title in the following way: "It should be noted that the author (St. Ephrem the Syrian) comments on homily of Basil the Great written for eulogization of the Forty Martyrs of Sebaste in the same way as he had commented on the Gospel or Paul's Epistles".
The study of the text has shown that composition by Basil the Great lacks the phrase, comment to which was supposedly written by Ephrem the Syrian. Other fragments of the text by Ephrem the Syrian cannot be considered comments to Basil the Grate's composition either. Literary observations of Ephrem Mtsire were always sharp, though the same cannot be said about the colophon under consideration.
What was the reason for the Georgian translator's mistake? It can be explained based on comparison of the Greek original with Georgian translation: Ephrem Mtsire used for his translation the text which lacked beginning, therefore origination of the phrase under consideration was dubious to him.
MIROSLAW P. KRUK
University of Gdansk (Poland)
GEORGIAN MANUSCRIPTS IN THE CZARTORYSKI LIBRARY IN KRAKOW
Georgian manuscripts in The Czartoryski Library in Krakow aroused interest for a very long time. It is known that they were purchased in the number of 11 volumes at the auction in Paris by Prince Czartoryski in the 1860s. Unfortunately, to this day, it is not known to whom they belonged earlier, despite the legend, that their owner was unidentified Georgian Prince. Already at the end of the nineteenth century Włodzimierz Spasowicz (Vladimir Spasovich, 1829-1906), a Polish-Russian lawyer and a literary historian informed about them Anton Antonovič Cagareli who conducted their first examination in 1891 during his trip to Italy. We owe however their recognition, dating and description to prof. George Peradze. The researcher recognized among them in 1932 various types of liturgical books created from the 12 th to the 18 th century. The manuscripts have been recently digitized and made available in the full version on the Czartoryski's Library website. Unfortunately, they are preserved in poor condition and require urgent conservation intervention, hence the last initiatives include the project of the Georgian embassy in Poland to carry out their full conservation. As an extraordinary monument of Georgian culture, transferred in the unexplained circumstances outside the country, liturgical manuscripts should be reminded and they deserve special attention.
GIORGI MATCHARASHVILI
Giorgi Tsereteli Institute of Oriental Studies, Ilia State University (Georgia)
TRACES OF GEORGIAN NATIONAL IDENTITY IN HAGIOGRAPHICAL AND HYMNOGRAPHICAL TEXTS
As it turned out, translation of the Vulgate (the Bible in Latin) was the crucial factor in Christian West for development of national statehood (A. Hastings). The same seems to be true in case of Georgia.
Since ancient times, Georgia has been a part of European Christian civilization. Georgian translation of the Bible dates back to the 5 th century. Development of religious literature and numerous translations promoted standardization of the norms of Georgian language and made a language marker of the Georgian unity more firm.
By the case of Israel, the Holy Scripture gives example how all other nations are supposed to behave. Biblical teaching of chosen nation was transformed into national ideology in the West. It acquired political content. As early as in the 11 th century, the term "nation" was used in England in its modern sense (E. Smith). The same can be observed in Georgian church literature, especially in hagiography and hymnography. Georgia was represented in the same way as Israel in Old Testament books.
For instance, David the Builder (11 th -12 th cc.) wrote the following: "I disgraced my "nation" in the same way as Israel was disgraced by her kings". Catholicos Arsen Bulmaisimisdze (13 th c.) noted the following: "Rejoice today, rejoice, kingdom of the Georgians, "nation" of the believers, because Christ made you not the least among others, and gave you own splendid icon upon which He had imprinted image of
His face". Biblical understanding of the nation is also found in "Martyrdom of Evstati of Mtskheta" (6 th c.) and the "Life of Ioane of Zedazeni" (10 th c.). Ioane Sabanisdze wrote in his "Martyrdom of Abo" (8 th c.) the following: "We got mixed with the "nation" of aliens".
Presented materials corroborate the fact of similarity of national ideals in the Middle Ages' West Europe and Georgia. Therefore, we don't agree with some contemporary scholars who consider that the process of shaping the Georgian nation as an entity started much later then in West Europe (These scholars assume as if the process started in Georgia in the second half of the 19 th century).
ELENE MATCHAVARIANI
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
ARTISTIC FEATURES OF THREE WRITING SYSTEMS OF THE GEORGIAN ALPHABET IN THE GEORGIAN MANUSCRIPTS
Three writing systems of the Georgian alphabet – asomtavruli, nuskhuri and mkhedruli – were used for copying Georgian manuscripts. It should be noted that the texts written in nuskhuri script primarily survive through manuscripts.
Each variety of the alphabet struck root in the past. A new variety of the writing system was a modification – a graphic variant of already existing one. Despite this linkage, each variety of the Georgian alphabet is characterized by individual artistic features, different from two others.
Asomtavruli script uses vertical and round letter shapes. Each letter fits a square. Letters of equal height are conceived as ornamental lines in the text. Proportionally structured graphical system and equal spaces between the graphemes creates a monumental writing style. Such graphemes can be easily read from a distance. Therefore, asomtavruli was used for execution of lapidary inscriptions on church facades, and for writing explanatory inscriptions on frescoes and mosaics, on stone and metal.
Asomtavruli letters written in cinnabar ink or shaped as illuminated capitals were used at the beginnings of paragraphs and for titles as reference points for the reader in the texts written in nuskhuri or mkhedruli scripts. Sometimes the historiated initials were used as well.
Sequence of thin horizontal lines with vertical imprint in graphical initials, executed in gold colour contrasting against the brown background of the text, creates a beautiful artistic effect.
The nuskhuri script developed from the asomtavruli alphabet, as a graphic variant of the latter, to enable faster writing of manuscripts.
Main artistic feature of the nuskhuri letters is their angular shape and slanting to the right. Transition from the round shapes of asomtavruli to arc-like shapes and angularity of the nuskhuri letters creates a decorative effect. Variety of the letters is due to the four-line system of lettering used by nuskhuri. Frequently, closely written nuskhuri letters make it difficult to read the text.
With introduction of the mkhedruli script, the former graphical appearance of the letters entirely changed. Mkhedruli script was a more simplified version of writing. Thanks to certain graphical regularities, the letters with simple and continuous contour were created.
Like asomtavruli script, mkhedruli alphabet uses vertical and round letter shapes, though the four-line system of lettering is combined with contour continuity.
Georgian manuscripts were copied in high calligraphic form with the use of these three writing systems of the Georgian alphabet. They were produced by skilled calligraphers.
A feature of mkhedruli letters to be written joined together in a flowing manner, gives the texts of manuscripts and of medieval documents an artistic dimension.
HIROTAKE MAEDA
Tokyo University (Japan)
STUDIES ON THE GEORGIAN-SAFAVID RELATIONS ON THE BASIS OF FAZLI'S INFORMATION: HOW GIORGI SAAKADZE DEFECTED TO THE SAFAVID COURT?
As I elsewhere argued and already contributed, the discovery of the third volume of Fazli Khuzani al-Isfahani's chronicle in the last decade of 20th century in Cambridge significantly increased a potential for development of studies on Georgian history. This source has a previledge to shed clear light on the histoical events, providing us much new information on personal and social groupings. Author of this paper already made several presentations on Georgian histoical figures such as King Luarsab, Queen Ketevan and Giorgi Saakadze by exploiting the information from above-mentioned Persian chronicle. The author currently plans to publish the important part of information by degrees. In this presentation I follow Fazli's account on Saakadze's defection to the Safavid court in detail. As is known, Iskandar Munshi gave no description on Saakadze's earlier activity and when Saakadze led the revolt in Martqopi then started to describe him. As a vizier of Peykar Khan, Fazli closely watched the wholesome event. It should be noted his description was made from Safavid perspective and it clearly shows the Iranian way of understanding and perception of the Georgian-Safavid events but the detailed description is his original and contemporary to Saakadze's time that is solely unique (as I mentioned no comparison to any other Persian nor foreign sources) and we put great value on it. At this stage much attention would be paid to trace and recount Fazli's description on Saakadze's departure from the court of Luarsab. At the presentation the beginning of the tale on Saakadze would be focused on.
University of Ioannina (Greece)
CALMING OF THE STORM IN THE MOKVI GOSPEL AND PERSONIFICATIONS OF WINDS IN BYZANTINE ART
The publication of the Mokvi Gospel (Georgian National Centre of Manuscripts, cod. Q-902) revealed a manuscript of notable importance, whose miniatures are among the finest examples of Palaeologan art in Georgia. Fol. 31v of the codex is decorated with a composition in which the Calming of the Storm, as is mentioned in the text according to Matthew (8, 23-27), is depicted. An interesting iconographical element of this representation is the personification of the wind, who is depicted as a young male figure blowing a bugle. Based on this detail, in this paper personifications of winds in Byzantine art will be examined.
Personified winds are known already from ancient Greek and Roman art, as well as from that of late antiquity. Regarding the latter, during which they are encountered mainly in mosaic pavements, they were adopted in early Christian and Byzantine iconography, in which they were used in the decoration of sarcophagi, illuminated manuscripts and to a lesser extent in monumental art.
In the pictorial rendering of these personifications it is possible to note the use of several iconographical types and variations, the differences of which are evident chiefly in the corporeal and physiognomic aspects of the figures, in their raiment, gestures and the items which they bear. These variations can oftentimes be explained within the greater iconographical framework in which personifications of winds were included, while a rarer occurrence is the faithful repetition of types already established in antiquity, without elements revealing the ideological shift of the figures into the context of byzantine art.
HAYRAPET MARGARYAN
Yerevan State University (Armenia)
KINGS OF ALASTAN ACCORDING TO ARMENIAN AND GEORGIAN PRIMARY SOURCES
Among the so-called "provincial kings" the kings of Alastan (the name was received in honor of their initial possession – the village of Alastan, near Akhalkalaki) had their unique position. Issues related to the location of their other possessions, genealogy and period of governance need additional research.
The information about these Georgian rulers was preserved also in the 14-th century Armenian primary sources. However, due to the lack of more detailed Georgian evidences, interpretation of the information provided by the Armenian authors have serious difficulties.
One of the Armenian primary sources, which already a century ago attracted S. Kakabadze's attention, is an undated lapidary inscription in the monastery of Hovhannavank in Aragatsotn province of Armenia. In the inscription are mentioned dedopal (queen) Tamar and her relatives: the "great Melquisedec" and Giorgi "who has royal origin". The most probable period when the inscription of the Hovhannavank monastery was written are 1360-s. The fact that Tamar was dedopal (queen) should be explained by her marriage with the king of Alastan Melquisedec. Giorgi mentioned in the inscription should be identified with Giorgi who according to Georgian "Parisian chronicle", was the king of Alastan. The later was killed at 1373.
In the third quarter of the 14 th century the kings of Alastan were ruling not only in Internal (Shida) Qartli but had also a certain influence in capital Tbilisi. That is why the author of colophon of the Armenian manuscript written in 1361 in Tbilisi does not mention the King of Eastern Georgia Bagrat V (1360-1393), but considers the "provincial king" Melquisedec as the "king of Georgia".
PARMEN MARGVELASHVILI
Academician G. V. Tsereteli Committee for the Academic Edition of "The Knight in the Panther's Skin" and the Thesaurus of the Georgian Language, Georgian National Academy of Sciences
VERSIONS OF MANUSCRIPTS OF "THE MAN IN THE PANTHER'S SKIN" AND THE TSERETELI LIST
We have factual information to prove the earlier existence of a short edition of The Man in the Panther's Skin in the so-called Tsereteli list S-5006, which was considered to be a 17th century list.
From the second half of 20th century, a point of view formed in Rustvelology that this manuscript cannot be taken into consideration, because "it itself is commissioned from the Vakhtangian edition and the middle section of the manuscript direclty repeats the Vakhtangian edition" and that "the manuscript exactly transfers not only the 1712 reads, but errata and the other print errors, too", so, we should admit that "the edition of 1712 developed only the new short edition of the poem".
The evidence cannot be checked by common readers, because for unknown reasons, neither the four-volume edition of "manuscript versions of the Man in the Panther's skin" by the Institute of Literature, nor the edition with manuscript versions under the editorship of Shanidze and Baramidze published in 1966, does not contain the data of the middle section of the S-5006 list, we can only assume about the formation of such an unfortunate factual information. By studying the manuscript, one can find out not mechanical and accidental, but an important, often the essential variant differences in the most stanzas, and it gets known that the list also differs from the Vakhtangian edition in the middle section of the poem and comes from an older original version, the calligrapher of the list is not a copyist and the list is unique in the middle section, showing such a variant difference that distinguishes it from all the other manuscripts. The testimonies of Tsereteli list depict the earlier period of the history of the text of the Man in the Panther's skin, confirm the earlier existence of the poem ending of Vakhtangian version and approve that the list, which could not be completed by the calligrapher, was created in 17th century, as it is written on the Persian paper, and since 1710 even a manuscript leaf written on the Persian paper does not exist in Georgia.
IA MELNIKOVA
Moscow Orthodox humanitarian university of St.Tikhon (Russia)
COMMISSION'S WORK ON THE ISSUES OF ORTHODOX CHURCH STRUCTURE IN THE TRANSCAUCASUS IN 1917-1918 UNDER THE AUSPICES OF THE LOCAL CHURCH MEETING OF RUSSIA (According to the Materials held at State Archive and State Historical Archive of Russia)
The paper deals with the discussion of the Georgian Church issues at a local Church Meeting of Russia (1917-1918). Earlier (in 1906), the same issues were discussed at the meetings of the Second Department of the State Duma, but without result. By the time of convening the local meeting, situation concerning the issue of regaining autocephaly by Georgian Church changed (12.03.1917). The issue was to be discussed in another light. A special department was set up during the meeting. It had to discuss the issues of Orthodox Church structure in the Transcaucasus with regard to "Announcement of autocephaly by the Georgians". The department was chaired by Vladimir (Bogoyavlenski), Metropolitan of Kiev. Seventeen meetings were held during the first session (1.09.1917 – 27.11.1917) and seven meetings during the second one (6-19.02.1917, 16-29.08.1917). By the end of the first session, the work on a presentation "On the issue of announcement of autocephaly by the Georgians" was finalized. Prof. V.N. Beneshevich, Prof. I.I. Sokolov and priest V.N. Egorov were named as speakers. The speech was used as a basis for appeal to Georgian clergymen issued on 29 December 1917 by Patriarch Tikhon.
My presentation will touch on a number of issues, which have never been discussed in Georgian or Russian historiography. Archive materials concerning reply of the Georgian party to Patriarch Tikhon, as well as materials about attempts for re-establishment of canonical relations between the two Churches will be presented.
SHORENA MURUSIDZE
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
ARCHIVES OF GEORGIAN EMIGRANTS HELD AT KORNELI KEKELIDZE GEORGIAN NATIONAL CENTRE OF MANUSCRIPTS (Significance and Peculiarities of their Processing)
A search of Georgian immigrant materials, scattered among different countries, and their return process started in 1980s. One of the institutions which readily hosted immigrant archives was Korneli Kekelidze Institute of Manuscripts, now the Georgian National Center of Manuscripts.
Recently, the Center holds eighteen processed and unprocessed private archive funds of Georgian immigration, and archives of the Georgian Service of Radio Liberty. These materials were received at different times from USA, Argentina and different European countries.
For a long time, almost nothing was known about activities of prominent Georgian immigrants. Information about them was contained within ideological frames.
1. Scientific value of these archive documents is significant. Many unknown facts were revealed thanks to the study of Georgian immigrant archives.
Georgia, which was then within the borders of the Soviet Union and behind Iron Curtain, had no opportunity to maintain relations with foreign countries. Due to existing political regime, national liberation movement in Georgia was fragmented and weak. Georgian immigrants were much more active in striving for independence.
During the Soviet regime, free thinking was forbidden. Georgian scholars and writers in immigration had freedom of creation. This is well reflected in their archive materials.
Immigrant archives are notable for their collection of official documents signed by USA Presidents John Kennedy, Richard Nixon and Ronald Reagan; for correspondence of Georgian immigrants with the USA state structures, senators and governors. Important documents are available for studying history of dissident movement and "samizdat" (self-publishing).
2. The archives of the Georgian Service of Radio Liberty are unique and different from other funds. They contain reel-to-reel audio recordings of radio broadcasts. These materials are invaluable from the point of view of content and scientific value. Archives of Radio Liberty contain voice recordings of Giorgi Kvinitadze, Mikhako Tsereteli and Grigol Robakidze.
Due to diversity of materials contained in Radio Liberty archives, it became necessary to add new criteria to methodology of archive unit description.
3. Of special importance is socialization and actualization of the available archive materials. Scholarly interest to immigrant archives is significant. Based on them, many thematic exhibitions were held and education programs were accomplished at the Center.
MAIA NINIDZE
Ivane Javakhishvili Tbilisi State University (Tbilisi, Georgia)
THE MODERN METHOD FOR THE GENETIC STUDY OF MANUSCRIPTS AND ITS IMPORTANCE FOR THE STUDY OF GEORGIAN MANUSCRIPTS
Perfection of the methods for the study of manuscripts and development of new technologies is of special importance for Georgia, which owns old and rich written cultural heritage. A revival of manuscript studies throughout the world is mainly conditioned by development of digital technologies. Of importance are methodological innovations as well. Modern methods and technologies of genetic studies of manuscripts can be considered a good example.
Karl Lachmann's method was based on the study of similar errors found in different sources. As it turned out, studying similarity of errors was not sufficient to judge about interrelation of the texts. Scholars started to use the entire spectrum of differences between texts. This method got perfected and was shaped as the Coherence-Based Genealogical Method of Gerd Mink. This method takes into consideration all existing readings defined in the result of textological studies and creates guiding structures leading to the archetype, or creates the archetype proper. Introduction of a term "witness", which essentially differs from "source", "document" and other similar terms, can be considered a significant factor.
Genealogical method, based on "similar errors" developed by Karl Lachmann, reconstructs the archetype by deductive method, while the Coherence-Based Genealogical Method puts individual data together to reconstruct the archetype. It is based not on the study of manuscripts as
artifacts, but on the study of texts, the so called "witnesses", preserved in them. The idea is that the text found in a manuscript might be genealogically more ancient than the manuscript itself.
Copying and spreading of manuscripts resulted in contamination of texts that makes it difficult to study interrelationship of two texts. Another problem is associated with randomness, when certain cases of similarities between two quite different text "witnesses" can be found and the reason for this is an accident, not the contamination. Therefore, each hypothesis stated in the connection of history of textual "witnesses" and about genealogical interrelationship should take into consideration both contamination and an accidental coincidence. In difference from other genealogical methods, the Coherence-Based Genealogical Method is oriented on overcoming these barriers.
There exists special software for genetic studies that promotes studies in the field. Numerous autographs and copies of the same document are held in our manuscript archives. Therefore, it is important to create similar software or modify the existing one to work with the Georgian fonts. This will give Georgian scholars opportunity to carry out genetic studies.
BERNARD OUTTIER
The National Centre for Scientific Research (France)
MS. SINAI GEO. №84 AND №90: NEW LIGHTS ON THE CONTENT
Sinai georgian №84 and №90 were parts of the same manuscript. In the Catalogue of the New finds, the content has not been entirely defined. We propose to shed new lights on the exact contents of these fragments: homiletic texts and monastic unknown up to now texts.
NUGZAR PAPUASHVILI
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
LETTER OF PAVEL SVETLOV TO KALISTRATE TSINTSADZE ABOUT SHOTA RUSTAVELI
1. A personal letter of archpriest Pavel Svetlov is found in the private archive fund of Kalistrate Tsintsadze, Catholicos-Patriarch of Georgia, at National Center of Manuscripts. The text is an autograph, written in black ink on four pages. It was sent from Kiev to Tbilisi in 1938. From the content it is clear that this is the reply to Catholicos Kalistrate's request to share opinion about world-outlook of the author of the "Knight in the Panther's Skin".
2. Archpriest Pavel Svetlov (1861-1942) was a prominent figure of the Russian Theological School and an author of many fundamental works. After graduating from Theological Academy, he taught Dogmatic Theology at Theological Seminary in Tbilisi. Later on, Pavel Svetlov continued his activities at Kiev University. He held a title of the Doctor of Theology and was a professor.
3. Kalistrate Tsintsadze was of a good opinion about him and considered him the best teacher and thinker. According to his information, Svetlov developed an idea, according to which political activity of a clergyman was permissible. As a result, he faced problems from the Soviet government. He was dismissed from the University and became a castaway. From the letter it is clear that Svetlov had both economic and spiritual problems. At the same time, it is obvious that he had warm reminiscences about Georgia and maintained love to the country.
4. We know that the Russian clergymen and theologians (e.g. Met-
ropolitan Evgeni Bolkhovitinov) were interested in the issues of Rustvelology. From this point of view, name of Pavel Svetlov has not been discussed in scholarly literature. In spite of the fact that he had not carried out on-purpose studies in this direction, the letter under consideration provides information that he had scholarly observations and own academic viewpoint about the issue. According to the author, Shota Rustaveli can be mentioned amongst those big writers, who "Praise Christ without mentioning Him". Of note is the fact of presenting the topical Rustvelological problem in a wider context, and drawing parallel with the most outstanding masters of International culture.
5. Contribution of Kalistrate Tsintsadze to the study of the "Knight in the Panther's Skin" is well recognized. Henceforward, we should appreciate him for initiating new studies of the poem. It is desirable to translate the above-mentioned letter into Georgian, to publish it and to define its place in Rustvelological literature.
TAMAR PATARIDZE, VERONIQUE SOMERS
Catholic University of Leuven (Belgium)
GREGORY NAZIANZEN: BETWEEN LOUVAIN-LA-NEUVE AND TBILISSI, BETWEEN EDITIONS AND CONCORDANCES
We are intending to present a bipartite communication showing significant developments related to the tagged corpus and production of lemmatized concordances in the Centre for Oriental Studies of UCL (Belgium). These developments are supported by NLP (Natural Language Processing) tools and applied to the Greek and Oriental Languages (https:// uclouvain.be/fr/instituts-recherche/incal/ciol/gregori-project.html).
The first part of the communication will address the Greek concordances, showing their development from the beginning of this project to its actual state. This will be the occasion to honour Prof. J. Mossay (Centre for Oriental Studies, UCL) and Prof. H. Metreveli (National Centre of Manuscripts, Tbilissi), who developed a long-range collaboration between both our institutions. The main subject of that collaboration is the writings of Gregory Nazianzen (4 th cent.), producing first critical editions and then lemmatized concordances. The second part of this communication will show how the latest developments were applied to other (patristic, historic, etc.) texts and other oriental languages (Armenian, Georgian, Arabic, Syriac…), with main focus on Georgian. We will conclude with a presentation of our ultime development consisting in on-line bilingual concordances.
MAIA RAPAVA
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
FROM TAO-KLARJETI TO ATHOS, FROM ATHOS TO GELATI: GEORGIAN-ARMENIAN LITERARY RELATIONS
1. Georgian-Armenian Literary Relations have centuries-old history. The earliest period is associated with translation of Holy Scripture, which was followed with activity of theological and literary center in Tao-Klarjeti (9 th -10 th cc.). These are the times when Georgian translations from Armenian language flourished. Existence of big interest to Armenian literature is corroborated by the fact that the bookmen of Tao often did not speak Greek, but they translated Armenian sources. By the end of the 10 th century, interest of the Georgians to Armenian literature decreased. This was mainly conditioned by moving of the literary center from Tao to Athos.
2. Involvement into political and cultural life of the Byzantine Empire initiated a new tendency: "apart from Armenian" translations, direct translations from Greek sources were made. Simultaneously with translation of rich Byzantine literary heritage, Georgian monks on Mount Athos criticized Monophysitism and polemics on confessional issues. This was just the beginning. Later on, namely by the end of the 11 th century, criticism of Monophysitism by Georgian clergymen became systematic. Of special note from this type of literature is "Dogmaticon" written by Arsen Ikaltoeli.
3. Georgian-Armenian literary relations reversed after establishing Georgian cultural and literary center in Gelati. Armenian clergymen
showed keen interest in philosophical and theological literature produced in Gelati during its flourishing, as well as prior and after it.
4. In the first half of the 13 th century, two Armenian bookmen in South Georgia and Trabzon Empire – Simon of Pghndzahank and Papa Minas – translated important Dyophysite philosophical and theological literature from Georgian into Armenian. Only two translations of these individuals have been studied: "The Source of Knowledge" by John of Damascus and "Elements of Theology" by Proklus Diadochus, supplied with explanations by Ioane Petritsi. The study has shown that Armenian translation from Georgian can provide new data both about the works under consideration and Gelati in general – about authority and scale of influence of this significant literary center of Middle Ages.
CHARLES RENOUX
The National Centre for Scientific Research (France)
THE IADGARI: ITS HISTORICAL, LITURGICAL AND THEOLOGICAL SIGNIFICANCE
At present, apart from the hymns of Epistles attributed to St. Paul, we do not know any liturgical hymnography older than that found in ancient Georgian manuscripts published by Mrs. Metreveli and her collaborators. Taking into consideration parallels with the Catecheses of Cyril of Jerusalem and the Egeriae Itinerarium, the oldest layer of these texts refers to the Jerusalemite liturgy of the fourth century.
The presence of several of these hymns, written before 614, in the Georgian lectionary of Lathal, confirms this seniority. The structure of unfolding of the Eucharistic celebration and the Vesperial Office observed in them, corroborates the fact of linkage of the Georgian material with the above-mentioned sources. The theological themes of these hymns show that the liturgical prayers of the churches were centered on the Mystery of Christ: His Passion, Death and Resurrection.
TATIANA SABYANINA
State Hermitage Museum (Russia)
MAIN WORK TRENDS OF THE LABORATORY OF SCIENTIFIC RESTORATION AND CONSERVATION OF GRAPHICS
The Laboratory of Scientific Restoration and Conservation is one of the oldest laboratories in the State Hermitage Museum. Its history is closely connected with the history of the museum. The first workshop of graphics was opened in the 1920-1930-s. Since 1993 the laboratory has been situated on the top floor of the Hermitage Theatre.
Our laboratory cooperates with more than forty curators from scientific departments of the State Hermitage.
Nineteen conservators are working in the laboratory. They work with unique objects of outstanding artists and engravers from Western Europe, Eastern countries, Russia from the eleventh century till twenty first century. The dating of objects conserved in the laboratory begins from the fifteenth century BC till nowadays. The specialists of the laboratory work on several main directions. They are conservators of graphics, library and archieval materials including booksheets, documents and bindings. Since October 2004 the laboratory has included a book-bindery branch where the conservation of mass-circulation printed books, construction and repairing of registration books from the departments of the State Hermitage has taken place. In April 2013 the book-bindery branch moved to a new placement in Staraya Derevnya Restoration and Storage Centre.
Individual documents are incapsulated in polyester film. The amount of objects needed to be mounted has been increased considerably because of growing number of exhibitions, renewing permanent exhibitions and creation the department of Modern Art in the State Hermitage.
Conservators of graphics carry on conservation of drawings, engravings, water-colour drawings, gouache paintings, pastels, miniatures, Chinese "nang hua"paintings, Mostly it`s a paper based material.
More often the laboratory has been receiving objects based on parchment, bones and tetrapanax. Also the conservation of applied art objects takes place.
The conservators of the laboratory have opportunity to publish the results of their activity and share scientific achievements on the pages of periodical editions with the support of Editorial and Publishing department of the State Hermitage.
TIMOTHY B. SAILORS
Tubingen University (Germany)
SECOND-CENTURY CHRISTIAN LITERATURE PRESERVED IN GEORGIAN TRANSLATION: A BRIEF SURVEY OF THE MANUSCRIPT WITNESSES
Among scholars who specialize in the Christian writings of the second century, only a few have given due attention to the Old Georgian versions of this literature. The aim of this paper is to remedy that unhappy state of affairs by drawing attention to these Georgian translations and offering a broad overview and general assessment of the Georgian manuscript witnesses (or potential witnesses) to these works. Excluded from this survey are any early-second-century writings that would eventually come to be part of the final form of the New Testament, represented as they are in numerous Georgian biblical manuscripts. An exception is made, however, in the treatment of a somewhat later second-century composition, namely, the Longer Ending of the Gospel of Mark. In addition, the following second-century Christian literature or traditions are addressed in this summary: the Shepherd of Hermas, the Paidika Ièsou (a.k.a. the 'Infancy Gospel of Thomas'), the Protevangelium Jacobi, Tatian's Diatessaron(?), works by Melito of Sardis, the Acts of Andrew and Matthias in the City of the Cannibals, the Acts of Peter (at least, the Martyrdom), the Acts of Paul(?) (or, some of its constituent parts?), and a writing entitled 'On Christ and the Churches'. Though such an overview precludes any detailed analysis, it does offer additional evidence to be considered by those working with Christian literature from this earliest period in other languages-evidence that is otherwise often overlooked.
TAMAR TCHUMBURIDZE
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
A SIGNIFICANT SOURCE FOR HISTORY OF KARTVELOLOGY: PERSONAL LETTERS OF JULIUS ASSFALG
The following foreign scholars have significantly contributed to the study of Georgian language and literature, history and material culture: Marie Brosset, Gérard Garitte, Adolf Harnack, Anton Baumstark, sister and brother Marjory and Oliver Wardrops, Robert Blake, Paul Peeters, Hugo Schuchardt and others. In this regard, we should also mention our compatriots – Georgian scholars – who for certain reasons lived and worked abroad, though they maintained spiritual contact with their motherland and contributed to the description, study and publication of Georgian cultural monuments. These were Mikheil Tamarashvili, Mikheil Tarkhnishvili, Viktor Nozadze, Kita Chkhenkeli and Grigol Peradze.
Prominent German scholar Julius Assfalg was a noted representative of foreign kartvelologists. He was well known among the philologists as an author of significant kartvelological works. In a course of years, J. Assfalg held the chair for Philology of the Christian Orient at Munich University. He was co-editor of the journal "Oriens Christianus".
Korneli Kekelidze Georgian National Center of Manuscripts holds the correspondence of Julius Assfalg with Georgian scholars. The bulk of the Centers collection of correspondence consists of letters exchanged with Mikheil Tarkhnishvili who carried out his activities in Europe. It was M. Tarkhnishvili who generated the interest of J. Assfalg in Georgian language and literature and assisted him in studying Georgian. For his part,
the German scholar granted big assistance to M. Tarkhnishvili in editing the text of his fundamental work "Geschichte der kirchlichen georgischen Literatur" and supplying with scholarly literature. Interests and collaboration of these two scholars are reflected in their private correspondence.
Julius Assfalg actively collaborated with other Georgian scholars as well, including Akaki Shanidze and Ivane Imnaishvili. He was a big friend and supporter of the Center of Manuscripts. This can be seen from his letters written to Ilia Abuladze and Elene Metreveli. Names of prominent European Kartvelologists are mentioned in J. Assfalg's letters. Interest of contemporary international scholarship to scientific works of Georgian scholars and difficulties associated with acquiring their copies can be found in the letters.
Of special interest are accounts about Georgian manuscripts given in the letters. Georgian scholars first acquired information about Georgian palimpsests held in Gottingen thanks to J. Assfalg. Important was the information about five Georgian manuscripts held in Leipzig, provided by J. Assfalg. According to the catalogue compiled by K. Vullers, four out of the five manuscripts were earlier considered Armenian.
J. Assfalg's correspondence is of interest from the point of view of collaboration between Georgian and foreign scholars, as well as for raising topical issues and carrying out scholarly studies.
NINO TSITSISHVILI
Korneli Kekelidze Georgian National Centre of Manuscripts (Tbilisi, Georgia)
ON THE CROSSROAD OF CULTURES: DECORATION OF GEORGIAN CHURCH MANUSCRIPTS DATING TO THE 18 TH -19 TH CENTURIES
Among the illuminated Georgian church manuscripts of the 18 th -19 th centuries one can find samples, on the one hand, decorated with Persian ornamental motifs and/or framed by decorative colour, linear frame and, on the other hand, the scenes which show closeness to artistic and iconographic peculiarities characteristic of West Europe. From this point of view, of special note are the following illuminated manuscripts held at Korneli Kekelidze Georgian National Centre of Manuscripts and Niko Berdzenishvili Kutaisi Museum of History and Ethnography: Kontakion (A-866, 1713) commissioned by Bishop Nikoloz Orbeliani of Ruisi and copied by Gabriel Dekanozishvili; Kontakion of the Most Holy Mother of God (A-353, 17 th -18 th cc.); The Imitation of Christ by Thomas à Kempis (S-98, 19 th c.); Gospel and Prayers (K-377, K-418. The both date to the 18 th -c.); Gospel by Matthew and Mark (K-677, 19 th c.).
On the turn of the 15 th century to the 16 th century, in parallel with post-Byzantine art traditions, Islamic decorative and ornamental motifs became more intensive in illumination of the Georgian church manuscripts. Despite the keen interest shown to the Catholic West from the second half of the same century onwards, the motifs continue to exist in the 18 th and 19 th centuries as well. Intrusion of the Persian-Islamic elements into the decoration of Georgian church manuscripts, which is not occasional but well established, raises several issues of interest: importance of commissioner's taste and significance of the tradition of scriptoriums or of the entire region; linkage between church and secular miniatures; interrelationship between manuscript illumination and other forms of fine arts, etc. Of special importance is reflection of contemporary cultural and political processes in illumination and other forms of fine arts.
OLGA VASILYEVA
National Library of Russia (Russia)
GEORGIAN MANUSCRIPTS IN THE NATIONAL LIBRARY OF RUSSIA: TOWARDS THE HISTORY OF ACQUISITIONS
The National library of Russia (former Imperial Public library) in St-Petersburg, founded in 1795, began to gather Oriental manuscripts from 1805 when on the base of the collection of Peter Dubrovsky the Manuscript department was organized. Sporadic Georgian manuscripts (codices and documents) were acquired along with the collections of Dubrovsky, Frolov (1817), Suchtelen (1836), Tischendorf (1858-1859). Several items were received from the Asiatic Museum of the Academy of sciences (a small part of the Prince Teymuraz' library – in 1848) and from the Governor-general of the Caucasus grand duke Michail Nikolayevich (1866). Some manuscripts were gifted by Sabininin 1875 and 1879.
However, the most important arrivals fall on 1880 when the library of Prince Ioann Bagrationy was purchased from his grandson Ivan Grigoryevuch Gruzinsky (Ioann Kartvelishvily). It included 361codices, 76 autographs and 101printed books. The Tbeti Gospel of 996 and the Gospel of the 12 th century with two miniatures are of the great importance from several points of view, such as paleography, codicology, the arts of the book. The most part of the collection represents the handwritten books of the 17 th -19 th century, some of which written by Ioann Bagrationy himself.
Later the Georgian manuscripts were received from the Bishop Porphiry (Uspensky, in 1883), Alexander III (1885), Zvenigorodsky (1886), two small collections were bought from Gren (1892) and Sabinin (1896), one finely illustrated book was purchased from Doloberidze (1912).
In 1923 228 handwritten books and documents were transferred to Georgia and now are housed in the National Center of Manuscripts.
At the present time the collection of the National library of Russia numbers 238 Georgian codices, including 12 ones acquired after 1923, as well as 150 documents and small texts mostly belonging to the 18 th 19 th centuries.
sagamomcemlo jgufi irma beriZe lana grZeliSvili vladimer peraniZe
korneli kekeliZis saxelobis saqarTvelos xelnawerTa erovnuli centri
0193Tbilisi, merab aleqsiZis q. #1/3. tel.: 995(32) 247 42 42
www.manuscript.ge firstname.lastname@example.org
1/3 M. Alexidze str., Tbilisi 0193, Georgia. Tel.: +995 (32) 247 42 42
KORNELI KEKELIDZE GEORGIAN NATIONAL CENTRE OF MANUSCRIPTS
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Supporting Responsible Innovation in the Federal Banking System: An OCC Perspective
Preface by the Comptroller of the Currency
Innovation has been a hallmark of the national banking system since its founding in 1863 by President Lincoln. That innovative spirit has been especially evident in recent decades as national banks and federal savings associations have led the way in developing and adapting products, services, and technology to meet the changing needs of their customers.
While banks continue to innovate, rapid and dramatic advances in financial technology (fintech) are beginning to disrupt the way traditional banks do business. As the prudential regulator of the federal banking system, we want national banks and federal savings associations to thrive in this environment and to continue fulfilling their vital role of providing financial services to consumers, businesses, and their communities.
Our diverse system of banks has many advantages in developing and adapting financial innovations. Federally chartered institutions have stable funding sources, capital, and extensive customer relationships. They also have a long history of risk management that has led to enhanced information security capabilities, mature credit modeling and underwriting processes, and compliance
Comptroller of the Currency
Thomas J. Curry programs that help protect consumers. These capabilities lay a foundation for innovation in the 21 st century, and are major reasons the federal banking system still serves as a source of strength for the nation after 153 years.
At the Office of the Comptroller of the Currency (OCC), we are making certain that institutions with federal charters have a regulatory framework that is receptive to responsible innovation along with the supervision that supports it.
Innovation holds much promise. Technology, for example, can promote financial inclusion by expanding services to the underserved. It can provide more control and better tools for families to save, borrow, and manage their financial affairs. It can help companies and institutions scale operations efficiently to compete in the marketplace, and it can make business and consumer transactions faster and safer.
Innovation is not free from risk, but when managed appropriately, risk should not impede progress. Indeed, effective risk management is essential to responsible innovation. Banks and regulators must strike the right balance between risk and innovation.
This paper describes the OCC's vision for responsible innovation in the federal banking system and discusses the principles that will guide the development of our framework for evaluating new and innovative financial products and services. We welcome your feedback.
'At the OCC, we are making certain that institutions with federal charters have a regulatory framework that is receptive to responsible innovation along with the supervision that supports it.' – Comptroller of the Currency Thomas J. Curry
OCC Innovation Initiative
In August 2015, Comptroller of the Currency Thomas J. Curry announced an initiative to develop a comprehensive framework to improve the OCC's ability to identify and understand trends and innovations in the financial services industry, as well as the evolving needs of consumers of financial services. 1 This framework is intended to improve how the OCC evaluates innovative products, services, and processes that require regulatory approval and identifies potential risks associated with them. Even when approval of an innovation is not necessary, enhancing the agency's understanding will enable it to be a more effective resource to institutions, particularly community banks and thrifts, interested in innovation. The framework also will help clarify lines of communication between the agency and the industry regarding emerging technology and new products, services, and processes.
As part of that initiative, the OCC formed a team of policy experts, examiners, lawyers, and other agency staff members to gain a better understanding of emerging technology and new approaches in financial services and then use that information to design the OCC's framework for evaluating financial innovation. To obtain a broad perspective, the team met with a variety of groups to discuss the changes in the financial services industry and the opportunities and challenges for banks to participate fully in this evolving landscape. These discussions included bankers from community, midsize, and large banks; innovators in various fields; consumer groups; academics; other regulators; and OCC employees.
Some common themes emerged from these meetings as well as from other research the OCC team conducted. For example, many participants, including both banks and nonbanks, suggested that the "rules of the road" governing the development of innovative products and services are unclear. Banks, particularly smaller ones, also expressed uncertainty about the OCC's expectations regarding partnerships with nonbanks and third parties. Many nonbanks also indicated a desire to understand regulatory requirements and the supervisory environment as they seek to expand their relationships with banks.
Opportunities and Challenges for National Banks and Federal Savings Associations
The financial services industry in the United States is undergoing rapid technological change aimed at meeting evolving consumer and business expectations and needs. Mobile payment services and mobile wallets are changing the way consumers make retail payments. New distributed ledger technology has the potential to transform how transactions are processed and settled. New technology services offer the prospect of a banking relationship that exists only on a smartphone, tablet, or personal computer. Marketplace lending has the potential to change how loans are underwritten and funded. In addition, automated systems are competing with traditional financial advisors, and crowdfunding sites are raising equity capital for new and existing companies.
Many of these innovations are taking place outside the banking industry, often in unregulated or lightly regulated fintech companies. Fintech companies are growing rapidly in number, and they are attracting increasing investment. In 2015, the number of fintech companies in the United States and United Kingdom increased to more than 4,000, 2 and investment in fintech companies since 2010 has surpassed $24 billion worldwide. 3
Demographic changes also are influencing customer needs and expectations in dramatic ways. One of the most important changes in the United States involves the millennial generation, which includes nearly
1 See Remarks by Thomas J. Curry, Comptroller of the Currency, Before the Federal Home Loan Bank of Chicago. August 7, 2015 (http://www.occ.gov/news-issuances/speeches/2015/pub-speech-2015-111.pdf).
2 "The Fintech Boom and Bank Innovation," Forbes. December 14, 2015 (http://www.forbes.com/sites/falgunidesai/2015/12/14/the-fintech-revolution/#2715e4857a0b502b478836da).
3 "Is the Fintech Sector Overheating?" American Banker. September 25, 2015 (http://www.americanbanker.com/news/banktechnology/is-the-fintech-sector-overheating-1076982-1.html).
80 million people. Millennials have the majority of their financial lives ahead of them, and they have demonstrated great receptivity to technical innovation in financial services. 4
National banks and federal savings associations are seizing the opportunities and meeting these challenges in different ways. Some are working in their own laboratories and technology incubators to develop innovative ways to improve services and make their operations more efficient. Others are combining forces through consortiums and other collaborative arrangements to share the cost of developing and acquiring new technologies. Some banks are investing in fintech firms or new financial technology, and a growing number of banks are partnering with leading fintech companies and start-ups to develop the applications of tomorrow—applications that could eventually be revolutionary in their own ways.
In today's financial services environment, banks and fintech companies have different advantages when it comes to innovation. Banks have large and often loyal customer bases that contribute to diverse and stable funding that most fintech companies do not have. Banks also have capital that enables them to deal with losses and continue serving their customers throughout the fluctuations of an economic cycle. Banks often have extensive customer information, networks of physical locations, access to the payment system, and sophisticated underwriting, modeling, and risk management capabilities. Many banks benefit from name recognition, well-established marketing functions, and enterprise-wide compliance frameworks. They also have experience operating in complex regulatory environments.
Fintech companies and other nonbank innovators have their own advantages. Start-ups with few investors and one or two big ideas often can sometimes move faster than larger and more established organizations. They can focus their energy and resources on a single opportunity. Start-ups do not have legacy technology systems or large brick-and-mortar infrastructures that can be costly to maintain or change. Nonbank innovators also may have specialized technical knowledge, experience, and skills with respect to emerging technology and trends.
By employing their respective advantages, banks and nonbank innovators can benefit from collaboration. Through strategic and prudent collaboration, banks can gain access to new technologies, and nonbank innovators can gain access to funding sources and large customer bases.
4 "The 2014 ICBA American Millennials and Community Banking Study," Independent Community Bankers of America. October 2014 (https://www.icba.org/files/ICBASites/PDFs/ICBAMillennialsandCommunityBankingStudyWhitePaper.pdf).
The OCC Perspective on Responsible Innovation
The OCC's mission is to ensure that national banks and federal savings associations operate in a safe and sound manner, provide fair access to financial services, treat customers fairly, and comply with applicable laws and regulations. Supporting a financial system that innovates responsibly is central to the OCC's mission.
Definition of Responsible Innovation
While innovation has many meanings, the OCC defines responsible innovation to mean:
The use of new or improved financial products, services, and processes to meet the evolving needs of consumers, businesses, and communities in a manner that is consistent with sound risk management and is aligned with the bank's overall business strategy.
This definition recognizes the importance of banks' receptivity to new ideas, products, and operational approaches to succeed in meeting the needs of consumers, businesses, and communities in the rapidly changing financial environment.
The definition also emphasizes effective risk management and corporate governance. As we learned in the financial crisis, not all innovation is positive. The financial crisis was fueled in part by innovations such as option adjustable rate mortgages, structured investment vehicles, and a variety of complex securities that ultimately resulted in significant losses for financial institutions and their customers and threatened the entire financial system. The OCC will support innovation that is consistent with safety and soundness, compliant with applicable laws and regulations, and protective of consumers' rights.
Guiding Principles for the OCC's Approach to Responsible Innovation
The agency has formulated eight principles to guide the development of its framework for understanding and evaluating innovative products, services, and processes that OCC-regulated banks may offer or perform. These principles call for the OCC to:
1. Support responsible innovation.
3. Leverage agency experience and expertise.
2. Foster an internal culture receptive to responsible innovation.
4. Encourage responsible innovation that provides fair access to financial services and fair treatment of consumers.
6. Encourage banks of all sizes to integrate responsible innovation into their strategic planning.
5. Further safe and sound operations through effective risk management.
7. Promote ongoing dialogue through formal outreach.
8. Collaborate with other regulators.
Each principle is discussed below more fully.
1. Support responsible innovation.
To support responsible innovation, the OCC is considering various reforms to improve its process for understanding and evaluating innovative financial products, services, and processes. The goal is an improved process that will provide a clear path for banks and other stakeholders to seek the agency's views and guidance. To meet its goal, the OCC is exploring changes to coordinate decision making more effectively within the OCC and expedite review whenever possible, while ensuring a thoughtful assessment of associated risks.
Currently, banks and nonbanks use a variety of formal and informal entry points to communicate with the OCC. For example, a bank interested in an innovative process to speed payments may approach its examiners with a proposal, request a legal opinion from the OCC, file any required application with the appropriate licensing office, or contact one of the agency's experts on credit, compliance, payments,
cybersecurity, or modeling. While providing flexibility, the current process can result in some inconsistencies and inefficiencies.
To address this concern, one possible approach is to create a centralized office on innovation. The office could serve as a forum to vet ideas before a bank or nonbank makes a formal request or launches an innovative product or service. Other responsibilities could include holding meetings with interested stakeholders and appropriate OCC officials and coordinating among OCC examiners and experts to identify supervisory, policy, legal or precedent-setting issues, or concerns early in the process. To maintain an ongoing understanding of financial industry innovation, the office also could hold regular meetings with fintech innovators. In addition, the office could develop educational materials on innovation for banks and OCC personnel.
Alternatively, the OCC could adopt a less formal process where an existing unit within the OCC assumes the responsibility as the agency's central point of contact on innovation. That unit could be responsible for ensuring appropriate OCC staff and experts are involved early when considering innovative proposals by banks and nonbanks.
To be effective, the improved process should clarify agency expectations. Banks and nonbanks suggested a need for more guidance, particularly with respect to third-party relationships, including partnerships between banks and nonbanks.
To clarify these expectations and promote better understanding of the regulatory regime, the OCC will evaluate existing guidance on new product development and third-party risk management and assess whether additional guidance is appropriate to address the needs of banks and their customers in the rapidly changing environment.
To expedite decision making, the OCC is evaluating whether it can streamline some of its licensing procedures, where appropriate, or develop new procedures where existing procedures may not work for certain innovative activities.
Another idea touted by banks and nonbanks is to allow banks to test or pilot new products and services on a small scale before committing significant bank resources to a full rollout. Such a program could entail board approval and appropriate limitations that would protect consumers and would not involve giving banks a safe harbor from consumer laws and regulations during the testing phase of a new product. By analogy, the OCC recently issued guidance permitting banks to offer loans that exceed supervisory loanto-value limits in communities targeted for revitalization under certain circumstances. Although that guidance did not involve technological innovation, the OCC recognized that supporting long-term community revitalization could benefit from innovative lending programs.
2. Foster an internal culture receptive to responsible innovation.
A key component of a successful framework is an agency culture that is receptive to responsible innovation. When researching this project, the OCC gathered perspectives from OCC-supervised institutions and others in the financial services industry and conducted focus groups with agency employees. Many employees shared an interest in a culture that is more receptive to responsible innovation. The common perceptions about the agency that emerged from those discussions include 1) a low risk tolerance for innovative products and services; 2) a deliberate and extended vetting process that can discourage innovation inadvertently; 3) a need for increased awareness and education; and 4) a desire by employees for additional expert resources and easier access to those resources.
The OCC will evaluate its policies and processes, define roles and responsibilities with respect to evaluating innovation, identify and close knowledge and expertise gaps, and enhance communication within the agency and with outside stakeholders. The agency has taken several steps to foster a more receptive culture and to improve the awareness and knowledge of financial innovations. For example, the OCC has established a dedicated Payment Systems Policy Group that provides examination support,
training, and guidance to examiners and acts as a resource to OCC-supervised institutions on innovative and traditional payment structures. Additionally, the OCC has formed an internal working group on marketplace lending to monitor developments in that sector.
The agency will develop or augment existing training to reinforce the agency's receptiveness to responsible innovation and develop additional expertise to evaluate the opportunities and risks related to specific types of innovation. The OCC is considering establishing dedicated internal Web pages describing resources and training opportunities on innovation for all employees.
3. Leverage agency experience and expertise.
The OCC will rely heavily on the breadth and depth of knowledge of existing staff in implementing its responsible innovation framework. The agency's examiners, policy and compliance experts, legal staff, information technology professionals, and economists have a deep understanding of the financial system and a growing understanding of the emerging technology that can bring innovative products, services, and processes to businesses and consumers. The agency will continue to develop expertise in this important area.
Examiners are often the first and primary points of contact for banks considering new products or services, and they play a critical role in supporting responsible innovation. The OCC assigns a designated examiner or team of examiners to every institution under its supervision depending on its size and complexity. Examiners develop a robust understanding of each bank's activities, business strategies and goals, and risk appetite. That knowledge guides the OCC's supervisory strategy for that bank. The examiner also understands the local economy and the operating conditions in specific markets. As banks progress into new products or services, examiners can be important sources of information.
Ongoing communication with OCC examining staff provides the opportunity for banks to discuss the most recent trends and information that may affect the institution. These discussions include the introduction of new products, services, third-party relationships, changes in risk management or audit activities, and other planned corporate activities. These activities and ongoing dialogue help ensure effective supervision and early identification of evolving opportunities and risks. They also help resolve supervisory concerns as early as possible.
Industry stakeholders also benefit from the agency's expertise in other areas. OCC compliance policy experts support agency examiners and assist the banks they supervise on issues related to a variety of consumer protection and banking laws, such as the Bank Secrecy Act (BSA). Community reinvestment experts advise supervised institutions on community development issues. The OCC's Payments Systems Policy Group provides expertise in payments systems including traditional bank payments systems and distributed ledger technologies. Legal staff interprets banking laws and rules. Technology professionals help assess bank technology systems and cyber risks facing the industry. Economists provide expertise on modeling and quantitative analysis that assists in evaluating the effects of emerging technology and new programs and services and their implications for banking policy. All these experts play important roles in helping banks and nonbanks interested in innovation navigate the complex regulatory environment.
The OCC also will consider designating lead experts on responsible innovation who could support bank supervision and provide advice based on a broad view of innovation trends and developments across the federal banking system. The agency has an effective lead expert program in retail and commercial credit, compliance, bank information technology, asset management, and operational risk to support examiners and supervised banks.
In addition, the OCC will regularly evaluate whether it has the appropriate resources to supervise innovation within the federal banking system.
4. Encourage responsible innovation that provides fair access to financial services and fair treatment of consumers.
Responsible innovation among banks should help them fulfill their public purpose by promoting fair access to financial services and fair treatment of consumers. Current innovations in the financial industry hold great promise for increasing financial inclusion of underserved consumers, who represent more than 68 million people and spend more than $78 billion annually. 5 Data suggest underserved communities are more likely to use mobile banking technology than fully banked communities. 6 Social media use, in particular, appears disproportionately popular among demographic groups likely to be underserved, including young adults, low- and moderate-income consumers, and minorities compared with the population as a whole. 7
Brick-and-mortar branches are a stabilizing force in low-income neighborhoods, and innovative technology should not be seen as a substitute for a physical presence in those communities. However, the OCC believes there is great potential for responsible innovation to broaden access to financial services by delivering more affordable products and services on suitable terms to unbanked, underbanked, and low- to moderate-income consumers. Examples of products cited by some that could help address unmet financial services needs of the unbanked and underbanked include
* online and mobile banking, saving, budgeting, and financial management tools.
* small business loans.
* small dollar, unsecured consumer loans.
* credit consolidation or refinancing of consumer or student loans.
* improved payment services.
* use of behavioral models to improve automated underwriting models that could expand the pool of eligible consumers.
Innovations in lending are not limited to digital services and could include new ways to extend credit or provide other types of financial services. Social responsibility funds, for example, can expand opportunities in affordable housing and community or economic development.
Innovation also can encourage fair access by spurring small business and community investment that improves services and provides community redevelopment resources. Small business investment funds can attract capital for start-ups and businesses located in low- and moderate-income communities. Mortgage- or asset-backed securities backed by Community Reinvestment Act-qualified investments can provide liquidity for loans that benefit low- and moderate-income individuals or small businesses. Tax credit programs can promote investment in renewable energy, historic preservation, economic development, and affordable housing.
To encourage responsible innovations that provide fair access to financial services and fair treatment, the OCC plans to share success stories describing how national banks and federal savings associations have innovated to increase access to unbanked and underbanked populations; to increase the speed, efficiency, effectiveness, and transparency of financial transactions; and to lend and invest in ways designed to address the credit needs of low- and moderate-income individuals and communities.
The OCC may also issue guidance on its expectations related to products and services designed to address the needs of low- to moderate-income individuals and communities and may encourage innovative approaches to financial inclusion by promoting awareness of other activities that could qualify for Community Reinvestment Act consideration.
5 "Financial Technology Trends in the Underbanked Market," Center for Financial Services Innovation. May 2013.
6 "Assessing the Economic Inclusion Potential of Mobile Financial Services," Federal Deposit Insurance Corporation. June 30, 2014 (https://www.fdic.gov/consumers/community/mobile/Mobile-Financial-Services.pdf).
7 "Financial Technology Trends in the Underbanked Market," Center for Financial Services Innovation. May 2013.
5. Further safe and sound operations through effective risk management.
Effective risk management and good corporate governance are fundamental for banks to develop new products, services, and processes successfully. The OCC's framework must consider how national banks and federal savings associations identify and address risks resulting from emerging technology.
The OCC's research found that banks, nonbanks, and bank customers believe that cyber risk is one of the most significant risks facing the financial industry as it implements new technologies. In addition, risk to customer data through data aggregation and third-party use is increasing. Innovating through in-house development, third-party collaboration, or business combinations also presents different risks that require effective corporate governance, due diligence, risk identification and measurement, and internal controls.
Banks of all sizes should ensure that effective corporate governance and risk management meet supervisory expectations when considering new products, services, and processes. This includes expectations described in OCC guidance related to strategic planning, evaluating new products and services, 8 using models, 9 operational risk, cybersecurity, 10 and managing third-party relationships. 11
The OCC also will continue to improve its ability to understand and monitor emerging risks in the financial industry. Over the past several years, the OCC has improved its internal governance and risk identification capabilities through enhancements to the OCC's National Risk Committee and several committees focused on particular risks such as credit, operational, and compliance. The National Risk Committee structure is designed to assess current and emerging risks and to communicate that information to examiners and banks. The National Risk Committee also publishes the OCC's Semiannual Risk Perspective 12 on current and emerging risks in the federal banking system. The OCC is considering ways to leverage the work of the National Risk Committee in its responsible innovation framework.
6. Encourage banks of all sizes to integrate responsible innovation into their strategic planning.
The agency's framework for evaluating new and innovative financial products and services must consider how banks integrate innovation in their strategic planning processes. Sound strategic decisions are essential for any bank to achieve its business goals and successfully meet the needs of the consumers, businesses, and communities it serves.
A bank's decision to offer innovative products and services should be consistent with the bank's longterm business plan rather than following the latest fad or industry trend. Pursuit of emerging technology and other innovation should align with customer needs and the bank's strategic plan as well as its risk management capabilities. A bank collaborating with a nonbank to offer innovative products and services should also consider whether such a partnership helps the bank achieve its strategic objectives.
When discussing innovation, banks are reminded that traditional strategic planning criteria such as those listed below still apply:
* Consistency with the bank's corporate governance, business plan, and risk appetite.
* Realistic financial projections.
8 See OCC Bulletin 2004-20, "Risk Management of New, Expanded, or Modified Bank Products and Services." May 10, 2004 (http://www.occ.gov/news-issuances/bulletins/2004/bulletin-2004-20.html).
9 See OCC Bulletin 2011-12, "Supervisory Guidance on Model Risk Management." April 4, 2011 (http://www.occ.gov/newsissuances/bulletins/2011/bulletin-2011-12.html).
10 See OCC Bulletin 2015-31, "FFIEC Cybersecurity Assessment Tool." June 30, 2015 (http://www.occ.gov/newsissuances/bulletins/2015/bulletin-2015-31.html).
11 See OCC Bulletin 2013-29, "Third-Party Relationships." October 30, 2013 (http://www.occ.gov/newsissuances/bulletins/2013/bulletin-2013-29.html).
12 See http://www.occ.gov/publications/publications-by-type/other-publications-reports/index-semiannual-risk-perspective.html.
* Adequate staff, both in number and expertise.
* Consideration of all applicable risks, including reputation and compliance, and appropriate risk management systems and practices.
* Technology support.
* Exit strategies.
7. Promote ongoing dialogue through formal outreach.
Outreach is a key component of encouraging and supporting responsible innovation, and the OCC intends to incorporate formal outreach into its framework. An ongoing dialogue with all stakeholders, including banks, nonbank innovators, and consumer groups, will enable the agency to
* stay abreast of current trends and developments, including new products, services, process improvements, and partnerships.
* promote awareness and understanding of its expectations related to responsible innovation.
* understand the underlying reasons and customer needs that drive such developments.
* identify opportunities to improve its ability to respond more quickly, efficiently, and effectively to inquiries regarding new products and services, including licensing requests.
* solicit feedback on how its actions encourage or impede responsible innovation.
* serve as a more effective resource to institutions interested in innovation.
As part of its ongoing outreach activities, the OCC plans to bring together banks, nonbanks, and other stakeholders through a forum and a variety of workshops and meetings to discuss responsible innovation in the financial industry. The agency also intends to host "innovator fairs" to bring together banks and nonbank innovators with OCC experts to discuss regulatory requirements and supervisory expectations in the financial services industry. In addition, the OCC will provide resources, information, and guidance through its Web sites, including OCC.gov and BankNet.gov, which may include links to future papers and other resources on responsible innovation for those who want to engage with the OCC.
8. Collaborate with other regulators.
Supervision of the financial services industry involves regulatory authorities at the state, federal, and international levels. Exchanging ideas and discussing innovation with other regulators are important to promote a common understanding and consistent application of laws, regulations, and guidance. Such collaborative supervision can support responsible innovation in the financial services industry.
The OCC will work with agencies like the Consumer Financial Protection Bureau (CFPB) on innovations promoted by or affecting banks subject to OCC and CFPB supervision. Because the missions of the CFPB, the OCC, and other bank regulatory agencies intersect and agencies share the goal of minimizing unnecessary regulatory burden, the agencies implemented a number of memorandums of understanding that describe how to interact and work with one another to supervise industry participants. Such coordination gives banks greater confidence that regulators who share responsibilities will consider innovative ideas consistently.
The banking agencies already collaborate successfully on a number of issues and could create additional workgroups to further that coordination and increase communication about this important topic. Collaboration on responsible innovation should include the following actions:
* Establish regular channels of communication.
* Provide other agencies with such advance notice as is reasonably possible regarding upcoming innovation activities that may be of common interest.
* Identify information to share on an ongoing basis or upon request.
* Use best efforts to avoid inconsistent communications with supervised entities.
Conclusion and Request for Comments
As the OCC continues to develop its framework to support responsible innovation in the federal banking system, it seeks feedback on all aspects of this paper. The OCC also solicits responses to the questions below. The OCC requests that respondents provide written comments on these questions and other topics presented in this paper by May 31, 2016. Submissions should be e-mailed to email@example.com.
1. What challenges do community banks face with regard to emerging technology and financial innovation?
2. How can the OCC facilitate responsible innovation by institutions of all sizes?
3. How can the OCC enhance its process for monitoring and assessing innovation within the federal banking system?
4. How would establishing a centralized office of innovation within the OCC facilitate more open, timely, and ongoing dialogue regarding opportunities for responsible innovation?
5. How could the OCC provide guidance to nonbank innovators regarding its expectations for banks' interactions and partnerships with such companies?
6. What additional tools and resources would help community bankers incorporate innovation into their strategic planning processes?
7. What additional guidance could support responsible innovation? How could the OCC revise existing guidance to promote responsible innovation?
8. What forms of outreach and information sharing venues are the most effective?
9. What should the OCC consider with respect to innovation?
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Rabbi Benjamin H. Spratt
Congregation Rodeph Sholom
Living Legacy
Elisabeth Kübler-Ross was born in 1926 in Zurich, the smallest of triplets. She entered the world fragile, weighing only two pounds, and survived—a medical miracle for that time. Despite harsh resistance from her father, she yearned to be a doctor. She left her family at age 16 and volunteered during World War II in hospitals and the care of refugees.
Her life course changed in the aftermath of World War II, when Kübler-Ross volunteered for relief work and visited Majdanek, one of the Nazi death camps in war-ravaged Poland.
It was a hellish scene—boxcars full of baby shoes taken from murdered Jewish children. But inside the wooden barracks, etched into the walls by Holocaust victims, were numerous carvings of butterflies, a symbol of rebirth that became the central image in Kübler-Ross' life.
Kübler-Ross began pursuing her dreams to become a doctor and after graduating medical school in Zurich moved across the pond to Long Island. She was shocked to discover how American medical establishment treated terminally ill patients, she began holding seminars where doctors, nurses and medical students listened to the real-life concerns of dying patients.
In 1969, Kübler-Ross published On Death and Dying, a trail-blazing book that made her famous and helped launch the hospice movement in the United States.
Her argument was that patients often knew that they were dying, and preferred to have others acknowledge their situation rather than try to make them "feel better": "The patient is in the process of losing everything and everybody he loves. If he is allowed to express his sorrow he will find a final acceptance much easier." And she posited that the dying underwent five stages known all around the world today: denial, anger, bargaining, depression, and acceptance.
The "stage theory," as it came to be known, quickly created a paradigm for how Americans die. It eventually created a paradigm, too, for how Americans grieve: Kübler-Ross suggested that families
1
went through the same stages as the patients. In conversation, in the community that can be created around death, companionship and connection may be the greatest of gifts.
Yet the end of Kübler-Ross's own life was a lonely one. In 1995, Kübler-Ross suffered a stroke that left her paralyzed on one side. She grew depressed. "For 15 hours a day, I sit in this same chair, totally dependent on someone else coming in here to make me a cup of tea," she told a reporter. She became known as "the death-and-dying lady who can't seem to manage her own death." "I always leave the television on," she said. "That way something is always moving." The interviewer noticed an English muffin hardening next to her on a plate. Kübler-Ross reflected that she got in the habit of saving food in case she got hungry later in the day. Her son Kenneth lived nearby and stopped in "from time to time." Yet she seemed as hauntingly alone as the patients she interviewed some thirty years earlier. 1
She noted,
I now know that the purpose of my life is more than these stages. I have been married, had kids, then grandkids, written books, and traveled. I have loved and lost, and I am so much more than five stages. And so are you….That's really what grief has taught me. That I can survive. I used to be afraid that if I experienced grief it would overcome me and I wouldn't be able to survive the flood of it, that if I actually felt it I wouldn't be able to get back up. It's taught me that I can feel it and it won't swallow me whole. But we come from a culture where we think people have to be strong. I'm a big believer in being vulnerable, open to grief. That is strength. You can't know joy unless you know profound sadness. They don't exist without each other. 2
We sit together in grief. Strong in our vulnerability. We enter this space at the nexus of worlds. Looking backwards and forwards, holding on to what was, who was, and dreaming of what ought to be, who we ought to be. We hold all 5 stages in this space, facing both connection and loneliness, both love and loathing. We sit in the wisdom of how messy is grief, how complicated is life, and how complex it is to survive our loved ones. Like Orpheus, longing for the song that would bridge life and
1 With gratitude to the moving work of Meghan O'Rourke in "Good Grief"—New Yorker Magazine, February 1, 2010
2 Elizabeth Kubler-Ross, On Grief and Grieving (Scribner, 2005), p. 216
death, we listen below and above, listening in love.
Writing nearly forty years before his own death, Walt Whitman offered the following reflection:
A song of myself:
I celebrate myself, and sing myself,
And what I assume you shall assume,
For every atom belonging to me as good belongs to you…
I depart as air, I shake my white locks at the runaway sun,
I effuse my flesh in eddies, and drift it in lacy jags…
Failing to fetch me at first keep encouraged,
Missing me one place search another,
I stop somewhere waiting for you.
A song of myself.
For Whitman, our song is sung every day. In the way we speak, in the way we love. In the way we reach out a hand to the fallen, in the way we welcome the stranger. Our song carries through in how we remember, and how we are remembered. Our song is a legacy that carries on through life, and lives on beyond death.
For some, these are songs of beautiful melody and harmony, as we remember loved ones who brought only joy and hope into the world. We remember their compassion, we remember their selflessness, we remember their courage.
For others, these are songs blurred by dissonance. We remember their challenging personalities, we remember the stubbornness, the frustration, the weakness. We may remember loved ones whose essential songs, the callings of the soul, were masked by such tragedy and difficulty, that all we can hear are faint whispers wishing to be more, yearning to do more.
And all of this, the melodies of strength along with weakness, the joy and the pain, are a part of these remembered songs.
3
This is what it means to remember, to feel our loved ones with us again, to feel their song living on beyond death. Mere memory fails to do justice to this moment precisely because at Yizkor we bring them all back, bring all their songs back to life.
Clarissa Pinkola Estes recounts the legend of La Loba from northern Mexico:
There is an old woman who lives in a hidden place that everyone knows but few have ever seen…. The sole work of La Loba [the Wolf Woman], is the collecting of bones. She is known to collect and preserve especially that which is in danger of being lost creatures: the deer, the rattlesnake, the crow.
She creeps and crawls and sifts throughout the mountains and dry river beds, looking for bones, and when she has assembled an entire skeleton, when the last bone is in place…she sits by the fire and thinks about what song she will sing. 3
In silence, the beat of her heart drums a rhythm of love. And from this rises a song to her lips. And so the legend goes, her song brings an echo of life back to the bones.
Our own ancestors carry a similar story. When the Israelites stood in their first moments of redemption, we learn of the haste that inspired the matzah, the bread of affliction we eat each Passover. Before his death, Joseph asked of his children, "When God delivers you [from Egypt], carry my bones up from here." And so, even in their urgency to rush towards the future, the Israelites dutifully carry atzmot Yosef, the bones of Joseph, through all their desert wanderings. The early rabbis imagined, however, that they did more than gather and carry Joseph's bones; in carrying atzmot Yosef, the bones of Joseph, they also carried atzmut Yosef, the essence of Joseph.
His memory, his experiences as both slave and sultan, as prisoner and president, his gift as a visionary and dream interpreter. We come here in Yizkor to vow to our loved ones: you live no more, but I carry your essence. I carry your love. When I live, I feel your essence, I feel your rhythm and it lives within me. When I look out at the messy and beautiful and painful and joyous landscape of your life, I can still feel the rhythm. In the beat of my own heart, I may sing over your essence, and feel an echo of life in return. This is our task, to gather these pieces of our loved ones, to place them
3 Women Who Run With the Wolves
together, to carry them. And in turn, they will be the lifeline that carries us through our grief. In this way, the legacy of one life sings into the life of another.
Parents, partners, siblings, children—we recall one or more loved ones, their stories all marked by a beginning and an end. The task of Yizkor is fundamentally different than the eulogies delivered upon their death, the grief-filled words spoken at graveside. This service is as much about we the living as it is about the dead. It is here, in the Yizkor service, that we ask the question of how each one of us relates to the song of the loved ones whom we recall. Their Torah has concluded, but it continues to teach. We revisit their stories, as with the Torah, relating to them differently at every Yizkor service. With the passage of time, our perspective changes. We become different people and so our memories of our loved ones will inevitably change as well. Yizkor is not only an evolving experience, but it is meant to be empowering. We are granted the opportunity to learn anew from the lives of our loved ones, their grace, their struggles, and yes, even their shortcomings. Their humanity, no different than our own, was marked by imperfections. Each year our focus may change, a different aspect of our loved one emerges, a different melody reclaimed.
Born in Chicago in 1911, Lawrence Fogelberg enlisted in the Army during World War II. While Kübler-Ross volunteered in hospitals, Fogelberg dedicated his service to raising the spirits of fellow servicemen. He played in the military orchestra, and then went on to lead it. Following the war, the band leader and composer was recruited to conduct at a number of high schools for the rest of his career.
With his wife and three children, Fogelberg turned from the darkness of war to filling spaces with songs of hope and joy. His youngest son, Dan, recounts how when he was only four years old his father would let him run up in from of the school band and wave his baton. Dan believed he was actually the one moving all the musicians to play, only to one day look behind him to find his father standing behind him. But it imprinted a memory of the role his father would play in his life; the source of magic and empowerment, always quietly the inspiration behind him.
By 1981, Dan had become an acclaimed singer/songwriter in the folk movement. His father was ailing, and Dan found himself reflecting on the legacy of his father. He recalls sitting down with his guitar, and the memories and feelings simply rising to the surface. The things said and unsaid, the way his father's song had inspired his own. And in a single day, Dan crafted a tribute to his father, one that ultimately called to the hearts of millions and rose to the top of the Billboard charts. Prophetically, his father Lawrence heard the melody and words only months before his own death. And in a final gift, Dan Fogelberg left his father with the understanding of his own living legacy, woven through music and the lives he touched. 4
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I thank you for the music and your stories of the road I thank you for the freedom when it came my time to go I thank you for the kindness and the times when you got tough And papa, I don't think I said I love you near enough The leader of the band is tired and his eyes are growing old But his blood runs through my instrument and his song is in my soul My life has been a poor attempt to imitate the man I'm just a living legacy to the leader of the band I am a living legacy to the leader of the band
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We sit together in grief. Strong in our vulnerability. We enter this space at the nexus of worlds. Looking backwards and forwards, holding on to what was, who was, and dreaming of what ought to be, who we ought to be. We gather the pieces, the essence of our loved ones, and sing over them the melody of their legacy. We sit in the wisdom of how messy is grief, how complicated is life, and how complex it is to survive our loved ones. We hold the echoes and the reactions, the continuity and the response. Of all they were, and all they weren't.
We are their living legacies.
4http://performingsongwriter.com/dan-fogelberg-interview-songs/
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GLOSSARY
ABANDONMENT
Act of a parent or caretaker leaving a child without adequate supervision or provision for his/her needs for an excessive period of time.
ABRASION
Wound in which an area of the body surface is scraped of skin or mucous membrane.
ABUSE
Any physical injury, sexual abuse, or emotional abuse inflicted on a child other than by accidental means by those responsible for his/her care, custody and control.
ADAPTATION REACTION
Reactions to overt environmental circumstances tend to be circumscribed and specific to the situation.
ADJUDICATION
The process of rendering a judicial decision about whether the facts alleged in a petition or other pleading are true. The pronouncement of a judgment based on the evidence presented.
ADMISSIBLE
Proper to be used as evidence regarding a decision. Evidence is admissible when it may be properly used by the trier of fact in deciding a question of fact.
ADMISSION
Voluntary statement that a fact is true.
A legal proceeding in which an adult takes in, as his/her lawful child, a minor who is not the adoptive parents' natural offspring. The adopted minor loses all legal connection to the previous parent(s), and the adoptive parent(s) undertakes permanently the responsibility of providing for the child.
ADOPTION ASSISTANCE & CHILD
WELFARE ACT OF 1980 (PL 96-272) In order to be eligible for federal funds, states must document that they have: made reasonable efforts to provide preventive and reunification services to families when children have been placed out of the home; provided written case plans and a case review system. Removal of children from home must be pursuant to a judicial determination and there must be periodic reviews of the case.
ADVOCACY
Interventive strategy in which a helping person assumes an active role in assisting or supporting a specific child/or family, or a cause on behalf of children and/or families. This could involve finding and facilitating services or promoting program coordination. The advocate uses his/her power to meet client needs or to promote causes.
AFFIDAVIT
A written statement, signed in the presence of a Notary Public who "swears in" the signer. The contents of the Affidavit are stated under penalty of perjury. Affidavits are frequently used as part of the initiation of Juvenile Court cases, and at times are presented to the court as part of the evidence at a hearing.
Going against the orders of a physician. In cases of child abuse or neglect, this usually means the removal of a child from a hospital without the physician's consent.
ALLEGATION
An assertion or statement of a party to a legal action, which sets out what he or she expects to prove. In a child abuse case, the allegation forms the basis of the petition or accusation containing charges of specific acts of maltreatment, which the petitioner hopes to prove at the trial.
APPEAL
The attempt to have a final order of trial court changed by seeking review of a higher court. Usually appeals are made and decided upon questions of law only; issues of face (e.g. did the minor suffer an accident or was he intentionally injured?) are left to the trial judge or jury, and seldom can be re-decided in an appeal.
APPOINTED COUNSEL
Attorney ordered by the court to render legal assistance to one unable for a variety of reasons to obtain his or her own counsel.
ARRAIGNMENT
The bringing of a person accused of a crime before a court to be advised of the charges against him or her and to state his or her answer to the charges.
ASSAULT
Intentional or reckless threat of physical injury to a person. Aggravated assault is committed with the intention of carrying out a threat of other crimes. Simple assault is committed without the intention of carrying out the threat, or if the attempt at injury is not complete.
BATTERED CHILD SYNDROME
Introduced in 1962 by Henry Kempe, M.D. in the journal of the American Medical Association in an article describing a combination of physical and other signs indicate that a child's internal and/or external injuries result from acts committed by a parent or caretaker. In some states, the battered child syndrome has been judicially recognized as an accepted medical diagnosis. Frequently, this term is misused or misunderstood as the only type of child abuse and neglect.
BATTERED WOMEN
Women who are victims of nonaccidental physical and/or psychological injury inflicted by a spouse or mate. There seems to be a relationship between child abuse and battered women, with both often occurring in the same family.
BATTERY
Offensive contact or physical violence with a person without his/her consent, and which may or may not be preceded by a threat or assault. Because a minor cannot legally give consent, any such contact of violence against a child is considered battery. The action may be aggravated, meaning intentional or it may be simple, meaning that the action was not intentional or did not cause severe harm. Assault is occasionally used to mean attempted battery.
BEST INTERESTS OF THE CHILD
Child Standard for deciding among alternative plans for abused or neglected children. Usually it is assumed that it is in the child's best interest and least detrimental if the child remains in the home, provided that the parents can respond to treatment. However, the parent's potential for treatment may be difficult to assess and it may not be known whether the necessary resources are available. A few authorities believe that except where the child's life is in danger it is always in the child's best interest to remain in the home. This view reflects the position that in evaluating the least detrimental alternative and the child's best interest, the child's psychological as well as physical wellbeing must be considered.
BIFURCATED
In two parts or sections. A hearing held in two parts is called a bifurcated hearing.
BONDING
The psychological attachment of mother to child which develops during and immediately following childbirth. Bonding appears to be crucial to the development of a healthy parent/child relationship. Bonding is normally a natural occurrence but it may be disrupted by separation of mother and baby or by situational or psychological factors causing the mother to reject the baby at birth.
BORDERLINE PERSONALITY
Widely used category to define persons who are "felt" not to be psychotic but are severely disturbed.
The duty which falls on a party, usually upon the petitioner, of proving the allegations against a child or parent in a court trial. It is the petitioner's responsibility to prove the case; neither the child nor the parents have the duty to explain unproven allegations. See also Standard of Proof.
BURNS
2. 2 nd degree: Formation of blisters.
1. 1 st degree: Scorching or painful redness of skin.
3. 3 rd degree: Destruction of outer layers of the skin.
CHILD ABUSE AND NEGLECT
All-inclusive term, as defined in the Child Abuse Prevention and Treatment Act, for "the physical or mental injury, sexual abuse, negligent treatment or maltrealtment of a child under the age of eighteen by a person who is responsible for the child's welfare."
CHILD ABUSE PREVENTION AND TREATMENT ACT (PL 93-247)
Act introduced and promoted in Congress by then U.S. Senator Walter Mondale and signed into law on January 31, 1974. The act established the National Center on Child Abuse and Neglect in the HEW Children's Bureau and authorized annual appropriations. The purpose of the National Center is to conduct and compile research; provide an information clearinghouse; compile and publish training materials; provide technical assistance; investigate national incidence; and fund demonstration projects related to prevention, identification, and treatment.
Pattern of sequential stages of interrelated physical, psychological and social development in the process of maturation from infancy and total dependence to adulthood and relative independence. Abusive or neglectful parents frequently impair a child's healthy growth and development because they do not understand child development or are otherwise unable to meet the child's physical, social, and psychological needs at a given state or stages of development.
CHILD PROTECTION SERVICES
A specialized child welfare service, usually part of a county department of public welfare, legally responsible in most states for investigating suspected cases of child abuse and neglect and intervening in confirmed cases.
CIVIL PROCEEDING
Also called a "civil action," includes all lawsuits other than criminal prosecutions. Juvenile and Family Court cases are civil proceedings. See Standard of Proof.
COMPETENCY
In the law of evidence, a witness's ability to observe, recall, and recount under oath what happened.
CONCUSSION
An injury of a soft structure resulting from violent shaking or jarring; usually refers to a brain concussion.
CONFIDENTIALITY
Professional practice of not sharing with others information entrusted by a client or patient. Sometimes communications from parent to physician or social worker are not used in court, and many physicians are social workers are torn between legal vs. professional obligations. Confidentiality, which is protected by statute, is known as privileged communication.
CONGENITAL
Refers to any physical condition present at birth, regardless of its cause.
CONTEMPT
An affront to the court or tribunal in question.
An obstruction of the court's work.
Disobedience of a judge's command.
CONTINUANCE
Postponement of legal action, such as a lawsuit, until a later time.
CONTRAINDICATION
Reason for not giving a particular drug or prescribing a particular treatment, as it may do more harm than good.
CONTUSION
A wound-producing injury to soft tissue without a break in the skin, causing bleeding into surrounding tissues.
CORPORAL PUNISHMENT
Physical punishment inflicted directly upon the body. Some abusive parents mistakenly believe that corporal punishment is the only way to discipline children, and some child development specialists believe that almost all parents must occasionally resort to corporal punishment to discipline or train children. Other professionals believe that corporal punishment is never advisable.
COURT ORDER
Directive issued by the court having the authority of the court and enforceable as law.
Written command or directive given by the judge.
CREDIBILITY
Believability of a person, especially a witness.
CRIMINAL PROSECUTION
The process involving the filing of charges of a crime, followed by arraignment and trial of the defendant. Criminal prosecution may result in fines, imprisonment and/or probation. Criminal defendants are entitled to acquittal unless charges against them are proven beyond reasonable doubt. Technical rules of evidence exclude many kinds of proof in criminal trials, even though that proof might be admissible in civil proceedings.
CRISIS INTERVENTION
Action to relieve a specific stressful situation or series of problems which are immediately threatening to a child's health and/or welfare. This may involve alleviation of parental stress through provision of emergency services in the home and/or removal of the child from the home.
CUSTODY
As applied to children, the right to care and control and the duty to provide food, clothing, shelter, ordinary medical care, education and discipline for a child. Legal custody may be taken from a parent or given up by a parent by a court action or review by the court. Temporary custody may be granted for a period of months or in the case of protective or emergency custody, for a period of hours or several days.
DAY TREATMENT
Program providing treatment as well as structural supervision for children with identified behavioral problems, including abused and neglected children, while they remain in their own, foster or group homes. Day treatment services usually include counseling with families or caretakers with whom the children reside.
DEFAULT
In cases where individuals have been given appropriate and sufficient information as to the action pending in court and the date and place of the court hearing, and the individual still does not appear for the hearing, the court may grant the state agency's petition by "default."
DELINQUENCY
The commission of an illegal act by a juvenile.
DEPENDENCY
Referring to cases of children whose natural parent(s) cannot or will not properly care for them or supervise them so that the state must assume this responsibility. The general term used to categorize abused or neglected children. The specific term used to indicate that the court has assumed some form of responsibility for the child.
DETENTION
The temporary keeping (by public authority) of a person. In child abuse and neglect cases, minors are often detained in shelter care facilities, foster homes, group homes, or hospitals pending trial in Juvenile Court, when it is believed unsafe for the minor to remain with his or her own parents.
DISCIPLINE
Training that develops self-control, selfsufficiency, and orderly conduct. Discipline is often confused with punishment, particularly by abusive parents who resort to corporal punishment. Although interpretations of both "discipline" and "punishment" tend to be vague and often overlapping, there is some consensus that discipline has positive connotations and punishment is considered negatively. Some general comparisons between the terms are:
Discipline can occur before, during and/or after an event; punishment occurs only after an event.
Discipline is based on respect for a child and his/her capabilities; punishment is based on behavior or events.
Discipline implies that there is an authority figure; punishment implies power and dominance vs. submissiveness.
The purpose of discipline is educational and rational; the purpose of punishment is to inflict pain, often in an attempt to vent frustration or anger.
Discipline focuses on deterring future behavior by encouraging development of internal controls; punishment is a method of external controls which may or may not alter future behavior.
Discipline can strengthen interpersonal bonds and recognizes individual means and worth; punishment usually causes deterioration of relationships and is usually a dehumanizing experience.
Both discipline and punishment behavior patterns may be transmitted to the next generation.
DISCOVERY
The system of pre-trial procedures which enable the parties involved in a court proceeding to find out about the positions taken by the other parties and the facts which those parties believe support their positions.
DISCRETION
Power to act allowing some leeway for action. "Discretionary action" is action not mandated or compelled by some rule, order or guideline.
DISMISSAL
An action by the judge that removes a given case from the court.
DISPOSTION
The order of a juvenile or family court issued at a hearing which determines whether a minor, already found to be a dependent child, should continue in or return to the parental home, and under what kind of supervision or whether the minor should be placed out-of-home, and in what kind of setting; a relative's home, foster home, or institution. Disposition in a civil case parallels sentencing in a criminal case.
DOCKET
Schedule of cases on the calendar to be heard by a court.
DUE PROCESS
The rights of a person involved in legal proceedings to be treated with fairness. These rights include the right to adequate notice in advance of hearings, the right to notice of allegations of misconduct, the right to assistance of a lawyer, the right to confront and crossexamine witnesses, and the right to refuse to give self-incriminating testimony. In child abuse or neglect cases, courts are granting more and more due process to parents in recognition of the fact that loss of parental rights, temporarily or permanently, is as serious as loss of liberty.
EMANCIPATION
A term used to describe a condition whereby the child may be released from all of the restraints of childhood and receive the duties, privileges, and responsibilities of adulthood.
EVIDENCE
Any sort of proof submitted to the court for the purpose of influencing the court's decision. Some special kinds of evidence are:
Circumstantial: Proof of circumstances which may imply another fact. For example, proof that a parent kept a broken appliance cord may connect the parent to infliction of unique marks on a child's body.
Direct: Generally consisting of testimony of the type such as a neighbor stating that s/he saw the parent strike the child with an appliance cord.
Hearsay: Testimony about an out-ofcourt statement made by someone other than the person testifying, and introduced into evidence in order to prove the truth of the matter asserted by that other person. For example, "I heard him say that the child had been left alone for ten hours." Such a statement would not normally be permissible to prove the fact that the child had been left alone for ten hours. Instead, it would be necessary for the person who actually made the statement to testify personally in case so, at least, the opposing attorney would be able to cross-examine and "test" the truth and/or accuracy of that statement. There are numerous exceptions to the hearsay rule, however. For example, admissions or confessions made by a
parent in a child abuse and neglect case may be testified to by a witness who heard the statement.
Opinion: Although witnesses are usually not permitted to testify to their beliefs of opinions, being restricted instead to reporting what they actually saw or heard, when a witness can be qualified as an expert on a given subject, s/he can report his/her conclusions, for example, "Based upon these marks, it is my opinion as a doctor that the child must have been struck with a flexible instrument very much like this appliance cord." Lawyers are sometimes allowed to ask qualified experts "hypothetical questions," in which the witness is asked to assume the truth of certain facts and to express an opinion based on these "facts."
Physical: Any tangible piece of proof such as a document, x-ray, photograph, or weapon used to inflict an injury. Physical evidence must usually be authenticated by a witness who testifies to the connection of the evidence (also called an exhibit) with other facts in the case.
EXAMINATION
Cross-questioning an opposing witness at a trial or hearing, usually subsequent to his or her direct examination.
Direct examination of a witness by the person who has called him or her as a witness.
EXHIBIT
Physical evidence used in court. In a child abuse case, an exhibit may consist of x-rays, photographs of the child's injuries, or the actual materials presumably used to inflict the injuries. (see also Evidence)
EX PARTE
An ex parte judicial proceeding is one brought for the benefit of one party only, without notice to or challenge by an adverse party.
EXPERT TESTIMONY
Witnesses with various types of expertise may testify in child abuse or neglect cases. Experts are usually questioned in court about their education or experience which qualifies them to give professional opinions about the matter in question. Only after the judge or referee determines that the witness is, in fact, sufficiently expert in the subject matter may that witness proceed to state his/her opinions. (see also Evidence)
FAILURE TO THRIVE SYNDROME (FTT)
A serious medical condition most often seen in children under one year of age. A FTT child's height, weight and motor development fall significantly short of the average growth rates of normal children. In about 10% of FTT cases, there is an organic cause such as serious heart, kidney, or intestinal disease, a genetic error of metabolism, or brain damage. All other cases are a result of a disturbed person-child relationship manifested in severe physical and emotional neglect of the child.
FAMILIES AT RISK
May refer to families evidencing potential for child abuse or neglect because of a conspicuous, severe parental problem, such as criminal behavior, substance abuse, mental retardation or psychosis. More often refers to families evidencing high potential for abuse or neglect because of risk factors which may be less conspicuous but multiple. These include: environmental situations such as unemployment or work dissatisfaction, social isolation, lack of childcare resources, and/or family stress such as marital discord, emotionally immature parent with a history of abuse or neglect as a child, unwanted pregnancy, hyperactive or handicapped baby or child, siblings a year or less apart, sudden changes in family due to separation or death, or parental ignorance of childcare and child development.
FAMILY DYNAMICS
Interrelationships between and among individual family members. The evaluation of family dynamics is an important factor in the identification, diagnosis, and treatment of child abuse and neglect.
FAMILY DYSFUNCTION
Ineffective functioning of the family as a unit or of individual family members in their family role because of physical, mental, or situational problems of one or more family members. A family which does not have or use internal or external resources to cope with its problems or fulfill its responsibilities to children may be described as dysfunctional. Child abuse and neglect is evidence of family dysfunction.
FAMILY PRESERVATION SERVICES
Intensive, short-term service delivery programs which provide family therapy, teach skills, and help families obtain basic services, such as food and housing in an effort to respond to families at imminent risk of removal of the children. These short-term services have shown to be cost-effective compared to foster care, and effective in outcome. FAMILY SYSTEM
The concept that families operate as an interacting whole and are an open system, so that any factors in the environment affect the functioning of family members and their interaction among members.
FELONY
A serious crime, for which the authorized punishment is imprisonment for longer than a year, or a fine greater than $1000 or both. Distinguished from misdemeanors which have lesser penalties.
FOSTER CARE
A form of temporary substitute care, usually in a home licensed by a public agency, for children whose welfare requires that they be removed from their own homes.
FRACTURE
A broken bone, which is one of the most common injuries suffered among battered children. The fracture may occur in several ways, but the type most commonly associated with child abuse is the spiral fracture. It is caused by the twisting of the arm or leg and has a pattern similar to a spiral staircase.
GAULT DECISION
A landmark U.S. Supreme Court case which states that juvenile court proceedings must measure up to the essentials of due process and fair treatment under the 14 th amendment.
Namely, the juvenile must be:
Given proper notice of charges.
Represented by counsel.
Protected against self-incrimination.
Able to confront and cross-examine witnesses.
GUARDIAN AD LITEM (GAL)
Adult appointed by the court to represent the child in a judicial proceeding. Under the Child Abuse Prevention and Treatment Act, P.L. 93-247, a state cannot qualify for federal assistance unless it provides by statute "that in every case involving an abused or neglected child which results in a judicial proceeding a guardian ad litem shall be appointed to represent the child in such proceedings." Such guardians are usually appointed to safeguard the rights of persons otherwise incapable of handling their own interests.
HEAD START
A nationwide comprehensive program for disadvantaged pre-school children, funded by the HEW Administration for Children, Youth and Families, to meet the educational, nutritional and health needs of the children and to encourage parent participation in their children's development.
HEMATOMA
A swelling caused by a collection of blood in an enclosed space, such as under the skin or the skull.
HOMEMAKER SERVICES
Provision of assistance, support and relief for parents who may be unable or unwilling to fulfill parenting functions because of illness or being overwhelmed with parenting responsibilities. A homemaker is placed in a home on an hourly or weekly basis and assists with housekeeping and child care while demonstrating parenting skills and providing some degree of nurturance for parents and children.
Literally, "in chambers", a hearing or judicial proceeding conducted in a judge's chamber, privately, or where the public is not present.
IMMUNITY, LEGAL
Legal protection from civil or criminal liability. Child abuse and neglect reporting statutes often confer immunity upon persons mandated to report, giving them an absolute defense against libel, slander, invasion of privacy, false arrest, and other lawsuits which the person accused of the act might file. Some grants of immunity are limited only to those persons who report in good faith and without malicious intent.
IN LOCO PARENTIS
"In the place of a parent." Refers to actions of a guardian or other nonparental custodian.
INCEST
A sexual act between two persons who are related. Includes descendant by blood or adoption, stepchild (while marriage creating their relationship still exists), brother, half-brother, sister, halfsister, niece and nephew. While incest and sexual abuse are sometimes thought to be synonymous, it should be realized that incest is only one aspect of sexual abuse. Incest can occur within families between members of the same sex, but the most common form of incest is between father and daughter. It is generally agreed that incest is much more common than the number of reported cases indicates. It should be noted that sexual relations between relatives may be defined as incest, but that incest is not considered child sexual abuse unless a minor is involved. Intrafamilial Sexual Abuse is the term used in some states to identify child protection cases in juvenile court.
INTERSTATE COMPACT
Agreement between states that has been passed as law by the states and been approved by Congress governing out of state placements of children; defines financial and supervisory responsibilities and guarantees constitutional protections.
JURISDICTION
The power of a court to hear particular types of cases. Three general areas are relevant in determining whether a court has jurisdiction in a particular case:
1. The subject matter of the case (e.g. divorce, criminal prosecutions, child protection)
2. The territorial limitations of the court (e.g. where the parties and/or defendants reside where the property whose title is in dispute is located, where the criminal acts occurred
3. The procedures used to notify the defendants that a case has been filed (e.g. was service of summons properly made).
Generally speaking, juvenile courts have subject matter jurisdiction over cases including minors. They have geographic jurisdiction over an entire county, and they have jurisdiction over minors or their parents only if they have been given proper legal notice of the proceedings.
LACERATION A jagged cut or wound.
LATCH KEY CHILDREN
Working parents' children who return after school to a home where no parents or caretaker is present. This term was coined because these children often wear a house key on a chain around their necks.
LEADING QUESTION
Questions which imply a response and require only a "yes" or "no" answer.
LESION
Any injury to any part of the body from any cause that results in damage or loss of structure or function of the body tissue involved. A lesion may be caused by poison, infection, dysfunction, or violence, and may be either accidental or intentional.
MALNUTRITION
Failure to receive adequate nourishment. Often exhibited in a neglected child, malnutrition may be caused by inadequate diet (either lack of food or insufficient amounts of needed vitamins, etc.) or by a disease or other abnormal condition affecting the body's ability to properly process foods taken in.
MALTREATMENT
Actions that are abusive, neglectful, or otherwise threatening to a child's welfare. Frequently used as a general term for child abuse and neglect.
MANDATED REPORTERS
Persons designated by state statutes who are legally liable for reporting suspected cases of child abuse and neglect to the authorities. The persons so designated vary according to state law, but they are primarily professionals, such as pediatricians, nurses, school personnel, and social workers, who have frequent contact with children and families.
MISDEMEANOR
A category of crime, for which the authorized punishment is no more than one year imprisonment (usually in county jail rather than state prison) or a fine of $1000 or both. Distinguished from a felony which has more serious penalties.
MOLESTATION
Sexual act with a child, which is usually progressive in nature, beginning with fondling and escalating over time.
MOTION
Request that the judge in a trial or hearing take some action.
MOTION TO MODIFY
A written document stating the basis for a request that the prior orders of the court be changed.
NEGLECT
Failure by a person responsible for a child's care to supply a child with necessary food, clothing, shelter or medical care when reasonably able to do so or failure to protect a child from conditions or actions which imminently and seriously endanger the child's physical or mental health when reasonably able to do so.
NEUROSIS
Marked emotional disorder without loss of contact with reality and a history of relatively normal developments.
NURTURANCE
Affectionate care and attention provided by a parent, parent substitute or caretaker to promote the well-being of a child and encourage healthy emotional and physical development. Nurturance may also be needed by adults with inadequate parenting skills, or who were themselves abused or neglected as children and as a way of strengthening their own self-esteem.
OBJECTION
During court proceedings, if a party believes that any question or tactic by the examining attorney is improper, that party may "object." When an objection is made, the judge will either sustain or overrule the objection. If the judge overrules the objection, the witness may answer the question. If the judge sustains the objection the witness may not answer the question.
OPENING STATEMENT
Statement made by an attorney at the start of the trial or at the beginning of his or her presentation. Opening statement summarizes the attorney's position and usually what he or she hopes to prove.
ORDER
In legal practice, an order is a written direction of a court or judge, other than a judgment.
PARENS PATRIA
"The power of the sovereign?" refers to the state's power to act for or on behalf, such as minors, incompetents or some developmentally disabled.
PARENTING SKILLS
A parent's competencies in providing physical care, protection, supervision and psychological nurturance appropriate to a child's age and stage of development. Some parents, particularly those whose own parents demonstrated these skills have these competencies without formal training, but adequacy of these skills may be improved through instruction.
PARENTS ANONYMOUS
Self-help group for parents who want to stop physical, psychological, sexual or verbal abuse of their children. Because members do not need to reveal their full names, they feel free to share concerns and provide mutual support.
PARENTS' RIGHTS
Besides the rights protected by the Constitution for all adults, society accords parents the right to custody and supervision of their own children, including, among others, parents' rights to make decisions about their children's health care.
PARTY
Person concerned with or actively taking part in proceeding.
PATERNITY
Refers to the father of the child. The biological and legal father may be the same person, but not always. The biological father is the man who participated in the child's conception. The legal father is the man married to the mother at the time of the child's conception or birth. "Alleged Father" means that the mother has named this particular man as the father.
"Acknowledged Father" means that an Affidavit of Paternity has been signed by the father. "Adjudicated Father" means that the court has determined a particular man to be the father, usually through a process hearings and blood tests.
PERSONALITY DISORDERS
Relatively fixed abnormalities of personality of behavior and relationships, which are ingrained in the personality structure.
PETITION
The document filed in Juvenile Court at the beginning of a neglect, abuse or delinquency case. A copy of the petition must be delivered to specified members of the family involved. The petition sets for the allegations which, if true, form the basis for court intervention.
PETITIONER
Person who files a petition.
PHYSICAL ABUSE
Any physical injury inflicted by a person responsible for the child's care on a child other than by accidental means; or any physical injury that cannot reasonably be explained by the child's history of injuries.
PLACEMENT
The removal of a child from his/her natural home, placing him/her in a different custodial setting for more than a short period of time. Placement may be in a foster home, group home, relative's home or institution.
PLAINTIFF
The person who brings an action or files a civil lawsuit.
PRECEDENT
Occurrence required prior to the happening of something else, e.g. prior to driving, you must possess a licensethis is a condition precedent.
Prior court decisions relied upon in deciding a similar legal problem occurring later.
PREVENTION OF CHILD ABUSE AND NEGLECT
Elimination of the individual and societal causes of child abuse and neglect.
Primary prevention: Providing societal and community policies and programs which strengthen all family functioning so that child abuse and neglect is less likely to occur.
Secondary prevention: Intervention in the early signs of child abuse and neglect for treatment of the presenting problem and to prevent further problems from developing.
Tertiary prevention: Treatment after child abuse and neglect has been confirmed.
PRIMA FACIE
A latin term approximately meaning "on the first appearance" or "on the face of it." In law, this term is used in the context of a "prima facie case." This is, the presentation of evidence at a trial which has been sufficiently strong to prove the allegations, unless contradicted and overcome by other evidence. In a child maltreatment case, the allegations of maltreatment will be considered as proven unless the parent presents rebutting evidence.
PRIVILEGED COMMUNICATIONS
Confidential communications which are protected by statutes and need not or cannot be disclosed in court over the objections of the holder of the privilege. Lawyers are almost always able to refuse to disclose what a client has told them in confidence. Priests, rabbis, and ministers are similarly covered. Doctors and psychotherapists have generally lesser privileges, and their testimony can be compelled in many cases involving child abuse or neglect. (see also Confidentiality).
PROBATION
In criminal or delinquency cases, a disposition which allows the convicted criminal-defendant or the juvenile found to be delinquent to remain at liberty, under a suspended sentence of imprisonment, generally under the supervision of a probation officer, and usually under certain conditions. In child protective cases, a disposition which provides legal authority for the agency to supervise the conditions of the home. Violation of a condition is grounds for revocation of the probation; and it is in this power of the court to condition the release of a child, and to revoke the release later, that juvenile courts obtain practical power over adults. The court may require parents to make certain promises as a condition of returning the child to the parental home, and can enforce the promises with the threat of revocation.
PRO BONO
Attorneys' services rendered at no charge.
PRO SE
To act as one's own legal counsel.
PROBABLE CAUSE
A legal standard used in a number of contexts which indicates reasonable ground for suspicion of belief in the existence of certain facts. Facts accepted as true after a reasonable inquiry which would induce a prudent and cautious person to believe them.
PROTECTIVE CUSTODY
In child abuse and neglect cases, the emergency removal of a child from his home when the child would be in imminent danger if allowed to remain with the parent(s) or custodian(s).
PSYCHOLOGICAL TESTS
Instruments of various types used to measure emotional, intellectual, and personality characteristics.
Psychological tests should always be administered and interpreted by qualified personnel. Such tests have been used to determine potential for abuse or neglect, or psychological makeup of parent or children.
PSYCHOTIC PERSON
A person who suffers a major mental disorder where the individual's ability to think, respond emotionally, remember, communicate, interpret reality, or behave appropriately is sufficiently impaired so as to interfere with his/her capacity to meet the ordinary demands of life. The term "psychotic" is neither very precise not definite. It is estimated that well under 10% of all abusive or neglectful parents are psychotic.
REASONABLE EFFORTS
With reference to PL 96-272, prevention and reunification services provided by the social service agency to children/families and documented in writing by the judge in the court order. It is the judge who determines whether the agency has made "reasonable efforts" to prevent the child's placement and reunify the family. The two factors central to this determination are the quality of the efforts and the nature of the services offered. Quality of effort refers to a reasonable level of diligence and good judgment and the absence of negligence. Nature of services refers to the availability of services to meet the needs of the child/family,
RES IPSA LOQUITOR
"The thing speaks for itself." An inference that a person did something wrong because whatever caused the hurt was within his/her exclusive control.
REPORTING LAWS
State laws which require specified categories of persons, such as professionals involved with children, and allow other persons to notify public authorities of cases of suspected child abuse and neglect. All 50 states now have reporting statutes, but they differ widely with respect to types of instances which must be reported, persons who must report, manner of reporting (written, oral, or both), and the degree of immunity conferred upon reporters.
REVIEW HEARING
Required periodic, sometimes annual, reviews of dependency cases conducted by juvenile courts to determine whether court supervision is necessary, and to provide some judicial supervision of probation or casework services.
ROLE REVERSAL
The process whereby a parent or caretaker seeks nurturance and/or protection from a child rather than providing this for the child, who frequently complies with this reversal. Usually this process develops as a result of unfulfilled needs of the parent or caretaker.
SCAPEGOATING
Casting blame for a problem on one who is innocent or only partially responsible; for example, a parent or caretaker abusing or neglecting a child as punishment for family problems unrelated to the child.
SETTLEMENT
A determination of a disputed matter by agreement.
SEXUAL ABUSE
Contacts or interactions between a child and an adult when the child is being used for sexual stimulation of the perpetrator or another person. Sexual abuse may also be committed by a person under the age of 18 when that person is either significantly older than the victim or when the perpetrator is in a position of power or control over another child. (see also Child Abuse and Neglect).
SHAKEN BABY SYNDROME
Injury to an infant or baby that results from the child having been shaken, usually as a misguided form of discipline. The most common symptom is bleeding inside the head. Repeated instances of shaking can result in mental and developmental disabilities. This has a whiplash effect.
SOCIAL STUDY
(Also called social history, social report or pre-hearing report).
Information compiled by a social worker about factors affecting a family's past and present level of functioning for use in diagnosing child abuse and neglect and developing a treatment plan.
Document prepared by a social worker for the juvenile court's consideration at the time of the disposition of a case. This report addresses the minor's history and environment. Social studies often contain material which would clearly be inadmissible in most injury proceedings, either because of hearsay or lack of verification or reliability. The informal use of such reports has often been attacked as a violation of due process rights of minors and parents.
SOCIAL ISOLATION
The limited interaction and contact of many abusive and/or neglectful parents with relatives, neighbors, friends or community resources. Social isolation can perpetuate a basic lack of trust, which hinders both identification and treatment of child abuse and neglect.
SPOUSE ABUSE
Non-accidental physical or psychological injury inflicted on either husband or wife by his/her marital partner. Some experts conjecture that husbands as well as wives are frequently abused, particularly psychologically. Domestic Violence is the term used when referring to abuse between adults who may not be married.
STANDARD OF PROOF
In different judicial proceedings there are varying requirements of proof. Three of the most commonly used standards are:
Beyond a Reasonable Doubt: Evidence which is entirely convincing or satisfying to a moral certainty. This is the strictest standard of all and applies to all criminal proceedings. It is the standard applied to termination of parental rights which come under the provisions of the Indian Child Welfare Act (PL 95-608).
Clear and Convincing Evidence: Less evidence than is required to prove a case beyond a reasonable doubt, but still an amount which would make one confident of the truth of the allegations. This is the standard Minnesota law applied to child abuse and neglect matters in juvenile court.
Preponderance of Evidence: Merely presenting a greater weight of credible evidence than that presented by the opposing party. This is the lowest
standard of proof, used in most civil court proceedings.
STATUS OFFENSE
An act which is considered criminal only because it is committed by a minor. If an adult did the same thing, it would not be an offense. For example, a minor staying out after curfew or being truant from school.
STATUTE
A law enacted by a state legislature or the U.S. Congress.
STIPULATION
An agreement (sometimes oral, sometimes in writing) usually between lawyers, which "stipulates" or establishes a fact which otherwise would remain to be proven—thus avoiding trial on the issue.
STRESS FACTORS
Environmental and/or psychological pressures over a prolonged period, which are associated with child abuse and neglect or which, without being prolonged, may be the precipitant event. Prevention of child abuse and neglect requires both reducing stress in society and helping people cope with it. Environmental stress includes unemployment, poverty, overcrowded housing, and competition for success. Psychological stress could include marital discord, in-law problems and unwanted pregnancy.
SUBDURAL HEMATOMA
A common symptom of abused children, consisting of a collection of blood beneath the membrane covering the brain and spinal cord. The hematoma may be caused by a blow to the head or from shaking a baby or small child.
SUBPOENA
A document issued by a court clerk, requiring a person to appear at a certain court on a certain day and time to give testimony in a specified case. Failure to obey is punishable as contempt of court.
SUBPOENA DUCES TECUM A subpoena requiring the person subpoenaed to bring records to court.
SUBSTANTIATION OF CHILD ABUSE OR NEGLECT
Verification that child abuse or neglect has occurred. A claim is substantiated after the charges have been investigated and evidence has been found to support a report.
SUDDEN INFANT DEATH SYNDROME (SIDS)
A condition which can be confused with child abuse, SIDS affects infants from two weeks to two years old, but usually occurs in a child who has been healthy except for a minor respiratory infection is found dead. The cause of SIDS is not fully understood.
SUMMONS
A document issued by a court clerk, notifying a person of the filing of a lawsuit against him/her and notifying that person of the deadline for answering the suit. A summons does not require the attendance at court of any person.
SUPERVISED VISITATION
When visits between the parent(s) and child(ren) are attended by another person who is present at all times. Usually, supervised visitation is recommended when there is reason to believe a parent may hurt or try to leave the area with the child. Supervision may be provided by the social worker, a relative who is caring for the child, or by another responsible adult.
SUSTAIN
To support; to approve; to adequately maintain; e.g., the judge "sustained" the plea because he found it to be true or the plaintiff "sustained" the burden of coming forward with the requisite evidence.
TEMPORARY PLACEMENT
Voluntary or involuntary short term removal of a child from his/her own home, primarily when a child's safety or well-being is threatened or endangered, or when a family crisis can be averted by such an action. Temporary placement may be in a relative's home, shelter, or foster home.
TERMINATION OF PARENTAL RIGHTS (TPR)
A legal proceeding freeing a child from his/her parents' claims so that the child can be adopted by others without the parents' written consent. The legal bases for termination differ from state to state, but most statutes include abandonment as a ground for TPR.
TESTIMONY
A declaration or statement made to establish a fact, especially one made under oath in court.
TRAUMA
An internal or external injury or wound brought about by an outside force. Usually trauma means injury by violence, but it may also apply to the wound caused by any surgical procedure. Trauma may be caused accidentally or, as in a case of physical abuse, non-accidentally. Trauma is also a term applied to psychological discomfort or symptoms resulting from an emotional shock or painful experience.
TREATMENT OF CHILD ABUSE AND NEGLECT
Treatment for child abuse and neglect should include treatment for the abused and neglected children as well as for the parent. Treatment for child abuse and neglect includes both crisis intervention and long-term treatment. The mandated agency may provide services directly or by purchase of services from other agencies.
VENUE
Juvenile court venue refers to the county or counties within which a lawsuit may be initiated based on such factors as where the parents reside, where the child resides, or where the child is found.
VOIR DIRE
"To speak the truth." The procedure during which lawyers question prospective jurors, to determine their biases if any. Also the procedure in which lawyers examine expert witnesses regarding their qualifications, before the experts are permitted to give opinion testimony,
VOLUNTARY PLACEMENT Act of a parent in which custody of his/her child is relinquished without a formal court proceeding.
WAIVER
The understanding and voluntary relinquishment of a known right, such as the right to counsel or the right to remain silent during police questioning.
WARRANT
A document issued by a judge authorizing the arrest or detention of a person, or the search of a place and seizure of specified items in that place. Although a judge need not hold a hearing before issuing a warrant and although the party to be arrested or whose property will be seized need not be notified, the judge must be given "reasonable cause to believe" that a crime has occurred and that the warrant is necessary in the apprehension and conviction of the criminal. A warrant may be used by the Juvenile Court to take a child into custody for the purpose of protecting the child's health and welfare.
WITNESS
A person who has seen or heard something.
A person called upon to testify in a court proceeding.
|
Advance edited version
Human Rights Council
Thirty-third session
Agenda items 3 and 5
Promotion and protection of all human rights, civil, political, economic, social and cultural rights, including the right to development
Human rights bodies and mechanisms
Global issue of unaccompanied migrant children and adolescents and human rights *
Progress report of the Human Rights Council Advisory Committee
Summary
The present report was prepared pursuant to Human Rights Council resolution 29/12, in which the Council requested the Advisory Committee to develop a research-based study on the global issue of unaccompanied migrant children and adolescents and human rights and to submit it to the Council at its thirty-third session for consideration. The report was prepared by the Rapporteur of the drafting group on unaccompanied migrant children and adolescents and human rights, Carla Hananía de Varela, with the valuable contribution of Fabio Cano Gomez.
* The present report was submitted after the deadline in order to reflect the most recent developments.
Distr.: General
16 August 2016
Original: English
Contents
3
4
7
19
I. Introduction
1. In its resolution 29/12, the Human Rights Council requested the Advisory Committee to develop a research-based study on the global issue of unaccompanied migrant children and adolescents and human rights, in which it identifies areas, reasons and cases where that issue arises in the world, and the ways in which human rights are threatened and violated, and makes recommendations for the protection of the human rights of members of this population, and to submit it to the Council at its thirty-third session.
2. At its fifteenth session, the Advisory Committee established a drafting group for the preparation of the above-mentioned study, which currently comprises Mario Luis Coriolano, Laura Maria Crăciunean-Tatu, Hoda Elsadda, Carla Hananía de Varela (Rapporteur), Obiora Chinedu Okafor, Katharina Pabel, Anantonia Reyes Prado (Chair) and Changrok Soh.
3. The present report aims to provide a comprehensive analysis of the situation of unaccompanied migrant children from a human rights perspective. The analysis and recommendations contained in this report provide guidance for ensuring that the commitments assumed by States parties to the Convention on the Rights of the Child and other relevant human rights treaties are fulfilled. The fulfilment of those commitments guarantees the appropriate and timely protection of children who find themselves in situations of high vulnerability because they are forced to migrate unaccompanied by their parents or guardians. In line with article 1 of the Convention on the Rights of the Child, "a child means every human being below the age of 18 years unless under the law applicable to the child, majority is attained earlier". Unaccompanied children are children "who have been separated from both parents and other relatives and are not being cared for by an adult who, by law or custom, is responsible for doing so". 1
4. Two methodological tools were used to carry out the study: (a) an ad hoc questionnaire addressed to States, national human rights institutions, non-governmental organizations (NGOs) and international organizations; and (b) documentary research.
5. The drafting group developed questionnaires to seek the views and input of Member States, international and regional organizations, special procedure mandate holders and treaty bodies, national human rights institutions, civil society organizations and other relevant stakeholders. In total, 80 responses were received, of which 19 from States, 47 from NGOs, 13 from national human rights institutions and 1 from the United Nations Children's Fund (UNICEF).
6. The present report contains information about the rights of children who are forced to abandon their homes and lands, children with a life, rights and special needs related to nutrition, education, medical attention and protection from abuse. According to UNICEF, in 2014 60 million people were chased from their homes by war, violence and persecution, of whom an estimated 30 million were children. Worldwide, nearly 232 million people live beyond the borders of their native land; 2 among them are 35 million children, some of whom are not accompanied by an adult. 3 From 1990, rising insecurity and political instability have contributed to preventing mobility or have forced migrants to seek more
1 See Committee on the Rights of the Child, general comment No. 6 (2005) on the treatment of unaccompanied and separated migrant children outside their country of origin, para. 7.
3 UNICEF, "Protecting children on the move", briefing note (November 2015).
2 The Committee refers to people who leave their country of origin for different reasons.
distant destinations. There are three main categories of unaccompanied and separated children, each of which must receive a different response:
(a) Children separated from their family or caregivers during the move. Civil society and international organizations and social workers should take measures in reception and transit centres to enable prompt family reunification;
(b) Children who started their journey as unaccompanied or separated children and are currently travelling with groups of people. Most are males aged 14-17 years who avoid being registered or pretend to be young adults;
(c) Children who have interrupted their migration owing to a lack of resources. In the context of the European migrant crisis, children in this category are often found in urban areas in Greece and Italy and are particularly vulnerable to all types of abuse, exploitation, trafficking, enrolment by criminal groups and violence.
II. Main reasons why children and adolescents are forced or encouraged to migrate unaccompanied
7. The reasons why individuals migrate are often multilayered and depend on the country of origin, social and cultural background and personal or familial aspirations. In most cases of child migration, the immediate and structural causes are closely interlinked.
8. There are often important differences in the motivations of migrant children who apply for asylum and the motivations of those who do not. Children who seek asylum often flee their country out of fear of persecution or because of a generalized state of violence. Children who do not apply for asylum are often moved by the desire to find a better future. Moreover, such children do not always want to be registered or be cared for in reception centres, which greatly limits the information available on them.
9. Information provided by Central American States shows that, while there are several reasons why children migrate, the common factor is the multiple violations of human rights of children in their countries of origin: migrant children lack protection from different manifestations of violence, poverty, lack of opportunities, poor access to education and health services, maltreatment at home, different kinds of threats, intimidation and insecurity.
10. In Latin America, the low level of public education needs to be addressed. In the case of migrants from the "northern triangle" (El Salvador, Guatemala and Honduras), the level of education is insufficient to break the intergenerational transmission of poverty that constitutes a key factor in children's migration. 4
11. There has been much discussion in Central American countries about the new phenomenon of forced displacement, including of children and youth. There is an increasing movement of young people forced by threats and violence to migrate. Some States, such as Honduras, accept that forced displacement (internal and external) is the most important cause of migration, while others, like El Salvador, emphasize that the reasons for migrating are multilayered.
12. Some countries, like Colombia, have reported that many teenagers have left their places of origin owing to violence and have never applied for refugee status. This phenomenon is also beginning to show in some isolated cases in the Dominican Republic,
4 Information provided by the Dirección de Investigación en Derechos Humanos, Procurador de los Derechos Humanos, Guatemala.
where adolescents migrate to avoid violence and for economic reasons. For Bolivian and Ecuadorian children, however, the main motivation for migrating is economic. Cases of children and adolescents migrating as a result of natural disasters have also been reported, mainly in respect of Haiti.
13. As the difference in living standards and wages between countries of destination and of origin continues to grow, children are attracted to nations with higher standards of living and better job opportunities than they are able to find in their own countries. In regard to the migration flows to North America, for example, children have the perception that migrating northward is the best way of improving personal status and quality of life, given the gap between North and Central America 5 in terms of human development.
14. Many respondents to the questionnaire indicated that children view irregular migration as a "necessary risk" and perceive the authorities as an obstacle to reaching their destination; only in very few cases are they associated with the obligation to protect children's rights. 6
15. Extreme poverty has historically been one of the main reasons why children have left their homes, including in Central America. In Guatemala, 41.7 per cent of children suffer from chronic malnutrition; that percentage is even higher in regions with large indigenous populations. According to interviews conducted by the Social Welfare Department and the Attorney General's Office of Guatemala with 10,166 unaccompanied migrant children and adolescents in 2015, 67 per cent travelled in search of work, 23 per cent to reunite with their family, 2 per cent in search of better opportunities and 0.4 per cent without knowing the reason (population aged 0-5 years). Only 0.1 per cent mentioned direct violence as the reason for moving.
16. In El Salvador, the returnees care centre attended to 4,114 migrant children and adolescents between June 2014 and July 2015, of whom 45 per cent were unaccompanied. When asked about the reasons for migrating, 36.1 per cent of the children said they wanted to join their family, 31.7 per cent mentioned better living conditions and 27.48 per cent said they moved because of threats. 7 Violence has become a growing factor in migration in Central America. In Honduras, it has been reported that parents decide to send children abroad to prevent them from being recruited by gang members. 8
17. It is also difficult for asylum seekers to meet the strict criteria for family reunification through the regular channels. In Europe, adults often have to meet minimum income requirements before they can sponsor their children's migration in the context of family reunification (low-income migrant workers are excluded), which sometimes has a particularly discriminatory effect on migrant women. Despite the existence of common European Union legislation on family reunification, in some European Union member States there continue to be restrictions based on the age of the child and the family members who are able to sponsor the child. Furthermore, some migrant workers are unable to apply for official family reunification, as they are not legal residents in the country of destination. This leads to many children migrating unaccompanied or separated in order to join parents or other family members in countries of destination. 9
18. The International Organization for Migration (IOM) estimates that 2.2 million people, including 1.5 million children (55 per cent of the total), have been displaced
5 Centro de Derechos Humanos Fray Matías.
7 Returnee care centre.
6 Aldeas Infantiles SOS Nicaragua.
8 National human rights commission of Honduras.
9 Platform for International Cooperation on Undocumented Migrants.
internally as a result of the conflict in north-eastern Nigeria. It is estimated that there are nearly 400,000 Nigerian refugees and internally displaced persons in neighbouring Chad, in northern Cameroon and in the Diffa region of the Niger. In Zimbabwe, which has seen a steep increase in child migration flows in recent years, the main reported causes of child migration are: sexual abuse by caregivers, peer pressure, the death of a caregiver (mostly from HIV- and AIDS-related complications), the breakdown of traditional families, public budgets that do not prioritize child rights, deteriorating education standards, high school dropout rates and poverty. 10
19. In Senegal, children who agree to talk about the causes pushing them to migrate cite mainly economic reasons. Their parents entrust them to people who promise to find them work in neighbouring regions or other African countries. Most are subjected to the worst forms of child labour, however. 11 In Swaziland, children migrate mainly to flee from war and persecution and therefore try to go to a non-neighbouring country where human rights are respected. 12
20. In West and Central Africa, migration is strongly influenced by the region's rapid population growth. Conflicts in the Central African Republic, the Democratic Republic of the Congo, Mali and Nigeria result in huge numbers of people being displaced, a large proportion of whom are children. In addition, because of the high demand for cheap and productive labour, young people are very attractive to contractors. A high proportion of those active in agricultural fields, gold and diamond mines, stone quarries, the informal sector and domestic work are children working in exploitative conditions.
21. In Bangladesh, as in other Asian countries, there is a tradition of engaging in labour migration during the transition from childhood to adulthood. Children are urged to migrate as a passage to adulthood and are often forced by their families to leave and migrate in order to bring money to the household. Cultural norms and traditions contribute to children being trapped in poverty, increasing their vulnerability to abuse and exploitation. 13 These cases tend to also have a strong gender dimension, as is the case of the marriage market in India.
22. In May 2015, the European Migrant Network produced a synthesis report entitled Policies, Practices and Data on Unaccompanied Minors in the EU Member States and Norway. In it, the main reasons and circumstances encouraging children to migrate, as reported by the States receiving them, were grouped into three categories: a fragile environment, other reasons and special reasons.
Fragile environment
23. The following countries cited security concerns: Austria, Belgium, Bulgaria, Croatia, Cyprus, Germany, Greece, Finland, France, Hungary, Ireland, Italy, Lithuania, Malta, Poland, Portugal, Slovakia, Slovenia, Sweden, and Norway.
24. The following countries cited economic and aspirational reasons, including education: Austria, Belgium, Cyprus, Czech Republic, Estonia, Germany, Greece, Finland, France, Hungary, Ireland, Luxembourg, Malta, Poland, Portugal, Slovakia, Slovenia, Spain, Sweden and Norway.
10 Information provided by Terre des Hommes Zimbabwe.
12 Information provided by Caritas Swaziland.
11 Information provided by Caritas Senegal.
13 Information provided by Caritas Bangladesh.
Other reasons
25. The following countries cited domestic violence: Finland, Germany and Hungary.
26. The following countries cited the recruitment of child soldiers: Austria, Finland and Germany.
27. The following countries cited forced marriage: Austria, Germany and Norway.
Special reasons
28. The following countries cited reunification with family members: Austria, Belgium, Czech Republic, France, Germany, Hungary, Ireland, Luxembourg, Netherlands, Poland, Portugal, Slovakia and Slovenia.
29. The following countries cited joining the diaspora or a migrant community: Austria, Belgium, Luxembourg, Poland and Slovenia.
30. The following countries cited education, economic and aspirational reasons: Austria, Belgium, Cyprus, Czech Republic, Finland, France, Germany, Greece, Hungary, Ireland, Luxembourg, Malta, Netherlands, Poland, Portugal, Slovenia, Slovakia, Spain, Sweden and Norway.
31. Although there are different causes and categories of migrant children, the Committee on the Rights of Child recommends being cautious when trying to put migrant children into boxes. The complexity of the migration dynamics could make many children fall into several categories and the excessive categorization could prevent the carrying out of a comprehensive analysis of their human rights situation.
III. Situation of unaccompanied migrant children and adolescents
32. In the responses to the questionnaires, most States did not provide accurate data about the living, reception and transit conditions of unaccompanied migrant children. Important information has been provided instead by NGOs.
33. Migratory policies based on detention and deportation have failed to discourage irregular migration. Usually, transit migrants use less guarded and riskier areas. An increasing number of migrant families hoping to make the journey abroad contact traffickers, which may lead to the separation of children from their families, leaving most children without any protection. Migrant children usually choose to go through country roads and thus are not very visible to the local population, the organizations offering services and the immigration authorities.
34. Unaccompanied migrant children separated from their families are the most vulnerable group among all migrants; the lack of information about their situation is one of the most important barriers faced by institutions and States seeking to effectively protect their rights.
35. Across the European Union, age determination procedures are frequently intrusive and unreliable and unaccompanied children are often subjected to the same violations as undocumented adults. If apprehended and, in particular, if not recognized as children, unaccompanied minors face detention, 14 deportation and violence. 15 National authorities treat illegal entry into the country as a crime rather than as mere violation of administrative regulations.
36. During the first nine months of 2015, more than 200,000 children applied for asylum in European Union countries. 16 Some did not reach their destination. In the same year, nearly 700 children are believed to have died crossing the Mediterranean Sea. 17 Each day, 700 children arrive Europe, many of them exhausted and distressed and some in need of medical assistance. 18 In the former Yugoslav Republic of Macedonia, the number of unaccompanied children and adolescents increased six-fold, from 932 in August to 5,676 in October 2015. In the first months of 2015, more than 23,000 unaccompanied migrant children and adolescents applied for asylum in Sweden alone 19 and more than 30,000 were expected to apply in Germany by the end of 2015.
37. Most European States bordering the Mediterranean Sea are countries of both transit and destination. For example, in 2014 a total of 14,243 unaccompanied migrant children landed in Italy, of whom 3,707 absconded after landing and 10,536 were hosted in centres organized by local municipalities charged with providing reception. Up until August 2015, a total of 8,944 unaccompanied migrant children arrived in Italy. According to IOM, between January and July 2015 a total of 5,459 unaccompanied migrant children entered the country, 27 per cent (1,467) of them coming from West Africa (Gambia, Nigeria, Mali and Senegal).
38. In October 2015, 3,125 migrant deaths and missing migrants in the Mediterranean Sea were recorded, of whom 40 per cent were of unknown origin, nearly 32 per cent were from sub-Saharan Africa and 11 per cent from the Horn of Africa.
39. In Belgium, owing to a lack of reception places, children used to be housed in hotels with little assistance, in inappropriate reception structures or in adult shelters. In 2013 and 2014, however, there were enough places to accommodate unaccompanied children since – additional facilities were created, but especially since there was also a decrease in the number of asylum seekers. Nonetheless, since May 2015 there has been a sharp increase in the number of migrant children, putting the reception network under pressure once more.
40. In the midst of the biggest flow of migration in Latin America, Mexico is a country of origin, transit, destination and return. Among the migrants are children of Mexican and other origins intending to enter the United States of America and non-Mexican children who view Mexico as country of destination. In recent years, the arrival and irregular movement of children and adolescents in Mexico, mainly from Central American countries, has increased enormously. 20 According to the UNICEF office in Mexico, the number of unaccompanied migrant children and adolescents who were detected by Mexican immigration authorities increased by 333 per cent from 2013 to 2015. 21
14 In accordance with article 37 of the Convention on the Rights of the Child, migrant children should not be detained.
16 Eurostat.
15 Information provided by the Platform for International Cooperation on Undocumented Migrants.
17 UNHCR.
19 Swedish Migration Agency.
18 UNICEF, "Protecting children on the move", briefing note (November 2015).
20 According to the National System for Integral Family Development, most children and adolescents who are in transit or in an irregular migration situation in Mexico were adolescent males with basic education.
21 UNICEF Mexico.
41. In the United States, Customs and Border Protection officers and Border Patrol agents encounter and identify unaccompanied children. After carrying out the necessary administrative steps, they either transfer the child to an institution or, if permitted under the limited circumstances provided by law, arrange for the child's voluntary return. While they are assigned accommodation, migrant children should not be in the custody of Customs and Border Protection for more than 72 hours. However, they are in the custody of the Border Patrol for extended periods of time, in temporary locations and under conditions that affect their development and emotional health. 22
42. In 2015, the number of migrant arrests in the United States declined but the number of arrests and deportations from Mexico to Central America increased dramatically. This is due in some degree to pressure exerted by the United States on Mexico. 23 Despite the decrease in arrests in the United States, repatriation practices are still common. In 2014, 14,352 Mexican children were repatriated by the United States. The corresponding figure for the period from January to July 2015 was 6,772. 24
43. In Mexico, immigration authorities detain unaccompanied migrant children from Central America who are detected at points of entry and by patrols along railways and roads. According to the Migration Act, the National Institute of Migration shall remove the children and accommodate them in the facilities of the National System for Integral Family Development. Contrary to the amendment to article 29 of the Migration Act, however, children are detained for long and uncertain periods after being apprehended by the immigration authorities. 25 The National Human Rights Commission of Mexico has found that of 35 migrant holding centres only 11 have areas for families and more than 50 per cent lack specific spaces for the accommodation of children and adolescents. Moreover, the focus of migration policy in Mexico is on the detention and return of irregular migrants, including unaccompanied children. From January 2014 to June 2015, 14,864 unaccompanied migrant children were returned to their countries of origin. 26
44. Other sources reveal that more than 85 per cent of unaccompanied migrant children from Central America in Mexico end up being deported. Mexico does not comply with the 2011 reforms made in the Migration Act, including the requirement to consider the best interests of the child before repatriating migrants. 27
45. The massive number of child returnees and the lack of preparation to reintegrate them is a severe issue in Central America. Of the children arrested by immigration authorities in the United States in the first half of 2014, most came from Honduras (13,282), Guatemala (11,479), Mexico (11,577), El Salvador (9,850) and other countries (829). 28 For instance, from 2012 to July 2014, El Salvador reported that 5,411 children and adolescent migrants had been returned, of whom 96 per cent had come from Mexico; 34.7 per cent were girls and young women while 65.3 per cent were boys and young men. 29 In 2015, 3,091 unaccompanied child migrants were returned to Honduras, 7,545 to El Salvador and 9,613 to Guatemala. 30
22 Information provided by the Asociación de Consultores y Asesores Internacionales.
24 Mexico, Ministry of the Interior.
23 WorldVision Latin America and the Caribbean Regional Office.
25 Information provided by the Congregation of Our Lady of Charity of the Good Shepherd, Mexico.
27 Centro de Derechos Humanos Fray Matías.
26 Mexico, Ministry of the Interior.
28 See www.oas.org/en/iachr/media_center/PReleases/2014/067.asp.
30 Information provided by the ministries of foreign affairs of El Salvador, Guatemala and Honduras.
29 El Salvador, General Directorate of Immigration.
46. Although some Governments in Latin America have participated in special training sessions and workshops on childhood, migration and human rights, most migration officers have no personnel assigned exclusively to work with unaccompanied migrant children. There is almost no local authority or institution in the region that works specifically on that topic. Despite the fact that legal frameworks to protect migrants and children are well developed, there are no laws on unaccompanied migrant children as a specific category. Some countries, including Nicaragua, have no migration policy at all, which means that responses tend to be instrumental, short-term and uncoordinated. 31
47. In South America, internal migration in Paraguay constitutes a special case. Children are constantly displaced from rural areas to cities in order to be trafficked for labour exploitation. This practice, commonly referred to as "criadazgo", is widespread in Paraguay and is organized by contractors who pretend to provide protection. Children become involved in domestic work without any financial compensation, in exchange for shelter, food, clothing and education. According to the findings of the Permanent Household Survey, it is estimated that 46,993 children and adolescents (2.5 per cent of all children in the country) are in a situation of "criadazgo". Furthermore, authorities have perceived a strong social legitimization and normalization of the practice. 32
48. In Asia, the labour laws of countries such as India and Nepal allow the exploitation of child workers by defining 14 years as the beginning of adulthood. Caritas Bangladesh has reported that employers of children rarely consider the compensation they provide to child workers or their families as the fulfilment of duties to the children, nor do they see children as rights holders entitled to the right to fair treatment and compensation.
49. In India, which has the world's largest population of children, the migration of children within states and across state boundaries is increasing. Gender-related issues are common causes of migration and human rights violations; in India, the main cause of migration is gender-based discrimination and the low status of women in society, which results in child marriage, a decline in the ratio of women to men and a division of labour along traditional gender roles. Migrant girls are increasingly forced, as service providers, to fulfil the demand for a vast array of personalized services in the entertainment and sex industry, in domestic work and in the marriage market. 33
50. In South Africa, the number of irregular migrants is difficult to determine; estimates range between 2.5 million and 7 million. According to IOM, every week about 2,000 irregular migrants, mainly from Mozambique and Zimbabwe, are deported. Some 20 per cent of them are children. These figures indicate that about 1.6 million migrant children stay in Mozambique, South Africa and Zimbabwe.
51. According to the UNICEF Eastern and Southern Africa Regional Analysis Report 2014, the crisis in South Sudan has led almost half a million people to move. Over 70 per cent of those people are children who then seek asylum in neighbouring countries like Ethiopia, Kenya, the Sudan and Uganda. An estimated 35,000 are unaccompanied children.
52. Children transiting through Zimbabwe lack access to many social services. Once the children are outside the family environment they are often left by themselves and may be exposed to hard living conditions. That said, the reception conditions have improved in recent years as child reception centres have been set up by IOM, UNICEF and the
31 Information provided by Aldeas Infantiles SOS, Nicaragua.
33 As the ratio of females to males in India continues to decline, young girls are trafficked into the countryside and sold into marriage.
32 Information provided by Grupo Luna Nueva.
Government of Zimbabwe. Those centres provide basic social services for children and allow for family reunification.
53. A number of children in Africa are born in countries of transit in very precarious conditions. In Senegal, the phenomenon of talibés is growing. Talibé children are taken by marabouts (Koranic teachers) to cities, allegedly for the purpose of learning the Koran. In reality, the marabouts exploit the children and force them to pay money. Studies indicate that there are some 15,000 children without a family in Dakar who are victims of exploitation. In most cases, the children come from the southern regions or neighbouring countries like Guinea-Bissau. 34
54. In Haiti, the situation is among the most alarming in the Caribbean, as the country has no reception structures dedicated to children. Unaccompanied children are kept together with repatriated adults in transit centres operated by the Government. In general, the centres do not meet the general standards in terms of hygiene, water and appropriate food. 35
IV. Main human rights violations faced by unaccompanied migrant children and adolescents
55. A common denominator in almost every State is the lack of information about human rights violations faced by unaccompanied migrant children.
56. Specifically, the rights under the Convention on the Rights of the Child that are most often violated in respect of unaccompanied asylum-seeking children are the right to nondiscrimination, the right to development, the right to have a name and a nationality, the right to family reunification, the right to health and medical care, the right to education and the right to special protection measures; in addition, the principles of upholding the best interest of the child and of respecting the views of the child are often violated. 36
57. Unaccompanied migrant children are among the most vulnerable groups, as such children can be subjected to forced labour, drug trafficking, human trafficking and sexual exploitation. Some face a situation of even greater vulnerability because they lack documentation from their country of origin, making it difficult to regulate their migration status and to access social services when arriving in a foreign country.
58. Discrimination based on race and ethnicity still exists in the United States, even in governmental institutions. For instance, the Office of the United Nations High Commissioner for Refugees (UNHCR) interviewed 100 Guatemalan children aged between 12 and 17 years who had entered the United States and were in federal custody. Of the total, 48 per cent identified as indigenous and complained of racism and discrimination against their community. 37
59. Trafficking for the purpose of sexual or economic exploitation, the removal of organs and other forms of violence are the most severe violations experienced by migrant children in Paraguay. These situations prevent access to other basic rights such as the rights
34 Information provided by Caritas Senegal.
36 The international legal principles that prescribe the responsibilities of States to unaccompanied children are based on two main conventions: the Convention on the Rights of the Child, of 1989, and the Protocol relating to the Status of Refugees, of 1967.
35 Information provided by WorldVision Haiti.
37 Center for Gender and Refugee Studies, University of California Hastings College of Law, and others, Niñez y Migración en Centro y Norte América: Causas, Políticas, Prácticas y Desafíos (February 2015) pp. 49 and 125.
to education, health, housing and a life free of violence. In response to the questionnaire, Grupo Luna Nueva reported different kinds of violations: sexual and labour exploitation, organ trafficking and the trading of girls for animals.
60. Human trafficking flows originating from sub-Saharan Africa have occurred mostly within the region, with the majority of victims being children. According to the United Nations Office on Drugs and Crime, Africa and the Middle East accounted for 62 per cent of the global share of trafficked children between 2010 and 2012, the highest proportion in the world.
61. In many countries of destination, migrant children commonly acquire a debt with the trafficker/exploiter, who takes away their documents and uses threats and violence to subdue them. The situation does not always improve when the children are sheltered with local authorities. Children are said to be physically abused, both by civilians and by government officials, as in the case of unaccompanied Zimbabwean children in Botswana who were introduced illegally into the country. 38
62. Unaccompanied migrant children in the Democratic Republic of the Congo are victims of labour exploitation. They carry out heavy work for little money, for example in artisanal mining, a job that prevents them from going to school and does not provide medical care. 39 According to UNICEF, there are approximately 40,000 children working in mines across southern Democratic Republic of the Congo. Unaccompanied migrant children are sometime arrested and jailed in adult prisons, as there are no juvenile prisons. 40 A similar situation prevails in Malaysia, a State that does not recognize refugees and asylum seekers since it has not signed the 1951 Convention relating to the Status of Refugees. Children are constantly harassed by law enforcement officers and many have been captured and placed in immigration detention camps, where no difference is made between minors and adults. 41
63. In India, as in other countries in Asia, the exploitation starts from the time children leave home for the cities. On their way, they fear getting caught by the police. Once in the hands of an "agent", they are taken to an agency and kept there until work is found for them. Physical and sexual abuse by agents and employers has been reported. 42 In Bangladesh, similar cases of abuse have been reported.
64. Migrant children in Spain, whether accompanied or not, are subject to a regime that requires the administration to consider the best interests of the child in all proceedings affecting them. Nonetheless, there is no authority yet that specifically deals with children and young migrants. 43
65. Through its General Law on the Rights of Children and Adolescents, Mexico recognizes children and adolescents as rights holders and guarantees the full exercise, respect, protection and promotion of their human rights. All children are full subjects of the law. Therefore, they should enjoy the fundamental rights they are entitled to in their special capacity as persons in development, which are protected and embodied in international human rights instruments like the Convention on the Rights of the Child. In Mexico as is in many countries in Latin America, despite national and international laws and the important
38 Reports by Terre des Hommes Zimbabwe.
40 Ibid.
39 Information provided by Congregation of Our Lady of Charity of the Good Shepherd, Democratic Republic of the Congo.
41 Congregation of Our Lady of Charity of the Good Shepherd, Malaysia.
43 Information provided by the national ombudsman of Spain.
42 Information provided by Caritas India.
efforts made by Governments, there continues to be a big gap between the rights enshrined in human right treaties, their incorporation into domestic law and day-to-day practice.
66. In Chile, even children of migrants born in the country used to be registered as stateless because their parents were considered, owing to a biased interpretation of the Constitution, to be "foreigners in transit" (transeuntes). The legal definition of "foreigner in transit" changed two years ago, however, so that the term can only be applied to tourists and crew members. Children born in Chile of foreign parents are considered Chilean. Nonetheless, there are still reports of children who are registered as "children of foreigners in transit", which denies them the right to a nationality or official identity. 44
67. In some European States, including Austria, children have to apply for asylum in order to gain access to basic services and receive immediate legal representation, which is first provided by the legal adviser at the initial reception centre and subsequently by the provincial youth offices. Once the competent authorities have established contact with migrant children, the competent authorities should provide a solution that addresses all their protection needs, taking into account their views and favouring family reunification, except when that is against their best interest or against their will. Progress in that respect has been made in recent years. Specific laws based on the Convention on the Rights of the Child have been adopted to guarantee that children and adolescents will be heard on all matters affecting them.
68. In Guatemala, little has been done to enforce the right of children to freedom of opinion and expression; there are many obstacles to the fulfilment of this right, such as authoritarian attitudes among adults. 45 The immigration policy of Guatemala lacks a human rights approach, nor has the Government developed specific policies to protect, serve and assist unaccompanied migrant children. 46
69. El Salvador has an official mechanism for interacting with children in such a way as to take their views into consideration. An advisory council formed by children and adolescents representing the country's 14 departments has been operating since 2014. 47 In addition, the specialized staff of the national council for children and adolescents assists returnee children and conducts interviews with the aim of knowing their views, problems and needs.
70. In Paraguay, the code dealing with childhood and adolescence (arts. 44-47) established municipal councils for children and adolescents. The councils work with representatives of children's organizations. Despite the existence of such councils, many organizations in Paraguay continue to complain about the lack of real and effective spaces for active participation. 48
71. New laws concerning the reception of foreign protection seekers, for instance in Italy, envisage and consolidate children's right to be heard in all matters affecting them. In Belgium, a preliminary draft bill has been proposed that would ensure that all accompanied children have the right to be heard, without the presence of their parents or legal guardians, so that they can speak freely. 49 Furthermore, children already have the right to refuse accommodation provided by the responsible federal agency and to choose to live with an
44 Congregation of Our Lady of Charity of the Good Shepherd, Chile.
46 Information provided by the Dirección de Investigación en Derechos Humanos, Procurador de los Derechos Humanos, Guatemala.
45 Information provided by Casa Alianza Guatemala.
47 Information provided by Aldeas Infantiles SOS, El Salvador.
49 The bill is expected to enter into force in 2016.
48 Information provided by Grupo Luna Nueva.
adult, who often is a member of their immediate or extended family. Children leave a reception centre only once it is guaranteed that the adult in question can adequately accommodate them.
72. In Serbia, the lack of proper measures by the responsible institutions means that the language barrier hinders migrant children from explaining their situation. That also effectively renders them unable to express their own opinion and prevents the authorities from determining whether their choice was voluntary and what were the underlying reasons that motivated them to migrate. 50
73. In Honduras, there is a programme for underage foreign migrants, as part of which trained technical teams attend to that population. There is no national policy that deals with the issue of migrant children. Moreover, in the case of returnees, only one centre is specialized to assist Honduran migrant children returning from abroad and undocumented foreign-born children.
74. In Zimbabwe, migration policies take into account the protection of the rights of migrants, but the practical implementation of those policies remains a challenge. Zimbabwe recently passed the Anti-trafficking Act, which seeks to protect unaccompanied children. Furthermore, the establishment of reception centres for unaccompanied children deported from Botswana, Mozambique and South Africa (along the main borders in Beitbridge, Plumtree and Nyamapanda) is based on the protection of the rights of children. Those children are provided with basic social services such as temporary shelter, food, clothing, medical care and, if possible, family reunification.
V. Gender considerations
75. As almost no information is provided by States on violations of human rights of migrant children, information on gender-based violations is missing as well.
76. Despite the lack of information, gender does appear to have an impact on international migration patterns in Mexico. For instance, a teenager named Maya Mam stated in an interview that, in order not to be subjected to sexual abuse, she had to ask a male fellow traveller to introduce her to others as his girlfriend, a pretence for which he asked to be paid. 51 Heterosexual women are not the only ones to be the target of genderbased violence: discrimination and persecution has also been experienced by lesbian, gay, bisexual, transgender and intersex children. 52
77. Employment in domestic service is common for female migrants in Mexico, the vast majority of whom are under the age of 18. Female migrants from Guatemala tend to have indigenous origins. This vulnerable group has been subjected to labour exploitation and to have been denied minimum labour rights, such as a legal contract and a legal residence permit. Moreover, it is almost impossible for migrant girls to obtain temporary or permanent residence status given the costs involved and the interests of their employers. 53
50 National ombudsman of Serbia.
52 Information provided by the General Coordinator of the Mexican Commission for Refugee Aid.
51 Center for Gender and Refugee Studies, University of California Hastings College of Law and others (see footnote 38), p. 145.
53 Centro de Derechos Humanos Fray Matías.
78. The authorities in Guatemala report that in many cases the danger of rape is so high that traffickers themselves, in order to prevent pregnancy, 54 force teenage girls to undergo a contraceptive injection before starting on their journey.
79. Most victims of sexual exploitation are female. For instance, most of the unaccompanied migrant children in Italy originating from Nigeria who are reported to be victims of trafficking and exploitation are girls.
80. In Senegal, there is a clear gender dimension to the kind of work that migrants seek to engage in. Thus, domestic work is mostly designated to female migrants and jobs that require physical strength are mostly designated to males. The data indicate that migration has gradually become more "feminized" and that Senegalese girls represent two out of three victims of trafficking. 55
VI. Regional and inter-State coordination
81. For the purpose of effective decision-making and ensuring the legal rights of migrant children, many countries work with multi-agency coordination mechanisms involving the authorities of the federal public administration, international organizations, members of academia and civil society organizations. Various procedures are put in place between ministers, government agencies and local institutions for the purpose of sharing information and collaborating on the issue of migrant children, but in many cases these procedures are not efficient or designed from a human rights perspective.
82. Cooperation between countries in Latin America is focused on the arrest and repatriation of children and adolescents to their countries of origin, hence the invisibility of children as stakeholders. The need for protection is often absent in analyses of situations that expose children, which is why the granting of refugee status is not an option in most cases, despite the fact that children sometimes have legitimate reasons and are eligible for asylum. International collaboration is rarely focused on prevention. 56
83. At the regional level, Mexico is part of the Regional Conference on Migration, a multilateral forum on international migration for countries in the Caribbean and in Central and North America dealing with issues concerning countries of origin, transit, destination and return of migrants. The members of the Regional Conference on Migration have formed an ad hoc group on migrant children in order to promote immediate action and effective protection of unaccompanied migrant children during all phases of the migration. However, despite its importance, this effort has had little real impact.
84. Regional treaties to which Mexico and States in Central America and the Caribbean are parties do not impose specific obligations on countries of transit or destination with respect to guarantees for children in migration processes, such as the prohibition of detention, due process and the principle of the best interests of the child. 57 Regional bodies such as the Central American Integration System and the Central American Commission of Directors of Migration 58 have been key to the dialogue and the implementation of decisions on migration. Although regional agreements for the free movement across borders such as the Central America Four-Border Control Agreement and the single Central American visa
54 Information provided by Aldeas Infantiles SOS, Guatemala.
56 WorldVision Latin America and the Caribbean Regional Office.
55 Information provided by Caritas Senegal.
57 Centro de Derechos Humanos Fray Matías.
58 The Central American Commission of Directors of Migration is an initiative embedded within the Regional Conference on Migration.
have favoured mobility within the region, efforts must be made to ensure the effective protection of rights and the social integration of Central American migrants. There has not yet been effective collaboration.
85. In 2014, the Inter-American Court of Human Rights issued its advisory opinion No. 21 on the rights and guarantees of children in the context of migration and/or in need of international protection. The advisory opinion was issued in response to a request made in 2011 by the States that were members of MERCOSUR at the time, namely Argentina, Brazil, Paraguay and Uruguay. It was the first time that a block of States appeared before the Inter-American human rights system with a common position on an issue of concern for the protection of human rights in the region. Advisory opinion No. 21 is a regional achievement that provides novel guidelines that define and expand the scope of the rights and interests of migrant children. Furthermore, the opinion highlights the principle of the primacy of childhood over immigration policy and, in that regard, the principle of upholding the best interests of the child in all measures adopted under immigration proceedings.
86. Youth Care is a network of private organizations structured by regional authorities in Belgium. Through the network, non-governmental entities organize services that are, however, recognized and funded by the Government. All children, regardless of their age and the moment of reception, can at any time be referred to Youth Care, on condition that they have "special" needs recognized by the authorities. The services provided include reception in residential structures, foster care and guidance on living alone. Given the nature of the services and the kind of funding available, Youth Care assists in a very different way from how federal agencies operate in terms of the type of accommodation and infrastructure, the number of staff, the training provided to staff and the number of children living together. There are long waiting lists, however, for gaining access Youth Care services and the network is not able to meet all the needs of the youngsters.
87. In Europe, there is some institutional collaboration for the purpose of protecting unaccompanied children seeking asylum. The Dublin III regulation on family reunification calls for collaboration on a case-by-case basis.
88. In Southern Africa, efforts have been stepped up through the implementation of joint projects involving three countries. For example, the "Destination unknown" campaign, which is being implemented in Mozambique, South Africa and Zimbabwe, is being funded by Terres des Hommes Germany. That said, regional efforts and coordination need to develop significantly if unaccompanied migrant children are to be protected. 59
VII. Role of civil society
89. Many countries with serious migration issues have strengthened the relationship between Government and civil society. In that regard, States recognize the work that civil society organizations do in order to serve, assist and guide migrant children in their primary or basic needs, as well as in the promotion of their human rights. Other reports, however, such as the one presented by Caritas Myanmar, indicate that there continues to be a lack of collaboration between government entities, international and national NGOs and United Nations organizations.
90. Civil society plays a prominent role in uncovering the problem of insecurity, providing services and a range of institutional networks with experience in migration and
59 Information provided by Terre des Hommes Zimbabwe.
ensuring that States guarantee all the fundamental rights of unaccompanied migrant children.
91. Civil society intervenes in the area of prevention and in responding to the abuse, neglect, violence and exploitation of children; they make sure that children have legal documentation and that durable solutions to the specific needs of children are met, taking into primary consideration the best interest of the child. Many organizations provide educational and medical assistance, psychosocial support, food, shelter, water and sanitation. Some NGOs have even brought legal actions in the case of severe violations committed inside government agencies.
92. There are international NGOs and global networks like Casa Alianza and ECPAT International that promote training programmes for staff and experts in the police, social workers and youth welfare authorities on measures to protect child refugees from trafficking and sexual exploitation and on general human rights protection.
93. Civil society has significant experience in communication and raising awareness of the need to respect the human rights of migrant children. Thus, civil society organizations have tried to reach institutions, social organizations, children, the media and the general public in order to convey their views, generate structural changes and influence public policies.
94. NGOs have demonstrated a far better level of coordination and cooperation than States on migration issues. As an example, Caritas works with governmental and international organizations for the protection of children. Caritas partners include national ministries, UNICEF, IOM and the United Nations Educational, Scientific and Cultural Organization. In Guatemala, there is a group coordinating civil society action on migration, in the framework of which organizations such as Casa Alianza have participated in the construction of proposed policies and in advocacy before the commission for migrants of Congress. Moreover, the Regional Network of Civil Organizations for Migration represents civil society organizations and individuals from 11 countries in Latin America at global forums.
95. In Africa, the civil society organization Terre des Hommes plays the role of an umbrella body for all NGOs dealing with children's rights in Zimbabwe. It coordinates activities and advises the Government on how to protect the rights of migrant children. It monitors and evaluates every activity through periodic reports on the state of children's rights in Zimbabwe, which are then sent to the Committee on the Rights of the Child and the Working Group on the Universal Periodic Review of the United Nations, the African Committee of Experts on the Rights and Welfare of the Child and the Southern African Development Community. 60
96. Thanks to the useful cooperation among all relevant stakeholders operating in the centres financed with European funds, many families have been reunified. For instance, in Italy a father living in France was reunified with his children, who had no documents proving their identity; the reunification was made possible by a DNA test.
97. The Federal Association for Unaccompanied Minor Refugees has been working to improve the legal situation of children who arrive in Germany without the support of a guardian through a project to enhance the social integration of young refugees. Numerous obstacles often hinder integration, yet many adolescents succeed in actively leading a socially committed life and fulfilling their personal goals. 61
60 Ibid.
61 ECPAT International, Germany.
17
VIII. Recommendations
98. The Advisory Committee recommends that Member States should:
(a) Whether they are countries of origin, transit or destination, adopt a human rights perspective and assume the same protection-related responsibilities towards unaccompanied and accompanied migrant children, as the human rights of children have no nationality or border;
(b) If they are States of origin, reinforce their legislative, administrative, budgetary and political efforts to prioritize the rights of children, address the lack of basic requirements, such as education, food and training for work, and provide special protection against all forms of violence and discrimination, which are basic reasons why children decide to abandon their lands. Local, national, regional and international protection systems should be revised and strengthened. In most cases, the problem is not the lack of legislation or of programmes designed to protect migrant children but the lack of effectiveness in their application; 62
(c) Design and implement migration policies guided by the child's best interests and ensure that there are funds earmarked for child migrant issues in the budgets of the main government agencies;
(d) Whether they are States of origin, transit or destination, implement a participatory national policy on child migrants. Such a policy would be based on a human rights approach and take into account the financial, economic, social, cultural and administrative aspects of child migration, in particular in relation to child trafficking and labour exploitation;
(e) Eliminate the gap in the living conditions of unaccompanied migrant children and the living conditions of children in the care of welfare authorities. Unaccompanied migrant children should not be discriminated against because of their migration status;
(f) Make efforts to change the negative perceptions of migration in order to end the criminalization of migrants. In many countries migration issues continue to be dealt with from a perspective that prioritizes the protection of borders and security rather than the protection of human rights;
(g) Bring domestic law into line with international standards, and review outdated practices and laws. Many countries are not yet respecting the individual rights set out in the Convention on the Rights of the Child. For example, regulations on the grounds for expulsion and the procedure for carrying out such expulsion do not make special mention of children. Meanwhile, legislation aiming at the protection of children does not take into consideration the particular situation of unaccompanied migrant children;
(h) Develop boundary committees that allow partners from countries of origin, transit and destination to meet and discuss issues and problems of common interest, and improve coordination for more effective and efficient protection of the rights of unaccompanied migrant children;
(i) Make efforts to incorporate, at every level of the migration and reception system, staff who have been specially trained in how to treat children and in the rights of the child. Regular training sessions for officials on how to treat unaccompanied migrant children should be organized and implemented by the State;
62 Congregation of Our Lady of Charity of the Good Shepherd, Mexico.
(j) Ensure that the support centres serving as first points of contact for unaccompanied migrant children have special and secure accommodation solely for that particular group of children;
(k) Establish programmes, in centres, that give priority to the social integration of migrant children, including language and integration courses, learning support, educational programmes and preparing for independent living;
(l) Provide information to migrant children that is adapted to their age and cultural conditions, using simple and clear language and the support of an interpreter, if necessary;
(m) Process quickly and efficiently any application for asylum by an unaccompanied child and ensure that, in the meantime, applicants are housed in shelters that meet international standards;
(n) Continue to care for unaccompanied migrant children in the country of destination, to support their transition to adulthood in that country;
(o) Take into account the different categories of unaccompanied migrant children, their characteristics and their situations, in the design of policies and programmes aimed at the realization of their human rights. Doing so should not, however, lead to abandoning a holistic approach to children's rights.
IX. Best practices
99. In order to face the increase in unaccompanied migrant children in Italy, a new system was implemented in 2015 with the aim of setting up first-aid reception centres dedicated to migrant children. 63 The first health-care actions taken in respect of children in Italy are regular steps aimed at the identification of any physical or psychosocial problems, at the very early stages, in order to ensure adequate health and educational support during the rest of the reception procedure. Customized psychosocial support is needed because of the psychological and physical stress caused by the journey and the painful personal experiences of migrant children.
100. In some countries, social workers, guardians, educators or legal representatives are assigned to an unaccompanied migrant child before the asylum procedure begins. 64 Those persons accompany the child from the beginning of the application (first interview) throughout the entire asylum-seeking process until a final decision is issued and applied. 65 Asylum-seeking children have by law access to legal information from the beginning.
101. In many countries, operators of asylum centres are responsible for providing schooling and other services aimed at maintaining and developing the skills of children. Some national education laws have safeguards to ensure equal access to education for all migrants at all levels. For instance, Germany is a desirable destination for migrant children because of the support they receive and the special treatment granted by youth welfare
63 Information provided by the Ministry of Foreign Affairs and International Cooperation of Italy.
65 In the United States, legal representation is provided to children in certain cases only. The United States is not a party to the Convention on the Rights of the Child. Nevertheless, children have the right to be represented in legal proceedings by counsel and there are various programmes available to assist them.
64 In some countries, temporary and permanent residence permits are granted to children only if the application has been made by a legal representative.
authorities. 66 Children in initial reception centres are quickly assigned to residential groups and different measures — such as courses, including language courses, and school assignments — are taken to foster integration. 67
102. In Azerbaijan, some shelters provide food three times a day, special medical assistance, housing and local language classes. Moreover, the United Nations High Commissioner for Human Rights has the right to enter any of the housing centres without prior notification and make recommendations that have to be implemented within a defined period. Not every unaccompanied migrant child receives respectful and proper treatment in Azerbaijan, however. As reported by the local ombudsman, children living on the streets have been picked by NGOs and placed in shelters, where they received no effective rehabilitation or professional legal aid. 68
103. In some cases, as in Denmark, the institution that provides housing and shelter for unaccompanied migrant children is the same that takes cares of non-foreign children in need. That is also the case of Spain, where migrant children are often in centres with Spanish children in need of protection.
104. In Lithuania, government institutions coordinate most efficiently when returning migrant children, which they do without prioritizing what the child wants and without taking properly into consideration the situation that the child is going to find in his or her country of origin. If an unaccompanied migrant child is not returned to his or her country, he or she is provided with a temporary residence permit that is valid for no longer than one year. 69
105. In Belgium, the Flemish parliament has approved the implementation of a decree on "integrated youth care" that makes no distinction between asylum seekers and non-asylum seekers, giving rights and legal status as someone in need of protection to every migrant child irrespective of his or her origin and personal history. In 2009, the Government of Belgium established a task force on unaccompanied migrant children that examined possible actions to reduce the risks run by this group of migrants, particularly the risk of being a victim of smuggling and human trafficking. The task force addressed several recommendations to the minister in charge and emphasized prevention, detection, identification and monitoring of unaccompanied children in situations of potential abuse.
106. The German Federal Child Protection Act applies to everyone under 18 years of age, including unaccompanied migrant children and adolescents. The local youth welfare authorities are responsible for taking concrete action to ensure the well-being of children but these comprehensive protection measures cease to be applicable as soon as the person turns 18. 70
107. Pursuant to article 37 of the Convention on the Rights of the Child, the detention of unaccompanied migrant children is a serious human rights violation, although an exception is made in some countries, including Belgium: if a young person arrives at a border and there is a doubt about his or her age, he or she can be held in detention for three working days and, under exceptional circumstances, for another three working days. Once the person's minority has been proved, he or she has to be transferred to an observation and orientation centre within 24 hours.
66 ECPAT International, Germany.
68 Information provided by the national ombudsman of Azerbaijan.
67 Information provided by the Congregation of Our Lady of Charity of the Good Shepherd, Germany.
69 Information provided by the national ombudsman of Lithuania.
70 ECPAT International, Germany.
108. Migrant girls are seldom accorded special treatment. However, specific measures, such as the use of women interviewers within migration services in order to interview female victims, have been recorded in Azerbaijan.
109. In an initiative to recover the national culture and identity of Azerbaijani migrants, the ombudsman of Azerbaijan met with representatives of the Azerbaijani diaspora in Norway and Prague and donated secondary school textbooks and publications about the history and literature of Azerbaijan. 71
110. Several States members of the European Union have implemented prevention and development projects in third countries to try to address the situation of unaccompanied minors who seek to travel to the European Union. Belgium has carried out several awareness-raising missions to the countries of origin of large groups of migrants. The Netherlands and Slovenia have implemented bilateral projects with Afghanistan. And Spain has implemented a project to prevent irregular migration from Senegal.
111. As a State with serious migration issues, Mexico has specific institutional capacities for the protection of migrant children. The National System for Integral Family Development, through the Programme for the Protection and Integral Development of Children, coordinates and oversees the operation of a strategy to prevent children from migrating unaccompanied and to treat unaccompanied migrant children. Its aim is to harmonize the efforts and actions of the three branches of government, private entities and national and international civil society organizations to address the needs of young migrants, including children, and returnees.
112. Most European countries have national programmes for protecting, receiving and assisting migrant children. Some European countries are implementing interventions aimed at creating a well-defined reception system with highly specialized structures and special facilities. For instance, the Danish Immigration Service has two teams specializing in interviewing unaccompanied children. Furthermore, it has developed internal guidelines and all caseworkers are trained in interviewing techniques so that they are able to approach unaccompanied children with age-appropriate questions.
113. In Italy, humanitarian visas are now being granted to vulnerable children who do not receive refugee status. The procedure for granting humanitarian visas is established in Italian law.
71 Information provided by the national ombudsman of Azerbaijan.
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Modeling Observational Crowdsourcing
Arturo Castellanos 1 , Roman Lukyanenko 2 , and Veda C. Storey 3
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1 Baruch College, CUNY, New York, NY United States 2 HEC Montreal, Montreal, QC, Canada 3 Georgia State University, Altanta, GA United States firstname.lastname@example.org, email@example.com, firstname.lastname@example.org
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Abstract. Crowdsourcing is an efficient way to engage the general public in making contributions to the production of goods and services. Studies have shown that observational crowdsourcing, as a continuous activity, has many potential benefits to society. However, a major challenge is how to model a crowdsourced activity. In this research, we provide guidelines for modeling observational crowdsourcing, focusing on user interfaces, data collection, data sharing, and interoperability. These guidelines are represented and illustrated by the application of a systemist ontology and the implications of doing so discussed.
Keywords: Observational Crowdsourcing · Crowdsourcing · Upper Ontology · General Systemist Ontology
1 Introduction
The last decade has seen the rise of crowdsourcing, whereby an organization, or even an individual sponsor, enlists members of the general public (the crowd, contributors) to produce data, goods or services [1], [2]. One of the most popular types of crowdsourcing is observational crowdsourcing; that is, "continuous, on-going process that involves observing or sensing the broader environment" [3, p. 3]. Notable examples include: eBird.org, a bird reporting project and one of the first online crowdsourcing initiatives founded in 2002; iSpotNature.org, a global platform to collect sightings of wildlife; and Rocksolid.com, a citizen engagement platform to support urban environment improvements. Observational crowdsourcing is widely used to support general management of global problems, such as pandemics (including COVID-19 [4]), climate change, overexploitation, invasive species, land use change, and pollution [5], [6].
Despite its potential, a major challenge is designing platforms is to engage crowds in this type of crowdsourcing. There is a much recognized need "to support observational crowdsourcing with innovative data management solutions" [3, p. 10] that would ensure decisions informed by available data, even when the insights are gained from the general public, and to do so in an innovative and cost-effective way.
The objective of this research is to propose a conceptual modeling approach to observational crowdsourcing to address the challenges associated with modeling
Copyright © 2020 for this paper by its authors.
Use permitted under Creative Commons License Attribution 4.0 International (CC BY 4.0).
crowdsourcing activities and to derive guidelines for modeling such activities. To do so, we apply principles from ontology to take a system view of the problem. The resulting guidelines focus on user interfaces, data collection, data sharing, and interoperability. The guidelines are presented using an upper-level ontology [7], the General Systemist Ontology (GSO), which describes the most general, domain-independent categories of reality. We conclude by discussing the implications of our work and suggesting future research opportunities.
2 Background: Observational Crowdsourcing and Ontology
Observational crowdsourcing continues to suffer from many challenges related to the design, development, and effective use of crowdsourcing platforms. We focus on three issues widely accepted as central challenges in observational crowdsourcing [8]–[10]:
- Crowd Information Quality Challenge— or CrowdIQ [11]. A major challenge in observational crowdsourcing is ensuring that the data produced by online crowds are of high-quality for subsequent analysis and action. From a modeling perspective, it means having conceptual structures that facilitate accurate and complete data reporting, storage and retrieval.
- Crowd Usability Challenge. To ensure crowdsourcing engages wide and diverse audiences, a major challenge is designing easy-to-use interfaces [12], which we call "Crowd Usability". From a modeling perspective, this translates to developing representations that are both intuitive and accessible to many people.
- Crowd Interoperability Challenge. Many crowdsourcing projects, especially of a scientific nature (online citizen science), seek to be maximally transparent and open to allow for active data sharing, which we call "Crowd Interoperability." From a modeling perspective, it requires creating structures that promote interoperability.
Research increasingly seeks solutions to these challenges. Notable approaches to Crowd Information Quality, for example, include restricting user participation to experts within crowds [13]; developing standardized protocols that can be distributed to volunteers, along with tutorials and instructions [8]; and leveraging redundancy, for example, by asking multiple participants to observe on the same phenomena and aggregating the results [14]. Limitations of these approaches include expert crowds suffering from "tunnel vision," strictly adhering to the task at hand, and ignoring valuable, unusual details [15]. Furthermore, restricting participation to experts misses an opportunity to engage with broader audiences.
Research is also exploring ways to improve Crowd Usability. One approach is to design interfaces and collection protocols to be as simple as possible; that is, "to design for dabblers" [12] or use very few and simple data collection options, referred to as "basic classes," such as bird, tree, or fish in the collection of wildlife observations [16]. Another modeling solution is to use novel instance-based modeling, which collects information in terms of unique instances and their attributes [17]. Potential limitations of these approaches include limited expressivity of data based on simple domain models and difficulty in using sparse and heterogeneous instance-based data.
To address Crowd Interoperability issues, there are efforts to recommend adoption of standardized protocols for data collection [18], but these remain contested [19], and often have different interfaces and approaches to collecting the same types of phenomena [20].
Additional progress on the three observational crowdsourcing challenges could be made by adopting ontological foundations that can represent observation crowdsourcing. Various ontologies have been adopted or developed within the IT research community, including DOLCE [21], Unified Foundational Ontology (UFO) [22], social ontology of Searle [23], General Formal Ontology [24], and the Bunge-Wand-Weber (BWW) [25], [26]. Prior research has already used select notions from an ontology to support crowdsourcing (e.g., [17], [19] which borrowed the notion of things and attributes from Bunge Wand Weber (BWW) [27]). However, no systematic attempt has been made to ground observational crowdsourcing into a specific ontology.
3 General Systemist Ontology - GSO
General Systemist Ontology (GSO) [28] is a new ontology based on the more recent ideas of Mario Bunge [29]. GSO appears to be especially well-suited for modeling observational crowdsourcing, as it explicitly deals with observations and systems [28]. GSO claims the world is made of systems: "everything is a system or a component of a system" [30, p. 23]. (See Table 1 for some of GSO's constructs). When systems interact, they transfer energy from one another. This leads to change in states, as they acquire or lose their properties. This produces events (a single change from one state to another). Multiple events form processes: defined as "a sequence, ordered in time, of events and such that every member of the sequence takes part in the determination of the succeeding member" [31, p. 172].
Table 1. Selected constructs of the General Systemist Ontology, from [28]
| | Construct | | Definition | Source |
|---|---|---|---|---|
| Fact | | whatever is the case, i.e., anything that is known or assumed - with some ground - to belong to reality | | [28], p. 171 |
| Object | | whatever is or may become a subject of thought or action | | [28], p. 174 |
| Observation (direct observation) | | purposeful and enlightened perception: purposeful or deliberate be- cause it is made with a given definite aim; enlightened because it is somehow guided by a body of knowledge. | | [28], p. 181 |
| Observation (indi- rect observation) | | hypothetical inference employing both observational data and hypoth- eses. | | [28], p. 181 |
| Phenomenon | | is an event or a process such as it appears to some human subject: it is a perceptible fact. | | [28], p. 173 |
| System | | complex object every part or component of which is connected with other parts of the same object in such a manner that the whole possesses some features that its components lack – that is, emergent properties. | | [27], p. 205 |
Events, processes, phenomena, and concrete systems are instances of the mental concept of fact. Facts are kinds of objects: "whatever is or may become a subject of thought or action" [31, p. 174]; that is, "known or assumed - with some ground - to belong to reality" [31, p. 171]. Thus, through the notions of facts, GSO connects the fundamental ideas about the composition of reality to the mental world of humans. This makes observation (direct or indirect) a central construct at the nexus of ontology and epistemology. To further increase objectivity, especially when observations are those of humans, Bunge suggests that "observation results of the same kind should be reproducible by qualified observers; otherwise it should be kept in suspense. Exact duplication is desirable but not always attainable." [31, p. 186]. GSO introduces phenomenological considerations as well as the path from phenomena to human theories and mental models about the world. This is a notable departure from BWW, which focuses on the physical composition of reality (with the exception of the notions of classes and attributes, which are also part of GSO).
4 Guidelines for Supporting Observational Crowdsourcing
GSO is based on an ontological primitive, which is a "system." This is a fundamental construct which permeates the entire set of beliefs captured by this ontology. The focus on systems is primarily expected to improve usability and interoperability. Having identified and modeled the systems of interest to a given project, designers can then request that online crowds observe and report on these systems. The users can then enjoy the flexibility of either treating the objects of their observation as a complex phenomenon (i.e., a system), or as an individualized object. Both should be accommodated by the interfaces built based on GSO. This contrast, for example, with modeling approaches that focus on individual objects. As systems accommodate both perspectives, data generated on GSO-based platforms become compatible among them.
Some systems are still "individualized" entities (simply meaning we can abstract away their systemic properties). An observer can point to a system and describe it using its specific, attributes (which purport to represent the underlying properties). This ontological primitive can be used in many crowdsourcing initiatives which focus on mapping, tracking and representing individualized phenomena. For example, birds, fish, animals, consumer products, are all accommodated through the notion of a system from this point of view. This has been the focus of ontological studies [19], [32] that deal with crowdsourcing projects that focus on the identification of plants and animals.
At the same time, the notion of system in GSO goes beyond "individual" objects. Indeed, a notable limitation of thinking about the world from the point of view of individual things, is the difficulty in applying this notion to crowdsourcing projects that deal with phenomena without a clear identity or clear boundaries [33].
Thus, the notion of systems accommodates projects which are interested in clouds, algae, waves, sounds, wind, among others [34]. It is more "natural" to think of forces or fields as systems, rather than things [31]. Indeed, the systemic approach provides a broader foundation for crowdsourcing, seemingly accommodating most projects. Based on our observations, we introduce four guidelines that support observational crowdsourcing:
- Guideline 1 – Design for systems: Consider the basic element of an application to be modeled as a system.
GSO postulates that any system can be understood in terms of composition, environment, structure and mechanism (CESM). We refer to this as the CESM model of CSO. The CESM model of GSO suggests specific ontological constructs for describing systems. These can be directly used in conceptual modeling. A conceptual model of a domain can contain elements consistent with CESM and propagate these into data collection and interface design choices. For example, a project collecting observations on lichens, can ask participants about the structure of the lichen observed, the host to which the lichen is attached (its environment), the individual strands that make up a collection of lichen, as well as the properties of these individual strands. With such an approach, projects can thus collect more complete data on systems of interest, by adopting CESM, thus increasing the value of such data for insights and actions.
Projects focused on interoperability can tag the elements of data collection as belonging to one or more of these basic elements. This would support the integration of data across different projects. Effectively, the CESM model can then become a structuring device for either creating data collection interfaces or sharing the data across different platforms.
- Guideline 2 – Model based on CESM: Consider CESM elements as a device for obtaining information on the reported system.
A large variety of crowdsourcing projects request contributors to take a "snapshot" (picture) observation of phenomena. For example, a contributor could be asked to describe an observed whale, with the user interface simply requesting the date and time of the observation. While this may be suitable and pragmatic for many projects, GSO suggests that the crowdsourcing community consider change in systems more deeply. As GSO postulates, all concrete things change, with change as a fundamental property. For GSO, change is understood in terms of the change of properties (attributes) of systems. These may be the properties of the system itself, its environment, or its subsystems. Note that GSO explicitly understands "observation" as either an observation of state (i.e., static representation of system) or observation of an event or a process (i.e., the change in the system). The latter two have been underutilized in crowdsourcing projects. Furthermore, very few crowdsourcing projects adopt a process view. The vast majority are "spot" observations [3], [34]. This denies a valuable opportunity to better understand how phenomena evolve, limiting the amount of data about the system and the kinds of inferences and insights that could be drawn. It is unlikely that there will be improvements to usability from following this aspect of GSO. However, there can be important implications for information quality. As more information is collected, and more opportunities emerge that can improve accuracy through better understanding of the phenomena, interoperability can improve by providing a common basis for modeling and representing change.
- Guideline 3 – Design sensitive to change: Consider a system as something not static but under constant change.
GSO provides an explicit conceptualization of the "observation" construct. Specifically, an observation of some observable fact about an underlying system. For GSO, facts can be mental conceptions of events, processes, phenomena or concrete systems (i.e., states). An observation describing the fact also includes an observer, the circumstances of observation and observation tools, making a given observation a 4-tuple (e.g., "w observes x under y with the help of z"). This formalization of the observation objects is directly applicable to observational crowdsourcing and stands to benefit all three crowd challenges.
Modeling Guidelines and the Crowd Challenges Addressed
| Guideline | Description | | Crowd Challenges Ad- |
|---|---|---|---|
| | | | dressed |
| G1: Design for systems | It is natural to think of forces or fields as systems, rather than things. Parts or components of systems are systems themselves. | Crowd Usability Crowd Interoperability | |
| G2: Model based on CESM | In GSO, any system can be understood in terms of its composition, environment, structure and mechanism (CESM), suggesting ontological constructs for describing systems. | Crowd IQ Crowd Usability Crowd Interoperability | |
| G3: Design sensitive to change | GSO provides the vocabulary and a way to conceptualize change [of properties of the system itself, its environment, or its subsystems]. | Crowd IQ Crowd Interoperability | |
| G4: Model the observa- tion construct | In GSO, an observation describing a fact includes the ob- server, the circumstances of observation, and the observa- tion tools | Crowd IQ Crowd Usability Crowd Interoperability | |
First, GSO reminds crowdsourcing projects that an observation made by a contributor is not a direct projection of the underlying system (because most facts are not directly observable). Rather, this is what an observer, from their own point of view, and with the help of their own observational tools, has detected and wishes to convey. For example, an observer watching from afar using a spotting scope a group of Kittiwakes (birds) sitting on an iceberg, close to a glacier. This perspective emphasizes the importance of understanding the observational tools; that is, knowledge and physical equipment used in making observations. Data resulting from crowdsourcing projects should be analyzed and interpreted by being cognizant of the knowledge and the equipment available (or assumed to be available) to the contributors. It is well-recognized that, to improve information quality, understanding the context of data capture is paramount [35], [36]. This also means that crowdsourcing projects may benefit from collecting additional information on the knowledge and equipment used to contribute observations, which is something that rarely occurs in projects. Rather, crowdsourcing projects are often narrowly focused on collecting data on the phenomenon of interest.
Second, the formalized notions of GSO can be used for standardization of interfaces and data collection, increasing interoperability and data exchange among projects. Third, GSO insists on the need for greater transparency and reliability of observations. Bunge asserts that multiple observations of the same system, including by multiple observers, as well as the same observer over time, should all be conducted in a public and transparent manner. This is needed for ensuring that the observational data faithfully depicts the underlying observed system. This idea is not new to observational crowdsourcing; for example, redundancy can be exploited within crowds by asking multiple people to report on the same thing, a frequently employed strategy. GSO provides theoretical justification and a conceptual framing for pursuing this strategy.
- Guideline 4—Formalization and standardization of the observation object: Collect additional information about the observer, the circumstances of an observation, and observation tools.
Table 2 summarizes the Modeling Guidelines based on GSO and the primary crowd challenges addressed by the guidelines. Overall, these guidelines provide an ontological foundation to observational crowdsourcing and have the potential to address the three focal challenges of this domain.
5 Conclusion
Observational crowdsourcing is now a prolific practice, engaging millions of people and thousands of organizations globally. Despite the mounting evidence of successes, it has numerous challenges due, at least in part, to the lack of a common theoretical foundation. This research leverages a new high-level ontology, General Systemist Ontology [28], as a basis for modeling observational crowdsourcing. Based on our analysis, the General Systemic Ontology appears to have the potential in improving user interfaces, data collection processes, data sharing, and interoperability in observational crowdsourcing. Nevertheless, future research is necessary to fully synthesize and empirically evaluate the benefits and limitations of GSO for observational crowdsourcing.
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