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Issue 15
6
th
Jan
2017
Sandford Hill Primary School, Clayfield Grove, Longton, Stoke on Trent, Staffordshire, ST3 5AQ
School website: www.sandfordhill.org.uk email: email@example.com Telephone: 01782 235518 or 235781
Words of Welcome…… Welcome back everyone to our first newsletter of 2017. Listening to the children this week, it seems that they all enjoyed the Christmas period and have now returned to school with batteries recharged. I spoke with the children in this morning's assembly about my holiday visit to London to watch the firework celebrations and about making New Year's resolutions.
The word 'resolute' means to be determined, to keep going and not to give up, especially when you don't succeed the first time - a very important message for the children to remember when they are challenged by their learning in the classroom. Can I once again stress the important role family members play in the children's learning. We have been so pleased with the family responses to our weekly Maths Challenges, so let's together resolve to make this a year to remember for facing challenges and conquering them through hard work and perseverance. Happy New Year!
Mon 9
th
Jan Bingo Night - 6:30 p.m.
Tues 10
th
Jan Open Evening for Early Years Prospective Parents 2017
Mon 16
th
Jan Y2 Parent/Carer SATs Information Meeting - 6:00 p.m.
Thurs 26
th
Feb Y3 to Stone Age Bone Age, Shrewsbury Museum
Fri 27
th
Jan
Choir to Young Voices Concert, Birmingham
Thurs 2
nd
Feb Full Governors Meeting 6:00 p.m.
Tues 7
th
Feb Y5 to Jodrell Bank
9
th
& 10
th
Feb Scholastic Book Fayre
Mon 13
th
Feb Y6 Parent/Carer SATs Information Meeting - 6:00 p.m.
Fri 17
th
Feb Staff Training Day - No children in school
Mon 20
th
- 24
th
Feb
HALF TERM
8
th
- 12
th
May SATS week
Early Years Open Evening - Tues 10th Jan 4:30 - 6:30 p.m.
Diary dates:
Spring Term Assembly dates
Thursday 19 th January Y3/2 Mrs Mifflin's Class
Thursday 26 th January Y6/1 Mrs Hassall's Class
Thursday 9 th February Y2/1 Miss Harrison's Class
Parents/carers of children in these classes are welcome to join us at these assemblies.
Youth Club
Do you have a child who will be three before 1 st September 2017, or perhaps you know someone who does? If so, we would love to welcome the children and their parents/carers into our Early Years classes next Tuesday evening between 4:30 and 6:30 p.m.
The children can play with some activities, while adults can chat with the staff and find out what makes our Early Years the outstanding place it is.
Find out more on our Facebook page. We look forward to seeing you there!
Well done 'Blogger of the week'!
Our first 'Blog Of The Week Award' of 2017 is presented to Y3 who showcased their Maths homework, asking the children to find patterns within the x8 tables, when the digits in each answer are added up. Do have a look and leave a comment too.
@sandford_hill
Thoughtfulness and Respect
Our Youth Club will be running on the following dates this term:
- Friday 13 th Jan
- Friday 20 th Jan (Christmas Party)
- Friday 27 th Jan
- Friday 3 rd Feb
Youth Club runs from 5:30 - 6:30 p.m. and is for KS2 members only. Children who wish to join our Youth Club need to return a membership form to the main office before they attend any of our Youth Club events. Entry is 50p except the post-Christmas Party.
'Tweet of the Week'
This prestigious award is presented to all of the Y6 recipients of the 'iCan' award for showing great resilience in lessons. Have you joined our growing list of Twitter followers yet?
Sandford Hill Primary School, Clayfield Grove, Longton, Stoke on Trent, Staffordshire, ST3 5AQ
Headteacher's Star Awards:
School Attendance
Our weekly school attendance for last week was 93.7% which is below our school attendance target of 96.5%.
| F1/1 | 94.0% | Y1/1 | 98.0% | Y4/1 |
|---|---|---|---|---|
| F1/2 | 89.3% | Y1/2 | 92.7% | Y4/2 |
| F1/3 | 81.3% | Y2/1 | 95.2% | Y5/1 |
| F1/4 | 97.3% | Y2/2 | 94.0% | Y5/2 |
| F2/1 | 94.7% | Y3/1 | 93.3% | Y6/1 |
| F2/2 | 94.7% | Y3/2 | 97.3% | Y6/2 |
Congratulations are sent to the following children who won the Head Teacher's Star Award last week for their hard work, attitude and/or progress:
The Tony Hughes Award:
This medallion is presented each week, in memory of our former Chairman of the PTFA, to a child from each class who has shown 'Thoughtfulness and Respect'.
| | Class | | Award Winner | | Class | | Award Winner |
|---|---|---|---|---|---|---|---|
| FS1/1 | | Noah Billington | | Y3/1 | | Yvie Jones | |
| FS1/2 | | Briley Simm | | Y3/2 | | Harley-Jay Monks-Neil | |
| FS2/1 | | Poppy Johal | | Y4/1 | | Lucy Monks-Neil | |
| FS2/2 | | Emori Sevakasiga | | Y4/2 | | Lilly Cartlidge | |
| Y1/1 | | Aston Murray | | Y5/1 | | Cayne Powis | |
| Y1/2 | | Jesse Solani | | Y5/2 | | Ayla Pervaz | |
| Y2/1 | | Ryan Colley | | Y6/1 | | Tamjeed Majeed | |
| Y2/2 | | Eli Hallam | | Y6/2 | | Keira Barker | |
News in Brief
* Hunchback of Notre Dame
On Wednesday all the KS1 and 2 children greatly enjoyed a performance of the Hunchback of Notre Dame. It was a thought-provoking tale with an underlying anti-bullying message. Do ask your child about it and ask them to tell you the story and any hidden messages. Find out more, with video clips, at: www.magicoftheatre.com/shows/classic/hunchback-notre-dame
* Choir trip
On Friday 27 th January our choir children will be taking part in a big 'Young Voices' concert at the Genting Arena in Birmingham. To prepare for this, please could all the choir children come in for 8:15 a.m. every Monday and Wednesday morning, starting next Monday 9 th Jan, until we have been to the concert. Please could you also support them with learning their words. Thank you.
And Finally
I mentioned at the start of the newsletter about this morning's assembly. In it, I shared with the children a true story about an Olympic ice skater trying to master a triple Salchow. It was incredibly hard and the ice skater failed many, many times, but each time she failed she learned a little bit more about how to do it better next time. In school, the teachers know that the children won't get all the answers right. In fact if they do it possibly means the work is too easy! This is because we all learn through making mistakes and taking from that how to do it better next time. I asked the children to make one of their New Year's resolutions to be like the ice skater - to not give up if they fail, but to see it as an opportunity to learn from it and try again. Please feel free to join with us in adopting this New Year's Resolution for 2017!
Mr Wardle's Maths Challenge 1
What is the missing number?
Those who dare to fail miserably can achieve greatly.
Best wishes for a pleasant weekend. Mr Wardle
John F. Kennedy
| | Class | | Award Winner | | Class | | Award Winner |
|---|---|---|---|---|---|---|---|
| FS1/1 | | Bessie Ryan | | Y3/1 | | Jasmine Chahal | |
| FS1/2 | | Naomi Dos-Santo-Davies | | Y3/2 | | Gabrielle Moores | |
| FS2/1 | | Alex Hopwood | | Y4/1 | | Lacey Clunn | |
| FS2/2 | | Jayden Burton | | Y4/2 | | Eddie Lomax | |
| Y1/1 | | Atunaisa Sevakasiga | | Y5/1 | | Chloe Basnett | |
| Y1/2 | | Ellie Harrington | | Y5/2 | | Nikola Macialek | |
| Y2/1 | | Ruby Landon | | Y6/1 | | Anace Chapman | |
| Y2/2 | | Mason Lavick | | Y6/2 | | Amelia Bates | |
Notices:
* Choose your Spring Term Clubs!
A ParentMail form will be going out tonight offering your child(ren) a range of clubs for the Spring Term. Please only apply for clubs if your child will commit to coming each week as we usually have more requests than places available. Deadline for applying is 9:00 a.m. next Wednesday and letters confirming clubs will be sent home by next Friday. Clubs commence the week beginning 16 th January.
* Dinner Money owing
Please could any outstanding dinner money be paid via ParentMail by the end of this weekend. If you have any issues then please go to the office. Thank you.
* New mobile phone for Christmas
Did you get a new mobile phone for Christmas? If so, have you got a new number? Please don't forget to let the office know if any of your contact details change at any time.
Thoughtfulness and Respect
|
Interim Watercourse Maintenance Guidelines
Table of Contents (IWMG) For Field Application
INTERIM WATERCOURSE MAINTENANCE GUIDELINES (IWMG) FOR FIELD APPLICATION
1. PREAMBLE
A. Purpose
The Interim Watercourse Maintenance Guidelines (IWMG) have been developed for Citywide use during the performance of watercourse maintenance activities in the field by the Transportation Department, Streets and Traffic Maintenance Division. The IWMG's were developed as part of Phase II of the City's Watercourse Maintenance Demonstration Project (WMDP). Phase III of the WMDP will be conducted as part of the Tucson Stormwater Management Study (TSMS) The TSMS will develop products that provide for a comprehensive Maintenance Management Program (MMP). Until the TSMS completes the MMP and the MMP is implemented, the IWMG will be utilized for City-wide watercourse maintenance activities.
These guidelines are only intended to provide field guidance to maintenance workers to achieve consistent drainage maintenance City-wide. Maintenance practices contained in this document will achieve a balance between flood control considerations and wildlife and vegetation preservation. It is important to point out, however, that flood control considerations are the first priority in drainage maintenance; and, when deemed necessary by flood control experts, flood control maintenance needs will override other considerations. These guidelines are not intended to address comprehensive maintenance issues; the TSMS MMP is intended to address maintenance in a comprehensive manner including costs, budgeting, funding, maintenance types, needs and frequencies. The database that was developed during Phase II WMDP is being moved forward into TSMS to assist with the MMP development. The IWMG will be used on an interim basis until the TSMS MMP is implemented.
B. Project Limitations
The IWMG have been developed to be somewhat general in nature. It was learned during Phase II activities that each watercourse requires a specific maintenance application in the field. The IWMG provide a "common denominator" for watercourse maintenance activities, but the uniqueness of individual watercourses requires a more specific field application. For this reason, the IWMG include the formation of a Consulting Team that provides expertise in various disciplines related to watercourse maintenance. When maintenance activities cannot be readily identified, the Consulting Team should be utilized to assist in the determination of appropriate maintenance activities.
C. Budget Constraints
The application of these guidelines should not significantly affect Departmental budgets. However, it should be emphasized that under present conditions, funding for watercourse maintenance is extremely limited in involved Departments/Divisions. Because of budgetary limitations, these guidelines only address specific maintenance activities when maintenance is performed. In other words, the guidelines do not address maintenance frequencies or budgets; these activities will be conducted under the TSMS. It should also be clarified that due to staff/budget limitations, response time by involved Departments/Division may be less than optimum and, therefore, maintenance activities should be scheduled accordingly.
2. ADMINISTRATION
A. Responsibilities
Implementation of the IWMG in the field will be the responsibility of the Transportation Department, Streets and Traffic Maintenance Division. The Streets and Traffic Maintenance Division will determine the appropriate application of the IWMG to individual watercourses prior to the undertaking of maintenance activities with the assistance of the Consulting Team, as needed.
B. Consulting Team
Application of the IWMG may require additional expertise to determine the appropriate application in the field. Therefore, related expertise from other City Departments/ Divisions will be made available for consultation on an as-needed basis. Expertise from the other Departments/Divisions should be utilized whenever any doubt as to an application of the IWMG exists. The following Departments/Divisions will be available for consultation and their roles are briefly defined:
Transportation Department - Engineering Division - Provide technical expertise regarding hydrologic/ hydraulic watercourse characteristics including needed conveyance capacity, floodplain impacts, erosion control and other engineering related issues. Provide designs of drainage facilities, as requested by the Streets and Traffic Maintenance Division, for field construction. The Engineering Division shall receive requests from the Streets and Traffic Maintenance Division for drainage projects to be included in the city's Capital Improvement Program.
Transportation Department - Planning Division -Provide expertise related to WMDP documents and procedures including determination of watercourse classifications.
Parks & Recreation Department - Provide expertise regarding all aspects horticultural maintenance. Provide resources/ manpower to perform tree pruning activities.
Planning Department - Provide expertise related to public input/contact and neighborhood concerns.
Attachment A depicts specific personnel, listed by Department, assigned to provide consultation as listed above. This listing will be updated, as needed by the Streets and Traffic Maintenance Division, with the assistance of involved Departments / Divisions.
C. Watercourse Definitions
The guidelines are assembled according to three types of watercourses whose definitions are provided below.
"Natural Watercourse" - is a watercourse which is naturally vegetated, and which has not been appreciably altered by construction projects or urbanization. When left alone, the "Natural Watercourse" should remain in it's natural condition without significant natural changes in vegetation density or diversity.
" Altered From Natural Watercourse" - is a watercourse which generally supports a relatively dense growth of native and exotic plant species, and which has only been partially modified by construction projects or affected by upstream urbanization. Usually the location and alignment of these watercourses have not been appreciably changed from that which occurred prior to local urbanization. Because of continued human activity within the watercourse or within the upstream watershed, "Altered From Natural Watercourses" are no longer in dynamic equilibrium with regard to geomorphic and ecological processes and, therefore will require continued maintenance in order to mitigate the adverse affects of changes to channel bed topography and vegetation.
"Constructed Channel" - is a watercourse which generally has little or no vegetation, and which has been completely constructed or relocated by construction projects such as total channelization, channel relocation or realignment, and/ or bank stabilization. "Constructed Channels" usually require some continued maintenance.
D. Locations of and Access for Maintenance Activities
Watercourse maintenance will only be performed, by City forces in drainage's specifically dedicated to the City via right-of-way or public drainage easement. Private drainage easements are the responsibility of the private property owner.
When the construction of access roads or ramps are necessary to achieve maintenance access to a drainageway, the roads or ramps shall be constructed to minimize impacts on existing vegetation or other natural features. Removal of ramps and roads shall be performed in such a manner as to minimize impacts to vegetation or other natural features.
E. Major Project Referral
Activities that require major expenditures and efforts beyond the scope of "routine" maintenance that are identified in the field by the Streets and Traffic Maintenance Division shall be referred to the Engineering Division for inclusion in the Capitol Program. The Streets and Traffic Maintenance Division shall be responsible for decision making as to when a necessary construction project is beyond the scope of maintenance and subsequent referral is necessary. Procedures presently in place shall be utilized for referrals. Interim measures, as appropriate, should be undertaken by the Streets and Traffic Maintenance Division to protect the watercourse integrity until such time as the problem is corrected.
F. Design Assistance
The Engineering Division will provide design assistance to the Streets and Traffic Maintenance Division for construction of drainage facilities, as needed. The design will effectively address hydraulic, environmental and aesthetic concerns.
G. Public Contact
Prior to scheduling recommended maintenance activities for a specific segment of watercourse, the Streets and Traffic Maintenance Division will determine if any controversy regarding maintenance has been recorded for the watercourse reach. If a maintenance controversy has been identified, the Streets and Traffic Maintenance Division will work through the appropriate Ward Offices(s) and with the concerned citizen(s) to address the proposed maintenance activities in question. If significant concerns with maintenance activities have been identified, it may be appropriate to conduct a more intensive citizen participation effort.
In all cases, prior to implementing the recommended maintenance activities for a specific reach of watercourse, the Streets and Traffic Maintenance Division will contact the appropriate Ward Office(s) a minimum of five days in advance of any maintenance work to be conducted in the watercourse by completing the required form per the procedure previously established by Mayor and Council. Specific maintenance details will be indicated on the form in order to provide a clear understanding of the proposed activities to the appropriate Council Office(s)
Emergency repairs responses need not follow these procedures, however, a follow-up telephone call to the appropriate Ward should be made.
3. MAINTENANCE GUIDELINES
3.1 Recommended maintenance Guidelines for "Natural Watercourses"
By definition, "Natural Watercourses" are in a state of dynamic equilibrium with regard to their shape and form, as well as the diversity and density of indigenous vegetation found along the banks of these watercourses. Litter and garbage clean-up are usually the major emphasis of maintenance within these watercourses since they are often located in remote areas on the outskirts of Tucson where wildcat dumping is prevalent. Natural vegetation and the wildlife habitat associated with these watercourses normally requires no maintenance to encourage the health of the vegetation, wildlife habitat value, or scenic and open space values.
Recommended Vegetation Management
1. Trees, shrubs, grasses, and other plant materials should be left in their natural state.
2. Cutting of trees, shrubs, and grass, when required to eliminate a hazard to public safety and health, should be limited to only that which is absolutely necessary. Preemptive or excessive cutting of existing vegetation shall not be included as part of regular maintenance of these watercourses.
3. Unless it has the potential for obstructing the flow of storm runoff, naturally occurring tree and plant litter, such as small branches and leaves, should be left on the ground for their soil-nutrient value, wildlife cover, seed-source value, and to maintain a natural appearance. However, wildcat dumps found in or near these watercourses should be removed in order to restore the natural appearance of the area and to discourage further wildcat dumping.
4. Trees and shrubs located within the channel bed should not be selectively pruned, unless leaving the vegetation would be a hazard to public safety or would retard the conveyance of floodwater. When pruning is deemed necessary, the pruning should be performed by the Parks and Recreation Department and conform to the pruning standards of the National Arborist Association.
5. Unless there is a hazard to public safety, trees and shrubs located along the channel banks should remain in their natural condition.
6. Trees and shrubs located within the over bank area should remain in their natural condition, unless there is a possible hazard to life or property caused by keeping the trees and shrubs in place.
7. Obstructions, such as low branches, may be removed from existing neighborhood paths and adjoining alleys, as determined by appropriate city representatives, to permit safe access, insure visibility, land surveillance.
Recommended Flood Control
1. Minor structural modifications will not be made to the shape and alignment of a "Natural Watercourse", unless there is an immediate concern for public safety, health, and welfare. These modifications should be carefully designed by the Engineering Division or other responsible entity in order to maintain the existing aesthetics, environmental quality, and long term effects of stream migration both laterally and vertically.
2. Existing stormwater conveyance structures, such as culverts, storm drains and spillways that discharge into a "Natural Watercourse", should be repaired, as needed, in order to prevent or minimize further damage to the existing structure and/or the adjacent channel.
3. Existing bank protection and erosion-control materials, such as gabions, rip-rap, soil cement or other drainage structures, which may be present near road crossings, should be repaired as needed. All repairs should be designed to maintain or enhance the existing aesthetic and environmental quality of the area.
Recommended Erosion Control
1. Scour holes located in the bed of a "Natural Watercourse", such as those found downstream from a grade-control structure of a dip crossing of a roadway, should not be routinely filled or leveled, unless there is a potential hazard to public safety or the integrity of the adjacent drainage structure is threatened.
2. Areas where ponding creates unsafe conditions or creates an environment suitable for mosquito propagation should be filled or reshaped, in response to neighborhood concerns.
3. Areas of local erosion such as riling, soil piping, etc., located along the bank and overbank of a "Natural Watercourse" should not be routinely filled or structurally protected from further erosion. The Consulting Team member from the Transportation Department, Engineering Division, shall determine if the erosion presents a safety issue; or if left unmaintained, a safety issue may occur.
4. Grading or leveling of the channel bottom should not be routinely undertaken.
Recommended Litter Control
1. Obstructions to the flow of floodwater caused by accumulation of man-made litter should be removed whenever encountered.
Man-made trash and other discarded debris such as construction materials, yard clippings, shopping carts, etc., should be removed from all areas of a "Natural Watercourse " and disposed of at an appropriate site.
2. The Department of Solid Waste Management should be contacted to enforce the City of Tucson Code, Chapter 15-16 through 19, that prohibits illegal dumping on public and private property.
3. The Streets and Traffic Maintenance Division should install permanent barricades or request via the Traffic Engineering Division that appropriate signs be posted across public property in order to help prevent unwanted vehicular access and wildcat dumping.
3.2 Recommended Maintenance Guidelines for "Altered from Natural Watercourses"
"Altered from Natural Watercourses" will usually require a moderate amount of maintenance and management to insure continued safe and effective floodwater conveyance while maintaining the existing, ancillary benefits of open-space value, multi-use activities and habitat preservation. Within a typical urban setting, litter, trash, and debris often accumulates along the bed and banks of the watercourse because of illegal dumping. Consequently, the removal of these materials requires the largest portion of the overall annual maintenance budget allocated to these types of watercourses. Similarly, flood control and erosion control will also be substantial components of the maintenance operations, because of the channel bed degradation that usually occurs along these watercourses following upstream urbanization. Furthermore, "Altered from Natural Watercourses" may require special attention in order to promote healthy vegetation and its associated environment.
Recommended Vegetation Management
1. Trees, shrubs, grasses, and other plant materials shall be maintained, to encourage health of the existing plant material, wildlife-habitat value, and natural appearance.
2. Cutting of trees, shrubs, and grass, when required to maintain existing floodwater conveyance, should be limited to that which is necessary. Preemptive and additional cutting of existing vegetation may sometimes be included as part of regular maintenance of these watercourses, only if it is believed that the affected vegetation will someday grow large enough to cause a conveyance problem.
3. Naturally occurring tree and plant litter, such as small branches and leaves, should be left on the ground on the watercourse banks and over bank areas in order to provide a more natural appearance and to promote wildlife habitat value. However, standing dead trees and large limbs may be removed whenever there is concern that the tree may someday fall on nearby structures, pose a public-safety hazard, or may fall into the watercourse, thereby reducing floodwater conveyance.
4. Trees and shrubs located within the channel bed should be removed in order to eliminate possible obstructions that would retard the usual conveyance of floodwater, or would inhibit the existing maintenance use and access.
5. Trees and shrubs located along the channel banks should remain in their natural condition, except when it is determined that an obstruction to the flow of stormwater exists.
6. Trees and shrubs located within the over bank area should remain in their natural condition.
7. Obstructions, such as low branches, should be removed from existing neighborhood paths and alleys in order to help provide safe access, visibility, and surveillance.
8. When pruning is deemed necessary, it will be performed by the Parks and Recreation Department and conform to the pruning standards of the National Arborist Association.
9. Whenever maintenance of grasses is warranted, they should be mowed rather than removed or bladed.
Recommended Flood Control
1. Minor structural modifications may be made to the shape and alignment of an "Altered From Natural Watercourse" in order to maintain existing floodwater conveyance of "underfit" watercourses and/or to minimize possible flood damage to nearby structures. Modifications made to the shape and alignment of an "Altered From Natural Watercourse" should be designed so as to help minimize degradation of the existing aesthetic and environmental quality of the affected area.
2. Existing stormwater conveyance structures, such as culverts, storm drains and spillways that discharge into an "Altered From Natural Watercourse", should be repaired, as needed, to prevent or minimize further damage.
3. Existing bank protection and erosion-control material such as gabions, rip-rap, soil cement, etc., should be repaired as needed. All repairs should be designed so as to maintain, or even improve the aesthetic and environmental quality of the area.
Recommended Erosion Control
1. Scour holes and sandbars located in the beds of an "Altered From Natural Watercourse" should be routinely filled or leveled in order to accommodate existing pedestrian access.
2. Areas where ponding creates unsafe conditions, or an environment suitable for mosquito propagation, should be filled or reshaped, as needed.
3. Areas of local erosion such as riling, piping, etc., located along the bank and overbank of an "Altered From Natural Watercourse" should be routinely filled or structurally protected from further erosion in order to accommodate existing pedestrian access and protect the public safety.
4. Grading or leveling of the channel bottom should be routinely undertaken, when needed, to maintain floodwater conveyance.
5. Scour holes, such as those commonly found downstream from existing grade-control structures, may be filled in order to allow for continued pedestrian and equestrian movement along the bed of the watercourse.
6. Whenever fill is used to eliminate scour holes, piping or riling, the fill material should contain stolons of indigenous grasses (when available) to encourage the establishment of grasses as an erosion control measure.
Recommended Litter Control
1. Obstructions to the flow of floodwater caused by accumulation of natural and manmade litter should be removed whenever encountered.
2. Man-made trash and other discarded debris, such as construction materials, yard clippings, shopping carts, etc., should be removed from all areas of an "Altered From Natural Watercourse" and should be disposed of at an appropriate site.
3. The Department of Solid Waste Management should be contacted to enforce the City of Tucson Code Chapter 15-16 through 19, that prohibits illegal dumping on public and private property.
4. The Streets and Traffic Maintenance Division should install permanent barricades or request via the Traffic Engineering Division that appropriate signs be posted across public property in order to help prevent unwanted vehicular access and wildcat dumping.
3.3 Recommended Maintenance Guidelines For "Constructed Channels"
"Constructed Channels" are those watercourses that have been highly altered from their original natural state or have be entirely constructed. The use of bank stabilization materials such as concrete or soil cement, as well as the cutting of steep channel banks during construction, have usually resulted in the elimination of native vegetation along the affected watercourse. Consequently, many of the natural characteristics such as vegetative diversity, wildlife habitat, and open space value do not exist along these types of watercourses. Because of the limited amount of vegetation found along these types of watercourses, "Constructed Channels" normally require only minimal maintenance in order to maintain existing flood water conveyance or to provide for the health, safety, and welfare to the general public. Flood control and erosion control are the principal components of maintenance. The overbanks of some earthen channels should be examined in order to provide an opportunity for volunteer vegetation to become established in those areas where it has been determined that vegetation will not significantly reduce floodwater conveyance.
Recommended Vegetation Management
1. Trees, shrubs, grasses, and other plant materials should be maintained, wherever possible, in such manner that encourages health of the existing plant material, wildlifehabitat value, and natural appearance.
2. Cutting of trees, shrubs, and grass should be done when required to improve and maintain existing floodwater conveyance. Preemptive and additional cutting of existing vegetation may be included as part of regular maintenance of these watercourses.
3. Naturally occurring tree and plant litter, such as branches and leaves, may be removed when determined that the litter will constitute an obstruction.
4. Trees and shrubs located within the channel bed should be removed in order to keep these obstructions from limiting the usual conveyance of floodwater, inhibiting the existing maintenance use and access or damaging flood control facilities, unless it can be determined that certain types of vegetation do not constitute an obstruction.
5. Trees and shrubs located along the channel banks should be removed in order to maintain existing floodwater conveyance unless it can be determined that introduction of volunteer vegetation will not decrease floodwater conveyance.
6. Trees and shrubs located within the overbank area should remain in their natural condition.
7. Obstructions, such as low branches, should be removed from existing neighborhood paths and adjoining alleys to permit safe access, insure visibility, and surveillance.
8. When pruning is deemed necessary it will be performed by the Parks and Recreation Department and conform to the pruning standards of the National Arborist Association.
9. Whenever maintenance of grasses is warranted, they should be mowed rather than removed or bladed.
Recommended Flood Control
1. Small-scale modifications may be made to the shape and alignment of "Constructed Channels" in order to maintain existing floodwater conveyance of "underfit"
watercourses and to minimize possible flood damage to nearby structures.
2. Existing stormwater conveyance structures, such as culverts, storm drains and spillways that discharge into a "Constructed Channel" should be repaired, as needed, in order to prevent or minimize further damage. All repairs should be designed with consideration of existing aesthetic and environmental quality of the area.
3. Existing bank protection and erosion-control materials such as gabions, rip-rap, soil cement, etc., should be repaired, as needed.
Recommended Erosion Control
1. Scour holes and sandbars located in the beds of "Constructed Channels" should be routinely filled or leveled in order to accommodate existing pedestrian access.
2. Areas where ponding creates unsafe conditions or an environment suitable for mosquito propagation, should be filled or reshaped, as needed.
3. Areas of local erosion such as riling, piping, etc., located along the bank and overbank of a "Constructed
4. Channel" should be routinely filled or structurally protected from further erosion in order to accommodate existing pedestrian access and protect public safety.
5. Grading or leveling of the channel bottom should be routinely undertaken when needed, to maintain floodwater conveyance.
6. Scour holes, such as those commonly found downstream from existing grade-control structures, may be filled in order to allow for continued pedestrian and equestrian movement along the bed of the watercourse.
7. Whenever fill is used to eliminate scour holes, piping or riling, the fill material should contain stolons of indigenous grasses (when available) to encourage to establishment of grasses as an erosion control measure.
Recommended Litter Control
1. Obstructions to the flow of floodwater caused by accumulation of natural and manmade litter should be removed whenever encountered.
2. Man-made trash and other discarded debris, such as construction materials1 yard clippings, shopping carts, etc., should be removed from all areas of a "Constructed Channel" and should be disposed of at an appropriate site.
3. The Department of Solid Waste Management should be contacted to enforce the City of Tucson Code, Chapter 15-16 through 19, that prohibits illegal dumping on public and private property.
4. The Streets and Traffic Maintenance Division should install permanent barricades or request via the Traffic Engineering Division that appropriate signs be posted across public property in order to help prevent unwanted vehicular access and wildcat dumping.
IWMG City Consultant List
Attachment A
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Best Practice and Local Authority Progress in Self-Directed Support
Ariane Critchley and Andrew Gillies
Social Work Scotland, Edinburgh
Best Practice and Local Authority Progress in Self-Directed Support
Contents
3
Introduction
5
Context
6
Research Aims
7
Methodology
8
Overview of the Research
8
Strengths and Limitations of the Research
9
Service User Experience of SDS
10
Literature Review
12
Key Messages
15
Leadership and Strategy
16
Key Findings
16
Defining Successful Leadership in
SDS Implementation
16
The Benefits of Leadership
16
Key to Success – unlocking personalised care
17
Strategic approaches
18
Reporting and Measuring Progress
19
Re-envisioning social care?
19
Case Example 1: Jack
20
Commissioning and Re-envisioning Social Care
21
Key Findings
21
Strategic Planning and Troubleshooting in
Commissioning and Procurement
21
Individual Service Funds
22
In House and Block Provision
22
Community Asset Building and
Broadening Access
Key Findings
Strengthening Communities
Active and Healthy Citizenship
Outreach, Awareness Raising and
Broadening Access
Creating Flexible Systems
Key Findings
SDS Systems
Workforce Culture and Development
Key Findings
Cultural Change in Social Work Education and
Workforce
Case Example 2: Denise
Training
Third Sector Organisations
The Social Care Workforce
The Impact of SDS Implementation
Key Findings
Outcomes of SDS Implementation
Case Example 3: Ian
Conclusion
References
Introduction
In 2017, The Scottish Government commissioned research from Social Work Scotland to find examples of best practice in Self-directed Support (SDS) within local authorities and integrated authorities across Scotland. Almost half of all Scottish local authorities engaged with the aim of this research and shared their progress and successes in implementation, as well as some of their challenges.
Our research found that the implementation of SDS has led to a positive shift to more outcomes and relationship based work. This has been achieved through investment in training and a significant cultural shift in adult social work and social care.
However, the full benefits of flexibility, choice and control for supported individuals are only realised when there is leadership at every level and in all areas of service delivery affected by SDS legislation. This is by no means confined to health and social care services but includes commissioning and procurement sections, finance departments, services for communities and families, care providers and support services, and importantly supported people and their families. A coherent, corporate approach was therefore found to be necessary to realise the full potential for supported people to achieve more control over their own care, and their own lives.
The need for collaboration and leadership represents a significant challenge and the professionals and service users who spoke to us recognised this fact. Different areas had success stories to share in implementing SDS across various aspects of service delivery. However, all felt there was still progress to be made and that shared learning can help in realising change.
The purpose of this report is to share the good practice examples identified in the course of the research and promote learning between local authority areas and across different fields of practice. The findings are presented to assist the development of social work practice and creative commissioning and community asset building, and partnership with the third sector in broadening access to all four SDS options. Through sharing examples, this report is intended to provide a useful contribution to the legislative aim of SDS that a personalised approach underpins social work and social care Scotland.
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Context
The research presented in this report was carried out in the context of the Audit Scotland report on the progress of Self-directed Support implementation (Audit Scotland, 2017). This audit found that significant work still needed to be done to offer the full benefit of SDS legislation to all who need it, but that there had been progress and there were pockets of good practice. We were tasked with finding out more about that best practice in order to inform public reporting on SDS implementation and to support local authorities and integrated authorities to make even greater progress.
We note that under the Public Bodies (Joint Working) (Scotland) Act 2014, all adult social care services (and in many areas children's and justice services) are delegated to an integration authority. When referring to local authorities in this report we include those services delegated to the integration authority. Whilst integration offers new opportunities, the significant work required to achieve organisational change is one of the challenges acknowledged by the Audit Scotland (2017) report on SDS.
Other challenges well described by the Audit Scotland report (2017) and by participants in our study include:
* Decreasing budgets;
* Increased demand for and expectations of services;
* Resultant caution in public spending, which can in turn have the effect of decreasing creativity;
* Risk aversion in social work practice, linked to the concern to minimise risk in wider society;
* Skills drain on social work due to experienced staff opting for early retirement or voluntary severance packages offered in the context of the mounting financial constraints on services.
We acknowledge the very real pressures that exist for local authorities. However, this study focused particularly on positive practice and progress in SDS across Scotland, despite ongoing challenges. Sharing learning in order to contribute to the development of best practice is therefore the major purpose of this report.
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Research Aims
Our research aims were structured under the Strategic Outcomes provided by Scottish Government's Self-directed Support Strategy (2016: 6):
1 Supported people have more choice and control;
2 Workers are confident and valued;
3 Commissioning is more flexible and responsive;
4 Systems are more widely understood, flexible and less complex.
Our study aimed to discover what evidence there was of progress to meet these strategic outcomes across Scotland, and what best practice in achieving these outcomes looks like 'on the ground'.
We were interested in the impact that SDS has had on communities, families and individuals, eight years into the Scottish Government's SDS Implementation Plan. Our approach was informed by Alliance's (2017a) recent report on service users' experiences of Self-Directed Support. This report found a mixed picture of SDS, and suggested that access to personalised care and support was limited by factors including an individual's age or support needs. We were therefore interested in canvassing the spread of best practice across the range of service delivery as well as geographically. We were limited by the timescales for the research, but were very grateful for the high level of participation in the study, and for all of the evidence provided.
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Methodology
Overview of the Research
Participation in this commissioned research was made available to all local authority SDS Leads through the Social Work Scotland SDS Forum. 15 of the 32 Scottish local authorities came forward to offer evidence and examples of best practice in SDS implementation:
1 Angus
2 The City of Edinburgh
3 Dumfries and Galloway
4 East Ayrshire
5 East Dunbartonshire
6 East Lothian
7 East Renfrewshire
8 Falkirk
9 Fife
10 Highland
11 Midlothian
12 Perth and Kinross
13 South Ayrshire
14 Scottish Borders
15 South Lanarkshire
All of the fieldwork was qualitative in nature and conducted over a very short timescale: recruitment of participants took place during November 2017, with visits to local areas and interviews following between December 2017 and February 2018.
Ethical clearance was achieved through Chief Social Work Officers and local procedures and participants gave signed and verbal consent based on a detailed information sheet covering the purpose of data collection and reporting. Given the time constraints and the original brief to seek evidence of good practice in SDS, this was a highly exploratory piece of research and whilst a thematic interview schedule was developed, participants were encouraged to share evidence that was relevant to the way SDS legislation has been implemented in their local area.
It was also left to the discretion of responding local authorities which staff would be best able to describe progress in their area. The timescales of the fieldwork did not allow for more than one visit to each local authority area. In some areas, access to more than one
8
participant was organised, in others one worker could speak to developments across a range of services. Most of the staff who took part in the research were operational and middle level managers, or senior practitioners in seconded SDS roles. However, a small number of senior managers and frontline social workers also took part in the study. Given that the research sought to provide a picture of positive steps in SDS implementation and examples of best practice, the inclusion of staff who could offer 'on the ground' experience of this in the sample was very helpful. However, had there been more time, it would have been interesting to broaden the range of professionals taking part to test findings more widely.
13 face-to-face interviews were conducted with 17 participants across the 12 local authorities who responded within timescales to allow this. Participants included frontline staff, senior social workers, operational and senior managers, with one head of service. The majority of participants were local authority staff but one third sector employee and one CEO of a care agency were also included.
Two local authority managers were spoken to by telephone due to timescales for reporting, these were Dumfries and Galloway and South Lanarkshire. South Lanarkshire, East Lothian and East Renfrewshire provided helpful written evidence on particular aspects of their implementation progress.
All of the local authorities were approached about including supported people in the research. Two local authorities made possible the involvement of a total of six families in the research:
* The City of Edinburgh Council facilitated access to a popular weekend drop in service for families which had originally been seed-funded by the SDS implementation grant.
* Through Encompass 1 , we were able to access the views of two supported people and one carer living in the Scottish Borders.
Face-to-face interviews were audio recorded and field notes of all research encounters were kept. This qualitative data was then analysed thematically by the first author and used to draw out the findings presented in this report.
Strengths and Limitations of the Research
We were able to include almost half of Scottish local authorities in the research sample. There was a good geographical and socio-economic spread within the sample, with a range of rural, urban and suburban areas. However, the sample of local authorities was selfselecting and not purposive.
Furthermore, the research was very open and exploratory in nature (Cresswell, 2014). This allowed a broad range of responses, in terms of the range and types of evidence offered and how this was shared. However, it prevents any meaningful comparative analysis of the data. Rather, we present here broad themes arising from the data, illustrated with case studies and practice examples. The spread of practice described by local authority respondents was varied and included:
* Children and Families – children with disabilities;
* Children and Families – mainstream services for children in need or at risk;
* Support for Adults with Learning Disabilities and Transitions into adult services;
* Support for Adults with a Disability;
* Support for Adults with Mental Health difficulties;
* Support for Older People – care at home;
* Support for Older People – residential care (very limited evidence);
* Community Services Groups and Capacity Building;
* Beginnings of creative inter-generational work.
We were able to interview and seek written views from six families who use support relevant to the research. Due to the fast pace of the fieldwork, and the opportunistic nature of the sampling, we were not able to triangulate this research. So the views of service users do not link directly to local authority evidence. Service users provided a very valuable insight into the experience of using support and there was some notable commonality of themes across the two local authorities where service user participation was possible.
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Service User Experiences of SDS
As detailed above, one of the limitations of this research was the focus on good practice as identified by participating local authorities. We recognise, however, that it is important to set the findings reported here in the wider context of service user experiences of SDS.
The purpose of this research was to demonstrate the possibilities of the SDS approach and explore in some depth, with respondents, the conditions for successful implementation of SDS. Where creative initiatives that led to tangible benefits for individuals or families were identified in the research, there was not necessarily an association with transformative change across services. We recognise, just as Audit Scotland (2017) reported, that the pace and scale of change in social care under the new legislation has been uneven.
The limited available research into service users' experiences reflects the picture found by the national audit of SDS (Audit Scotland, 2017): That satisfaction levels with care are high but access to choice and control remains much more limited than envisioned by the legislation. Self-Directed Support Scotland (SDSS) surveyed a sample of people who use social care (SDSS, 2016) and found that the majority of respondents were satisfied with the care or support they received. Yet many were not well informed about SDS or the four options available to them. A concerning 34% of respondents stated that they did not feel they understood the options well enough to decide which one they wanted. This study, which surveyed service users across three local authority areas, also indicated particular barriers around the uptake of option 2.
Our research was suggestive of uneven progress within local authority services, since evidence was largely provided in terms of adult social care, with very few children and families examples. SDS applies across all age groups and across all possible social care needs. Yet as even the short literature review included in this report shows, research into SDS and related personalisation policies in other UK areas has found variable access to choice and control amongst different groups of service users (Eccles and Cunningham, 2016, Rabiee et al., 2016, SDSS, 2016, Woolham et al., 2017). Overall this picture suggests that that there are likely to be ongoing frustrations for some service users who are seeking the autonomy and personalised care that they are entitled to under the Scottish legislation.
Whilst the research reported upon here was not designed to gather data around the experiences of service users, it was important that a small number of service users did agree to speak to us about their experiences. Their voices enriched the study and provided evidence of some of the ways that SDS can enable individuals to take control of their own care and support. These accounts of the benefits of SDS are very important, as they speak to the existing body of evidence of the difference SDS can make to people's lives, as well as providing indications for best practice. However, we can make no claims to representativeness for the service user experiences described in this report.
Research which successfully unpicks the factors that contribute to service user satisfaction with their arrangements would be particularly helpful. The Alliance's research finding that satisfaction levels have increased since the introduction of SDS (2017a: 52) in the context of overall dissatisfaction with levels of care and support (2017a: 48) is interesting. Although it arises from a small sample, this finding invites questions about the extent to which financial and demographic pressures are a major factor here (Audit Scotland, 2016a). Choice and control over an insufficient budget may still be conceptualised as choice and control, but without necessarily leading to better outcomes. The timing of policy and legislative change makes disentangling SDS progress from issues of austerity and reorganisation for local authorities difficult.
This report, however, attempts to show some of the ways that public sector organisations have worked together to deliver on the promise of SDS despite financial constraints and other demands. Knowing the extent to which this translated into better experiences for the people who use social care and support would be very helpful in terms of informing transformative change. Even on a small scale, local authorities who had tried to close the feedback loop on the way that changes impacted on the communities they serve had found this useful. However, it is not currently possible to close this loop on a national scale, given the data available.
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We acknowledge that the examples of best practice explored by this research are not representative of progress on a national level. Rather, this report is intended to be supportive of an ongoing process of change. A major finding of this research is the significance of strong leadership across all relevant areas of service delivery, in creating the transformative change in social care that the SDS approach requires. Greater recognition of the conditions for successful implementation will hopefully enable the creative practice that our research discovered to flourish. In order to achieve the goal of all service users being enabled to have as much choice, control and flexibility over their care and support as they want to have, in order to realise their own outcomes.
Literature Review
SDS legislation has very wide reach. It affects the way that eligible social care needs should be met across a wide range of ages, circumstances, and types of support. The SDS approach can be used in children's services all the way through to care for frail elderly people and end of life care. Therefore, it is not possible to survey the full range of relevant literature within this report and we have not undertaken a systematic review. However, we present here some of the key themes arising from the literature in relation to SDS and to personalisation and co-production in social care more broadly.
Social work with adults and older people under previous community care legislation has been described as a model of 'professional gift' (Duffy, 2003), whereby supported people were granted such services and resources as professionals decided were right for them. A self-directed support (SDS) approach offers a very different perspective. The professional social work role is no longer that of 'care management', but of 'enablement'. The theory of SDS is that outcomes are defined and co-produced with individuals who choose how much control they want over how these are met, are offered choice about the care they receive, and are thereby able to live their best possible life through flexible support. Our research was interested in discovering to what extent that theory has become a reality in Scotland, through implementation of the Social Care (Self-directed Support) (Scotland) Act 2013.
Whilst there are clear crossovers with the personalisation agenda in other UK nations, as Manthorpe et al. emphasise, Scotland has 'distinctive policy ambitions' (2014: 37) in introducing SDS. These are explicitly linked to creating a healthier nation and stronger communities. SDS can be understood as coming under an overarching policy turn in Scotland which places emphasis on community capacity building (Pearson et al., 2018) and partnership, underpinned by the work of the Christie Commission (Scottish Government, 2011). As Pearson and colleagues (2018) highlight, the SDS approach conceptualises care users as active partners who can both contribute to and benefit from their community resources, rather than consumers of services exercising market choices about their care.
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Overall the SDS approach can be understood as aspiring to provide empowering and equitable access to control over their care for a broad range of individuals and families. Although there exists debate in the literature about the extent to which SDS has so far been successful in offering equal benefit for all those eligible to take control of their own support. For example, research by The Alliance (2017b) focused particularly on women's experiences of SDS and found there were significant differences from those of men, particularly an inexplicably longer wait time for services.
Writing in the English context, Woolham et al. (2017) highlight the lack of research focus on the impact of personalisation for elderly people, who represent by far the largest section of the UK population in need of care and support. The low uptake of direct payments by elderly supported people has generally been viewed as a challenge to practice, rather than an issue about the suitability of the SDS approach to meet this population's needs. However, Woolham et al's (2017) English study found that elderly people did not actually achieve significantly better outcomes through direct payments. Their work suggests that older people have different aspirations and hopes in terms of what they want from personal budgets and rethinking is required to make the policy drive around personalisation much more relevant to this age group. However, it is important to remember that older people who use care and support in daily life are a diverse population. Buffel's (2018) co-produced research with older people points to the numerous benefits of meaningful involvement of this group in studying their own communities through co-created research. Not least the way that co-produced research can act as a means to harness the contribution older people can potentially make to their neighbourhoods.
Nevertheless, a number of authors (Cf. Rabiee et al., 2016, Woolham et al., 2017) have emphasised the tendency for elderly people to have small budgets, from which they purchase personal care and domestic help, rather than accessing social or recreational activities. The added value of directing their own support may thereby be negated by the need to focus on 'traditional' (Rabiee et al., 2016) homecare services in planning their own care. These themes are reflected in the evidence provided by local authorities through this study. The majority of creative case examples shared with us featured working age people who had used SDS to be able to live their lives on their own terms, often with the support of wider family. Work to increase the national relevance of SDS legislation to Scotland's older population is arguably needed. Buffel's (2018) work offers a possible model for the role of action research in discovering how SDS can be put to work for diverse groups and communities.
Audit Scotland's report into SDS described supported people as having to be 'determined and persistent to access SDS options 1 or 2' (2017: 24). The question of which service users are in reality able to access the range of SDS options is raised by Eccles and Cunningham's recent research (2016: 6). This question was echoed by our own research, and in some local authority areas (Midlothian, and Perth and Kinross notable in our sample), services were making specific efforts to break down barriers of access. These barriers were described by our participants as arising from level of social capital, as Eccles and Cunningham suggest, but also from ethnicity and culture.
Irvine et al. (2017) highlight specific barriers for members of the Chinese community in accessing personalised care and support, including language and culture. SDS Scotland's findings (SDSS, 2016) illustrate how a lack of good quality support in understanding and arranging different means of care could effectively act as a barrier to some service users being able to access all four SDS options. SDSS's research raises the thorny question of whether having somebody close to offer support is actually necessary for some service users to avail themselves of all the possibilities of SDS. There appears to be a need for further research into equality of access to SDS. And crucially, more refinement to practice in terms of recognising and overcoming potential barriers.
Third sector organisations as well as social work services can fulfil a very important role in increasing access to SDS. This agency support role was found by Arskey and Baxter (2012) to be critical, both in access to and in the continuing use of personalised budgets, in their longitudinal study which cut across service user groups, and geographical areas of England. Arskey and Baxter's (2012) research also queries the responsiveness to change of personal budgets over time. This was not
13
a difficulty that came up in our sample, but the issue of responsiveness to very high levels of individualised need (McGuigan et al., 2015:4) was raised by our study participants, in relation to children with significant disabilities in particular. As McGuigan at al. (2015) describe, the process of changing the way support is received can raise anxieties, at least in the short-term. And we found evidence of high levels of existing stress being a barrier for parents and carers feeling able to cope with changes to the way they received support.
Arskey and Baxter's theme of 'learning the hard way' in managing one's own budget through a Direct Payment (2012: 156) also occurred in our service user data. Meaning that it took service users time to experience a sense of mastery over the process and to be clear about their own needs and who would be best to meet them in terms of recruitment. It can take time for supported people to become expert in managing their own care if they have not previously had the opportunity to do so.
As will be explored later in this report, SDS can be understood as offering an opportunity for relationshipbased practice (Ruch et al., 2010). An invested and authentic form of engagement with clients that is the foundation for meaningful co-production (Hunter and Ritchie, 2007). Whilst relationship based practice has remained a major theme in social work, it has been much less evident in settings that involve a high through-put of assessments and care provision, particularly in social care for adults and elderly people. Here shifts into 'care management' have affected the capacity for social workers' use of self and for partnership working (Skerrett, 2000). The evidence gathered in the course of preparing this report was highly suggestive of social work staff valuing new opportunities for relationship-based practice and 'good conversations' in their work. This highlights the importance of suitably qualified and well-supported staff being involved in assessment and planning with individuals and families (Velzke, 2017).
Overall the literature suggests the need for more refinement, both in research into SDS and in how care and support needs within different sections of the Scottish population are met through the SDS model. As Audit Scotland's (2017) report suggests, SDS represents an ambitious project of change in social care and
support for the people of Scotland and there is still far to go in terms of implementation. Progress is also needed in increasing the knowledge and practice base of how best to adapt SDS to the diverse needs and circumstances of individuals, their families, and carers.
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Key Messages
* Supported people in Scotland are benefitting from increased opportunities for greater flexibility, choice and control over the care and support they receive through SDS.
* There are coherent and inspirational examples of local authority attempts to personalise care and to increase individuals' choice and control.
* SDS represents a significant challenge of leadership; in services, in communities and in workforce education and training. In areas of strong leadership and collaboration across services and functions far swifter progress in implementation has been possible.
* Across all geographical areas contributing to this research there was an understanding of the need for social work staff to be skilled in the co-production of assessments and support plans, and evidence of a high level of commitment to training and mentoring to support this.
* In health and social care services, significant changes in workforce culture were found. This involved a shift from care management to a process of maximising personalisation and engaging in outcomes based conversations consistent with the intentions of SDS legislation.
* Efforts to personalise support for individuals who need residential care have begun.
* There were a small number of examples of children's services implementing SDS, where this study found a natural fit between the outcomes focus of SDS and that of the GIRFEC approach in its use of well-being indicators (SHANARRI).
* Many areas reported that they had successfully increased or hoped to build community resources locally, and understood the need for stronger, more supportive communities.
Leadership and Strategy
Key Findings
* Local areas varied in their interpretation of SDS legislation.
* Respondents held strong views on the spirit of the legislation. These views were not consistent, although overlap did exist. Some areas had prioritised community capacity building in their approach, while others had a more rights-based understanding based around access to care and support through the four SDS options.
* A small number of areas in our sample had been successful in achieving wholesale change in their vision and delivery of social care services.
* Strong and committed leadership and partnership from senior management of services across the local authority was crucial in this progress.
* The majority of respondents described progress in some areas of service delivery and not yet in others. Most progress has been made in adult social care services, but much work remains to be done in order to offer older people genuine choice and control.
Defining Successful Leadership in SDS Implementation
In order to offer individuals and their carers greater choice, control and flexibility, a high level of partnership working is necessary. Successful SDS implementation requires that the following conditions be met:
* That flexibility in provision has been secured, ideally through collaborative outcomes-focused commissioning.
* That mechanisms within finance, procurement and contracts can accommodate the range of options for delivering care and support that SDS offers.
* That the social work workforce be skilled in good conversations and creative co-production of assessments.
* That social work management are leading on changes in practice and workplace culture.
However, even this is not enough to maximise the potential of SDS for individuals and families in need of support with day-to-day living. To do this requires strong, inclusive communities with resources and activities that can be accessed and contributed to by individuals who need some support.
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This is complex work and demands strong leadership at every level and in every setting. Effectively it requires that managers of all aspects of service delivery affected by SDS legislation work together to make the new possibilities for health and social care that this offers a reality in their area,
'We set up an SDS programme board, which was chaired by our Director of Health and Social Care and on that was all of our Heads of Service from across Social Work, Finance, Legal, Contracts and Commissioning, operational Social Work, some Health folk, Internal Audit. Recognising the scale of transformational change wasn't just about social work practice it was everything: How we deal with invoices, how we deal with money, how we deal with contracts, all of it, everything… We had HR there, we had the unions… it was really a strong message from our Director that this is really a transformational change agenda and it will affect every department sat around this table' (Manager, local authority wide role).
Involving people who use services in strategic processes of planning and review can add a great deal of value. Local authorities which had included supported people as essential contributors to achieving change found that this helped move implementation along. The perspective of carers and people who need support helped professionals to understand the value of personalised care. Leadership from service users is therefore also very important, and reflects the spirit of empowerment found in the legislation,
'At every programme board, somebody who used services or a family carer came and told their story. And what that did was bring a lot of the policy and systems stuff to life. Particularly for people who didn't work in social work, the senior managers. So if you were an Audit Manager, a Finance Manager, you were hearing what it actually meant for people' (Manager, local authority wide role).
The Benefits of Leadership
Senior management support, direction and permission were crucial to achieving lasting change in local authority and health services. Where this was present, huge progress could be made.
1
2
3
4
5
6
7
8
1
Leadership:
Buy in and
permission
from
management
across all
relevant local
authority
services.
2
Systems:
Commissioning,
procurement,
contracts and
finance systems
that allow
access to all 4
SDS options
to happen in
a streamlined
way.
3
Communities:
Outreach and
community
capacity
building that
maximises
community
assets.
4
Partnership:
Provider
flexibility and
wholesale
commitment
to SDS, PA
availability
and skill.
5
Support:
Third sector
enablement
creating access
for all to SDS.
6
Practice:
Practitioner
knowledge,
skill and
values with
management
support
7
Recognition:
Carer
involvement,
support and
commitment
to meeting
the needs of
carers.
8
Service user
confidence &
contribution
Successful Self
Directed Support
8 Taking control: Informed and confident users of SDS who are personalising and planning their own care and support.
In adult and older people's services, the integration of health and social care services, and the impact of austerity measures on budgets were cited in some areas as barriers to growing creativity in social work practice. In children's services too, there was a feeling that the legislative burden placed on local authorities had been heavy in recent years,
'It's a big shift in the context of a lot of other change as well. It's not just budget but you know the ongoing implementation of The Children and Young People Act, Children's Hearing Act, new adoption legislation. I think it's another ask on top of many other asks of practitioners. In terms of developments that have been going on across Scotland in children's services… You know continuing care, Throughcare'
(Manager, Children's Services)
In some areas there was a perceived lack of commitment to the change agenda of SDS in senior management. This appeared to impede progress. Staff could become demoralised if they had been asked to make changes to their practice, which they then struggled to actualise due to lack of appropriate organisational change. An example of this is where creative care plans are being co-produced but there is a lack of providers to fulfil these for people: Changes in commissioning and community engagement need to come in tandem with shifts in practice.
Community leadership was recognised as another important factor, and two respondents described a lack of community resources and assets within their rural communities. This could cause a push-pull effect where local authorities were unsure to what extent their role is to enhance and support community development. All services consulted recognised that getting their own staff on board with changes was necessary but not sufficient for successful implementation.
'The leadership is interesting given the model you've got to have for SDS to work isn't it? Because actually it's not dependent on just the ones who provide the cash for the Option 1s. It's predicated on the notion of a supportive community with activities within it and that you can access, and that you can use a DP to do something there… we're not always masters
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of our destiny in that regard and we have to work with other people and recognise that because if you take that model and apply it at the root end you have to have supportive communities, communities you can do something in' (Senior Manager).
There is clearly a great deal of important work taking place under the banner of SDS implementation across Scotland. Impressive pockets of good practice exist and are emphasised in this report. However, we also found an apparent lack of consistency in the extent to which leaders in the professions of health and social care had been able to work with providers and local communities to overcome challenges. Elected members and community leaders had a very important role in this process, both in supporting and instigating positive changes. Good partnerships helped to grow strong communities, helping people to remain in their own communities and to be active citizens.
Strategic approaches
Our research found a variety of strategic approaches which had been adopted to achieve SDS implementation. There was also variation in the extent to which local authorities felt confident in the vision that the Scottish Parliament has set out introducing legislation on Self Directed Support. A small number of respondents suggested that the legislation is open to multiple interpretations and that it would be helpful for Scottish Government to 'fine tune the vision' and provide stakeholders with a stronger message on what successful implementation should look like 'on the ground'.
For example, East Dunbartonshire had interpreted the SDS agenda as being primarily around community capacity building and funding preventative initiatives. The aim being that these become self-sustaining and can then act as 'assets': Resources that provide opportunities for active citizenship or an alternative to traditional social care. Whereas the majority of local authority areas had focused on personalisation of the formal assessment and delivery of individual care and support to those with eligible levels of need. However, some had been able to successfully combine elements of both personalisation and community building approaches. Fife provided an example of this and suggested that they had embedded SDS as the mainstream social work approach across adult social care and some community health services.
Whilst the majority of authorities had instigated governance arrangements to oversee implementation, membership of this varied. A very few areas, East Ayrshire and Highland standing out in our sample, had understood full implementation of SDS legislation as requiring 'transformational change' across the local authority/NHS board area. East Ayrshire took a highly strategic approach to providing services in the spirit of SDS and integration.
Reporting and Measuring Progress
A small number of local authorities questioned the mechanisms for reporting on progress. They expressed confusion over the conflicting messages that uptake of the different SDS options was not to be used as a measure of progress but that this has continued as the government's primary tool for tracking change.
Outcome based annual reporting was favoured in some areas (Midlothian, Fife) in line with the outcomes based approach of SDS. The City of Edinburgh Council used their mandatory training sessions for social work staff as an opportunity to relay progress and 'sticking points' up through their management structures. NHS Highland and East Ayrshire had found visual planning tools invaluable in their change processes.
Where ongoing evaluation was seen to have been built into the implementation strategy for an area, it became a powerful tool for measuring progress, and closing the feedback loop for practitioners working hard at the frontline, who were able to see outcomes in action.
Re-envisioning social care?
The reach of SDS legislation referred to in the literature review could be seen in practice. One example of a strategic issue was raised in Falkirk and Scottish Borders. In both areas support at home for an adult was being proposed as an alternative to residential or hospital care but there was a delay in finding appropriate social housing in order to realise this for the individual. Since no SDS mechanism was in place within housing services to house the supported person in an environment where they could receive the proposed care package,
19
given the pressure on housing resources, delay occurred.
Where access to social housing is based on a bidding system such delays are possible. This raises the question of whether a 'corporate responsibility' strategy that cuts across social care and housing procedures within local authorities may be helpful to address such circumstances. Joining up policy may allow supported people to leave a residential setting and receive support in a community setting more quickly and in all likelihood at less public cost.
When considered in this way, the agenda for changing services is very large indeed, and some participants in the research perceived that our understanding of social care is at a pivotal point,
'In ten years' time we'll be buying things that don't look like services and that'll mean it's worked' (Team Manager, Adult Services).
Case Example 1: Jack
Jack was due to leave residential school at 17 and he and his parents decided he should move to live close by family. Although Jack had been living some distance away from his home town in a specialist resource, he had close relationships with both his mum and dad. Jack has very significant difficulties in terms of learning and communication. Within the residential school environment Jack was regularly self-harming at huge detriment to his face, which was a concern for everyone.
Jack's social worker perceived an opportunity here to provide choice and control to Jack and his family and they were keen to build a network of support around Jack that could meet his needs.
The family interviewed three care providers and chose the one they liked best.
'They knew what they wanted and they didn't wobble'
(Jack's social worker, Donald).
One issue was housing as there was no straightforward mechanism for getting housing in place to go along with the proposed care arrangements. Jack's social worker had to get permission from management to be able to allocate housing to Jack in an area where his mother herself grew up. Jack is known and part of that community, and 'you can't buy that' (Donald).
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There was an anxiety Jack would isolate himself. However, in terms of day to day life, from day one there was some routine there and he is now out three or four times a week and copes with the chores he has to do. Jack visits a local sensory room, attends football matches, and is part of a recreation club. He attends amateur dramatics performances with his dad, and is regularly out in the local community.
A year on from his move Jack is much healthier and happier.
'The biggest safety and health outcome that we've got is we are still getting incidents we are using [restraint] on average twice or three times a month compared to twelve or fifteen times. He still looks a bit like a boxer but his skin's rosy and healthy and the actual inflammation has slowly gone down… because in school it was happening several times a week, in fact there was a pattern first thing in the morning that he would get upset and basically punch himself in the face… there's other triggers and there's triggers we don't fully understand yet but they are much rarer because, I don't know, he must feel he's got more control over his life'
(Donald).
Commissioning and Re-envisioning Social Care
Key Findings
* Where senior management took on an active role in negotiating and relationship building with providers this unlocked the potential of SDS to be creative and flexible in meeting individual outcomes.
* There is evidence of change from traditional tendering to collaboration.
* Where local authorities agreed a set and hourly rate for care with providers, this was positive.
* Flexibility can be achieved within block contracts and Service Level Agreements when providers can tailor their services around individual outcomes.
partnership and the City of Edinburgh's Council's Communities and Families department were examples where SDS Lead Officers had been able to work together with colleagues in finance and procurement and with local providers as challenges became apparent. Building new systems as they went was very labour intensive for social work staff but had satisfying results. For example, the outcomes for a group of three friends, who had previously used traditional residential respite for adults with learning difficulties on an individual basis.
Strategic Planning and Troubleshooting in Commissioning and Procurement
Excellent examples of changes in commissioning came from South Ayrshire, East Ayrshire, East Renfrewshire and Highland, where managers had taken new approaches to social care delivery. In these areas a strategic approach was taken whereby dialogue was opened up between users of services, frontline staff, managers and providers of care and support, in order to create new ways of working together,
'That's what we're trying to say to providers, if people want to do something a bit differently, you're working with these people every day. The social worker doesn't see them every day, you know we see people from time to time, you know we would be happy in that situation for us to look at an Individual Service Fund, and to pass that equivalence, using the equivalence model that money, to provide that service that the person wants and that is something that we will actively manage' (Senior Manager).
There was a lot of hard work described in changing these traditional commissioning relationships and shifting the balance of power and responsibility between agencies. Some areas described significant efforts in this direction, but with little effect in terms of flexible Option 2 arrangements for supported people so far.
Some local authorities had taken the strategic decision to troubleshoot issues as they arose through SDS implementation. Midlothian health and social care
'They went and rented a lodge or log cabin and used their budget to pay for the accommodation and pay support staff to go away with them as a trio and then do stuff while they were away and the feedback I had from that was that it was just amazing. Because they felt like they'd had a holiday and their parents felt like they'd had proper respite because they knew that they were together, it also then connected all these families and they built a kind of network'
(Manager, local authority wide role).
Respite and short breaks provision was an area that most local authorities had successfully personalised in order to provide service users with a much more enjoyable experience and carers with meaningful respite. East Renfrewshire, Falkirk and Fife provided strong evidence of this and South Ayrshire was actively working on this.
As an example, following the closure of their building based respite service in children's services, East Renfrewshire took a partnership approach to commissioning a new model. The Partnership worked with providers and parents to develop creative and flexible supports for young people with additional support needs. Providers pooled resources and 'pitched' a range of ideas to parents who identified strengths in the proposals. Working together, providers developed a range of activities using universal and public services based on the feedback. The outcomes for young people improved as they experienced a broad range of activities and benefited from a diverse range of peer and staff support. The approach has increased parental involvement and activities are now being co-produced between parents and providers.
Individual Service Funds
Where groundwork had been put into building good working relationships between commissioning local authorities and providers, this allowed trust to develop. The goal being that Individual Service Funds could be transferred to providers who could then manage them flexibly with individuals and families.
The success of Highland Home Care which is explored later in the report, has been predicated on Individual Service Funds sitting with the provider. This was surprisingly uncommon practice across the local authority areas who responded to our research. However, South Ayrshire have actively shared their approach to collaborative and outcomes based commissioning in Learning Disability services with us and with other areas. South Ayrshire were supported by Evaluation Scotland in developing an approach to reimagined commissioning. This involved a shift to outcomes based commissioning, with a view to transferring Individual Service Funds to providers and allowing them to work directly with individuals and families to meet those outcomes in creative ways.
In some areas, Individual Service Funds largely remained an aspiration at the time of the study, but the work was well underway to achieve flexible uptake of Option 2 by service users in this way. In other areas this was very much a reality, East Ayrshire had seen a large increase in uptake of Option 2. Some local authorities felt that the principle of proportionality was important here, since for many support plans the budget is small and it makes more sense for the local authority to make purchases on behalf of service users at their request. Particularly in children's services where 'mainstream' activities such as swimming lessons or soft play passes might be important aspects of the plan.
In House and Block Provision
Local authorities recognised the need to make Option 3 a positive choice for people. And to offer personalised support to local residents, understanding that 'Option 3 is a perfectly legitimate choice for individuals and the spirit of the legislation would suggest that it should continue to be so' (Manager).
East Lothian have redesigned their home care provision in order to build what they describe as 'Option 2
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flexibility' into Option 3 services and at the same time address the issues of care at home capacity which are highlighted elsewhere in this report. Their new approach is not limited to, but does involve a single tariff for all home care, an approach that other local authorities have found to be helpful and equitable.
'We developed one service specification and contract for care at home providers which allowed providers to deliver to all age groups and disabilities. This promoted the standard of care and ensured equity across all groups of supported people. It also regulated the cost of service – one cost for Care at Home – all Providers were expected to deliver the same standard of care at the same cost.
Previously the same carers delivered to people over and under 65 and yet they were paid different rates. The development of one Framework ensured equity across the disability groups. This initiative was welcomed by Providers. The new contract allowed for two models of support to be delivered under option 3; Time and Task and Personal Budget Model' (Manager, adult social care).
The 'Personal Budget Model', essentially allows high quality providers to receive a personal budget for service users in order to meet their defined outcomes, and thereby free up an Option 3 contract to personalisation. East Lothian have not yet had the opportunity to review these new developments but are hopeful that they will allow far greater flexibility within Option 3 care at home in the area.
Residential care is an area where personalisation has been slowest to embed, but in Highland there were the beginnings of good evidence of this. In Highland, personalisation has been just one part of wider cultural change and quality improvement in their residential care settings.
The City of Edinburgh Council had brought personalisation of care into their residential care services for accommodated children and young people, through a pilot project which eventually took in three residential units. This gave young people the opportunity to engage in their support planning and share their ideas on how their outcomes could be met flexibly. This also brought residential care workers into the SDS training on offer, increasing understanding of the possibilities the legislation offers across all services.
Personalisation of long-term residential services for those who need them remains a challenge, but one which some areas were beginning to take on.
Community Asset Building and Broadening Access
Key Messages
* The extent to which stakeholders in implementation understood the need for a fit between changes in social work practice and supporting communities to increase their assets varied.
* Promoting active citizenship and community assets was taken on as a priority in some areas, and many were seeking to develop this locally.
'The Drop-In has been a godsend for my two boys and me… As both boys have autism but with very different needs it is rare to find somewhere I can take them both together… The fact that the Drop-In is on at the weekend is important. The boys need routine and structure and weekends can be long and challenging… The benefits to my boys have been huge'
* Some local authorities were making small scale spends on individuals, families or community groups in order to achieve defined outcomes, without building in additional bureaucracy.
* There were pockets of streamlined individual spend in Children and Families and addiction services, but for high volume adult social care services this remains a major challenge.
* Barriers to access were being challenged in different ways in order to broaden awareness and uptake of the different ways of accessing support and social care.
Strengthening Communities
Part of the SDS agenda for change has been an emphasis on community building so that there are opportunities to divert from traditional social care provision. In addition, stronger communities offer greater potential for individuals to access meaningful activities and supports of their choice. In some areas, as part of SDS implementation, seed funding was provided to kick start 'bright ideas' for community activities and initiatives. Some successful examples provided included:
* A Recovery Café for individuals and families affected by substance misuse (East Dunbartonshire)
* Men's Sheds (East Dunbartonshire)
* The 'Small Sparks' scheme in Fife, which funded a variety of projects including a highly successful community garden and a Story Stones project linking a care home with the wider community (Fife)
* Young people providing peer mentorship and running activities including a drama group for younger children with disabilities (Angus).
* Four weekend drop ins for families who have a child with a disability, two of which are still going strong over 3 years on from the original seed funding (The City of Edinburgh Council)
(Direct extract from parent's recent feedback shared with parental and agency consent)
A common theme across all the projects described above was reducing isolation and overcoming stigma. This was something that the supported individuals who took part in our research also emphasised in their description of the outcomes that Self-Directed Support allows them to achieve.
This should not be under-estimated as an important goal, since research participants described very serious effects on their mental health, of feeling excluded and isolated from everyday activities. David described how his support worker took him to take part in competitive sports, horse riding with his family, and on holiday with them, but also helped in small ways so that he could simply choose his own shopping or go to a café,
'It's like a social life again, it's normality, it's what any normal person would do. That is the big thing. But you wouldnae be able to do that with… the council saying that's it, 15 minutes in the house… you can get somebody to pick you up and take you to the beach for a couple of hours if that's what you want in the summer. The freedom of not having to sit in your hoose… I cannae actually praise it high enough, just normality, what a difference in life… it's life again'
(David and Jennifer, Direct Payment under Option 1).
The control that David and Jennifer have been able to achieve over David's care, working with the support worker they employed directly has allowed them to continue to live as a family. But also for David to gradually pick up activities and pursue his own interests, and importantly for Jennifer to continue with her career, which is very important to her sense of identity and for the family to be financially self-sufficient.
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This brings us back to the point made by one senior manager that SDS requires not just personalised support but communities that provide opportunities for individuals and groups to be active and contribute to the life of the area. Some very powerful examples of this were provided across Scotland, and this was something that many respondents hoped to continue to develop.
Active and Healthy Citizenship
There were several good examples of a commitment to active citizenship for service users. South Ayrshire were challenging their providers to think differently about their support to people with learning difficulties and to get beyond maintaining individuals in safe and familiar ways, and instead work towards supporting them to become actively involved in their communities through volunteering or employment, and simply 'getting out and having a bit of a life' (Manager). In Falkirk too, the Learning Disabilities team were challenging the understanding of institutional residential care as safe, supportive and the only choice for individuals with complex needs and behaviours.
In other local authorities small spends have been made available to help individuals to meet particular outcomes and take greater control over the direction of their lives or their family's life. Budgets varied between £250 and £500 and bureaucracy was kept to a minimum to maximise flexibility: Individuals were simply asked to apply for individual budgets, explaining the outcomes they intended to achieve. Examples of this approach were provided by East Ayrshire and the City of Edinburgh Council in our sample.
Outreach, Awareness Raising and Broadening Access
There was some strong evidence of local authorities seeking to broaden access to Self-Directed Support in different ways. The first of these was information sharing and awareness raising, recognising that knowing what is available is the first stage in increasing service user choice and control. South Ayrshire had built consultation with, and outreach to, supported people within their changes to commissioning and provision, and had actively sought views on the reimagining of services. Almost a step back from this,
2 http://www.onyourdoorstepfife.org
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some respondents (East Dunbartonshire, Fife, Perth and Kinross, Scottish Borders) suggested that broader public awareness of social care systems and options was important and a means of empowering individuals to think about support before they need it and to be able to access support when necessary.
Fife did a huge amount of active publicising of their 'On Your Doorstep' 2 initiative which provides information on community resources, and on health and social care processes and services, through local radio, leafleting posters and 'team talks' at local agencies.
Perth and Kinross undertook large-scale public awareness raising in order to increase access to services for minority ethnic communities. The SDS implementation team along with a local third sector partner provided extensive outreach and creative means of information sharing, e.g. DVD and YouTube short films in a variety of languages featuring service users' experiences, posters in local shops and getting out to events and places people gather, 'we went everywhere!' (Outreach Link Officer, Minority Communities Hub, Perth & Kinross).
'Our Outreach worker has worked very closely with Self Directed Support Team. This partnership work has been hugely successful for our clients. We have been able to establish a very successful partnership with the SDS team which has benefited so many of our clients.
'In the life of the project, we have referred and supported 16 individuals including 4 Gypsy Travellers, 1 Chinese, 2 Eastern European and 9 South Asians to the access team to have them assessed for SDS. Due to support offered by the Outreach Link Officer during the Joint assessments, 13 clients are now in receipt of SDS care packages. Others are going through the system. Feedback from those clients suggests that they are now living a better quality of life and feel they are in control. We continue to deliver awareness sessions about SDS'
(PKAVS Minority Communities Hub, Bridging the Gap Project, Impact Report 2015-2017).
Broadening access in a different way, implementation workers in Midlothian realised there was a strong class element in the use of Direct Payments under Option 1. One aspect of this was the ability of families or individuals to find personal assistants through their existing networks and word of mouth and they wondered if there were ways of breaking down those barriers.
'We set up the PA Scheme to try to level the playing field a little bit… it's across children and families and adults and social care and it's a directory of people who are interested in becoming PAs or who already have experience as PAs and so they can register on the scheme, it's held by Midlothian Council but we don't recommend or endorse anybody who's on it, and it was that recognition… that we were finding with direct payments when people wanted to employ their own Personal Assistants… that who you know really matters. So if you are wellconnected family, generally it was quite easy to find somebody to be employed as a PA. Whereas if you were isolated and didn't have that community… there was the equal opportunity… but there wasn't actual equity because one person's much more able to do it than the other person so the PA scheme was to bring them more in line with each other so it shouldn't matter as much who you know' (Manager, local authority wide role).
Another barrier to choosing a Direct Payment could be the accounting required, and in East Ayrshire, they have tried to mitigate this by providing support from their own specialist Finance Officers who will make home visits and sit with supported people to help them to do their returns.
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Creating Flexible Systems
Key Findings
* There was limited evidence of large scale system change, but it had happened in some areas, most notably East Ayrshire and Highland in our sample.
* Processes may have changed but they remained complex in most situations, sometimes despite huge efforts in redesign of assessment tools and IT systems.
need to establish eligibility according to set criteria, and both to provide equity in service delivery, and to be seen to provide that equity were barriers to the steamlining of processes. Guidance for staff then needed to be provided so that they could complete assessments which demonstrated eligibility and which allowed decisions to be made about the level of support to be provided. This research found little evidence of shorter or simpler assessment processes as a result.
* There was wide variation in the extent to which local authorities viewed the powers and duties of SDS legislation as necessitating new assessment forms and processes.
* The reduction of bureaucracy remains an aspiration but not a reality well evidenced by this research.
SDS Systems
Not all local authorities reported on the systems and processes they had introduced but where they did it tended to be on the challenges of getting IT systems to cope with more creative assessments, co-produced support plans, or to make budget calculations. One local authority worker described spending months, if not years, working very hard to incorporate an SDS assessment into their IT system for case recording in children's services. However, in other areas, hardly any change in paperwork or process was seen as necessary.
The challenge to think carefully about the information collected and held about individuals and how much of this was needed came up only rarely in the research, but some areas were giving thought to this and also to the proportionality of the new systems they introduced, including shortened initial assessment processes for adult services in new locality 'hubs' or offices.
The City of Edinburgh Council had tried to introduce as little process as possible into their initiatives for children and their families using the new SDS powers and duties, and Angus were also working to introduce streamlined systems for small spends to support families, possibly using Family Group Conferencing as a forum to agree this.
In adult social care services, it appeared much more common for complex eligibility and resource allocation systems to be tailored to include the four SDS options rather than being broken down and simplified. The
Both staff and service users participating in this research were concerned about how difficult it can be to prove eligibility for services. Strict eligibility criteria were cited as a potential barrier to creativity.
Once eligibility was established many local authorities used a Resource Allocation System (RAS), Funding Allocation System, or Resource Allocation Panel (RAP) in order to agree individual budgets (Angus, The City of Edinburgh Council, Scottish Borders). Others were working with an 'equivalency' system (Midlothian, East Dunbartonshire). South Lanarkshire described a points based and a banded system for adults and for children respectively. However, none of these systems appeared to have decreased the bureaucratic demands on workers. There was also a tendency for these systems to tie thinking back into the language of 'hours' under a 'time and task' model rather than emphasising individual budgets and creativity.
Once support was agreed and in place, there were efforts to reduce the administrative demands on supported people and third sector support organisations under Option 1, and on providers under Option 2 in terms of providing receipts and an audit trail. Many areas were trying to move towards the use of a standard bank card for individual budget or support fund transactions, and seeking to minimise the need for active reporting by individuals.
Workforce Culture and Development
Key Findings
* There was good evidence of a commitment to new approaches to assessment and planning that are a necessary condition for the personalisation of care and support.
* All local authorities have recognised the need for extensive training and peer mentoring to help with this process.
identified by our research as having natural commitment to SDS were those nearing retirement. Practitioners in this category understood the new legislation as a renaissance in social work values and of the locally delivered, community based social work of their own early years in practice. They approached SDS as a welcome opportunity to empower individuals to have more choice and control.
* Social Workers in Children and Families services have found SDS a natural fit with existing policy and practice. For practitioners in most adult health and social care settings the SDS approach has involved major cultural change.
* Social Work education is perceived by practitioners as having major gaps in its preparation of new practitioners in relation to SDS. The profession needs qualifying training to be informed by relevant research and standards, incorporating the SDS approach.
* There is a challenge to professional leadership to develop the skills, values and identity of social work in health and social care services.
* Significant challenge in recruiting sufficient social care workers to meet need were described by almost all local authorities, particularly in care and support at home in rural areas. Where this has been overcome, results have been outstanding and provide evidence of how new models can work.
* The work of third sector partners was highly valued by local authority staff and supported people, particularly in enabling users of their services to choose a direct payment under Option 1 and in educating the public on SDS.
Cultural Change in Social Work Education and Workforce
Social work students and newly qualified social workers were not seen by participants in the research as having a good understanding of SDS from their qualifying courses, put very frankly they 'don't seem to know a lot' (Manager). Several agencies had addressed this when students were on placement within their organisation and found that SDS and co-production were then enthusiastically taken up by students, who had real passion for the values and opportunities SDS represents.
Interestingly, another group of qualified social work staff
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'Some of the feedback that we've had from various bits and pieces that we've done is that we're taking it right back to how we did it 20-30 years ago, looking at community now and individuals' assets and only using statutory services to plug any kind of major gap… whereas before a lot of people were coming from an age where we just did everything 'for' and we built up a bit of an expectation. So workers were used to doing for individuals and their families. Families were used to well they'll just sort it for me'
(Manager, authority wide role).
However, between these poles of enthusiasm is a large section of the current social work workforce in Health and Social Care services who had only ever worked under the policy paradigm of Community Care,
'We spent so long in a period of care management where it was all about kind of packages of care and kind of joining the dots between people and services, it was… for those of us who've maybe been in practice for a while unlearning'
(Manager, authority wide role emphasis original).
What this means is that local authority social workers in health and social care services began the SDS implementation journey from a difficult starting point. They had been care managers acting as gatekeepers whose professional gift it was to allocate services under the Community Care paradigm. For these practitioners SDS has been a challenge to accepted practice. Therefore, significant levels of training, peer mentoring and feedback have been needed to encourage major cultural shifts in practice.
It is important to recognise within this picture the fact that Direct Payments were well established in some areas, primarily for adults with disabilities, and to an extent for older people and their carers. Direct Payments have also been well used for children with disabilities, managed by parents in ways that suit their family life. In many local authorities we met enthusiasts who have made use of the longstanding powers to co-produce assessments of need with individuals and to support them to create packages of care that meet those needs in ways that are acceptable to them.
The principles of Self Directed Support were readily understood by the children's services staff who participated in the research. SDS principles were seen as having a natural policy fit with the GIRFEC approach and its use of wellbeing indicators, which underlie all practice with children and young people. With their focus on outcomes, SDS and the GIRFEC approaches are well aligned: 'we've done that for a long time and we wouldn't call it self-directed support' (Manager, Children's Services). So it is perhaps unsurprising that NHS Highland are applying a similar framework to adult social care; 'Getting it Right for Every Adult' (GIRFEA).
In terms of the extent to which SDS implementation demands cultural change within social work practice, particularly in social work with older people.
Partly these are the 'additional skills challenges', that the SSSC have previously identified for the workforce 4 . Including the challenges of changed relationships with providers, employing numeracy skills in constructing budgets, and a need to be aware of the language of commissioning and procurement.
'You come into this job and you're a social worker and suddenly you're learning this whole new language!'
(Manager, Children's Services).
Notwithstanding these developments, our research strongly echoes the 2016 findings of the Critical Friend evaluation of the Scottish Social Services Council selfdirected support workforce development project 3 .
But beyond this, there are values underlying SDS legislation around promoting independence, thinking creatively and taking risks with supported people within a strong community framework. These values may once have been core to social work, but research participants described how they have been forgotten in much of adult social care. Therefore, significant re-learning and strengthening of the profession is needed to make progress in this area.
3 http://ssscnews.uk.com/wp-content/uploads/Critical-Friend-Evaluation-Report.pdf
4 http://www.sssc.uk.com/about-the-sssc/multimedia-library/publications/workforce-development/workforce-skills-report-2016-17
Case Example 2: Denise
Denise has a diagnosis of Schizophrenia and has been living with the condition for almost 30 years. Living in the community has been a struggle for Denise at a number of points in her adult life. Her wider network of friends has not always been a source of support, and Denise felt she had experienced a lot of stigma and social isolation due to her mental health diagnosis.
Denise had been living in hospital for almost a whole year when her social worker Alison first met her. One attempt to go home with a care package during that time had faltered after four weeks. Denise had found the care provider at that point difficult to work with and was distressed by the having a constant turnover of workers coming into her home. She wanted her 'home to be home and not a hospital' (Alison). This led to Denise disengaging from the regular support coming in and she became very unwell, very quickly. She was then admitted to hospital under a compulsory treatment order, which distressed Denise
Training
It is clear that local authorities have understood the need to train their staff in SDS legislation. We found that training was particularly targeted towards upskilling social work assessments. All participants in this study reported investment of SDS funds from Scottish Government in training and supporting staff to shift their practice in order to have more 'good conversations' with service users 5 , or in very similar assessment skills.
The aim of these conversations is to find out what is important to people in need of support to achieve their outcomes, and to co-produce appropriate plans. The capacity for workers to do this skilfully was prioritised across the board. However, the ways in which training was approached varied between local authorities. Training that has served to embed SDS into practice and been positively received is:
5 https://www.thistle.org.uk/practitioners/houseofcare
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further and lessened her trust in the professionals around her.
Denise enjoys reading, researching and writing and has an interest in alternative therapies. Alison saw this as a potential strength in Denise's life and asked her more about this. This became a 'turning point' in their working relationship. Focusing on strengths was new for Denise, who felt that previous assessments had always been deficit focused and she had found that difficult. Alison suggested exploring different options and they went together to a local third sector agency who helped Denise to draw up a support plan, which was then approved by the local authority.
Everything is now in place for Denise to recruit her own staff and she is planning positively for the future. Alison feels that using an SDS approach allowed her to work with Denise to co-produce her own support plan and begin to see a way that she could live more happily in the community again.
* mandatory for both staff and managers
* based on values rather than processes
* is described in terms of best social work practice
* focuses on and supports practitioner understanding of outcomes
* has an in-house commitment
* is delivered in partnership with third sector and ideally involves service users
* is ongoing and responsive to need and new challenges
'We employed a dedicated training officer to train our staff on Self Directed Support and coproduction… We had a management development programme so every manager in the social work department attended a 4-day training programme solely around self-directed support… We worked with an organisation called Diversity Matters… they had set up an organisation called 'Everyone Together'. They were funded through the Scottish
Government for capacity building and all of the training that we did, and all of the awareness raising that we did, we designed it with people who used services, we delivered it with people who used services, in fact they just delivered it, I didn't deliver it at all. And we learned everything all at the same time'
(Manager, local authority wide role).
Many local authorities had sought to provide peer mentoring for staff. Fife had a particularly strong commitment to embedding SDS through full induction for new staff backed up with the ongoing availability of a team of SDS staff who could answer any specific questions that arose for workers. Other areas had 'SDS champions' within area social work teams.
A small number of local authorities had extended their training offer beyond social work practitioners and managers and were actively involved in supporting and training personal assistants in order to increase skills in this workforce to enable the use of Direct Payments (East Dunbartonshire, Angus) and others were considering this approach (Midlothian). Our respondents found this difficult territory as they were wary of creating too much uniformity in provision or of bringing the function in-house without a plan to do so. However, training was seen as a helpful way of plugging particular skills gaps locally and thereby allow supported people to use a direct payment when they chose to.
Third Sector Organisations
Evidence on the third sector workforce is very limited since it was not the focus of the research. However, the vulnerability of funding for staff posts was raised in several areas, with the risk that expertise and experience in SDS will be lost due to the lack of job security in third sector organisations supporting SDS uptake.
Independent organisations are integral to the success of SDS. This research did not set out to ask directly about their role. However, the commitment and support from staff in independent organisations was valued and seen as crucial by local authority social workers and managers who relied upon it to help their service users navigate Option 1 and to inform communities about different ways of accessing care and support.
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Service users and carers participating in this study reflected this view, when they emphasised how important the role of the third sector was in allowing them to use Option 1. The support with payroll and employment responsibilities was crucial for the supported people participating in this research choosing a Direct Payment.
Significant as this finding is, we acknowledge that the scope of third sector organisations' role in implementing the SDS legislation and national strategy is far wider than supporting uptake of Option 1. As detailed in the Community Asset Building and Broadening Access section of this report, we found that independent organisations are doing essential work in breaking down barriers to social care access. However, it was beyond the scope of this research to gather systematic evidence about the very significant contribution that independent organisations are making nationally. Further research in this area would be welcome and may bring some balance to the findings of this report concerning the activities of local authorities towards embedding SDS.
The Social Care Workforce
Whilst there were examples of providers in a number of geographical areas who were willing to be flexible and fleet-footed in their approach to recruiting carers to deliver flexible care under Option 2,
'It's the willingness of the provider to employ somebody, to go through the interview process, and they were able to turn that around reasonably quickly. But we've only got a couple of organisations who are doing that, who've got the capacity as well and the flexibility. So we haven't got an awful lot of providers who are, our main provider isn't offering individual service funds or direct payments so that poses challenges. It tends to be the smaller providers that seem to be, can be a bit more flexible' (Social Worker).
Almost all local authorities reported difficulties in the recruitment of care workers, particularly home care workers, and particularly in more rural areas. The exception to this was Highland, where Highland Home Carers have worked in partnership with NHS Highland and with communities and users of services to find innovative ways to deliver localised care at home.
'We, maybe uniquely in Scotland, don't have a problem with recruitment and the Highlands is an area with very low unemployment but we are managing to continuously grow and recruit and a lot of that growth has been… in these smaller communities where people have a sense of identity where care is something they can do within their own communities. Many of these people are not looking for full-time jobs and I think that's part of the problem with recruitment is people tend to think we can't recruit, we're looking for somebody to do 30 hours or whatever, well we're not in these communities because there isn't that much work… what they can do is deliver care as a supplement to what they are doing. I'm not saying it works perfectly but we don't have the problems of recruitment that other agencies seem to have. I think the fact that we are employee owned makes a big difference'
(Chief Executive, Highland Home Care).
Highland Home Care and NHS Highland are firmly focused on supporting people to remain in their own communities with the help of local care and support. This community-based approach whereby people within a remote community who are able to offer some support to their neighbours by join the workforce of Highland Home Care. They then work co-operatively within their own communities to deliver care to those who requite it locally. This model has been open to criticism because it can effectively limit people in remote areas to using one care provider. This approach is therefore less concerned with whether individuals are offered care and support under all four options, according to the SDS legislation. Effectively it means that Option 2 is the only viable option for supported people in some cases. The company does recognise this fact,
'So you could say they are not having any choice. Well, they do have a choice they could take it or leave it! But there wasn't going to be a lot of options to them. They could have Direct Payments… some people do have Direct Payments in Cromarty and choose to do it themselves but there wasn't any
6 http://www.buurtzorgnederland.com
7 https://theknowledgeexchangeblog.com/2017/07/05/buurtzorg-reinventing-district-nursing-in-scotland
32
longer going to be a traditional service' (Chief Executive, Highland Home Care).
Nevertheless, this local solution has achieved better outcomes for individuals: People have been able to choose to remain at home, in their remote and rural communities as opposed to moving into urban residential and nursing care settings. And across the piece, there has been a recognition that in order to offer this, homecare has to be valued and developed in creative ways. These benefits have been weighed against limited choices under all four options for this specific local context, with achieving outcomes used as the measure of success.
The requirement for good quality, flexible social care will continue to increase in the context of an ageing population. We are likely to need increasing levels of support to allow individuals to live independently and in their own communities. It therefore seems important to celebrate this good example of home care and the way that NHS Highland have worked with providers and with community leaders to create new models. These new models for rural areas have since been used to strengthen home care in Highland's urban settings using the Buurtzorg model. Buurtzorg is a Dutch model of neighbourhood health care 6 which has gained popularity in the Scottish context 7 as a means of delivering personalised care and support and at the same time maximising the autonomy of those delivering community health and social care services. The Buurtzorg model is also being developed in Scottish Borders and Angus, areas which have struggled in providing rural home care, as has East Ayrshire despite a very strong commitment to SDS implementation.
The Impact of SDS Implementation
Key Findings
peer support allowed staff to work in new ways to deliver the aspirations of SDS.
* We found evidence of supported people gaining more choice and control over their lives and care across all the areas that took part in the research
* These examples can be used as a basis for shared learning across Scotland
* There can be no doubt about the capacity for SDS to enable people to live their lives in ways that they choose and to open up far greater flexibility, choice and control.
* There is a need for far greater consistency across Scotland and across different groups of people.
* Our research supports the view that the aspirations of SDS are very ambitious. Such a scale of change requires systemic management.
* Where frontline staff perceived visible management support at all levels there was greater and more coherent progress reported.
* In-house mandatory training combined with ongoing
Case Example 3: Ian
Ian is a young man with a life-limiting and degenerative condition. He had a package of care at home both for personal care and social support. However, the carers who were providing both personal care and social support were not of Ian's age and did not share his interests. He became reluctant to use that support and found it very difficult to recruit like-minded people as personal assistants. So, Ian had support in place, but it was not working for him, particularly over the weekends.
Ian wanted to complete an HND. He was finding it difficult to consistently get into college because of his health condition. This was preventing him from making progress in his course. In order to do his college work, he needed access to a computer with specifications that he did not have at home.
33
Outcomes of SDS Implementation
Research of this scale, speed and design does not allow for detailed analysis and generalisation. We cannot confidently state that overall supported people across Scotland, or in any one local authority area, do have access to greater choice and control through the mechanisms of SDS. We might assume that in areas where greater progress has been made in implementation there are more people benefitting in this way. However, we simply cannot know this from such an opportunistic approach to sampling and data collection.
We did, however, learn of many inspiring examples of hugely positive outcomes for supported individuals, relatives, unpaid carers, and wider families.
Ian suggested that what he really wanted to do with his weekends was college work on a computer. It was something that he was completely passionate about and he was focused on graduating from college in his chosen subject.
Ian's social worker spoke with the college about the specific kind of laptop Ian would need. A request to divert Ian's social support funds into the purchase of the right laptop was approved. Ian's family members agreed to provide some personal care on weekends to make this possible for him.
It all worked out really well, the laptop was purchased as an alternative to social support, Ian finished his course, graduated and he was able to move on to further education.
Conclusion
This report demonstrates the sheer scale and complexity of change that the SDS agenda demands of services at a time of pressurised budgets, organisational change and high levels of demand. There may be understandable frustration with the pace and inconsistency of change across geographical and practice areas in Scotland. Findings from research into service user experiences of SDS reflect the challenge reported by our respondents of implementing the spirit of the SDS legislation into all relevant areas of practice and delivery. This extends beyond social work management and practice to areas of commissioning and procurement, finance, and legal practice. Making high level strategic changes in line with the SDS Act whilst training frontline and operational staff in skilled outcomes based practice is a goal that is yet to be realised across most of Scotland.
Almost all of the local authority areas taking part in this research described how important networking and shared learning was to the journeys their own local areas had taken. The Social Work Scotland SDS forum was cited by respondents as a valuable opportunity to come together with workers from other areas, to ask questions, and learn of creative initiatives. This report is intended as a contribution to that necessary but ongoing process of shared learning. Learning that will bring greater progress towards the goal of transformative change in social work and social care envisioned by the SDS Act and Strategy.
34
References
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Social Work Scotland Mansfield Traquair Centre 15 Mansfield Place Edinburgh EH3 6BB www.socialworkscotland.org @socworkscot
|
SUPREME COURT OF QUEENSLAND
CITATION:
R v Cobb [2016] QCA 333
PARTIES:
R
v
COBB, Glen Douglas
(applicant)
FILE NO/S:
CA No 207 of 2016
SC No 939 of 2015
SC No 997 of 2015
DIVISION:
Court of Appeal
PROCEEDING: Sentence Application
ORIGINATING
COURT:
Supreme Court at Brisbane – Date of Sentence: 5 July 2016
DELIVERED ON: 13 December 2016
DELIVERED AT: Brisbane
HEARING DATE: 29 November 2016
JUDGES:
Holmes CJ and Philip McMurdo JA and Ann Lyons J Separate reasons for judgment of each member of the Court, each concurring as to the order made
ORDER:
Application for leave to appeal against sentence refused.
CATCHWORDS:
CRIMINAL LAW – APPEAL AND NEW TRIAL – APPEAL AGAINST SENTENCE – GROUNDS FOR INTERFERENCE – SENTENCE MANIFESTLY EXCESSIVE OR INADEQUATE
– where the applicant was charged with one count of attempted murder and, in the alternative, one count of causing grievous bodily harm with intent – where, prior to trial, the Crown rejected the applicant’s offer to plead guilty to the alternative charge – where upon arraignment the applicant pleaded not guilty to both offences but offered to plead guilty to causing grievous bodily harm – where the Crown did not accept that plea in discharge of the indictment – where, after trial, a jury convicted the applicant on the alternative charge of causing grievous bodily harm with intent – where the sentencing judge referred to “unguarded admissions” made by the applicant in the form of a Christmas card to the victim apologising for his actions and a letter to the judge – where the applicant was sentenced to eight years’ imprisonment with a serious violent offence declaration – where the applicant contends the sentence is manifestly excessive and the sentencing judge did not give sufficient weight to the mitigating factor of the applicant’s remorse – whether the sentence is manifestly excessive
COUNSEL:
Penalties and Sentences Act 1992 (Qld), s 15
Barbaro v The Queen (2014) 253 CLR 58; [2014] HCA 2, applied
R v Amery [2011] QCA 383, considered
R v Clark; ex parte Attorney-General [1999] QCA 438,
R v Kilic [2016] HCA 48, cited
R v Laing [2008] QCA 317, considered
R v Lyon [2006] QCA 146, considered
R v Marshall [1995] 1 Qd R 673; [1994] QCA 161, cited
R v McDougall and Collas[2007] 2 Qd R 87; [2006] QCA 365
considered
R v Piper [2015] QCA 129, considered
R v Selby [2013] QCA 261,considered
S M Ryan QC for the applicant
D R Kinsella for the respondent
SOLICITORS:
Mulcahy Ryan Lawyers for the applicant Director of Public Prosecutions (Queensland) for the respondent
[1] HOLMES CJ: I agree with the reasons of Philip McMurdo JA and the order he proposes.
[2] PHILIP McMURDO JA: In late 2014 the applicant struck his estranged wife in the head with a baseball bat, fracturing her skull and causing life-threatening head and brain injuries. He and the complainant had separated although they were still living in the same house. He was tried on an indictment charging him with attempted murder and an alternative charge of doing grievous bodily harm when intending to do so. He was acquitted of the first charge and convicted of the alternative charge. He was sentenced to a term of eight years' imprisonment with a declaration that he had been convicted of a serious violent offence. A period of 605 days of presentence custody was declared.
[3] He applies for leave to appeal against his sentence on the following grounds:
(a) The making of the declaration had the consequence that the sentence of eight years was manifestly excessive.
(b) The sentencing judge failed to moderate the sentence imposed to reflect the applicant's remorse and cooperation with the administration of justice.
The facts
[4] When the offence was committed, the applicant and the complainant had been separated for about 12 months having been married for about 20 years. They had agreed that the house should be sold. The applicant had learnt that the complainant had formed a relationship with another man. Despite the lengthy separation, the applicant became very angry about this relationship. On the night in question, at a time between finishing work at one place and commencing work at his other workplace, he decided to go home, where he collected a baseball bat from the garage and went to the room where his wife was sleeping.
[5] At that point the applicant experienced what the sentencing judge described as "an internal conflict", in which the applicant thought that he should not do what he had
cited,
been about to do with the baseball bat. He left the complainant's room before returning soon afterwards. This time, using both hands, he struck a blow with the baseball bat to his wife's skull as she slept.
[6] The applicant heard the crack of bone and saw blood coming from one of her ears. Believing that she would die, the applicant decided to take his own life. He took a knife from the kitchen and plunged it into his leg. But when he began to realise he was not going to die, he decided to seek assistance for his victim and rang 000. In that conversation he said that he had struck his wife with a baseball bat and asked that an ambulance be sent urgently.
[7] According to the evidence of a neurosurgeon, the blow to the complainant caused significant and ongoing injuries which, if left untreated, would have probably caused her death. Urgent surgical intervention was required to elevate and wash out a compound contaminated depressed skull fracture and to evacuate an acute subdural haematoma. In the opinion of another medical specialist, the complainant was left with a permanent neurological deficit, a residual facial droop and a reduced range of movements to one side of her face. A further consequence of this offence is that she now suffers post traumatic epilepsy, resulting in seizures which she seeks to suppress with anti-epileptic medication. It is probable that her epilepsy will be permanent. She also has consequential psychological problems which have damaged her relationship with her three children. She is continually tired and fatigued and because of her seizures she is unable to drive. She has lost the ability to work. She has lost the hearing in one ear. She has difficulty in conducting conversations.
[8] The applicant made to police officers what the sentencing judge described as "unguarded admissions". In December 2014 the applicant sent the complainant a Christmas card apologising for what he had done. The sentencing judge remarked that this remorse was also reflected in a letter which the applicant had addressed to his Honour.
[9] Prior to the trial, the applicant had offered to plead guilty to the offence of which he was ultimately convicted. That offer was declined by the prosecution. When he was arraigned, he pleaded guilty to doing grievous bodily harm but not with an intent to do so. That plea was not accepted in discharge of the indictment.
The reasons of the sentencing judge
[10] The sentencing judge noted that the applicant was aged 52 years when he committed the offence and 54 when sentenced. He noted that the applicant had some criminal history but of no significance for this case. He referred to the applicant's personal history, which he described as unremarkable apart from many health problems, which included episodes of cancer and open heart surgery. His Honour noted, however, that none of those health problems would be such as to cause difficulties in the applicant's incarceration.
[11] The sentencing judge discussed the relevance of the applicant's offer, before the trial, to plead guilty to this offence. He referred to R v Clark; ex parte Attorney-General, 1 where de Jersey CJ considered the relevance to a sentence for manslaughter of a pretrial offer to plead to that offence, where the offer was not repeated upon arraignment. The Chief Justice there said:
1 [1999] QCA 438 at [41].
"As to the offer to plead guilty to manslaughter, it is plain to me that the Crown could not reasonably have accepted it in discharge of the indictment. The public interest strongly warranted the Crown's pursuing this charge of murder. As has been virtually accepted on appeal, and as his Honour found, a conviction for murder was avoided only because of the influence of the respondent's consumption of alcohol. Had the respondent when arraigned pleaded not guilty to murder, but guilty to manslaughter, the position may have been somewhat different. There would then have been some consequent saving of public resources. But the respondent, one infers, preferred to preserve his chance of an outright acquittal. The offer of the plea cannot be regarded as suggestive of remorse. In these circumstances, I cannot see that it should have weighed in any degree in favour of the respondent when the judge came to sentence him."
However the sentencing judge also referred to the observations on this subject in R v Lyon. 2 In that case, Jerrard JA (with whom Douglas J agreed) accepted as "both sensible and authoritative" the statement by Fitzgerald P in R v Marshall 3 that:
"… [an offender's] offer to plead guilty to the only offence of which he was [subsequently] convicted was a relevant matter to be brought to account in the exercise of the sentencing discretion. Such a conclusion is clearly consistent with the policy enunciated in s 13 of the Penalties and Sentences Act 1992."
As Jerrard JA there noted, this court also agreed with that statement in R v Wiggins. 4 On the basis of Lyon, Marshall and Wiggins, the sentencing judge said that the applicant's offer to plead guilty to this offence was a relevant circumstance in that the applicant had thereby "sought to assist the course of justice".
[12] His Honour also referred to the applicant's plea of guilty to an offence of doing grievous bodily harm simpliciter at the commencement of the trial, saying that this was relevant but not something which would significantly reduce the sentence. As his Honour said, there was "overwhelming evidence" that the applicant had caused grievous bodily harm. The sentencing judge noted that "significant admissions" had been made by the applicant's counsel in the course of the trial which ensured that the trial had been conducted "very efficiently". But again, his Honour said that this did not justify a substantial reduction in the sentence.
[13] His Honour described the applicant's act as cowardly and unjustified. He set out the facts of the offence and its consequences as I have summarised them. His Honour accepted that the applicant was remorseful, which he said was indicated by several matters including his offer to plead guilty to this offence.
[14] The applicant's then counsel submitted to the judge that the appropriate sentence would be a term of eight years but without a serious violent offence declaration. Alternatively, he submitted, the sentence could be a term of seven years with such a declaration. The prosecutor submitted that a declaration should be made having regard to features of the case which his Honour summarised as follows:
2 [2006] QCA 146.
3 [1995] 1 Qd R 673, 673.
4 [2003] QCA 367.
"There are aggravating features in the offending which take the offending outside the norm of the offence of malicious act with intent. [They] include the degree of premeditation involved, the arming with and use of a weapon, the attack upon a victim in a state of vulnerability within the expected protective environment of her own home and the significant injury occasioned."
His Honour accepted "the force of those submissions" adding:
"Here, you changed your plans to actually go home, knowing where the baseball bat was in the garage. Your actions of that morning do show a considerable degree of premeditation and it would seem to have been motivated, not primarily, but substantially by the fact that your wife was about to go and meet another man …".
The submissions in this court
[15] For the applicant it is submitted that a body of cases in this court provides a discernible and specific range for this offence of five to eight years' imprisonment, so that the sentence of eight years should not have been accompanied by the serious violent offence declaration if regard was had to the applicant's remorse and cooperation. The appropriate sentence, it was submitted, was one of eight years but without the declaration. It was said that this would recognise the applicant's remorse and cooperation and the fact, as his Honour found, that the applicant did not "constitute an ongoing risk to society".
[16] For the respondent, it was submitted that there was no error in the exercise of the sentencing discretion. The declaration, it was argued, was justified by the circumstances described by the sentencing judge as well as what the argument described as a "breach of trust" on the part of the applicant.
[17] I go then to the cases upon which the applicant's argument relies. The first is R v Piper, 5 where the applicant had been sentenced to seven years' imprisonment with a parole eligibility date set at three years. This court varied that sentence by fixing an earlier parole eligibility date, specifically at the one-third mark, for the applicant's cooperation and his plea of guilty. He had been arraigned on one charge of attempted murder and on an alternative charge of doing grievous bodily harm with intent to do so and had originally pleaded not guilty to each count. But before any evidence had been called in his trial, he was re-arraigned and pleaded guilty to that alternative count which was accepted by the prosecution.
[18] That offence occurred when the applicant stabbed a man who was with the applicant's wife at the bar of a hotel. The applicant suspected, contrary to the fact, that they were in a romantic relationship. The victim suffered stab wounds to his neck and face. He lost a large amount of blood and required treatment in an intensive care unit for some days. He was left with ongoing psychological difficulties. The offence was committed when the applicant was subject to a Domestic Violence Protection Order which required the applicant not to be within a certain vicinity of his wife. That order was breached on the occasion of the offence. The applicant's argument here emphasises the statement by Morrison JA that authorities in this court had "established a general range for this type of offence as being between five and eight years." 6
5 [2015] QCA 129.
6 [2015] QCA 129 at [9].
[19] In R v Selby, 7 this court refused leave to appeal against a sentence of eight years with a serious violent offence declaration for an offence of doing grievous bodily harm with intent to do so. The offender had shot the victim in the back and further assaulted him with the butt of the rifle when he was on the ground. The offender then made a 000 call reporting the event which was found to have demonstrated some remorse, as was his initial cooperation with the police. That offender was aged 29 years and had what was described as a significant criminal history for which he had been imprisoned. Although the sentencing judge accepted that there was some remorse, the offender had argued a defence of self-defence at his trial.
[20] In R v Amery, 8 the applicant had pleaded guilty to one count of a malicious act with intent. He was sentenced to eight years' imprisonment and no parole eligibility date was fixed. In this court his sentence was reduced to seven years seven months and a parole eligibility date was fixed at three years into that term. He had an extensive criminal history which included a number of armed robberies for which he had received lengthy terms of imprisonment. The victim was his de facto partner whom he hit on the head with a sledge hammer while she was lying in bed. He then called 000 and told police he had assaulted her. That victim made a full recovery from her injuries. Mullins J, who gave the principal judgment, said that the term of eight years was not outside the bounds of the sentencing discretion but "the failure to adjust the sentence for the pre-sentence custody of 140 days and the failure to fix a parole eligibility date result[ed] in the sentence being manifestly excessive". 9 Although this offence was in many respects very similar to the present one, in that case a parole eligibility date was fixed largely because of the applicant's plea of guilty.
[21] In R v Laing, 10 the applicant was convicted upon the verdict of a jury of one count of burglary with circumstances of aggravation and one count of unlawfully doing grievous bodily harm with an intent to do so. He was sentenced to six and a half years' imprisonment for each offence. The applicant had entered the complainant's house by cutting through a window before attacking the complainant with a hammer as he was asleep in his bed. The applicant was then aged 62 years and had a minor criminal history. The injuries suffered by the complainant were described as very serious and having a continuing adverse effect on the quality of his life. Keane JA (with whom Fraser JA and Jones J agreed) said that the sentence imposed "was within the appropriate range, and was distinctly moderate." 11
[22] In R v Lyon, 12 to which I have already referred, the applicant was convicted after a trial of an offence of entering the dwelling of his former wife with an intent to commit an indictable offence and with aggravating circumstances and a further offence of unlawfully wounding her with an intent to do grievous bodily harm. He was acquitted of a charge of attempting to murder her. The sentencing judge imposed a term of nine years on the count of unlawful wounding and a concurrent term of five years on the burglary offence. The unlawful wounding with intent was declared to be a serious violent offence. A majority of this court substituted a sentence of seven years' imprisonment but still with the serious violent offence declaration. The applicant and complainant had separated some years earlier but there remained bitter disputes between them
7 [2013] QCA 261.
8 [2011] QCA 383.
9 [2011] QCA 383 at [27].
10 [2008] QCA 317.
11 [2008] QCA 317 at [48].
12 [2006] QCA 146.
which had resulted in the applicant being convicted of breaches of a restraining order issued under the Domestic and Family Violence Protection Act 1989 (Qld) just a few days before the subject offences. They occurred after the applicant had sharpened a machete and driven to the complainant's house, which he entered by kicking in the front door. He attacked her with the machete, striking at least one glancing blow to her. She sustained a slash to her face and cuts to her neck and arms. She also experienced severe whiplash and damage to nerves in her cheek and was left with facial scarring. The attack was committed in the presence of their children. There had been a number of written offers to the prosecution that the applicant would plead guilty to the charges of which he was ultimately convicted. Jerrard JA said of these offers: 13
"He was entitled to some reduction in his sentence for that reason, a matter which the learned judge … did not take into consideration, not having been told of it."
[23] R v Daley 14 involved several offences which relevantly included one of an assault occasioning grievous bodily harm with intent to do so, for which the applicant had been sentenced to eight years' imprisonment with a serious violent offence declaration. He had bashed a woman with a rock, causing severe head injuries including lacerations to the scalp and forehead, lacerations to the face, a broken nose, gross swelling of an eye, a fracture of the eye socket, a fractured jaw and dental injuries. She underwent extensive surgery and retained an absence of feeling on parts of her face and head as well as pain in her fingers and she had permanent prominent scarring to the face and ongoing psychological problems. When apprehended by police, the applicant at first denied involvement in the matter, but one of his companions gave a statement incriminating him. He pleaded guilty to this offence after the prosecution agreed not to proceed on a charge of attempted murder. The sentencing judge accepted that he had been remorseful. This court dismissed the appeal. McPherson JA said that it was "almost impossible to see how the learned Judge could have avoided making a declaration that this was a serious violent offence."
[24] The last in this group of cases is R v McDougall and Collas. 15 Those two applicants had each pleaded guilty to manslaughter and other offences. Collas had pleaded guilty also to an offence of an assault occasioning bodily harm. They were each sentenced to eight years' imprisonment for the offence of manslaughter with a declaration of a serious violent offence and concurrent but lesser terms for the other offences. They were each aged 23 at the time of the manslaughter offence. Each had prior convictions although McDougall had substantially more. The judgment of the Court set out a number of discretionary considerations which can be relevant in deciding whether to declare an offence to be a serious violent offence. 16 Most relevantly here, they included the following propositions:
- the discretion granted by s 161B(3) and (4) of the Penalties and Sentences Act requires the existence of factors which warrant its exercise, but the overall amount of imprisonment to be imposed should be arrived at having regard to the making of any declaration, or not doing so;
- the considerations which may be taken into account in the exercise of the discretion are the same as those which may be taken into account in relation to other aspects of sentencing;
13 [2006] QCA 146 at [28].
14 [1999] QCA 332.
15 [2007] 2 Qd R 87; [2006] QCA 365.
16 [2007] 2 Qd R 87, 96 [19].
- for the sentencing reasons to show that a declaration is fully warranted in the circumstances it will usually be necessary that declarations be reserved for more serious offences that, by their nature, warrant them;
- where a discretionary declaration is made, the critical question will be whether the sentence with that declaration is manifestly excessive in the circumstances.
The Court concluded that McDougall's offence of manslaughter was serious enough to warrant the declaration made in his case but the offence by Collas was relatively less serious, at least because he had not attempted to use a weapon on anyone and was not shown to have the opportunity of realising how seriously hurt the victim was. 17 Accordingly the Court varied the sentence imposed upon Collas by deleting the declaration. The case is relevant here not so much as a comparable offence but for its statements of principle for the making of a serious violent offence declaration.
Consideration of the applicant's argument
[25] The applicant's argument emphasises the mitigating factor of his offer before the trial to plead guilty to the offence of which he was convicted. But as I have discussed, the sentencing judge did refer to that factor and accepted that it evidenced, as did other circumstances, the applicant's remorse. The effect of the argument is that although his Honour said that he had taken the applicant's remorse and cooperation into account, the sentence which was imposed showed otherwise. The argument is that his Honour could not have taken those factors into account because the term of eight years was at the top of the sentencing range and a serious violent offence declaration was made.
[26] The premise of that argument, namely that a term of eight years was at the top of the sentencing range, is said to be established by the authorities which I have discussed. That premise cannot be accepted.
[27] The applicant especially relied upon Piper, submitting that the outcome there could not be reconciled with that in the present case. But in Piper, the applicant when re-arraigned did plead guilty, a course which was said to have saved the community the cost of a trial and saved the witnesses the trauma of giving evidence, that being a significant matter for the victim who had sustained psychological injuries in consequence of the offence. 18 Similarly in Amery a parole eligibility date was fixed largely because of the applicant's plea of guilty and the term of eight years in that case was reduced only to give the applicant the benefit of some presentence custody.
[28] In Selby, an identical sentence to that of the present case was not disturbed. That case was in some respects more serious than the present one, because of the absence of an offer to plead guilty. But Selby is not an authority for a proposition that such a sentence cannot be imposed where there are the circumstances of remorse and cooperation which exist in the present case. Like Selby, the decision in Daley does not indicate that the present sentence was excessive. The court there did not say that the sentence of eight years' imprisonment with a serious violent offence declaration represented the upper limit of a relevant range absent circumstances of remorse and cooperation.
[29] Laing involved a sentence which was described as "distinctly moderate" and does not indicate that the higher sentence in this case was excessive. In Lyon, the applicant
17 [2007] 2 Qd R 87, 97 [23].
18 [2015] QCA 129 at [45].
had to be resentenced because the relevant circumstance of the existence of prior written offers to plead guilty had not been put before the sentencing judge. And although the victim's injuries in that case were significant, they were not as severe as those suffered in the present case.
[30] The applicant's argument seeks to use these cases to establish with numerical precision an upper limit which would govern the sentencing for any offence of the present kind. For two reasons, such an analysis would be contrary to principle. The first is that comparable sentences do not define the numerical limits of a sentence which can be imposed in another case. As the plurality (French CJ, Hayne, Kiefel and Bell JJ) said in Barbaro v The Queen: 19
"[I]n seeking consistency sentencing judges must have regard to what has been done in other cases. Those other cases may well establish a range of sentences which have been imposed. But that history does not establish that the sentences which have been imposed mark the outer bounds of the permissible discretion. The history stands as a yardstick against which to examine a proposed sentence."
The cases cited in the applicant's argument are clearly comparable to the present case and must be considered. But they are indicative and not determinative.
[31] The second reason is that a decision of an appellate court does not establish even the range of sentences for the particular case which it is deciding. The appellate court must consider whether the sentence is within a range within which the discretionary judgment of the sentencing judge could be properly exercised. Still, that is not a range for which upper and lower limits are to be quantified by the appellate court. In Barbaro, the plurality said: 20
"[27] The conclusion that a sentence passed at first instance should be set aside as manifestly excessive or manifestly inadequate says no more or less than that some 'substantial wrong has in fact occurred' in fixing that sentence. For the reasons which follow, the essentially negative proposition that a sentence is so wrong that there must have been some misapplication of principle in fixing it cannot safely be transformed into any positive statement of the upper and lower limits within which a sentence could properly have been imposed.
[28] Despite the frequency with which reference is made in reasons for judgment disposing of sentencing appeals to an 'available range' of sentences, stating the bounds of an 'available range' of sentences is apt to mislead. The conclusion that an error has (or has not) been made neither permits nor requires setting the bounds of the range of sentences within which the sentence should (or could) have fallen. If a sentence passed at first instance is set aside as manifestly excessive or manifestly inadequate, the sentencing discretion must be re-exercised and a different sentence fixed. Fixing that different sentence neither permits nor requires the re-sentencing court to determine the bounds of the range within which the sentence should fall."
19 (2014) 253 CLR 58, 74 [41]; [2014] HCA 2; see also R v Kilic [2016] HCA 48 at [21]-[24]. 20 (2014) 253 CLR 58, 70-71.
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The authority of Barbaro in these respects is unaffected by the recent amendment to s 15 of the Penalties and Sentences Act 1992 (Qld), which permits a sentencing court to receive submissions which state the sentence, or range of sentences, the party considers appropriate for the court to impose. This provision removes the impediment, according to Barbaro, of the proffering of an opinion of the prosecution as to the appropriate outcome. 21 It does not affect the authority of Barbaro upon the proper use to be made by courts of comparable sentences.
[32] Because the essential premise of the applicant's argument cannot be accepted, it cannot be concluded that the sentencing judge failed to take into account the applicant's remorse and cooperation. Consequently there was no distinctly discernible error by the sentencing judge.
[33] The question then is whether it can be said that the judge must have erred in some way because the sentence is manifestly excessive. The reasons of the sentencing judge well explained the aggravating and mitigating circumstances. The offence was particularly serious for the factors which his Honour identified as relevant to the making of the declaration. In my opinion, a lesser sentence, such as that suggested by the applicant's argument, might well have been imposed. But this sentence was not "unreasonable or plainly unjust" such that it should be inferred that there has been an error in the exercise of the sentencing discretion. 22 This sentence is not manifestly excessive.
Conclusion and order
[34] I would order that the application for leave to appeal against sentence be refused.
[35] ANN LYONS J: I agree with the reasons of Philip McMurdo JA and the order proposed by his Honour.
21 (2014) 253 CLR 58, 66 [7].
22 House v The King (1936) 55 CLR 499, 505, cited in Barbaro (2014) 253 CLR 58, 70 [26].
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MINUTES OF THE BOARD OF ADJUSTMENT January 16, 2008
PRESENT:
Chair Harrison, Ms. Cockey, Ms. English, Vice Chair Fleischer, Mr. Haizel, Ms. Holloway, Mr. Rubenstein, Mr. Susswein and Mr. Whipple; also, Mr. Sullivan, Esq., and Mr. Charreun, Assistant Secretary
ABSENT: Mr. Franco, Secretary
Assistant Secretary Charreun called the roll and announced the regular meeting of the Montclair Board of Adjustment. Notice had been given in accordance with the Open Public Meetings Act.
Election of Officers
On motion by Mr. Fleischer, seconded by Ms. Cockey, Mr. Harrison was reelected as Chair, Mr. Harrison abstaining.
On motion by Ms. English, seconded by Ms. Cockey, Mr. Fleischer was reelected as Vice Chair, Mr. Fleischer abstaining.
On motion by Mr. Whipple, seconded by Mr. Susswein, Mr. Franco was elected as Secretary and Mr. Charreun was re-elected as Assistant Secretary.
Appointment of Professional Staff
On motion by Mr. Fleischer, seconded by Mr. Susswein, the flowing Resolution re-appointing Mr. Sullivan as Board Attorney at the indicated rate for the 2008 year was adopted:
WHEREAS, the Municipal Land Use Law, N.J.S.A. 40:55D-71b, provides that the Board may employ legal counsel, experts and staff as it may deem necessary, not exceeding, the amount appropriated by the governing body for its use; and
WHEREAS, the Board has determined it has the need to retain an attorney to provide legal services including, but not limited to advice and consultation, attendance at meetings, preparation of documents and representation of the Board in suits and other proceedings and other services as may be required from time to time; and
WHEREAS, the appointment of the attorney may be made without public bidding as an exception to the bidding requirements of the Local Public Contracts Law, as provided in N.J.S.A. 40A:11-5(1)(a)(i) as a professional service because legal services are rendered by persons authorized by law to practice their recognized profession, whose practice is registered by law and because such services are of a qualitative nature which will not reasonably permit the drawing of specifications or the receipt of competitive bid.
NOW, THEREFORE, BE IT RESOLVED by the Board of Adjustment of the Township of Montclair that it does hereby appoint Michael D. Sullivan, Esq. as Board Attorney to serve from January 1, 2008 to December 31, 2008 or until a successor is appointed; and
BE IT FURTHER RESOLVED that the officers of the Board of Adjustment are hereby authorized and directed to sign an Agreement in connection with such services, which agreement shall be on file with the Township Clerk; and
BE IT FURTHER RESOLVED that the Secretary of the Board is hereby directed to cause to be printed once, in an official newspaper of the municipality, a brief notice stating the nature, duration, service and amount of the contract, and that the resolution and the contract are on file and available for public inspection in the office of the Township Clerk.
On motion by Mr. Fleischer, seconded by Ms. Cockey, the flowing Resolution reappointing Mr. Watkinson as Board Engineer at the indicated rate for the 2008 year was adopted:
WHEREAS, the Municipal Land Use Law, N.J.S.A. 40:55D-71b, provides that the Board may employ legal counsel, experts and staff as it may deem necessary, not exceeding, the amount appropriated by the governing body for its use; and
WHEREAS, the Board has determined it has the need to retain an engineer to provide engineering services including, but not limited to advice and consultation, attendance at meetings, preparation of reports and other services as may be required from time to time; and
WHEREAS, the appointment of the engineer may be made without public bidding as an exception to the bidding requirements of the Local Public Contracts Law, as provided in N.J.S.A. 40A:11-5(1)(a)(i) as a professional service because engineering services are rendered by persons authorized by law to practice their recognized profession, whose practice is registered by law and because such services are of a qualitative nature which will not reasonably permit the drawing of specifications or the receipt of competitive bid.
NOW, THEREFORE, BE IT RESOLVED by the Board of Adjustment of the Township of Montclair that it does hereby appoint W. Thomas Watkinson as Board Engineer to serve from January 1, 2008 to December 31, 2008 or until a successor is appointed; and
BE IT FURTHER RESOLVED that the officers of the Board of Adjustment are hereby authorized and directed to sign an Agreement in connection with such services, which agreement shall be on file with the Township Clerk; and
BE IT FURTHER RESOLVED that the Secretary of the Board is hereby directed to cause to be printed once, in an official newspaper of the municipality, a brief notice stating the nature, duration, service and amount of the contract, and that the resolution and the contract are on file and available for public inspection in the office of the Township Clerk.
On motion by Mr. Fleischer, seconded by Mr. Haizel, the Minutes of the May 16, 2007 regular meeting were adopted, Ms. Holloway and Mr. Whipple abstaining. On motion by Mr. Whipple, seconded by Ms. Cockey, the Minutes of the June 6, 2007 special meeting were adopted, Chair Harrison, Ms. English, Mr. Haizel, and Mr. Susswein abstaining. On motion by Mr. Whipple, seconded by Mr. Haizel, the Minutes of the June 20, 2007 regular meeting were adopted as modified, Mr. Fleischer, Ms. Cockey, and Ms. English abstaining.
On motion by Mr. Whipple, seconded by Mr. Fleischer, the following Resolution memorializing the approval of the application of Wendell & Ellen Maddrey, 19 Cornell Way was adopted as modified, Mr. Haizel abstaining:
WHEREAS, Wendell and Ellen Maddrey, as owners, did make application to the Board of Adjustment of the Township of Montclair to construct a roofed front entry stoop onto their dwelling on property designated as Lot 17 in Block 4704 on the Tax Map of the Township of Montclair and located in the R-0(a) One-Family Residential Zone; and
WHEREAS, the applicant sought a variance pursuant to N.J.S.A. 40:55D-70c from Montclair Code Section 347-39B(2)(a) to permit a front yard setback less than the average front yard setback of the 4 nearest principal structures, 2 on either side of the subject property; and
WHEREAS, the applicants submitted a property survey dated March 20, 1991, and a plot plan, floor plan, and elevations, prepared by Sionas Architecture PC, dated August 16, 2007; and
WHEREAS, this matter came on to be heard at a regular meeting of the Board of Adjustment held on December 12, 2007, at which time it was established that notice was properly published and that property owners within 200 feet of the subject property had been properly served with notice; and
WHEREAS, the Board carefully reviewed the testimony presented and established the following findings:
1. The subject property is an interior lot located in the R-0(a) One-Family Zone and contains a 2-story single-family dwelling with an attached garage. The subject property measures 100 feet in width along its curved frontage and contains 16,234 square feet in lot area.
2. The applicants propose to demolish the existing unroofed front stoop and steps and construct a new roofed front stoop and steps. The existing unroofed entry stoop measures 8'-1¾" wide by 5' deep. The proposed roofed stoop is also 5' deep, but is wider measuring 10'-5" wide. A wood framed roof supported by columns is proposed over the new stoop.
3. The required front setback in the R-0(a) Zone north of Bloomfield Avenue is 35 feet, unless the average of nearby dwellings is greater. The average front yard setback of the 4 nearest dwellings, 2 on either side of the subject property, is 40'-7", which is the required front yard setback for the subject property.
4. The existing dwelling has a conforming front yard setback of 40'-8" at its closest point, measured to the front wall of the dwelling excluding the unroofed front stoop, which is located 35'-11" from the front property line. The proposed roofed front stoop would also be set back 35'-11" from the front property line and a variance is requested.
5. The Board determined that the variance requested for the front yard setback of proposed roofed front entry stoop could be granted since a minimal intrusion into the required setback is proposed and most of the dwellings in the neighborhood have some type covered front entrance; and
WHEREAS, the Board, based on the foregoing findings, concluded that the applicants did prove peculiar and exceptional practical difficulties and exceptional and undue hardship and that the requested variance could be granted without substantial detriment to the public good and would not substantially impair the intent and purpose of the zone plan and zoning ordinance pursuant to N.J.S.A. 40:55D-70c(1); and
WHEREAS, the Board, based on the aforementioned findings, concluded that the applicants did prove that the purposes of the Municipal Land Use Law would be advanced by a deviation from the zoning ordinance requirements, and that the benefits of the deviation would substantially outweigh any detriment and would not cause substantial detriment to the public good and would not substantially impair the intent and purpose of the zone plan and zoning ordinance pursuant to the requirements of N.J.S.A. 40:55D-70c(2)
NOW, THEREFORE, BE IT RESOLVED by the Board of Adjustment of the Township of Montclair that the within application of Wendell and Ellen Maddrey is approved; and
NOW, THEREFORE, BE IT FURTHER RESOLVED that a copy of this resolution be transmitted to the applicant, Township Manager, Township Council and Township Clerk.
On motion by Mr. Whipple, seconded by Mr. Fleischer, the following Resolution memorializing the approval of the application of Gary Demry, 34 Fulton Street was adopted, Mr. Haizel abstaining:
WHEREAS, Gary Demry, owner of property at 34 Fulton Street, did make application to the Board of Adjustment of the Township of Montclair for variances pursuant to NJSA40:55D-70c to allow a driveway width less than required pursuant to Montclair Code Section 347-102C and a driveway setback less than required pursuant to Montclair Code Section 347-104, in connection with a proposed driveway and parking area on property designated as Lot 21 in Block 3112 on the Township Tax Map and located in the R-2 Two-Family Zone; and
WHEREAS, the applicant submitted a plot plan prepared on a copy of the property survey dated March 15, 2003 that depicts the proposed driveway and parking area; and
WHEREAS, this matter came on to be heard at a meeting of the Board of Adjustment held on December 12, 2007 at which time it was established that notice was properly published and the property owners within 200 feet of the properties in question had been properly served notice; and
WHEREAS, the Board carefully reviewed the testimony presented and established the following findings:
1. The subject property is located in the R-2 Two-Family Zone and contains a 2-story two-family dwelling with no existing driveway or off-street parking area. The subject property measures 50 feet in width and contains 4,945 square feet in lot area.
2. A new driveway is proposed on the southerly side of the dwelling that would lead to a parking area large enough for 2 vehicles in the rear yard. The dwelling has a southerly side yard setback measuring 9.6 feet at its front corner and 9.1 feet at its rear corner.
3. The proposed driveway would be set back 6 inches from the southerly side property line and a width varying from 9.1 feet to 8.6 feet as it passes through the southerly side yard of the dwelling, both of which require variances. The proposed driveway setback and width would otherwise conform to the zoning requirements at all other areas of the property.
4. Based on the location of the dwelling on the lot, the requested variances for a deficient driveway width and driveway setback are justified, and the proposed driveway width would allow for viable and effective ingress and egress of vehicles accessing the parking area. The changes proposed to the property, subject to certain modifications imposed by the Board, represent an aesthetic and functional improvement.
WHEREAS, the Board, based on the foregoing findings, concluded that the applicant proved peculiar and exceptional practical difficulties and exceptional and undue hardship and did prove that the variances requested could be granted without substantial detriment to the public good and would not substantially impair the intent and purpose of the zone plan and the zoning ordinance pursuant to N.J.S.A. 40:55D70C(1); and
WHEREAS, the Board, based on the aforementioned findings, concluded that the applicant did prove that the purpose of the Municipal Land Use Law would be advanced by a deviation from the zoning ordinance requirements, and proved that the benefits of the deviation would substantially outweigh any detriment and proved that the variances could be granted without substantial detriment to the public good and would not substantially impair the intent and purpose of the zone plan and zoning ordinance pursuant to the requirements of NJSA 40:55D-70c(2); and
NOW, THEREFORE, BE IT RESOLVED, by the Board of Adjustment of the Township of Montclair, that the within application of Gary Demry is hereby approved subject to the following conditions:
1. The southerly side and rear setbacks of the parking area shall be landscaped with shrubs.
2. Landscaping and/or fencing shall be provided along the right side of the driveway in the front yard in order to deter the informal front yard parking that has existed on the property.
NOW, THEREFORE, BE IT FURTHER RESOLVED, that a copy of this resolution be transmitted to the applicant, Township Manager, Township Council and Township Clerk.
On motion by Mr. Whipple, seconded by Mr. Fleischer, the following Resolution memorializing the approval of the application of John P. Samaroo, 61 Montague Place was adopted, Mr. Haizel abstaining:
WHEREAS, John P. Samaroo, owner of property at 61 Montague Place, did make application to the Board of Adjustment of the Township of Montclair for variances pursuant to NJSA40:55D-70c, in connection with the proposed construction of a driveway, to allow a driveway width less than that required pursuant to Montclair Code Section 347-102C, a driveway setback less than required pursuant to Montclair Code Section 347-104, and to permit front yard parking contrary to Montclair Code Section 347-52, and
WHEREAS, the proposed driveway is to be partially located on the adjoining property to the east at 57 Montague Place, and the properties involved in the application are designated as Lots 27 and 28 in Block 2301 on the Township Tax Map and located in the R-2 Two-Family Zone; and
WHEREAS, the applicant submitted property surveys for 61 Montague Place and 57 Montague Place, a plot plan depicting the proposed driveway and parking area, a copy of the easement relating to the proposed driveway, dated September 10, 1946, and a signed consent to the application from the owner of 57 Montague Place; and
WHEREAS, this matter came on to be heard at a meeting of the Board of Adjustment held on December 12, 2007 at which time it was established that notice was properly published and the property owners within 200 feet of the properties in question had been properly served notice; and
WHEREAS, the Board carefully reviewed the testimony presented and established the following findings:
1. The properties are located in the R-2 Two-Family Zone. The applicant's property at 61 Montague Place contains a 2½-story, two-family dwelling with no existing driveway or off-street parking area and measures 35 feet in width and 4,550 square feet in lot area.
2. A paved driveway is proposed between the dwellings that would provide access to a proposed parking area the rear of the applicant's property at 61 Montague Place. The easement submitted with the application indicates that 61 Montague Place is entitled to use 1.5 feet of the land on 57 Montague Place for a driveway.
3. The easterly side yard of the subject property, where the driveway is proposed, measures 5.81 feet wide. That width combined with the 1.5 feet described in the easement indicates that the proposed driveway would measure a minimum of 7.31 feet wide as it passes between the dwellings.
4. Although width of the proposed driveway is very narrow, it would allow for ingress and egress of smaller vehicles accessing the proposed parking area and is similar to may other existing driveways in the neighborhood. The applicant also described the problems associated with any potential driveway on the westerly side of his dwelling, which would require easements he has not been able to secure.
5. The driveway easement allows the applicant to use 1.5 feet of 57 Montague Place for the proposed driveway, therefore strict application of the ordinance requiring a setback of 1-foot for the driveway under the circumstances would be impractical.
6. The Board offered suggestions to the applicant, which included maintaining the privet hedge that exists along the easterly side line in the front yard of 57 Montague Place, and consulting with owner of 57 Montague Place on whether a bollard should be used in order to protect the front porch from potential damage.
7. No justification for the variance requested for front yard parking was provided, particularly considering the fact that a rear yard parking area is proposed as part of the application.
WHEREAS, the Board, with respect to the variance requested for front yard parking, concluded that the applicant did not prove peculiar and exceptional practical difficulties and exceptional and undue hardship and did not prove that the variance could be granted without substantial detriment to the public good and would not substantially impair the intent and purpose of the zone plan and the zoning ordinance pursuant to N.J.S.A. 40:55D-70C(1); and
WHEREAS, the Board, with respect to the variance requested for front yard parking, concluded that the applicant did not prove that the purpose of the Municipal Land Use Law would be advanced by a deviation from the zoning ordinance requirements, did not prove that the benefits of the deviation would substantially outweigh any detriment, and did not prove that the variance could be granted without substantial detriment to the public good and would not substantially impair the intent and purpose of the zone plan and zoning ordinance pursuant to the requirements of NJSA 40:55D-70c(2); and
WHEREAS, the Board, with respect to the variances requested for driveway width and setback, concluded that the applicant proved peculiar and exceptional practical difficulties and exceptional and undue hardship and proved that the variances requested could be granted without substantial detriment to the public good and would not substantially impair the intent and purpose of the zone plan and the zoning ordinance pursuant to N.J.S.A. 40:55D-70C(1); and
WHEREAS, the Board, with respect to the variances requested for driveway width and setback, concluded that the applicant proved that the purpose of the Municipal Land Use Law would be advanced by a deviation from the zoning ordinance requirements, proved that the benefits of the deviation would substantially outweigh any detriment, and proved that the variances could be granted without substantial detriment to the public good and would not substantially impair the intent and purpose of the zone plan and zoning ordinance pursuant to the requirements of NJSA 40:55D-70c(2); and
NOW, THEREFORE, BE IT RESOLVED, by the Board of Adjustment of the Township of Montclair, that the variance requested for front yard parking is hereby denied; and
NOW, THEREFORE, BE IT RESOLVED, by the Board of Adjustment of the Township of Montclair, that the variances requested for driveway width and setback are hereby approved, subject to the following condition:
1. The side and rear setbacks of the parking area shall be landscaped with shrubs.
NOW, THEREFORE, BE IT FURTHER RESOLVED, that a copy of this resolution be transmitted to the applicant, Township Manager, Township Council and Township Clerk.
The application of Bellclaire II, LLC, 18 Bell Street. was adjourned to the February 20, 2008 regular meeting of the Board, at the applicant's request. No further notice would be given. The Board was granted an extension of time on the application.
Chair Harrison called the variance application of Catherine & Luis Diaz, 392 Highland Avenue. The applicants were sworn and described the application. The property is an interior lot and contains a single-family dwelling with an attached garage that is located at the southerly side of the dwelling. An addition is proposed to the second floor on the southerly side of the dwelling that would be located directly over the existing section of the dwelling that contains the garage at the basement level and first floor space above the garage. At this area of the dwelling only, which can be seen on the southerly elevation, the grade level is such that the garage/basement is fully exposed. Due to this condition, the first floor is more than 6 feet above grade at this area, making the garage/basement a story above grade, the first floor level the second story, and the proposed second floor addition a third story, which requires a variance.
Marked into evidence were:
A-1 Photograph of the dwelling on the subject property
A-2 Photograph of the dwelling on the subject property
The Board questioned the applicants. Chair Harrison called for questions and comments from the public. None were offered. The Board discussed the application. The proposed addition is below the maximum permitted height and is lower in height the existing dwelling. The area of the attached garage as viewed from the southerly elevation is the only area of the dwelling where 2½ stories would be exceeded, which is due to existing grade levels around the dwelling and is a common circumstance in various forms for properties in the neighborhood. The addition conforms to all other zoning requirements. On motion by Mr. Fleischer, seconded by Ms. English the application was approved.
Chair Harrison called the variance application of John Caraccioli & Jeffrey Appel, 136 Upper Mountain Avenue. The applicants and Jonathan Perlstein, Architect, were sworn. Mr. Perlstein described the application. The subject property is a corner lot located at the intersection of Upper Mountain Avenue and Edgewood Road, and contains a single-family dwelling and a two-car detached garage accessed by a driveway from Edgewood Road. The existing detached garage in the rear yard would be removed, as well as pavement near the existing garage. A new detached two-car garage is proposed to be located in the southerly front yard between the dwelling and Edgewood Road and will be accessed from the existing driveway off Edgewood Road that would be modified. The proposed two-car garage would be set back 48 feet from the front property line on Edgewood Road; the dwelling is set back 72 feet 7 inches from the front property line on Edgewood Road.
Marked into evidence was:
A-1 Photographs of the subject property
Mr. Caraccioli and Mr. Appel also described the application. The applicants stated that although the property is large, it has a relatively small usable rear yard area due to the location of the existing garage and driveway, the topography of the rear yard, and the large front setbacks of the dwelling. The proposed location of the detached garage would open up the rear yard and make it more usable for family recreation, and the garage would be constructed into the sloping terrain, reducing its visual impact. The overall impervious coverage of the property would be decreased. The Board questioned the applicants. Chair Harrison called for questions and comments from the public. Sandra Michaels, 21 Edgewood Road, Christine Larson, 1 Edgewood Terrace, Laura Weiner, 117 Highland Avenue, and Cynthia Aitken, 137 Upper Mountain Avenue, were sworn and stated their support for the application. The Board discussed the application. A majority of the Board determined that a conforming location for the detached garage would still provide the property with a comparable increase in the usable flat area in the rear yard and would not require a variance. A motion by Mr. Whipple, seconded by Mr. Susswein, to approve the application did not pass, and the application was denied.
Chair Harrison called the variance application of Valerie Spain, 16 Howe Avenue. The applicant and Mark Bess, Architect, were sworn. Mr. Bess described the application. The property is an interior lot and contains a 2½ -story single-family dwelling with parking in the rear yard. The garage depicted on the survey no longer exists. The property measures 75 feet in frontage width and contains 7,514 square feet in lot area. The average front yard setback of the 3 nearest dwellings, 2 to the west and 1 to the east of the subject property is approximately 24.6 feet; therefore the required front yard setback requirement for the subject property is 25 feet. The property at the corner of Harrison Avenue and Howe Avenue is in a different zone, and is not included. The existing dwelling has a nonconforming front yard setback of 13.13 feet to the front porch. The proposed porch addition would also be set back 13.13 feet from the front property line, and the one story foyer addition would be set back 20.05 feet from the front property line. The larger 2-story addition meets the front yard setback and all other zoning requirements.
The Board questioned the applicant and Mr. Bess. Chair Harrison called for questions and comments from the public. None were offered. The Board discussed the application. The proposed front porch addition is aligned with the existing front porch, and the proposed front setback is in keeping with the majority of homes on the street. The larger 2-story addition fully conforms to the zoning requirements and the project would not have a negative impact on the neighborhood. On motion by Mr. Fleischer, seconded by Ms. Cockey the application was approved.
Chair Harrison called the variance application of Southwest Corner, LLC, 39 Club Road. Mr. Susswein recused himself. Joe and Andrea Sgroi were sworn and stated that they are the only members of the corporation that owns the subject property. Gerald Novak, Architect, was also sworn and described the application. The subject property is an irregularly shaped interior lot located in the R-0(a) One-Family Zone. The curved lot frontage of the subject property measures 80 feet in width and the property contains 14,700 square feet in lot area. The lot widens as it goes toward the rear yard. The subject property contains a one-story single-family dwelling with an attached garage at the westerly side of the dwelling. A second floor addition is proposed over most areas of the first floor of the dwelling. The applicant indicated that the exterior walls of the first floor would remain and that the interior walls would be completely removed, as the first floor would undergo a complete redesign. The height of the dwelling would conform at 31 feet. The existing attached garage would be demolished and rebuilt on the same footprint, although at a taller height than it presently exists and with a second floor. The roof over the proposed attached garage would be 22 feet in height. The proposed garage second floor is not connected to the proposed second floor of the dwelling.
The curved lot frontage measures 80 feet, which allows the width of the principal structure on the property to be 52 feet in width. The width of the existing dwelling including the attached garage is 83.5 feet, which is an existing nonconformity. The width of the new construction, which includes the proposed second floor of the dwelling and the proposed second floor of the attached garage, would match the 83.5 foot width of the existing dwelling, and a variance is requested. The width of the addition over the dwelling itself, not including the garage, measures 63 feet wide. The rear property line consists of 2 line segments, and the westerly portion of the rear line angles sharply towards the dwelling. The required rear yard setback for the subject property is 45.6 feet, which is equal to 30% of the lot depth. The attached garage has a non-conforming rear yard setback of 32 measured to the rear left corner of the garage. The second floor addition to the attached garage requires a variance to add height in the area of the nonconforming rear setback. The second floor addition to the dwelling complies with the rear setback requirement. Mr. Sgroi also described the application from his perspective.
Marked into evidence were:
A-1 Photograph of the dwelling on the subject property
A-2 Photograph of the dwelling on the subject property
The Board questioned the applicants and Mr. Novak. Chair Harrison called for questions and comments from the public. Kevin Smith, 26 Cornell Way, was sworn and stated his opposition to the application. He also stated his concerns over another dwelling being constructed at 53 Club Road
Marked into evidence were:
O-1 Photograph of a dwelling being constructed at 53 Club Road
O-2 Photograph of the subject property
O-3 Photograph of the subject property
The Board questioned Mr. Smith. He stated that he had not yet reviewed the plans submitted for the subject property. Anthony Astarita, 23 Cornell Way, Robert Lalli, 56 Yantacaw Brook Road, Diane Gorman, 34 Club Road, and Fran Legman, 15 Club Road, were sworn and also stated their opposition to the application. The Board discussed the application. The Board determined that the requested variance for principal structure width could only be approved without the additional height proposed to the attached garage, which is not necessary. The width of the second floor addition over the dwelling itself measures 63 feet in width, which is reasonable considering the width of the lot at the front setback of the dwelling, which measures approximately 105 feet. By not allowing the additional height proposed for the attached garage, the rear yard setback variance is no longer required. On motion by Mr. Fleischer, seconded by Mr. Haizel the application was approved, subject to the following conditions:
1. Within 30 days of this approval, the applicant shall provide to the Planning Department, a calculation of the height of the existing attached garage pursuant to the zoning ordinance. The reconstructed attached garage shall not exceed the height of the existing attached garage.
2. Any retaining walls constructed on the property shall conform the requirements of the zoning ordinance.
3. Any outdoor central air conditioning shall conform the requirements of the zoning ordinance.
Chair Harrison called the application of Saint Cassian's School, 190 Lorraine Avenue. Cal Trevenen, Esq. appeared as attorney for the applicant and described the application. He called Paul Sionas, who was sworn and stated his qualifications as a Professional Planner and Landscape Architect.
Marked into evidence were:
A-1 Property survey with the existing parking layout depicted, prepared by Paul Sionas
A-2 Photograph of the southerly elevation
A-3 Photograph of the existing sunroom addition
Mr. Sionas described the application. The subject property is a T-shaped lot containing 77,420 square feet in area and has frontage on three streets, namely, Lorraine Avenue, Norwood Avenue and Bellevue Avenue. The northerly portion of the property is located in the R-1 One Family Zone and contains a three story school building and parking area and the southerly portion of the property is located in the N-C Neighborhood Commercial Zone and contains a two story church building adjacent to the Bellevue Avenue frontage. The application contemplates construction of a one story 31 foot 8 inch by 18 foot 10 inch sunroom type addition to the southwest corner of the existing school building to be used as a "flexible" science classroom. It will not be utilized as a laboratory or additional homeroom. The height of the addition measures 20 feet 2 inches to the highest point where the sloping roof of the addition joins the building façade. The plans indicate the proposed addition has an occupancy maximum of 20 persons. Section 347-12A(1) requires that the aggregate site area of the school, in addition to the area of the site covered by buildings, shall not be less than 250 square feet per student. The existing lot area is 75,292 square feet and there are 182 students. No increase in students is proposed in connection with this application. The aggregate site area of the school equals 413 square feet per student which complies with the aforementioned requirement as would any increase in students limited by condition 1 below. Section 347-12A(2) requires the total area of building space used for classrooms, exclusive of auditorium, gymnasium or similar areas for assembly purposes, shall have an average of not less than 28 square feet per student. The existing classroom space (including the art room) has a total area of 8,456 square feet.
The additional "flexible" science classroom adds 596 square feet for total classroom space of 9,052 square feet. The aggregate classroom space divided by 182 pupils yields 49.7 square feet per student which complies with the aforementioned requirement as would any increase in students limited by condition 1 below.
The lot area is 1.728 acres where a minimum of 1.75 acres is required. Additionally, the street frontages of 100 feet, 203.08 feet and 275 feet on Bellevue Avenue, Norwood Avenue and Lorraine Avenue respectively fail to comply with the 300 foot minimum required by Section 347-12A(3). These conditions are preexisting nonconforming conditions which are not impacted by the minimal addition proposed in this application. Section 347-12A(4) requires the lot to have street frontage on a street having a paved width of at least 35 feet. Two of the three frontages, namely, Lorraine Avenue with 32 feet and Norwood Avenue with 26 feet, are preexisting nonconforming conditions which are not impacted by the minimal addition proposed in this application. Section 347-12A(5) limits the height of principal structures to 35 feet and 2-1/2 stories. The proposed one story addition with a height of 20.5 feet complies with this requirement. The existing school building which is 38 feet and three stores is a preexisting nonconforming condition which is not exacerbated by this application. Section 347-12A(6) requires driveways which open on a street to provide a minimum 200 feet distance from an intersection. The Bellevue Avenue driveway is located 108 feet from the intersection of Norwood Avenue, the Norwood Avenue driveway is located 148 feet from the intersection with Lorraine Avenue and the Lorraine Avenue driveway is located 240 feet from the intersection of Norwood Avenue. The driveway locations are preexisting nonconforming conditions which are not impacted by the minimal addition proposed in this application.
The proposed sunroom addition provides a westerly rear yard setback of 86.69 feet where a minimum of 100 feet is required. The proposed location of the addition is appropriate based upon the existing development of the site and provides adequate light, air and open space consistent with the purposes of the Municipal Land Use Law. Section 347-12A(8) requires all outdoor play areas to be set back a minimum of 50 feet from any street or property line. One existing playground for young children is located at the northeast corner of the property, while older children utilize the paved parking area along the westerly side of the property. The location of the outdoor play areas are preexisting nonconforming conditions which are not exacerbated by this application. Section 347-12A(9) provides on-site parking shall be provided at the rate of one space for every full time or full time equivalent staff member or employee, and one space for every four students eligible to drive. Visitor parking shall be provided at the rate of two spaces per elementary and intermediate classroom. There are currently 20 faculty/staff members at the school and 4 staff at the church for a total of 24 yielding a parking requirement of 24 spaces. Visitor parking is required at the rate of two stalls per classroom. There are eleven existing classrooms plus one new classroom resulting in a parking requirement of 24 stalls. The aggregate parking requirement on site is 48 spaces and there are currently 57 spaces on site which is compliant. Section 34712A(10) limits maximum impervious surface coverage to 70 percent. The proposed addition is to be located over an existing paved area. Consequently, no new impervious coverage will be added as part of this proposal.
Section 347-12A(11) limits principal and accessory building coverage to 25 percent of lot area. The existing principal and accessory building coverage is 22.8 percent and the addition results in coverage of 23.5 percent which is compliant. Section 347-12A(12) requires parking areas and driveways to be set back at least 15 feet from the property line with the intervening areas landscaped to provide an effective visual screen at the time of planting. The parking area fronting Norwood Avenue is set back approximately 29 feet which is compliant. The parking area at Lorraine Avenue has a 0 setback and the driveway adjoining the church has a setback of approximately 8 feet from the easterly property line. The aforementioned driveway locations are preexisting nonconforming conditions which are not impacted by the minimal addition proposed in this application. Approval of this application will result in little or no change in the way the site is currently functioning. The courts have recognized that schools are the type of use inherently promoting the public good. Additionally, despite the deviations from the conditional use standards, the site continues to be appropriate for the conditional use. The application is consistent with the character of the neighborhood and will not adversely impact the public good.
The Board questioned Mr. Sionas. Father John Judge, of St. Cassian's School, was also sworn and answered certain questions about the site, including play areas and parking issues. Chair Harrison called for questions and comments from the public. Derek Cox, 197 Lorraine Avenue, was sworn. He stated that certain areas of the property that abut the sidewalk area on Lorraine Avenue should be modified to change hardscape and fencing to a landscaped area. The Board questioned Mr. Cox. Mr. Sionas discussed the changes that could be made that would achieve what was described by Mr. Cox. The Board discussed the application. The Board determined that a traffic report, landscaping plan, subject to condition 3 below, parking plan and onsite play area study are not required. A report dated December 15, 2007 from W. Thomas Watkinson, Board Engineer, confirmed the application will not result in any changes to stormwater runoff conditions or create any adverse impact due to stormwater runoff. On motion by Mr. Whipple, seconded by Mr. Fleischer, the application was approved, subject to the following conditions:
1. Maximum enrollment shall be limited to no more than 215 students.
2. The proposed new exterior air conditioning condenser unit shall be screened with a chain link fence with vertical slats and relocated to the south of the new addition in compliance with applicable setbacks.
3. The applicant shall submit a landscape plan providing a landscaped strip in the northerly portion of the parking area between the sidewalk and the existing parking stalls subject to the review and approval of the Planning Department. The plan contemplates relocation of the existing fence to the southerly side of the new landscaped area and may required restriping of parking stalls.
On motion by Mr. Fleischer, seconded by Ms. English the meeting was adjourned.
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Find out how to manually search for and select a mobile network on your device. From the Start screen, swipe to the left. Scroll down to and tap Settings. Scroll to and tap mobile+SIM. Scroll down to and tap SIM settings. Tap the Network selection field. Tap search for networks. Tap the required network. The network has been manually selected.
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Select one of the following options: Select network manually, go to 2a. Select network automatically, go to 2b. 3. 2a - Select a network manually. Press the field below "Network selection" . Press search for networks. Your mobile phone searches for networks within range. Press the required network.
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1. Change the network selection mode to automatic. Select Settings > Network & wireless > Cellular & SIM > SIM settings (Lumia with Windows Phone 8: Settings > cellular+SIM and tap SIM settings). Ensure that Network selection is set to automatic. 2. You can learn further information about Network Services and Costs via this link. We welcome your feedback.
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field below "Network selection" . Press search for networks. Your phone searches for networks within range. Press the required network.
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Copyright : beer.ohio.com ergonomists, policymakers and user communities can exchange ideas. The research presented at CWUAAT '14 develops methods, technologies, tools and guidance that support product designers and architects to design for the widest possible population for a given range of capabilities, within a contemporary social and economic context. In the context of developing demographic changes leading to greater numbers of older people and people with disabilities, the general field of Inclusive Design Research strives to relate the capabilities of the population to the design of products. Inclusive populations of older people contain a greater variation in sensory, cognitive and physical user capabilities. These variations may be co-occurring and rapidly changing leading to a demanding design environment. Recent research developments have addressed these issues in the context of: governance and policy; daily living activities; the workplace; the built environment, Interactive Digital TV and Mobile communications. Increasingly, a need has been identified for a multidisciplinary approach that reconciles the diverse and sometimes conflicting demands of Design for Ageing and Impairment, Usability and Accessibility and Universal Access. CWUAAT provides a platform for such a need. This book is intended for researchers, postgraduates, design practitioners, clinical practitioners, and design teachers.
Copyright code : 253a462f217b465a1ca95eece2a1174e
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Community Gardens Policy
This Policy provides a framework for residents who want to establish a community garden. The City supports and encourages existing community gardens to become self-managed to a high standard.
Background
Community gardens are unique forms of open spaces which are accessible to everyone, and a place where everyone can participate. They are self-managed by the community primarily for production of food and to contribute to the development of a sustainable urban environment. They provide demonstration sites for learning and sharing knowledge about sustainable living practices amongst gardeners and the local community. They also contribute to the health and wellbeing of residents by connecting people and encouraging inclusion in the local community.
The City of Sydney (the City) recognises community gardening as a valuable recreational activity that also contributes to the health and wellbeing of the wider community and provides a range of environmental, social and educational benefits. There are currently a number of community gardens, which include footpath verge gardens, school kitchen gardens and community composting facilities, across the local government area (LGA).
The documents that contribute to the community garden framework are:
* Community Garden Guidelines
* Preferred materials for use in community gardens, and
* This policy
Purpose
The benefits of community gardens are recognised within our community. This policy outlines a framework for community gardeners to grow fresh organic produce to supplement their groceries and to develop friendships, socialise with neighbours and to connect with residents in their local community.
Through environmental leadership the City supports the development of gardens that will be maintained and managed by community gardening groups. We are leading the way with our community garden policy and guidelines by providing residents with guidance and support to develop community gardens within the City, as well as setting a benchmark for other councils and organisations throughout Australia. We encourage production of organic fresh food while providing social and community development opportunities.
Community gardens connect with vibrant local communities and economies to create a space for people to meet and share knowledge, learn new skills and harvest in a harmonious way. These activities encourage interaction between diverse people in passive recreation and gardening pursuits.
This policy supports the vision of the Sustainable Sydney 2030 Strategy for a Green, Global and Connected City. The policy is in place to provide the community with guidance and criteria about
the key principles and responsibilities in setting up and maintaining community gardens on lands within the City of Sydney.
The community gardens policy:
* Provides clear direction for the establishment of new gardens;
* Outlines the required communication between the City, gardeners and stakeholders;
* Provides a rationale for decision-making that ensures consistency in the management of all community gardens located within the City of Sydney LGA;
* Provides the framework for gardening groups to develop management plans, complete reporting requirements, and to ensure gardens are integrated within the landscape;
* Promotes adherence to sustainable, healthy and safe gardening practices; and
* Encourages gardens that are self-managed, open and welcoming spaces for community participation in gardening.
Scope
The community gardens policy applies to groups of residents developing a new garden or managing existing community gardens on Council, Crown and private land within the City of Sydney LGA. These gardens are located on open spaces, rooftops and footpath verges.
Footpath gardens installed by individuals on verges in front of their property or business must comply with the Footpath Gardening Policy.
Objectives
The objectives of the community gardens policy are to:
* Promote the development of community gardens as demonstration sites where people can meet, work together, build stronger community relationships and learn about sustainability;
* Document and standardise processes, procedures and criteria to ensure consistency in the management of all community gardens located within the City of Sydney LGA;
* Help increase the number of community gardens according to the City's capacity, community need and availability of appropriate sites, by developing a clear process and allocating appropriate resources to support new and existing community gardens;
* Clarify the rights and responsibilities of all stakeholders involved in community garden projects including the garden volunteers, the City and partnering organisations, with reference to issues such as public liability, maintenance, safety and monitoring;
* Support community gardens to become self-managed and encourage community ownership by requiring community garden groups to develop a management plan for their community garden;
* Recommend the development of new community gardens on land established for community use as part of proposed park upgrades and developments. This will be dependent on the interest of the local community to support the garden operations.
* Ensure that there is potential for a community garden within a kilometre (a 15 minute walk) of the dwellings of most city residents;
* Promote access for the community to fresh, organic and locally produced herbs, vegetables and fruit, from gardens that are well maintained;
* Ensure gardens are well maintained by the garden members to demonstrate a high standard to the community.
Definitions
The community garden definitions as set out as part of this policy are:
| | Term | Meaning |
|---|---|---|
| Community garden | | |
| Public open space | | |
| Self-managed | | |
| Demonstration sites | | |
| Landholder or authority | | |
| Management plan | | |
| Garden design or garden layout | | |
| Grants | | |
| Public liability | | |
| Sustainable gardening | | |
| Composting system | | |
Policy statement
The City encourages residents to participate in and develop community gardens within the City of Sydney LGA, whether this is on Council land or other property, in line with this policy.
Principles for a community garden
To receive support from the City of Sydney, community gardens should embrace the following principles:
1. The garden must allow the general community to participate.
2. The group should be covered by the landowner's public liability insurance, or where not available, comply with and be covered by the City's community engagement public liability insurance.
3. The group must have local residents who participate in and support the garden.
4. The initiative must be supported by the landowners and the local community.
5. The group must have the skills to organise, manage and maintain a community garden or have a mentor from an existing group to assist them.
6. The group must demonstrate the capacity to fund the garden and provide ongoing maintenance.
7. The group's activities will include growing plants, seed collecting, harvesting, organic pest management, composting and worm farming.
8. The garden must have an approved management plan and design layout of the garden.
9. The group's knowledge, skills, experience and produce will be shared amongst gardeners and the local community.
10. The group will be forward thinking with new ideas and problem solving to create productive and well managed community gardens.
11. The project must be a long-term community initiative with community participation a key objective, striving to reach 25 members for establishing a community garden group and 15 members for a footpath verge garden group.
Site selection criteria
Proposed sites for community gardens should meet the following criteria:
1. Landowner's consent – Approval to use the site is required from the landowner before development of the community garden.
2. Location – These sites are usually established on open spaces and parklands or within community centres.
3. Community capacity – The site must have the support of the surrounding neighbours and local residents who are willing to participate in the community garden.
4. Safety – Sites should be safe with good passive surveillance.
5. Accessibility – Sites should be accessible to the community, to people with disabilities and for delivery of materials.
6. Solar access – Sites require suitable growing conditions of at least six hours of full sunlight per day.
7. Size – Sites should be large enough to accommodate basic garden facilities.
8. Water – Sites should have access to water or be located close to harvested water stored in rainwater tanks.
9. Soil contamination– Sites should be tested for soil contamination to ensure that they are suitable for growing food crops.
10. Multiple uses – Community garden sites should not interfere with other land uses and can be utilised by non-gardeners for passive recreation.
11. Existing features – The surrounding buildings and facilities should be considered and may be utilised or retained in the garden, or integrated within the existing space.
12. Land suitability – The topography of the land should be reasonably flat.
The City's role
The City has adopted a community development approach to community gardens by:
* Providing advice, support and assistance when establishing new or managing existing gardens;
* Providing access to and delivery of educational workshops and bus tours;
* Promoting community gardens on the City's web page, media, in publications and at events;
* Encouraging the gardens to be self-managed and have community ownership;
* Developing partnerships with other garden groups and volunteers involved in community greening activities; and
* Encouraging groups to apply for grants and sponsorship to assist with funding their garden.
The City would like to measure the benefits of community gardens to the community by tracking the satisfaction of community gardeners on a regular basis. The community garden groups will be responsible for the safe maintenance, upkeep, and activation of the garden spaces for the enjoyment of the community.
Approval
Approvals will be granted in accordance with community garden policy and community garden guidelines. New community garden groups must have:
* Approval from the landowner and/or Council;
* Addressed the site selection criteria for a suitable location;
* Developed a management plan approved by the garden group, landowner and the City;
* Developed a design layout of the overall community garden;
* Created community capacity within the group and have support from local residents; and,
* The skills and ability to become self-managed and maintain the garden to a high standard through community participation.
Removal
The City provides groups with advice and resources to ensure the success of their community gardens. In the event that a community garden, footpath verge garden or community composting site ceases to operate in accordance with this policy, the City reserves the right to remove the community garden to allow other community uses to be undertaken. The City will provide written notice for any community garden removal.
Establishing a community garden
The City's Community Garden Guidelines, Preferred Materials for Use in Community Gardens, and Community Composting Guidelines contain all the information required to establish, operate and manage a community garden. These documents are available for download on the City's website.
References
Laws and standards
Policies and procedures
* Companion Animal Act 1998
* Environmental Planning and Assessment Act 1979
* Companion Animal Regulation 1999
* Food Act 1999
* Pesticide Act 1999
* Local Government Act 1993
* Privacy and Personal Information Act 1998
* Work Health and Safety 2012
* Protection of the Environment Operations Act 1997
* Sustainable Sydney 2030
* Code of Conduct 2013
* Asbestos in the Workplace Policy 2012
* Community Composting Guidelines 2014
* •
Community Garden Policy 2009
* Disciplinary Policy 2014
Companion Animal Policy 2011
* EEO and Antidiscrimination Policy 2013
* Grants and Sponsorship Policy 2012
* Footpath Gardening Policy 2013
* Green Roof and Green Walls 2014
* Harassment and Bullying Policy 2012
* Greening Plan 2012
* Health and Wellbeing Policy 2014
*
* How to Write a Management Plan – Community Composting 2014
Placements 2010
Safety Management System – WHS for Volunteers and Vocational
* Tree Management Policy 2013
* Waste Policy 2013
* Volunteer Policy 2012
* Work Health and Safety Policy 2014
Approval
Council approved this policy on 29 February 2016.
Review
| | Review period | | Next review date | | TRIM reference |
|---|---|---|---|---|---|
| The Council will review this policy every five years | | Feb 2021 | | 2015/091275 | |
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St. Laurence C.E. Primary School
PE Policy 2021
This policy outlines the teaching, organisation and management of the PE taught and learnt at St. Laurence's C. E. primary school. It reflects the school's values and ethos. The implementation of the policy is the responsibility of all the teaching staff.
Curriculum Statement
Our PE curriculum enables children to develop knowledge and skills that are progressive and transferable to other curriculum areas. We want our children to experience physical education in a safe environment. Through a rich PE curriculum our pupils physical and emotional development is our priority. Living healthily is a key part of our PE curriculum, with regular exercise and eating a balanced diet a key aspect of our highly valued PE curriculum.
Intent
PE is an important part of our curriculum that is fully inclusive and we strive to engage all pupils. We achieve this providing a varied and stimulating PE curriculum. We encourage all of our children to develop their use of their body, equipment and apparatus safely. In addition to this, we ask them to be reflective and creative in their learning and to improve their performance. We teach our children to be able to work alone and as part of an effective team, understanding the principles of fair play, competing honestly and behaving in a sporting fashion. These values are highly valued within our school and are upheld when participating in competitive fixtures against neighbouring schools. Our curriculum provides the opportunity to enjoy being physically active and encourages our children to adopt a positive mind set which is achieved through determination, perseverance and resilience. Careful monitoring of lesson planning across year groups, pupil interviews and lesson observations ensure that children develop their skills as they progress through our school, building upon previous learning and developing previously taught skills.
What will children be able to do having completed the EYFS curriculum?
- Be able to kick a large ball.
- Be able to run skilfully and negotiate space successfully, adjusting speed or direction to avoid obstacles.
- To be able to catch a large ball.
- To negotiate space successfully in racing and chasing games with others.
- To show increasing control of an object when pushing, patting, throwing, catching or kicking.
- To squat with steadiness to rest or play with an object on the ground.
- To be able to rise to feet without using hands.
- To be able to climb confidently and begin to pull themselves up on equipment.
- To mount stairs, steps or climbing equipment using alternate feet.
- To be able to stand on one foot.
- To be able to jump off an object and land appropriately.
- To travel with confidence and skill around, under and over balancing and climbing equipment.
- To move freely with pleasure and confidence in a range of ways. E.g. slithering, shuffling, rolling, crawling, walking, running, jumping, sliding, hopping.
- To be able to experiment with different ways of moving.
- To be able to run safely on whole foot.
- To begin to participate in outside games within a team and individually.
- To develop fine and gross motor skills through woodland craft.
What will children be able to do having completed KS1?
- Master basic movements including running, jumping, throwing and catching, as well as developing balance, agility and co-ordination, and begin to apply these in a range of activities.
- Participate in team games, developing simple tactics for attacking and defending.
- Perform dances using simple movement patterns.
- Develop fundamental movement skills.
- Become increasingly competent and confident and access a broad range of opportunities to extend their agility, balance and coordination, individually and with others.
- Be able to engage in competitive (both against self and against others) and co-operative physical activities, in a range of increasingly challenging situations.
What will children be able to do having completed KS2?
- Use running, jumping, throwing and catching in isolation and in combination.
- Play competitive games, modified where appropriate [for example, badminton, basketball, cricket, football, hockey, netball, rounders and tennis], and apply basic principles suitable for attacking and defending.
- Develop flexibility, strength, technique, control and balance [for example, through athletics and gymnastics].
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Perform dances using a range of movement patterns.
- Take part in outdoor and adventurous activity challenges both individually and within a team.
- Compare their performances with previous ones and demonstrate improvement to achieve their personal best.
- Swim competently, confidently and proficiently over a distance of at least 25 metres.
- Use a range of strokes effectively [for example, front crawl, backstroke and breaststroke].
- Perform safe self-rescue in different water-based situations.
- Continue to apply and develop a broader range of skills, learning how to use them in different ways and to link them to make actions and sequences of movement.
- Enjoy communicating, collaborating and competing with each other.
- Develop an understanding of how to improve in different physical activities and sports and learn how to evaluate and recognise their own success.
At the core of all we do is our three main values: creativity, trust and wisdom.
PE is an excellent opportunity or our pupils to express themselves:
- Our children can be creative in their PE lessons, with the opportunity to observe each other and refine their own performances.
- We develop trust in the way we work, encompassing teamwork, relationships, and ensuring pupils feel confident within themselves (positive mind set) and their learning environment.
- An enriching PE curriculum will enable our children to develop wisdom; drawing upon their experiences to amend and improve their performances.
Implementation
PE is taught in a wide range of different ways across our school to maximise pupil engagement and maximise lesson outcomes. We provide challenging and enjoyable learning in a range of sporting activities, including, invasion games, net and wall games, gym and dance, striking and fielding games, athletics, swimming and outdoor adventurous activities. Teachers and HLTAs follow a prescriptive PE sports plan, ensuring that all areas of PE are covered and taught throughout the academic year. This ensures full coverage of our curriculum over the academic year. They then plan series of lessons to develop and refine their pupils' skills and create a learning environment that stimulates interest. The PE co-ordinator monitors the planning to ensure that there is a progression in skills in the different year groups. Lesson observations and pupil interviews provides further evidence. It is essential that there is a progression of knowledge and skills in PE throughout the school, enabling children to build upon prior experiences and apply these with confidence. The PE coordinator will regularly review the PE curriculum with questionnaires on CPD requirements helping to inform the annual action plan.
Our children participate in a wide range of enrichment and competitive sporting events. This is an inclusive approach which encourages physical development and mental wellbeing. Children attend a block of swimming lessons in KS1 and KS2. We provide children with the opportunity to participate in extracurricular activities that are inclusive, enjoyable and increase their physical activity. Sports Grant funding is used to subsidise disadvantaged children. Parents and carers are invited to come into the school to share in the learning of PE with our children. Sports Day, dance performances and competitive sporting events are several ways of achieving this. Sporting events can help to develop relationships between school and home.
How do we support pupils in PE?
We use differentiated tasks to allow children to meet the learning objective and to ensure that they progress at the correct pace. This could take the form of additional adult support, the use of resources/equipment, peer support or the differentiation of the task to be completed. For pupils with specific SEN or EAL needs a variety of approaches maybe used including pre-teaching of specific vocabulary, pairing children alongside role-models, providing visual practical prompts, adult support and adaptation of activities to ensure engagement.
How do we challenge our pupils in PE?
Work may be differentiated to allow children to go beyond the year group's objective. This could take the form of additional independent activities, the use of equipment, peer mentoring or the differentiation of the task to be completed.
Impact
- Outcomes in lessons, learning journals, wall displays and participation in external sporting events evidence a broad and balanced PE curriculum. A recap of learning from previous year groups.
- A 'hook' to inspire and capture the children's imagination.
- Happy and engaged learners.
- Children who can work independently and can regularly work in pairs and small groups.
- Children who are given the opportunity to lead and coach their peers.
- Children who like to talk about and reflect on their learning.
- Self-motivated children who show excellent sportsmanship.
- Children who can explore different activities and equipment.
- The use of qualified coaches to enhance the learning of the children.
- Children who enjoy physical activity, have a love for sport and want to pursue it outside of school and in future life after primary school.
- Physically active children which has a positive implication on their learning in the classroom.
- Children who are able take responsibility for their own health and wellbeing utilising the knowledge and skills acquired through PE.
- Children who understand how to lead a healthy lifestyle and understand the importance of exercise.
- Confident children who can talk about PE and are prepared to share what they have learnt in a variety of ways.
Assessment
Assessment for learning is continuous throughout the planning, teaching and learning cycle. At St Laurence's, we use summative and formative assessment to determine children's performance in PE. Assessment is supported by use of the following strategies:
Observing children at work, individually, in pairs, in a group and in class during whole class teaching.
Provide effective feedback to engage children with their learning and to provide opportunities for self-assessment, consolidation, depth and target setting.
Use of specific and measurable learning objectives for each lesson which children and teacher's review against the agreed success criteria.
Each child's attainment and progress in PE is formally reported to parents at the end of the school year in the end of year report.
Feedback from teachers and peers.
Video evidence.
Cross- curricular links
Links can be made between PE and other areas taught in school. When finding the total number of points scored in a game, mental maths strategies can be used to develop quicker and more efficient ways of adding. Other mathematical skills may include; calculating the angle, reasoning and time management.
SMSC Development
The morals and values underpinning the PE curriculum are of paramount importance. We encourage our children to be respectful on the playing field and to represent the school in the correct manner. Our children will learn more from losing than they do from winning and the discussions that follow a defeat are managed in a sensitive manner. Showing respect towards our opponents and towards our teammates is promoted and underpinned by the Christian ethos at St. Laurence's primary school.
Resources
PE resources are stored in a specially designated area. The shelving is clearly organised and has an extensive supply PE equipment to suit the requirements of all pupils. Equipment is inspected annually and replaced if it is unsafe or no longer fit for purpose.
Role of the subject leader
- To ensure a high profile of the subject.
- To attend and provide regular CPD.
- To ensure a full range of relevant and effective resources are available to enhance and support learning.
- To ensure that there is a progression of skills as children progress through the school.
- To analyse assessment data.
- To annually observe PE lessons.
- To annually hold pupil interviews.
- To monitor planning and oversee the teaching of PE.
- To lead further improvement in and development of the subject as informed by effective subject overview.
- To ensure that the PE curriculum has a positive effect on all pupils, including those who are disadvantaged or have low attainment.
- To ensure that approaches are informed by and in line with current identified good practice and pedagogy.
Equal Opportunities
At St Laurence's we are committed to providing a teaching environment which ensures all children are provided with the same learning opportunities regardless of social class, gender, culture, race, special educational need or disability. Teachers use a range of strategies to ensure inclusion. Support for specific individuals is well considered and planned for, with consideration given to how greater depth and further challenge can be implemented.
Gifted and talented / more able Pupils
At St. Laurence's each teacher will liaise with the gifted and talented co-ordinator to ensure individual children's needs are met and that appropriate targets are set and reviewed regularly. Class teachers are mindful of the extra needs of gifted and talented children and provide additional or more challenging activities to allow further progression and challenge.
Inclusion
All pupils are entitled to access the PE curriculum at a level appropriate to their needs. To ensure inclusion, teachers use a range of strategies. Independent tasks, as well as teaching, are well adapted, to ensure full accessibility, as well as to provide appropriate support and challenge to different groups of learners. The school makes full use of additional adults who are deployed effectively to ensure that identified children are able to make progress in each curriculum area, according to their full potential.
Role of the Governors
The subject leader will ensure that the Governing Body is kept up to date with any actions and initiatives which are relevant to the subject. Reviews of action plans are sent to the Governors each year and the Governors meet with subject leads and provide link governor reports to the governing body annually.
Health and Safety
The curriculum will be delivered in a safe and healthy manner and every effort will be taken to identify risks associated with a curriculum subject/ activity (such as external sporting events) and the appropriate control measures will be implemented. Pupils will be educated about health and safety issues as and when the opportunity arises throughout the course of normal teaching. Risk assessments will be submitted for all educational off site visits.
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Learning Implicit User Interest Hierarchy for Context in Personalization
By Hyoung R. Kim and Philip K. Chan Florida Institute of Technology Technical Report CS-2002-15 firstname.lastname@example.org, email@example.com
ABSTRACT
To provide a more robust context for personalization, we desire to extract a continuum of general (long-term) to specific (short-term) interests of a user. Our proposed approach is to learn a user interest hierarchy (UIH) from a set of web pages visited by a user. We devise a divisive hierarchical clustering (DHC) algorithm to group words (topics) into a hierarchy where more general interests are represented by a larger set of words. Each web page can then be assigned to nodes in the hierarchy for further processing in learning and predicting interests. This approach is analogous to building a subject taxonomy for a library catalog system and assigning books to the taxonomy. Our approach does not need user involvement and learns the UIH "implicitly." Furthermore, it allows the original objects, web pages, to be assigned to multiple topics (nodes in the hierarchy). In this paper, we focus on learning the UIH from a set of visited pages. We propose a few similarity functions and dynamic threshold-finding methods, and evaluate the resulting hierarchies according to their meaningfulness and shape.
Keywords
user interest hierarchy, user profile, clustering algorithm, concept clustering
1. INTRODUCTION
When a user browses the web, at different times, she could be accessing pages pertaining to different topics. For example, she might be looking for research papers at one time and airfare information for conference travel at another. That is, a user can exhibit different kinds of interests at different times, which provide different contexts underlying a user's behavior. However, different kinds of interests might be motivated by the same kind of interest at a higher abstraction level (computer science research, for example). That is, a user might possess interests at different abstraction levels—the higher-level interests are more general, while the lower-level ones are more specific. Furthermore, more general interests, in some sense, correspond to longer-term interests, while more specific interests correspond to shorter-term interests. During a browsing session, the general interests are back on one's mind, while specific interests are one's current foci. Unlike News Dude [2], which generates a long-term and a shortterm model, we model a continuum of long-term to shortterm interests. We believe identifying the appropriate context underlying a user's behavior is important in more accurately pinpointing her interests. The web is not static — new documents and new words/phrases are created every day. Most clustering methods assume each object (document) is represented by a fixed number of features (words/phrases). This representation is inadequate in a dynamic environment like the web. Consider how a librarian would form taxonomy of the subjects for all the books in the library. She would first identify the subject(s) of a book and then cluster all the books on the bases of the subject. Finally, books are categorized by the taxonomy. STC [14] does not rely on a fixed vector of word features in clustering documents. We use a similar approach— instead of clustering documents, we cluster features in the documents; documents are then assigned to the clusters. We propose to model general/long-term and specific/shortterm interests with a concept hierarchy called User Interest Hierarchy (UIH). The resulting hierarchy (UIH) is used to build Page Interest Estimator (PIE)'s [3] as well as provides a context. For each cluster in UIH, the associated documents are used as positive examples for learning a PIE. The constructed UIH and its corresponding learned PIE's are used for estimating interest of a new document. However, current clustering methods do not generate clusters that possess all of the key characteristics we desire in a UIH.
The most common and obvious solution for building a UIH is for the user to specify their interests explicitly. However, the explicit approach includes these disadvantages:
* Time and effort in specifying her interests.
* User's interest may change over time.
Alternatively, an implicit approach can identify a user's interests by inference.
The main objective of this research is to build UIH's without the user's involvement (implicitly). We devise a divisive hierarchical clustering (DHC) algorithm that constructs such a hierarchy and supports overlapping clusters of the original objects (web pages in our case). We believe our approach has significant benefits and possesses interesting challenges. The main contributions of this work are the characterization of a user interest hierarchy, an algorithm that constructs a UIH, similarity functions, dynamic threshold-finding methods, and evaluation of our techniques based on real data collected from our departmental web server.
The rest of this paper is as follows: Section 2 discusses related work in clustering algorithms and building user interest profiles; Section 3 introduces user interest hierarchies (UIH's); Section 4 details our approach towards building implicit UIH's; Section 5 describes our experiments; Section 6 analyzes the results from the experiments; Section 7 summarizes our findings and suggests possible future work.
2. RELATED RESEARCH
Agglomerative (bottom-up) hierarchical clustering algorithms initially put every object in its own cluster and then repeatedly merge similar clusters together, resulting in a tree shape structure that contains clustering information on many different levels [12]. Merges are usually binary— merging two entities, which could be clusters or initial data points. Hence, each parent is forced to have two children in the hierarchy. Divisive (top-down) hierarchical clustering algorithms are similar to agglomerative ones, except that initially all objects start in one cluster which is repeatedly split. Splits are usually binary and one usual stopping criterion is the desired number of clusters [4]. Our divisive algorithm does not necessarily generate binary splits and uses a minimum cluster size as one of the stopping criteria. Partitioning clustering algorithms such as the K-means algorithm initially create a partitioning of K clusters. Those initial K clusters are then iteratively refined to achieve the final clustering of K clusters. A major drawback of this approach is that the number of clusters must be specified beforehand as an input parameter, however Perkowitz developed a method to automatically determine the value of K. They ran the K-means algorithm multiple times, starting with a large value and gradually decreasing it. They were able to efficiently determine a good value for K during the clustering of web pages [9]. Our algorithm only needs to cluster strongly connected words, but the K-means algorithm divides whole words into K clusters without removing weak relations. COBWEB is a incremental conceptual clustering algorithm. Each cluster records the probability of each attribute and value, and the probabilities are updated every time an object is added [4]. However, instead of using category utility to determine if child clusters are generated, we use a graph-based method and a different similarity function.
To build user interest profiles that can be used for web personalization, Richardson and Domingos [10] enhanced PageRank by using a more intelligent web-surfer. This method collects relevant web pages based only on queries, probabilistically combined page contents, and link structure. Research has also been performed on a method to group web pages into distinct topics and to list the most authoritative/informative web pages in each topic. The similarity metric that is used incorporates comprehensive information regarding text, hyperlink structure, co-citation, and the unsupervised clustering method based on spectral graph partitioning using normalized cut [7]. Our method is only concerned with the text but allows overlapping clusters. A news agent called News Dude, developed by Billsus and Pazzani [2], learns which stories in the news a user is interested in. The news agent uses a multi-strategy machine learning approach to create separate models of a user's short-term and long-term interests. Unlike News Dude, in out approach we model a continuum of long-term to short-term interests. Syskill & Webert [8] use a predefined profile, which significantly increases the classification accuracy on previously unseen web pages. They emphasize the importance of a user profile. Perkowitz and Etzioni [9] introduced SCML, a concept learning algorithm that only extracts some concepts in a set of data.
3. USER INTEREST HIEREARCHY
A user interest hierarchy (UIH) organizes a user's general to specific interests. Towards the root of a UIH, more general (longer-term) interests are represented by larger clusters of words while towards the leaves, more specific (shorter-term) interests are represented by smaller clusters of words. To generate a UIH for a user, our clustering algorithm (details in Sec. 4) accepts a set of web pages visited by the user as input. We use only the words in a web page and ignore link or image information. The web pages are stemmed and filtered by ignoring the most common words listed in a stop list [5]. Table 1 has a sample data set.
Table 1: Sample data set
ai, machine, learning, ann, perceptron, decision, tree, id3, c4.5, hypothesis, space, searching, algorithm, bfs, dfs, constraint, reasoning, forward, checking
Numbers in the left represent individual web pages; content has words stemmed and filtered through stop list. These words in the web pages can be represented by a UIH as shown in Figure 1. Each cluster node can represent a conceptual relationship, for example 'perceptron' and 'ann' (in italic) can be categorized as belonging to neural network algorithms, whereas 'id3' and 'c4.5' (in bold) in another node cannot. Words in these two nodes are mutually related to some other words such as 'machine' and 'learning'. This set of mutual words, 'machine' and 'learning', performs the role of connecting italic and bold words in sibling clusters and forms the parent cluster. We illustrate this notion in the dashed box in Figure 1.
4. APPROACH
We desire to cluster web pages to provide contexts for predicting user interest. To allow overlapping clusters of pages, instead of clustering pages directly, we cluster the words in pages and pages are assigned to clusters subsequently. That is, instead of directly clustering the original objects (web pages), we first cluster the features (words) of the objects and then the objects are assigned to the clusters based on the features in each cluster. During clustering, the similarity/distance between features are based on their relationship with the objects. Consequently, objects are clustered based on possessing similar related features and each object may belong to multiple clusters. Since the more challenging step is the initial hierarchical clustering of the features, our primary focus for this paper is on devising and evaluating algorithms for this step.
Our divisive hierarchical clustering (DHC) algorithm recursively partitions the words into smaller clusters, which represent more related words. We assume words occurring close to each other (within a window size) are related to each other. We investigated a few similarity functions that measure how close two words are related. We also investigated techniques that dynamically locate a threshold that decides whether two words are strongly related or not. If two words are determined to be strongly related, they will be in the same cluster; otherwise, they will be in different clusters. In the following subsections, we detail our algorithm, similarity functions, threshold-finding techniques, choice of window size, and minimum cluster size for leaves.
4.1 Algorithm
Our algorithm is a divisive hierarchical clustering method called DHC, that recursively divides clusters into child clusters until it meets the stopping conditions. Figure 2 illustrates the pseudo code for the HDC algorithm. In preparation for our clustering algorithm, we extract words from web pages visited by the user, filter them through a stop list, and stem them [5]. Using a similarity function, we calculate the strength of the relationship between a pair of words. We then build a weighted undirected graph with each vertex representing a word and each weight denoting the similarity between two words. Since related words are more likely to appear in the same document than unrelated terms, we measure co-occurrence of words in a document. Given the graph, called SimilarityMatrix, the clustering algorithm recursively partitions the graph into subgraphs, called Cluster, each of which represents a sibling node in the resulting UIH. Documents that contain words in a cluster are in the cluster. Note that a document can have terms in different clusters, hence, a document can be in more than one cluster. At each partitioning step, edges with "weak" weights are removed and the resulting connected components constitute sibling clusters (we can also consider cliques as clusters, but more computation is required). We treat determining what value is considered to be "strong" or "weak" as another clustering problem (more details in Sec. 4.3). The recursive partitioning process stops when one of the stopping criteria is satisfied. The first criterion is when the current graph does not have any connected components after weak edges are removed. The second criterion is a new child cluster is not formed if the number of words in the cluster falls below a predetermined threshold.
The CalculateSimilarityMatrix function takes a similarity function (details in Sec. 4.2), cluster, and window size as parameters and return the similarity matrix, where the window size affects how far two words (in terms of number of words) can be to be considered as related. The CalculateThreshold function takes a threshold-finding method and similarity matrix as parameters and returns the threshold. The similarity function and threshold-finding method greatly influence the clustering algorithm and are discussed next.
UIH(Examples, SIMILARITYFUNCTION,
FINDTHRESHOLD, WindowSize)
Examples: A set of web pages visited by the user.
SIMILARITYFUNCTION: A function that calculates the
"closeness" of two words.
FINDTHRESHOLD: A function that calculates the cutoff value for determining strong and weak similarity values.
WindowSize: the maximum distance (in number of words) between two related words in calculating their similarity value.
1. Words are extracted from Examples, stemmed, and filtered through a stop list.
2. Cluster ← distinct words [with information of web page membership]
3. Return DHC(Cluster, SIMILARITYFUNCTION, FINDTHRESHOLD, WindowSize)
DHC (Cluster)
1. SimilarityMatrix ← CalculateSimilarityMatrix (SIMILARITYFUNCTION, Cluster, WindowSize)
2. Threshold ← CalculateThreshold(FINDTHRESHOLD, SimilarityMatrix)
3. If all similarity values are the same or a threshold is not found Return EmptyHierarchy
4. Remove weights that are less than Threshold from SimilarityMatrix
5. While (ChildCluster←NextConnectedComponent (SimiarityMatrix))
If size of ChildCluster >= MinClusterSize ClusterHierarchy←ClusterHierarchy + ChildCluster + DHC(ChildCluster, SIMILARITYFUNCTION, FINDTHRESHOLD, WindowSize)
6. Return ClusterHierarchy
Figure 2: DHC algorithm
4.2 Similarity Functions
The similarity function calculates how strongly two words are related. Since related words are likely to be close to each other than unrelated words, we assume two words cooccurring within a window size are related. To simplify our discussion, we have been assuming the window size to be the entire length of a document (details in Sec. 4.4). That is, two words co-occur if they are in the same document.
4.2.1 AEMI
We use AEMI (Augmented Expected Mutual Information) [3] as a similarity function. AEMI is enhanced version of MI (Mutual Information) and EMI (Expected Mutual Information). Unlike MI which considers only one corner of the confusion matrix and EMI which sums the MI of all four corners of the confusion matrix, AEMI sums supporting evidence and subtracts counter-evidence. Chan [3] demonstrates that AEMI could find more meaningful multi-word phrases than MI or EMI. Concretely, consider A and B in AEMI(A,B) are the events for the two words. is the probability of a document containing a and ) ( a A P = ) ( a A P = (B P is the probability of a document not having term a. and ) b = ) ( b B = P are defined likewise. is the probability of a document containing both terms a and b. These probabilities are estimated from the documents visited by the user. AEMI(A,B) is defined as: ) b = , ( B a A P =
The first term computes supporting evidence that a and b are related and the second term calculates counterevidence.
Using our running example in Figure 1, Table 2 shows a few examples of how AEMI is computed. The AEMI value between 'searching' and 'algorithm' is 0.36, which is higher than the AEMI value between 'space' and 'constraint', –0.09.
Table 2: AEMI values
| P(a) | P(a) | P(b) | P(b) | P(ab) | P(a b) | P( ab) | AEMI(a,b) |
|---|---|---|---|---|---|---|---|
| a = searching, b = algorithm | | | | | | | |
| 0.4 | 0.6 | 0.4 | 0.6 | 0.4 | 0 | 0 | 0.36 |
| a = space, b = constraint | | | | | | | |
| 0.2 | 0.8 | 0.2 | 0.8 | 0 | 0.2 | 0.6 | -0.09 |
| a = ann, b = perceptron | | | | | | | |
| 0.2 | 0.8 | 0.2 | 0.8 | 0.2 | 0 | 0 | 0.32 |
4.2.2 AEMI-SP
Inspired by work in the information retrieval community, we would like to enhance AEMI by incorporating a component for inverse document frequency (IDF) in the similarity function. The document frequency of a word calculates the number of documents that contain the word. Words that are commonly used in many documents are usually not informative in characterizing the content of the documents. Hence, the inverse document frequency (the reciprocal of document frequency) measures how informative a word is in characterizing the content. Since our formulation is more sophisticated than IDF and it involves a pair of words rather than one word in IDF, we use a different name and call our function specificity (SP).
We estimate the probability of word occurrence in documents instead of just document frequency so that we can scale the quantity between 0 and 1. We desire to give high SP values to words with probability below 0.3 (approximately), gradually decreasing values from 0.3 to 0.7, and low values above 0.7. This behavior can be approximated by a sigmoid function, commonly used as a smoother threshold function in neural networks, though ours needs to be smoother. Figure 3 shows the shape of the SP function with respect to m, where m is defined as: MAX (P(a), P(b)). We choose the larger probability so that SP is more conservative. SP(m) is defined as:
where the factor 0.6 smoothes the curve, and constants 10.5 and –5 shift the range of m from between 0 and 1 to between -5 and 5.5. The new range of -5 and 5.5 is slightly asymmetrical because we would like to give a small bias to more specific words. For instance, for a = 'ann' and b = 'perceptron', m is 0.2 and SP(m) is 0.85, but for ='machin' and b='ann', m is 0.6 and SP(m) is 0.31.
Our similarity function AEMI-SP is defined as: AEMI * SP/2. The usual range for AEMI is 0.1 – 0.45 and SP is 0 – 1. To scale SP to a similar range as AEMI, we divide SP by
2. For example in Table 4 the AEMI-SP value for 'searching' and 'algorithm' is lower than the value for 'ann'' and 'perceptron' because the SP value for 'ann' and 'percetpron' is higher even though the AEMI value is lower.
| | AEMI | SP |
|---|---|---|
| a = searching b = algorithm | 0.36 | 0.62 |
| a = ann b = perceptron | 0.32 | 0.85 |
4.2.3 Other Similarity Functions
We also investigated other existing similarity functions. The Jaccard function [6] is defined as: ) ( ) , ( b a P b a P ∪ . Although
Jaccard produces meaningful clusters, it did not generate suitable hierarchical clusters. When we calculated the similarity matrix on the sample data using the Jaccard function, the related value of 'ai' was expected to be very small, since the words were very general; however, the computed Jaccard values was bigger than average, which made it hard to make child clusters, which means it is not proper for making hierarchical clusters.
For instance, using our running example in Figure 1, the Jaccard value between 'ai' and 'machine' is 0.6 and the value between 'ai' and 'search' is 0.5. If the threshold is 0.49, both pairs are in the same cluster and 'ai' may perform the role to connect 'machine' and 'search'. Even though if the threshold is 0.55, 'ai' still remains in the child cluster with 'machine' (since their similarity value is over the threshold), which is a wrong decision.
The MIN method is defined as MIN(P(a|b), P(b|a)). The idea is that if we assign the same similarity value to connected words and connecting words, they would go together. For instance in Figure 1, 'ai' connects 'machine' and 'searching', so they were grouped together in one cluster. However, when they were divided into child clusters, 'ai' should be removed because 'ai' is too general. But MIN (P('ai'|'machine'), P('machine'|'ai')) still yielded relatively higher value than the average. Alternatively, the MAX function defined as MAX (P(a|b), P(b|a)) did not distinguish the value for 'ai' and 'machine' and the value for 'machine' and 'learning', even though the latter pair has a much stronger relationship. Since Jaccard, MIN, and
MAX did not generate desirable cluster hierarchies, we excluded them from further experiments.
4.3 Threshold-finding Methods
Instead of using a fixed user-provided threshold (as in STC [14]) to differentiate strong from weak similarity values between a pair of words, we examine methods that dynamically determine a reasonable threshold value. Weights with weak similarity are removed from SimilarityMatrix and child clusters are identified (Sec. 3).
4.3.1 Valley
To determine the threshold, we would like to find a sparse region that does not have a lot of similar values. That is, the frequency of weights in that region is low. We first determine the highest observed and lowest desirable similarity values and quantize the interval into ten regions of equal width. The lowest desirable similarity value is defined as the value achieved by a pair of words that occur together only in one document. We then determine the frequency of values in each region.
Generally, lower weights have a higher frequency and higher weights have a lower frequency. If the frequency monotonically decreases with regions of higher weights, picking the region with the lowest frequency will always be the region with the highest weights. Unfortunately, the threshold will be too high and too many edges will be cut. In this case the threshold is set to be the average plus one standard deviation (biasing to removing more edges with lower weights).
However, if the frequency does not decrease monotonically, we attempt to identify the "widest and steepest" valley. Steepness can be measured by the slopes of the two sides of a valley and the width of how many regions the valley covers. Since the regions are of equal width, we calculate the "quality" of a valley by: ∑ − j i j i freq freq , , where i and j are successive regions on the two sides of a valley. Once the widest and steepest valley is located, we identify the threshold in the region that constitutes the bottom (lowest frequency) of the valley. For example, in Table 5, there are three valleys: one from Region 0 through 3, (quality is 17), another one from Region 3 through 5, (quality is 14), and the last one is from Region 5 through 9, (quality is 15). Therefore, the widest and steepest valley is the first valley and its bottom is in Regions 1 and 2.
To identify the threshold inside the bottom region, we ignore the frequency information and find two clusters of similarity values. In this case, it is a one-dimensional twocluster task, which can be accomplished by sorting the weights and splitting at the largest gap between two successive weights (LargestGap in Sec. 4.4). In our example in Table 5, since the bottom has zero frequency, any value between .28 and .30 can be the threshold.
Table 5: Distribution of frequency and number of children
| Region | Range | Freq. | # of Children |
|---|---|---|---|
| 0 1 2 3 4 5 6 7 8 9 | 0.27 <= x < 0.28 0.28 <= x < 0.29 0.29 <= x < 0.30 0.30 <= x < 0.31 0.31 <= x < 0.32 0.32 <= x < 0.33 0.33 <= x < 0.34 0.34 <= x < 0.35 0.35 <= x < 0.36 0.36 <= x | 16 0 0 1 0 13 0 0 0 2 | Not counted Not counted Not counted Not counted Not counted 6 1 1 1 Not applicable |
4.3.2 MaxChildren
The MaxChildren method selects a threshold such that maximum of child clusters are generated. This ensures that the resulting hierarchy does not degenerate to a tall and thin tree (which might be the case for other methods). This preference stems from the fact that topics are in general more diverse than detailed and the library catalog taxonomy is typically short and wide. MaxChildren calculates the number of child clusters for each boundary value between two quantized regions. To guarantee the selected threshold is not too low, the method ignores the first half of the boundary values. For example, in Table 5, the boundary value 0.33 (between Regions 5 and 6) generates the most children and is selected as the threshold.
4.3.3 Other Threshold-finding Methods
There are some other threshold-finding methods that we initially studied but are inferior to Valley or MaxChildren and are not included in this paper. LargestGap sorts the values and split at the largest gap between two successive values (the same method used in the Valley method after the bottom of the largest valley is found). Again this is motivated by trying to form two clusters in a onedimensional space. However, in our initial experiments, the largest gap is close to the largest observed value and hence the resulting tree is usually too small. To prevent the threshold being too large, Top30% selects a threshold that retains values in the top 30%. However, this method generates tall and thin trees. To keep 'abnormally' large values, we also studied Average+StandardDeviation to select a threshold a standard deviation larger than the average. This is later combined into the Valley method.
4.4 Window Size and Minimum Size of a Cluster
The window size parameter specifies the maximum 'physical' distance (in terms of number of words) between a pair of words for consideration of co-occurrence. We have been using the entire document length as the window size to simplify our discussion. However, considering two words occurring in the same page as related might be too optimistic. Hence, we investigated smaller window sizes that roughly cover a paragraph (e.g., 100 words) or a sentence (e.g., 15 words). However, in our experiments the window size does not make a significant difference.
The minimum size of a cluster affects the number of clusters. A larger number of clusters makes the hierarchy less comprehensible and requires more computation. We picked 4 as the minimum size of a cluster.
5. EXPERIMENTS
Experiments were conducted on data obtained from our departmental web server. By analyzing the server access log from January to April 1999, we identified hosts that were accessed at least 50 times in the first two months and also in the next two months. We filtered out proxy, crawler, and our computer lab hosts, and identified "single-user" hosts, which are at dormitory rooms and a local company [3]. We yielded 13 different users and collected the web pages they visited. The number of words on the web pages visited by each user was on the average 1,918, minimum number of words was 340, and maximum was 3,708. We evaluate the effectiveness of our algorithms by analyzing the generated hierarchies in terms of meaningfulness and shape. Separate experiments were conducted to evaluate the effectiveness of different similarity functions, threshold-finding methods, and window sizes.
6. ANALYSIS
To evaluate a UIH, we use both qualitative and quantitative measures. Qualitatively, we examine if the cluster hierarchies are reasonably describing some topics (meaningfulness). Quantitatively, we measure the shape of the cluster trees by calculating the average branching factor [11] (ABF). ABF is defined as the total number of branches of all non-leaf nodes divided by the number of non-leaf nodes.
We categorized meaningfulness as 'good', 'fair,' or 'bad'. Since the leaf clusters should have specific meaning and non-leaf clusters are hard to interpret due to their size, we only evaluated the leaf clusters for meaningfulness. This measure is based on interpretability and usability [6] and checks two properties of the leaf the existence of related words and possibility of combining words. For instance for the related words, consider 'formal', 'compil', 'befor', 'graphic', 'mathemat', and 'taken' are in a cluster, even though 'befor' and 'taken' do not have any relationship with other words, since other words are classified as a class name, this cluster is evaluated as 'good'. And for the possibility of combining words, consider 'research', 'activ', 'class', and 'web' are in a cluster. In this case the meaning of the cluster can be estimated as 'research activity' or 'research class', so we regard this cluster as good [13]. A cluster is marked as 'good' when it has more than 2/5 of the words that are related or has more than 2 possible composite phrases. This is hard to measure, so we tried to be skeptical as much as possible. For example, suppose a cluster has 'test', 'info', 'thursdai', 'pleas', 'cours', 'avail', and 'appear'. In this case one can say 'test info' or 'cours info' are possible composite phrases, but 'test info' does not have any conceptual meaning in our opinion, so we did not count that phrase. A cluster is marked as 'bad' when a leaf cluster has more than 15 words because a big leaf cluster is hard to interpret. 'Fair' leaf clusters are those that are neither good nor bad.
We categorized shape as 'thin', 'medium,' or 'fat'. If a tree's ABF value is 1, the tree is considered a 'thin' tree (marked as 'T' in the following tables). If the ABF value of a tress is at least 10, the tree is considered a 'fat' tree (marked as 'F'). The rest are 'medium' trees (marked as 'M'). We consider one more tree type: 'conceptual' tree (marked as 'C'), which subsumes 'M' or 'F' type trees. A conceptual tree is one that has at least one node with more than two child clusters and more than 80% of the words in each child cluster have similar meaning. An instance is explained in Section 6.1. Since we prefer a tree that can represent meaningful concepts, 'C' type trees are the most desirable. 'T' type trees are degenerate and are undesirable.
Based on these evaluation criteria, we analyze different similarity functions (Sec. 6.1), threshold-finding methods (Sec. 6.2) and window sizes (Sec. 6.3).
6.1 Similarity Function
We compared two similarity functions: AEMI versus AEMI-SP. We fixed the threshold-finding method to Valley and the window size to 'entire page.' Table 6 illustrates the results. The letter 'U' stands for user, 'Total' means the total number of nodes in the cluster tree, '# of L' means the number of leaf nodes. 'G %' is calculated by dividing the number of 'good' leaves by the '# of L'.
.AEMI yielded significantly more meaningful leaf clusters (61% good) than AEMI–SP (47%). Both methods generated trees whose shapes are mostly 'medium'. For U8, AEMI generated a conceptually related tree. The tree has a node with two child clusters and they contain words from course titles. All the 'C' trees in the other tables are the same as this particular tree. For U2 with AEMI-SP, the generated tree is 'fat' and has an ABF value of 10.
AEMI
| | U1 U2 U3 U4 U5 U6 U7 U8 U9 U10 U11 U12 U13 | Sum |
|---|---|---|
| # of L | 4 4 3 6 4 4 2 6 4 8 8 4 2 | 59 |
| Good Fair Bad | 3 2 2 6 4 3 2 6 2 1 1 2 2 1 2 1 1 2 7 7 2 | 36 23 0 |
| G % | 75 50 67 100 100 75 100 100 50 13 13 50 100 | 61 |
| ABF | 2.5 2 2 2.7 2 2 2 2.2 2.5 2.4 2.4 2.5 2 | |
| Shape | M M M M M M M C M M M M M | |
AEMI-SP
| | U1 U2 U3 U4 U5 U6 U7 U8 U9 U10 U11 U12 U13 |
|---|---|
| # of L | 10 10 5 10 9 7 7 5 10 13 17 8 4 |
| Good Fair Bad | 2 6 1 3 3 3 3 3 4 5 6 4 4 8 4 4 7 6 4 2 2 4 5 8 4 2 2 3 3 |
| G % | 20 60 20 30 33 43 43 60 40 38 35 50 100 |
| ABF | 2.8 10 2.3 3.3 3 3 2.5 3 4 2.7 2.8 3.3 2.5 |
Shape M F M M M M M M M M M
Table 6: AEMIversusAEMI -SP
6.2 Threshold-finding Method
We compared two threshold-finding methods: Valley versus MaxChildren. We fixed the similarity function to AEMI and the window size to entire page. Table 7 illustrates the results. MaxChildren generated more meaningful leaf clusters (61%) than Valley. Tree shapes are similar (medium) in both methods. However, generally, trees generated by MaxChildren are shorter, which indicates that MaxChildren reduces the number of iterations in the DHC algorithm by dividing the cluster in early stage. Hence, MaxChildren is faster than Valley. Most of the trees generated by both methods are 'medium' trees.
MaxChildren
| | U1 U2 U3 U4 U5 U6 U7 U8 U9 U10 U11 U12 U13 | Sum |
|---|---|---|
| # of L | 4 4 3 6 4 4 2 6 4 8 8 4 2 | 59 |
| Good Fair Bad | 3 2 2 6 4 3 2 6 2 1 1 2 2 1 2 1 1 2 7 7 2 | 36 23 0 |
| G % | 75 50 67 100 100 75 100 100 50 13 13 50 100 | 61 |
| ABF | 2.5 2 2 2.7 2 2 2 2.2 2.5 2.4 2.4 2.5 2 | |
| Shape | M M M M M M M C M M M M M | |
Valley
Table 7: MaxChildren versus Valley
| | U1 U2 U3 U4 U5 U6 U7 U8 U9 U10 U11 U12 U13 |
|---|---|
| # of L | 6 6 4 6 5 5 4 3 3 8 11 4 7 |
| Good Fair Bad | 4 4 1 5 2 3 4 1 1 1 2 3 3 2 1 3 1 2 2 2 2 7 7 1 4 1 1 2 |
| G % | 67 67 25 83 40 60 100 33 33 13 18 75 43 |
| ABF | 2.7 2 2 2.7 2.3 2.3 2 2 3 2.5 2.4 2.5 2.5 |
6.3 Window Size
We compared the performance using different window sizes: 'entire page' versus 100 words (paragraph length). We fixed the similarity function to AEMI and the threshold-finding method to Valley.
Window size = entire page
| | U1 U2 U3 U4 U5 U6 U7 U8 U9 U10 U11 U12 U13 | Sum |
|---|---|---|
| # of L | 4 4 3 6 4 4 2 6 4 8 8 4 2 | 59 |
| Good Fair Bad | 3 2 2 6 4 3 2 6 2 1 1 2 2 1 2 1 1 2 7 7 2 | 36 23 0 |
| G % | 75 50 67 100 100 75 100 100 50 13 13 50 100 | 61 |
| ABF | 2.5 2 2 2.7 2 2 2 2.2 2.5 2.4 2.4 2.5 2 | |
| Shape | M M M M M M M C M M M M M | |
Window size = 100 words
| | U1 U2 U3 U4 U5 U6 U7 U8 U9 U10 U11 U12 U13 |
|---|---|
| # of L | 5 2 12 9 4 4 2 7 8 13 1 6 4 |
| Good Fair Bad | 5 2 3 5 4 3 2 7 3 2 1 3 4 8 4 1 5 11 3 1 |
| G % | 100 100 25 56 100 75 100 100 38 15 100 50 100 |
| ABF | 3 2 4.7 3.7 2.5 2.5 2 3 3.3 3.4 1 3.5 4 |
| Shape | M M M M M M M M M M T M M |
M M
Table 8 illustrates the results. Window size of the entire page generated slightly more meaningful clusters (61% good) than window size of 100 (57% good). However, window size of 100 yields more tress with 100% good leaf clusters (6) than window size of the entire page (5). Hence, it is clear which window size produces more meaningful clusters. Both methods resulted in trees whose shape we evaluated to be 'medium'. Window size of 100 generated one thin tree for U11. The 'T' tree in Table 8 has only two nodes: the root and one leaf.
7. CONCLUDING REMARKS
To create a more robust context for personalization, we proposed learning a cluster hierarchy that can represent a continuum of general (long-term) to specific (short-term) interests from a set of web pages visited by a user. This approach is non-intrusive and allows web pages to be assigned to multiple clusters. We proposed our divisive hierarchical clustering (DHC) algorithm and evaluated it based on data obtained from 13 users on our web server. We also introduced similarity functions and thresholdfinding methods for the clustering algorithm. Our empirical results suggest that the AEMI similarity function and the MaxChildren threshold-finding method yielded more meaningful leaf clusters. Using AEMI and MaxChildren, DHC generated over 60% interpretable hierarchical clusters.
The window size does not make significant difference; however, we suggest a window size of 100 since usually meaning within one paragraph is more cohesive than within one document. Results from experiments not reported here indicate that stemmed words are more effective than whole words. The minimum cluster size affects the number of leaf clusters and size 4 was easy to use and seemed to produce reasonable results.
Till now, we have considered only single words; phrases may provide more information about topics compared to words. For instance, "apple" has different meanings in "apple tree" and in "apple computer". Phrases can be found using AEMI [3]. Since nodes with only one child are undesirable and they could lead to degenerate trees, we can improve HDC to ensure that "single-child" parents do not exist. After the threshold is determined, if only one child exists, the child is not added. We repeatedly apply the threshold-finding method in the "unborn" child until more than one child is produced.
ACKNOWLEDGMENTS
We thank the members of Laboratory for Learning Research (LLR) for their comments.
REFERENCES
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3. Chan, P.K. A non-invasive learning approach to building web user profiles, KDD-99 Workshop on Web Usage Analysis and User Profiling, 7-12, 1999.
4. Fisher, D.H. Knowledge Acquisition via Incremental Conceptual Clustering. Machine Learning 2, 139-172, 1987.
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10. Richardson, M., and Domingos, P. The Intelligent Surfer: Probabilistic Combination of Link and Content Information in PageRank Advances in Neural Information Processing Systems 14, 2002.
11. Russell, S., and Norvig, P. Artificial Intelligence A Modern Approach. Prentice Hall, 74, 1995.
12. Voorhees, E.M. Implementing Agglomerative Hierarchical Clustering Algorithms for use in document retrieval, Information Processing & Management, 22 (6) 465-476, 1986.
13. Zamir, O., and Etzioni, O. Groper: A Dynamic Clustering Interface to Web Search Results, The Eighth International World Wide Web Conference, Toronto, 1999.
14. Zamir, O., and Etzioni, O. Web document clustering: a feasibility demonstration. In Proc. SIGIR-98, 1998.
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PUBLISHED
UNITED STATES COURT OF APPEALS FOR THE FOURTH CIRCUIT
No. 18-1693
KAYLA BUTTS, Individually and on behalf of her daughter A.F., a minor,
Plaintiff - Appellee,
v.
THE UNITED STATES OF AMERICA,
Defendant - Appellant,
and
BERKELEY MEDICAL CENTER; WEST VIRGINIA UNIVERSITY HOSPITAL, INC.; SHENANDOAH WOMEN’S HEALTH CENTER; SHENANDOAH COMMUNITY HEALTH CENTER; SHENANDOAH MIDWIVES; AVINASH PUROHIT, M.D.; TRACY SWALM, CNM; SARA SPURGEON, R.N.; SHELLY PALKOVIC, R.N.; REBECCA PFENDER, CNM; SARAH HARDY, M.D.; SONYA JUSTICE, R.N.,
Defendants.
Appeal from the United States District Court for the Northern District of West Virginia, at Martinsburg. Gina M. Groh, Chief District Judge. (3:16-cv-00053-GMG-MJA)
Argued: May 7, 2019
Decided: July 11, 2019
Before HARRIS, RICHARDSON and QUATTLEBAUM, Circuit Judges.
Reversed by published opinion. Judge Quattlebaum wrote the opinion, in which Judge Harris and Judge Richardson joined.
ARGUED: Joshua Marc Salzman, UNITED STATES DEPARTMENT OF JUSTICE, Washington, D.C., for Appellant. Barry John Nace, PAULSON & NACE, PLLC, Washington, D.C., for Appellee. ON BRIEF: Joseph H. Hunt, Assistant Attorney General, Mark B. Stern, Civil Division, UNITED STATES DEPARTMENT OF JUSTICE, Washington, D.C.; William J. Powell, United States Attorney, OFFICE OF THE UNITED STATES ATTORNEY, Wheeling, West Virginia, for Appellant. Matthew A. Nace, PAULSON & NACE, PLLC, Washington, D.C.; D. Michael Burke, BURKE, SCHULTZ, HARMAN & JENKINSON, Martinsburg, West Virginia, for Appellee.
QUATTLEBAUM, Circuit Judge:
This case arises from a tragic set of events involving A.F., a baby born with severe respiratory problems who developed permanent brain damage. Kayla Butts ("Butts"), A.F.'s mother, brought this action claiming A.F.'s brain damage was caused by the medical malpractice of Dr. Sarah Hardy. More specifically, Butts contends that Dr. Hardy should have transferred A.F. from the hospital where A.F. was born to a hospital with a neonatal intensive care unit ("NICU") that could have provided the care A.F. needed in the hours after her birth. After a bench trial, the district court agreed and awarded Butts over seven million dollars in damages. On appeal, we consider whether Butts presented sufficient evidence to establish that Dr. Hardy violated the applicable standard of care. Because the district court's finding on this issue was clearly erroneous, we reverse the district court's order and vacate the judgment against Dr. Hardy.
I.
Butts delivered A.F. at Berkeley Medical Center ("Berkeley") in Martinsburg, West Virginia. Berkeley did not have a NICU, so infants who required additional support were cared for in Berkeley's "Max Care Nursery." The Max Care Nursery offered specialized care to newborn infants, including an oxygen-delivery system and equipment to provide intubation. However, the Max Care Nursery did not have all the equipment found in a NICU, including a breathing device known as a continuous positive airway pressure ("CPAP") machine. Infants delivered at Berkeley who needed specialized care Berkeley could not provide were often transported to the NICU at Winchester Medical Center ("Winchester") in Virginia.
At the time of these events, Berkeley was working to establish a NICU of its own. To that end, Berkeley hired Dr. Avinash Purohit, a board-certified neonatologist, to establish and manage a NICU. But Dr. Purohit arrived at Berkeley only a few days before A.F.'s birth and had not yet established a NICU.
A.F. was born at Berkeley around 9:00 a.m. and immediately exhibited signs of respiratory distress. In the minutes following delivery, A.F.'s Apgar score—a diagnostic tool that allows a physician to evaluate a child's physical health by measuring breathing effort, heart rate, muscle tone, reflexes and skin color—was low. Nurses provided immediate treatment to aid A.F.'s breathing, including suctioning A.F.'s airway. Ten minutes after birth, A.F.'s Apgar score had improved, but, because of these initial complications, she was transferred to Berkeley's Max Care Nursery.
Dr. Hardy, a pediatrician, was on call the morning of A.F.'s birth. Soon after A.F. was delivered, the hospital paged Dr. Hardy, and she arrived around 9:15 a.m. Dr. Hardy noticed A.F.'s respiratory distress and low glucose levels. She prescribed antibiotics to prevent infection and ordered a range of tests and diagnostics to assess A.F.'s breathing problems. Dr. Hardy also placed A.F. under an oxyhood, a device that provides supplemental oxygen.
Dr. Hardy then returned to her office for a few hours, while maintaining telephone contact with the attending nurse. While she was away, A.F., with the aid of the oxyhood, maintained acceptable oxygen-saturation levels, but continued to experience breathing difficulty. Dr. Hardy came back to Berkeley around noon. At that time, A.F. was not improving. For that reason, Dr. Hardy initially decided to transfer A.F. to the Winchester
NICU. However, a nurse manager at Berkeley suggested that Dr. Hardy consult Dr. Purohit prior to transfer. Dr. Hardy consulted with Dr. Purohit around 1:30 p.m. that afternoon. Dr. Purohit assured Dr. Hardy that Berkeley had the necessary equipment and staffing for him to provide care to A.F., and he specifically told Dr. Hardy that a transfer to the Winchester NICU was unnecessary. After that discussion, Dr. Purohit agreed to take A.F. on as his patient.
After taking over A.F.'s care, Dr. Purohit ordered tests and altered A.F.'s treatments. While there is some dispute as to whether Dr. Hardy complied with Berkeley's internal procedures for completing a formal transfer of responsibility for A.F.'s care to Dr. Purohit, the district court assumed that Dr. Hardy's responsibility for A.F. terminated at 2:45 p.m.
Over the next twenty-four hours, A.F.'s condition continued to deteriorate. Ultimately, on the afternoon of the day following A.F.'s birth, Dr. Purohit ordered her to be transferred to the NICU at Winchester. A.F. remained there for nearly a month. While the parties dispute the timing and cause, there is no dispute A.F. suffered irreversible brain injury from the insufficient flow of oxygenated blood to her brain.
As a result of A.F.'s injuries, Butts sued multiple defendants including Berkeley, Dr. Purohit and Dr. Hardy alleging medical malpractice. Because Dr. Hardy was employed by a federally-funded hospital, the United States substituted itself on behalf of Dr. Hardy under the Federal Tort Claims Act (FTCA), 28 U.S.C. §§ 1346(b), 2671−2680. Prior to trial, all defendants except the United States settled with Butts.
Butts's claim against the United States proceeded to a bench trial. After the trial, the district court issued findings in favor of Butts. The district court concluded "the standard of care required that A.F. be transferred to a NICU and receive the level of care that is only available in a NICU, such as the one at [Winchester]." J.A. 281. The court found "Dr. Hardy should have transferred A.F. to [Winchester] the same afternoon A.F. was born . . . ." J.A. 281. The court further found Dr. Hardy was not absolved by her transfer of care to Dr. Purohit because, even though he was a board-certified neonatologist, he "was without a NICU. Thus, at a minimum, he lacked the appropriate equipment, specialized staff or necessary protocols to adequately assess and treat a baby who needed intensive care." J.A. 281. The district court concluded that Dr. Hardy's failure to follow the applicable standard of care caused A.F.'s injuries and awarded Butts over seven million dollars in damages. 1
The United States filed a timely appeal. We have jurisdiction of this appeal under 28 U.S.C. § 1291.
II.
We review a judgment following a bench trial under a mixed standard of review. Equinor USA Onshore Properties Inc. v. Pine Res., LLC, 917 F.3d 807, 813 (4th Cir. 2019). While conclusions of law are examined de novo, we may reverse factual findings
1 The district court did not apportion liability among the other defendants that settled prior to trial. Furthermore, the district court did not offset the damages award by the amount of Medicaid and Supplemental Security Income payments that the federal government will make to A.F. for her injuries.
only if they are clearly erroneous. Id. The clearly erroneous standard "does not entitle a reviewing court to reverse the finding of the trier of fact simply because it is convinced that it would have decided the case differently." Anderson v. City of Bessemer City, N.C., 470 U.S. 564, 573 (1985). Rather, "[i]f the district court's account of the evidence is plausible in light of the record viewed in its entirety, the court of appeals may not reverse it even though convinced that had it been sitting as the trier of fact, it would have weighed the evidence differently." Id. 573−74.
But while clear error review is deferential, it is not toothless. United States v. Wooden, 693 F.3d 440, 452 (4th Cir. 2012). A finding is clearly erroneous "when although there is evidence to support it, the reviewing court on the entire evidence is left with the definite and firm conviction that a mistake has been committed." Anderson, 470 U.S. at 573. (quoting United States v. United States Gypsum Co., 333 U.S. 364, 395 (1948)). Pertinent here, this Court's conviction that a mistake has been committed may be properly based upon a conclusion that the findings under review "are not supported by substantial evidence" in the record. 2 Miller v. Mercy Hosp., Inc., 720 F.2d 356, 361 (4th Cir. 1983).
2 In reviewing this case, the standard we apply is effectively the same standard a trial judge applies in considering a motion for judgment as a matter of law under Federal Rule of Civil Procedure 50 in the context of a jury trial.
7
On appeal, the United States argues Butts did not introduce sufficient evidence to support a conclusion that Dr. Hardy breached the applicable standard of care. 3 To establish breach, West Virginia law 4 requires a party bringing a medical malpractice claim to show that "[t]he health care provider failed to exercise that degree of care, skill and learning required or expected of a reasonable, prudent health care provider in the profession or class to which the health care provider belongs acting in the same or similar circumstances . . . ." W. Va. Code § 55-7B-3(a)(1); see also MacDonald v. City Hosp., Inc., 715 S.E.2d 405, 423 n.22 (W. Va. 2011). The applicable standard of care, and the defendant's failure to meet the standard of care, must be established by the "testimony of one or more knowledgeable, competent expert witnesses if required by the court." Id. § 55-7B-7. A physician is not required to provide a patient with "the highest degree of care possible." Bellomy v. United States, 888 F. Supp. 760, 765 (S.D.W. Va. 1995) (citing
3 The United States also raises the following issues on appeal: (1) whether the district court erred in concluding Butts introduced evidence supporting a finding that Dr. Hardy's treatment was the proximate cause of A.F.'s injuries; (2) whether the district court erred by failing to consider whether a share of liability should have been apportioned to other defendants who settled before trial; (3) whether the damages award must be reduced by the amounts that plaintiff will receive from federal benefits programs as compensation for the same injuries covered by the damages award; and (4) whether the district court erred in refusing to reduce the damages award by the amounts that plaintiff received from settling co-defendants as required by West Virginia law.
4 Because this is an action brought under the FTCA, we apply "the substantive law of the state in which the act or omission giving rise to the action occurred." Myrick v. United States, 723 F.2d 1158, 1159 (4th Cir. 1983). Accordingly, we apply the substantive law of West Virginia in resolving this appeal.
Schroeder v. Adkins, 141 S.E.2d 352, 357 (W. Va. 1965)). "Moreover, where there is more than one method of medical treatment accepted and applied by average physicians similarly situated, the physician may take into account the particular circumstances of each case and may exercise his honest and best judgment in selecting a course of treatment for individual patients." Id. at 765–66. In fact, if there is more than one acceptable method of treatment, the physician need not choose the best one. Id. at 766 (citing Maxwell v. Howell, 174 S.E. 553, 554−55 (W. Va. 1934)).
On the issue of whether Dr. Hardy breached the applicable standard of care, Butts first called Dr. John C. Partridge, a physician who is board-certified in pediatrics and neonatal perinatal medicine. Dr. Partridge, the expert the district court found to be the most credible, testified to a reasonable degree of medical probability that by noon "the child, I think would have been better served, far better served in a different hospital." J.A. 500. Dr. Partridge further opined that, because of A.F.'s continuing symptoms and deteriorating condition, "that child should have been transferred." J.A. 501. But Dr. Partridge significantly qualified his opinion on cross-examination when he acknowledged that transfer to a NICU was not required. Rather, Dr. Partridge opined "the child should have been transferred either to a higher level of care within Berkeley Medical Center or to a NICU." J.A. 525. Dr. Partridge then acknowledged that Dr. Hardy did in fact transfer A.F. to Dr. Purohit, a board-certified neonatologist who had been hired to start a NICU at Berkeley. Dr. Partridge also opined on cross that the first time Dr. Purohit was required to transfer A.F. under the applicable standard of care was at 11:15 p.m. that night. Critically, this was almost nine hours after Dr. Hardy transferred care to Dr. Purohit.
Based on Dr. Partridge's testimony, Dr. Hardy did not violate any generally applicable standard of care. As discussed, a physician is not required to provide a patient with "the highest degree of care possible." Bellomy, 888 F. Supp. at 765. Additionally, where there is more than one acceptable method of treatment, the physician need not choose the best method. Id. at 766. Here, Dr. Partridge testified that Dr. Hardy could satisfy the standard of care by either transferring A.F. to a higher level of care within Berkeley Medical Center or to a NICU. The facts show, and Dr. Partridge acknowledges, that Dr. Hardy chose to transfer A.F. to a higher level of care within Berkeley by transferring care to Dr. Purohit. Based on Dr. Partridge's own testimony this was an acceptable method of treatment for Dr. Hardy to pursue, whether or not it was the best method of treatment. Therefore, Dr. Partridge's testimony fails to establish that Dr. Hardy breached the standard of care.
Butts next presented the testimony of Dr. Carol Miller, a board-certified pediatrician. Dr. Miller testified that Dr. Hardy breached the applicable standard of care by not transferring A.F. to a NICU. While she testified generally about other benefits of a NICU, Dr. Miller explained that A.F. needed to be transferred to a NICU to receive treatment with a CPAP machine or intubation. More specifically, when asked about the care A.F. would have received at a NICU that she did not receive at Berkeley, Dr. Miller responded "[m]ost importantly is enhanced respiratory support . . . . That could be in the way of CPAP, which is a method of giving increased pressure, or it could be intubating, which is what this baby needed . . . ." J.A. 755−76. Dr. Miller did not testify that a CPAP machine was medically necessary or preferable to intubation. Rather, she indicated that
either a CPAP machine or intubation could be used under the circumstances. Dr. Partridge agreed, testifying that the choice between using a CPAP machine and intubation is "a management style choice." J.A. 481−82.
Whether Dr. Miller realized it or not, intubation was available at Berkeley. Indeed, Dr. Purohit testified that he intubated a baby the first day he arrived at Berkeley, and the district court identified only one specific NICU-level intervention, a CPAP machine, that was not available at Berkeley. Because Dr. Hardy transferred A.F. to Dr. Purohit, who had the expertise and equipment to perform the treatment Dr. Miller said A.F. needed, Dr. Hardy's conduct did not fall below the standard of care.
We are mindful of our responsibility to consider the district court's findings on breach in light of the entire record. With that in mind, when the complete testimony of Dr. Partridge and Dr. Miller is considered together, Butts presented evidence that Dr. Hardy was required to transfer A.F. to a higher level of care to receive enhanced respiratory intervention. But that is what Dr. Hardy did. Dr. Hardy transferred A.F. to a board-certified neonatologist, Dr. Purohit, who assured Dr. Hardy that he had the equipment and ability to care for A.F. at Berkeley. Dr. Purohit had the ability to provide more aggressive respiratory intervention, including intubation. Intubation is the exact procedure that Dr. Miller said was required. And Dr. Partridge opined that once Dr. Hardy transferred care to Dr. Purohit, Dr. Purohit was not required to transfer A.F. to a NICU until 11:15 p.m. that evening. If Dr. Purohit was not required to transfer A.F. to a
NICU until 11:15 p.m., it cannot have been malpractice for Dr. Hardy to transfer A.F. to Dr. Purohit to receive an elevated level of care at 1:45 p.m. earlier that afternoon. 5
IV.
After reviewing the whole record, we are firmly convinced the district court's finding that Dr. Hardy breached the standard of care was a mistake. The district court's finding as to breach was not supported by substantial evidence in the record and was thus clearly erroneous. Specifically, the district court's finding on breach was not supported by Butts's own expert testimony. Therefore, despite the sympathy we feel for A.F., the district court's order finding Dr. Hardy liable for medical malpractice must be reversed.
Because we hold the district court erred in finding Dr. Hardy liable for malpractice, we need not address the remaining issues raised by the United States. The judgment of the district court is reversed, and the district court is directed to enter judgment in favor of the United States.
REVERSED
5 The deficiencies in the testimony offered by Butts's experts are exacerbated because neither clearly articulated a standard of care in the first place. While they both used the "standard of care" label during their testimony, neither explained any meaningful criteria for judging A.F.'s conditions that required transfer. Put another way, neither expert appropriately said what was right before saying what was wrong.
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Case C-103/21
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:
18 February 2021
Referring court:
Administrative Court, Autonomous Section for the Province of Bolzano (Italy)
Date of the decision to refer:
9 February 2021
Appellant:
SG
Defendant:
Autonomous Province of Bolzano
Subject matter of the main proceedings
Compatibility with the internal market of investment aid for mountain huts and hostels not connected to the electricity grid; Legality of the reduction of the aid by national authorities after the expiry of the aid scheme established under EU law
Subject matter and legal basis of the request
Interpretation of EU law, Article 267 TFEU, in particular
Council Regulation (EU) 2015/1589 of 13 July 2015 laying down detailed rules for the application of Article 108 of the Treaty on the Functioning of the European Union (OJ 2015 L 248, p. 9) ('Regulation [EU] 2015/1589')
Commission Decision of 25 July 2012 on the authorisation of State aid pursuant to Articles 107 and 108 TFEU, SA.32113 (10/N) (2013/C 1/02) (OJ 2013 C1, p. 7) ('State aid decision SA.32113')
Questions referred for a preliminary ruling
1. Did the aid authorised by Commission Decision SA.32113 (2010/N) of 25 July 2012 to cover 80% of the costs of the construction of minihydroelectric power plants for the generation of electrical energy for own consumption from renewable energy sources for the benefit of mountain huts and hostels in high alpine areas, for which connection to the electricity grid is not feasible without disproportionate effort in technical and financial terms, expire on 31 December 2016?
2. If that question is answered in the affirmative:
2.1 Is it then necessary to assess whether Article 20 of Regulation (EU) 2015/1589 is to be interpreted as meaning that, in the case where aid is misused, the Commission must issue a recovery decision before the public authorities intervene?
2.2 Is it necessary to assess whether the abovementioned aid is compatible with the internal market within the meaning of Article 107(3)(c) TFEU, since it serves to facilitate the development of certain economic areas, or whether it is liable to distort competition and affect trade between Member States?
Provisions of EU law relied on
Article 107(1) and (3)(c) and Article 108(3) TFEU
Article 1(a), (c), (f) and (g), Article 4(3), Article 9(3) and (4), Article 20 and recital 28 of Regulation (EU) 2015/1589
Article 4(1), (2)(b) and (3) of Commission Regulation (EC) No 794/2004 of 21 April 2004 implementing Council Regulation (EC) No 659/1999 laying down detailed rules for the application of Article 93 of the EC Treaty (OJ 2004 L 140, p. 1)
Article 41(7)(a), (8) and (9) of Commission Regulation (EU) No 651/2014 of 17 June 2014 declaring certain categories of aid compatible with the internal market in application of Articles 107 and 108 of the Treaty on the Functioning of the European Union (OJ 2014 L 187, p. 1) (General Block Exemption Regulation [GBER]; 'Regulation [EU] No 651/2014')
Paragraphs 6, 97 and 98 of State aid decision SA.32113
Provisions of national law relied on
Provincial Law of 7 July 2010, No 9 'Provisions concerning energy savings, renewable energy and climate protection', published in the Official Gazette of the Region of 3 August 2010, No 31, as currently in force ('Provincial Law No 9')
Resolution of the Provincial Government of 8 November 2010, No 1804, published in the Official Gazette of the Region of 13 November 2012, No 46 ('Provincial Government Resolution No 1804')
Facts and procedure
1 The appellant ('applicant') owns a mountain pasture that is not connected to the public electricity grid due to its remote location.
2 Provincial Law No 9 introduced aid to cover 80% of the costs of constructing mini-hydroelectric power plants for the generation of electrical energy from renewable energy sources for the benefit of mountain huts and hostels for which connection to the electricity grid is not feasible without disproportionate effort in technical and financial terms.
3 That aid scheme was approved by the European Commission ('the Commission') on 25 July 2012 by State aid decision SA.32113.
4 On the basis of this aid scheme, the applicant applied to the competent authority of the defendant for aid for a project for the generation of electrical energy by means of hydropower. The electricity generated was to be used for his own consumption.
5 By decision of the competent authority of 31 August 2018, the applicant was granted aid of EUR 115 011 – corresponding to 80% of the eligible costs of EUR 143 764.02.
6 On 27 April 2020, the competent authority partially revoked the aid granted. It stated that aid scheme SA.32113 had expired on 31 December 2016, the Provincial Government had amended the eligibility criteria and Regulation No 651/2014 had reduced the maximum amount from 80% to 65% of the eligible costs.
7 Based on the new criteria, the eligible costs were set at EUR 142 468, and aid corresponding to 65% of those costs, that is to say, EUR 92 604, was calculated. Therefore, part of the aid was revoked in the amount of EUR 22 406.80 and payment of the recalculated aid was ordered.
8 The applicant subsequently brought an appeal ('action') before the present administrative court seeking the annulment of the legal acts that adversely affected him, in particular the partial revocation ('contested legal acts').
9 In support of his action, the applicant relies on six pleas in law alleging, inter alia, the following, to the extent relevant to EU law:
– The aid is not unlawful, as it does not constitute State aid that is contrary to EU law within the meaning of Article 107(1) TFEU. The aid intended solely for the mountain hut's self-supply neither distorts competition within the European Union nor affects trade between Member States.
– Only the Commission, and not the defendant, has the power to decide that the granting of aid is unlawful and to recover it.
– The defendant infringed the principle of the protection of legitimate expectations and the principle of legal certainty, since Regulation (EU) No 651/2014 had been in force since 1 July 2014, that is to say, for more than four years, at the time when the partially revoked aid was granted. The applicant would never have made the investment carried out were it not for the incentive effect of the aid promised.
10 The defendant contends that the action should be dismissed.
11 It takes the view that the aid at issue constitutes unlawful State aid because aid scheme SA.32113 expired on 31 December 2016 and therefore lacked a legal basis. The aid also infringed Regulation (EU) No 651/2014. It therefore had to be adapted to that regulation and reduced accordingly.
Grounds for the request
12 The success of the appeal turns on a decision of the Court of Justice of the European Union ('the Court') on the interpretation of the Treaties.
13 The present Chamber considers it necessary to refer the questions set out above to the Court for a preliminary ruling under Article 267 TFEU for the reasons set out below, since they are decisive in this dispute as regards several of the applicant's pleas in law.
Provisions of EU law and national law
14 The legal provisions relevant to the dispute are listed above in the sections 'Provisions of national law relied on' and 'Provisions of EU law relied on'. The following statements serve to supplement those provisions.
15 Provincial Law No 9 provides that the Province of Alto Adige may grant aid covering up to 80% of the costs of the construction and expansion of installations for the generation of electrical energy from renewable energy sources. On that basis, it was decided by Provincial Government Resolution No 1804 that, for such installations, aid was to be granted for the construction and expansion of hydroelectric power plants for the benefit of mountain huts and hostels.
Furthermore, the expenditure to be charged to the subsequent financial years was to be determined by the annual law on finance.
16 The Commission approved the aid scheme described above in its State aid decision SA.32113. It is clear from that decision that the aid scheme had a total budget of EUR 187 million and an annual budget of EUR 32 million and was scheduled to run until 31 December 2016. According to the Commission's statements, approximately half of the funds do not constitute State aid; the exact duration is explicitly not mentioned.
17 The Commission decided not to raise any objections with regard, in particular, to the envisaged investment aid for hydroelectric power plants for mountain huts and hostels, since it constituted State aid compatible with the internal market to facilitate the development of certain economic activities or of certain economic areas within the meaning of Article 107(3)(c).
18 It deemed the effects on trade between Member States of electricity generation not connected to the grid in remote areas to be a priori limited (paragraph 97 of State aid decision SA.32113).
19 It considered that the scheme at hand was intended to offset a genuine territorial specificity and was objectively justified so as to efficiently address the lack of a reliable and efficient electricity supply in the remote areas of Alto Adige. Accordingly, the Commission concluded that the aid in favour of the electrification of rural and alpine areas of Alto Adige results in a positive overall effect, as it helps to ensure the right of customers, namely households and small enterprises, to be supplied with electricity in a reliable and environmentally friendly manner (paragraph 97 of State aid decision SA.32113).
20 Pursuant to Article 41 ('Investment aid for the promotion of energy from renewable sources') of Regulation (EU) No 651/2014, investment aid for the promotion of renewable energy sources is to be compatible with the internal market and is to be exempted from the notification requirement, provided that it fulfils the further conditions laid down in that provision.
The questions referred
21 The first plea in law raises the legal question of whether the aid granted to cover 80% of costs is liable to distort competition and affect trade between Member States.
22 Should that question be answered in the negative, this would lead to the annulment of the contested acts.
23 In addition, seven other similar cases, which are based on the same legal question, are pending before this court.
24 In that context, the present Chamber has doubts as to the actual expiry of aid scheme SA.32113 approved by the Commission.
25 A time limit for the scheme is not explicitly specified in aid decision SA.32113 itself. It is only apparent from its publication in extract in the Official Journal of the European Union that it was intended to run until 31 December 2016.
26 Provincial Law No 9 provided that the necessary funds for contributions to the construction of mini-hydroelectric power plants for mountain huts and hostels for which connection to the electricity grid is not feasible without disproportionate effort in technical and financial terms is to be determined annually by the respective law on finance.
27 This was also done after 2016, and corresponding amounts were earmarked for those contributions in the provincial budget for 2017 and 2018.
28 In State aid decision SA.32113, the Commission had regarded the objective of Provincial Law No 9 as compatible with the internal market with regard to mountain huts and hostels not connected to the electricity grid.
29 Accordingly, the question arises as to whether the aid scheme concerning the electrification of mountain huts and hostels by means of renewable energy sources, which was declared by the Commission to be compatible with the internal market within the meaning of Article 107(3) TFEU, expired on 31 December 2016.
30 If the above question were answered in the negative, the aid granted would constitute existing aid, with the consequence that the contested reduction of the amount of aid would be unlawful.
31 If the question were answered in the affirmative, it would constitute aid granted after the period approved by the Commission. Even if there is no breach of conditions and obligations imposed by the Commission, the aid would have been granted improperly.
32 In such a case, it would be necessary to assess whether Article 20 of Regulation (EU) 2015/1589 is to be interpreted as meaning that, in the case where aid is granted improperly, the Commission must issue a recovery decision before the public authority intervenes.
33 Furthermore, it is necessary to assess whether that aid continues to be compatible with the internal market within the meaning of Article 107(3)(c), since it serves to facilitate the development of certain economic areas – as found by the Commission in State aid decision SA.32113.
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STUDENTS' STRUCTURING OF RECTANGULAR ARRAYS
Lynne Outhred and Michael Mitchelmore Macquarie University, Australia
This paper presents the results of a study of the structural development of young students' drawings of arrays, and in particular, the significance of using lines instead of drawing individual squares. Students' array drawings were classified on basis of numerical properties, and perceived structural similarities that reflected the spatial properties of arrays. The relationship between these two aspects was investigated and a sequence for the development of array structure is postulated.
INTRODUCTION
The rectangular array model is important for mathematics learning because of its use to model multiplication, to represent fractions and as the basis for the area formula. Although array models are used to show multiplicative relationships, students may not see structural similarities of discrete arrays and arrays as a grid of contiguous squares, thus they may not connect an array of squares with multiplication.
Fundamental understandings of rectangular array structure would appear to be that the region must be covered by a number of congruent units without overlap or leaving gaps, and that a covering of units can be represented by an array in which rows (and columns) are aligned parallel to the sides of the rectangle, with equal numbers of units in each. The most efficient way of drawing an array is to draw equally-spaced lines parallel to the sides of the rectangle, constructing equal rows and columns. However, many young students cannot do this (Outhred & Mitchelmore, 1992). In this paper we make inferences as to how students' understandings of array structure progress from a collection of individual units to (perpendicular) intersecting sets of parallel lines.
The action of physically covering a rectangle with unit squares suggests a counting process whereas the array model is used to exemplify multiplication. To link the array model to multiplication, students need to perceive first that the rows are equal and correspond to equivalent groups. In theory, such a perception equates to a repeated addition model. The second perception, that the array is a composite of composites, equates to a multiplicative model. Steffe (1992) believes that students' recognition and production of composite units are key understandings in learning about multiplication. However, students may not fully understand the relationship between multiplication and addition (Mulligan & Mitchelmore, 1997) and may persist in counting.
Only gradually do students learn that the number of units in a rectangular array can be calculated from the number of units in each row and column (Battista, Clements, Arnoff, Battista, & Borrow, 1998). These authors classified Grade 2 students' counting methods into levels of increasing sophistication. At the lowest level, students counted in a disorganised manner. Then there was what Battista et al. call a paradigm shift to treating the array in terms of rows. Some students were unsure of how to find the number of rows, while others were able to find the number of rows
when the number of squares in the orthogonal direction was given but estimated this number otherwise. By contrast, at the highest strategy level students immediately used the numbers of units in each row and column to find the total by multiplication or repeated addition.
In area measurement, emphasis on area as covering encourages counting (Hirstein, Lamb & Osborne, 1978; Outhred & Mitchelmore, 2000). Students may not see congruence as crucial to measurement; they may perceive individual pieces resulting from partitioning regions as counting units rather than fractional portions of a referent whole (Hirstein et al., 1978; Mack, 2001). Students who count units are also unlikely to link area measurement to multiplication, which is fundamental to understanding the area formula. Use of concrete materials also encourages counting and does nothing to promote multiplicative structure. The materials themselves can obscure structural features of unit coverings (Doig & Cheeseman, 1995; Dickson, 1989) and obviate the need for students to structure arrays.
Student's drawings of arrays
How do students develop mental representations of array structure by abstraction from physical or pictorial models? There is evidence that students' drawings of array models can reveal their mental representations (Besur & Eliot; 1993). We shall assume that students' difficulties in representing arrays are a consequence of limited conceptions of array structure, rather than of inadequate drawing skills.
Several researchers (Battista et al., 1998; Outhred & Mitchelmore, 2000) have emphasized the relationship between array structure and either counting or measurement. Neither study focused on development of array representation, nor interpretation of students' drawn constructions in terms of their understanding. No systematic study detailing the structural development of students' array drawings, and in particular, the significance of using lines instead of individual squares, appears to have been reported in the literature.
METHODOLOGY
A large sample of 115 students, with approximately equal numbers of boys and girls from a range of cultural groups, was randomly selected from forty grade 1 to 4 classes (aged 6 to 9 years) in four schools in a medium-socioeconomic area of a large city. Individual interviews with the students were conducted early in the school year.
The sequence of drawing, counting, and measuring tasks involved representing arrays of units given different perceptual cues, calculating the numbers of elements in arrays, and constructing arrays of the correct dimensions when no perceptual cues were given. These particular skills focus on linking the unit (in this case, a square), iteration of this unit to cover a rectangular figure, and the lengths of the sides of the figure. Information concerning the strategies that students used to solve array-based tasks was inferred from students' strategies as they drew. In this paper only a subset of the tasks will be included. These tasks are summarised in Figure 1.
The drawing items (D1, D2, and D3) all required the students to draw arrays of units, but did not require measurement skills. Responses to Task D1 should indicate students' perceptions of the essential features of an array because no drawing cues were given and to copy a figure students require some knowledge of its properties. Tasks D2 and D3 were presented to elucidate students' abilities to construct arrays given different cues, which required that students imagine increasingly more of each array in order to draw it. The responses to the tasks provide information about the skills involved in representing arrays and the order in which these skills are learnt.
Figure 1 The array drawing tasks (D1, D2, D3)
| Task | Unit |
|---|---|
| D1 | Cardboard tile 4cm square |
| D2 | Drawing of a 1cm square |
| D3 | Drawing of a 1cm square |
RESULTS AND DISCUSSION
The students' drawings were sorted in two ways, based on analysis of the drawings, supplemented by the interview notes. First, the drawings were classified on the numerical properties of arrays, and second, on the basis of perceived structural similarities that reflected the spatial properties of arrays. The numerical classification was based whether students drew equal rows (columns) and whether the dimensions corresponded to the array that had been indicated. The spatial classification was based on covering the region without leaving gaps and the degree of abstraction shown in the drawings, that is whether students drew individual squares or lines. All three tasks showed the same three levels for numerical properties and five levels for spatial properties. However, students often produced drawings at different levels for different tasks, so the levels are not a classification of students. The three final numerical levels are shown in Figure 2.
Level 1. Unequal rows (columns): There may be an incorrect number of columns with an unequal number of units in each (1a) or a correct number of rows with an unequal number of units in each row (1b).
Level 2. Equal rows (columns)—incorrect dimensions: Rows and/or columns have an equal, but incorrect, number of units. There may be an incorrect number of rows with an equal, but incorrect, number of units in each (2a) or a correct number of rows with an equal, but incorrect, number of units in each (2b).
Figure 2 Examples of each numerical level for Tasks D1 and D2
Spatial structuring levels
The most important skill in representing an array, partitioning into rows and columns, seems to be based on an understanding of a fundamental property of rectangular arrays: the elements of an array are collinear in two directions. The five level classification of spatial structure (see Figure 3 for examples from Task D3) describes students' increasing level of knowledge of array structure from Level 1 to Level 5.
Level 1 Incomplete covering: The units do not cover the whole rectangle. They are drawn individually and may be: (a) unorganised elements; or (b) arranged in one dimension but not connected.
Level 2 Primitive covering: An attempt is made to align units (drawn individually) in two dimensions. Units cover the rectangle without overlap but their organisation is unsystematic.
Level 3 Array covering—Individual units: Units are drawn individually, are approximately equal in size, and are aligned both vertically and horizontally. Drawings show correct structure—equal numbers of approximately rectangular units in each row and column. The array is not constructed by iterating rows.
Level 4 Array covering—Some lines: Students realise that units in rows (or columns) can be connected and use some lines to draw the array.
Level 5 Array covering—All lines: The array is drawn as two (perpendicular) sets of parallel lines. Row iteration is therefore fully exploited.
Figure 3 Examples of each spatial level for Task D3
The above sequence is developmental in the sense that each level is more sophisticated than the previous ones and the levels show a clear grade progression. This is not to say that students necessarily progress through each level in turn. At Level 1, no discernible strategy is used to cover the rectangle. Young students frequently draw individual units with large gaps between them but as they realise the importance of alignment, their drawings increase in regularity and the row/column structure becomes correspondingly apparent. As student knowledge increases the units become connected first in one, then in two dimensions (that is, students
gradually seem to understand the importance of covering the region). Until students attempt to join the units in two dimensions, the rows and columns are not usually aligned. The strategies used to construct coverings at Levels 1, 2 and 3 might be termed local rather than global (Battista & Clements, 1996). The students focus on parts of the structure—for example, iterating rows or joining adjacent squares—but they have no global scheme for coordinating an array.
Level 4 indicates the emergence of a coordinated scheme for showing units as composites in one or two dimensions. There are various transition stages between drawing individual units and an array. For instance, lines may be drawn across the width of the rectangle to indicate rows with units in each row marked off individually, or some individual units (usually the top row and the left column) is drawn as a guide to drawing the array (see Figure 3, Level 4). The most abstract method of drawing an array is as two (perpendicular) sets of parallel lines (Level 5), because this method is furthest removed from the physical action of covering a rectangle with individual units. By Level 5 students appear to have internalized the row and column structure.
The relationship between numerical and spatial levels
The relationship between numerical and spatial levels for Task D3 showed that few students (7%) drew a numerically correct arrangement without using some lines (Levels 4 or 5). The converse was also true, all students' drawings classified as spatial Levels 1 and 2 were numerically incorrect. The distribution of numerical and spatial levels with grade for Task D3 is quite different from Task D1 where, in most of the drawings that did not show a systematic array covering (Levels 1 and 2), rows and columns usually contained unequal numbers of units. Nevertheless, quite a large proportion (37%) of these drawings were numerically correct. Once students began to use lines to draw the array (Levels 4 and 5), they always drew equal numbers of units in each row but,21% of students did not show the correct number of units in each row. However, Task D1, in which numerical structure had to be deduced, would have been far more difficult if the model had had equivalent dimensions to Task D3 (5x8).
CONCLUSION
In summary, the results of this study show students' drawings of rectangular arrays develop between Grades 1 and 4 from single squares to an accurate array with a concomitant understanding of alignment and composite units. Analysis of students' drawings indicated that representing an array of units using two perpendicular sets of parallel lines is more difficult than might be expected, indicating that the structure of a square tessellation is not obvious to students but must be learned.
In initial representations of arrays, many Grade 1 students did not see the importance of joining the units so that there were no gaps, and drew units individually. As they attempted to align squares, their drawings became increasingly regular and the structure became correspondingly apparent. Until students began to join the units in two dimensions, they did not usually align rows and columns. Before drawing arrays using only lines, some students drew lines across the width of the rectangle to indicate rows and marked off the units in each row individually while others drew some individual units (usually the top row and the left column) as a guide to drawing the array. By Grade 4 most students had learnt that the physical action of covering a rectangular area with units was equivalent to an abstract representation using lines.
For some students the lines shown in an array may be only a visual feature unrelated to numerical structure. However, drawing lines in one dimension appeared to be a precursor to recognising rows as composite units. Such recognition helped students to perceive that squares could be constructed by joining lines in the other direction, and hence realise the two-dimensional structure of an array. The comparison between numerical and spatial structure across the three tasks shows that drawing correctly aligned units is necessary, but not sufficient for correct numerical structure when drawing arrays of large dimensions (as in Task D3). Although it might be argued that the relationship is a consequence of the strong correlation between knowledge of array structure and age, students in Grades 2, 3, and 4 solved measurement tasks when the units were not indicated (Outhred & Mitchelmore, 2000), so the more salient discriminator would appear to be array structure. Moreover, for the indicated grid task, numerical level was a stronger predictor of spatial level than grade. The results of this study, combined with a teaching experiment (see Outhred, 1993) suggest the following sequence (see Figure 4) for the development of array structure.
Figure 4 The hypothesised development of array structure
Attempt to
align in 2
D
Alignmen
t
Use of lines
Correct
numerical
structure
Equality o
f
rows
Use of lines
Subdivisio
n
Understanding of array structure (as demonstrated by ability to complete an indicated grid) has been shown to be a prerequisite for students to progress from array-based activities with concrete or pictorial support to more abstract tasks, involving multiplication and measurement. Only students who drew an array using at least some lines successfully solved a measurement task in which students had to construct an array of the correct dimensions (5x6) by accurate estimation or by measuring the side lengths of the rectangle with a ruler (Outhred & Mitchelmore, 2000). The results of the measurement tasks reported in the above study reinforced the significance of the formation of an iterable row as the foundation of an understanding of array structure. In addition, an understanding of subdivision was found to be crucial when cues to the array structure were not given. Students have to clearly identify the significance of the relationship between the size of the unit and the dimensions of the rectangle. Although it may seem self-evident to adults that the number of units in the array must depend on the measurements of the sides, it was clearly not obvious to students. Thus, teaching about array structure must include activities that provide students with experience of partitioning a length into equal parts. Subdividing a
rectangular region into equal parts depends on students being able to partition a length into a required number of parts, as well as knowing that an array can be represented using lines.
REFERENCES
Battista, M. T., Clements, D. H., Arnoff, J., Battista, K., & Borrow, C. V. A. (1998). Students' spatial structuring of 2D arrays of squares. Journal for Research in Mathematics Education, 29, 503-532.
Battista, M., & Clements, D. (1996). Students' understanding of three-dimensional rectangular arrays of cubes. Journal for Research in Mathematics Education, 27(3), 258292.
Bensur, B., & Eliot, J. (1993). Case's developmental model and children's drawings. Perceptual and Motor Skills, 76, 371-375.
Dickson, L. (1989). The area of a rectangle. In K. Hart, D. Johnson, M. Brown, L. Dickson, & R. Clarkson (Eds.), Students' Mathematical Frameworks 8-13: A Study of Classroom Teaching. London: NFER - Nelson.
Doig, B., Cheeseman, J., & Lindsay, J. (1995). The medium is the message: Measuring area with different media. In B. Atweh & S. Flavel (Ed.), Galtha (Proceedings of the 18th annual conference of the Mathematics Education Group of Australasia, Vol. 1 (pp. 229240). Darwin, NT: Mathematics Education Group of Australasia.
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Mack, (2001). Building on informal knowledge through instruction in a complex content domain: Partitioning, units, and understanding of multiplication of fractions. Journal for Research in Mathematics Education, Vol. 32(3), 267-295.
Mulligan, J, & Mitchelmore, M. (1997). Young children's intuitive models of multiplication and division. Journal for Research in Mathematics Education, 28, 309-330.
Outhred, L., & Mitchelmore, M. (1992). Representation of area: A pictorial perspective. In W. Geeslin & K. Graham (Eds.), Proceedings of the 16 th international conference of the International Group for the Psychology of Mathematics Education (Vol. 3, pp. 3-11). Durham, NH: Program Committee.
Outhred, L. (1993). The development in young students of concepts of rectangular area measurement. Unpublished PhD dissertation, Macquarie University, Australia.
Outhred, L. & Mitchelmore, M. (2000). Young students' intuitive understanding of area measurement. Journal for Research in Mathematics Education, Vol 31(2), 144-167.
Steffe, L. (1992). Schemes of action and operation involving composite units. Learning and Individual Differences, 4(3), 259-309.
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SECO-NCV7685RGB-GEVB
NCV7685 RGB Lighting Evaluation Board User's Manuals
Description
SECO−NCV7685RGB−GEVB is an evaluation board for RGB LEDs lighting application with BLE in automotive which driven by NCV7685 and controlled by RSL10. It is also an interior or exterior lighting reference design for tail or ambient lights to realize general sequential or high end pixelated LEDs controlling in−vehicle network. The user can set RGB LED's color and intensity by mobile APP to show customized information or animation.
In general, the user are prefer to use fixed address in multiple NCV7685 application. It leads to add one more procedure to pre−programming each chips' address in mass production stage. In addition, it is inconvenient for maintenance in the aftermarket. In firmware of this evaluation board, it use floating address setting method, each time when power on the board, the NCV7685 will be assigned an address which defined by customer, but not locked into OTP registers. The user can realize this function by using either RSL10's GPIO or IO expender (PAC9655).
In firmware, the driver APIs divided into four levels: Peripheral, Chip, Board and customer application. User can directly include the chips and board APIs in their own project, and modify the application APIs according to their applications. This will fasten develop period to market.
The board conceived for use as a plug and play environment to testing.
Nominal supply voltage is 12 V (Supply voltage range 12−24 V). In switch mode, four fixed animations shown; the RGB LEDs' color and intensity setting by user mobile APP in BLE mode.
Features
* Plug and Play; Switch and BLE Mode to Show Animations
* 16 RGB LEDs (48 Channels), each Current Programmable Sources up to 60 mA
* Independent PWM Duty Cycle Control for each Channel
* On−Chip 150, 300, 600 and 1200 Hz PWM
* Logarithmic or linear independent PWM dimming
* Diagnostic and Protection against Open Load and Under−Voltage, Over Temperature…
* Dynamic Addressing Method for No−Worries in mass production
* Bluetooth ® 5 Certified with LE 2M PHY Support
* Rx Sensitivity (Bluetooth Low Energy Mode, 1 Mbps): −94 dBm
* Transmitting Power: −17 to +6 dBm
* Arm Cortex−M3 Processor and LPDSP32
* AEC−Q100 Qualified and PPAP Capable
January, 2020 − Rev. 0
1
www.onsemi.com
EVAL BOARD USER'S MANUAL
EVBUM2713/D
Architecture and Key Parts
KEY PARTS
Operations of NCV7685 RGB LEDs Board
After power on, the board shows the "Welcome" animation, then according to the setting of the switch, the board show four kinds of fixed animations or come into BLE
mode. The functions and operations descripted as below figures:
Switch Setting:
Status Indicator Mode:
Keep all Switches off; the board comes into status indicator mode. Green means works well, orange means warning and red means error. The color of LEDs changes in gradient from green to orange, then to red; and goes back from red to green. This used as the status indicator for dashboard.
Switch Setting:
Switch Setting:
Second Clock
Keep Switch S1 on and S2, S3, S4 off, every second, only one LED in blue lights up clockwise direction in turn. Switch Setting:
Flash Mode
Keep Switch S2 on and S1, S3, S4 off, all LEDs flash in red.
Fading Mode
Keep Switch S1, S2 on and S3, S4 off, all LEDs fading in green.
Switch Setting:
BLE Mode
Just Keep Switch S4 on and never mind of the setting of S2, S3, S4, the board comes into BLE mode. User use general mobile App to control LED's color and intensity for individual or all LEDs. For example, using "Light Blue" in IOS; "BLE Scanner" or "nRF Connect" in Android OS. It shows a green "smell face" firstly, and then changes the color and intensity according to the received five bytes data by BLE. The first three bytes stands for R, G, B values to mix the color, and the fourth data stands for intensity (4 level brightness For V1). The fifth byte stands for LED number, if this value is greater than 0x0f, all LEDs response. Here are several examples:
Examples: (R, G, B, I, LED_No)
(Four level of Intensity, Depends on Firmware)
5
800080FF00: LED0 in Purple
FF00003F01: LED1 in Red
XXXXXX0010: All LEDs turn off as the he intensity is 0
(Never mind RGB's values)
00BFFFFF10: All LEDs in deep sky blue
Here is an example using "Light Blue" App to control RGB lighting board:
1. Find and choose Peripheral of "NCV7685 RGB Kit"
2. Tap "Send RGB Setting" character
3. Set RGB and Intensity values
4. The board change color, intensity and LED_No
Firmware Setting
Generally, user had better use floating address method in firmware; the configurations can changed in the
```
#define NCV7675_CHIPS_NUM 0x04 /* Chips number */ #define PCA9655_Address 0x22 /* PCA9655 I2C address */ #define BY_SOC 0 /* SOC or PCA9655 */ #define BY_PCA9655 1 #define ADDRESS_SETTING BY_SOC #define Fix_Address 0 #define Address_Had_Set 0 2. Floating Address method using PCA9655: #define NCV7675_CHIPS_NUM 0x04 /* Chips number */ #define PCA9655_Address 0x22 /* PCA9655 I2C address */ #define BY_SOC 0 /* SOC or PCA9655 */ #define BY_PCA9655 1 #define ADDRESS_SETTING BY_PCA9655 #define Fix_Address 0 #define Address_Had_Set 0 3. Fix Address method using PCA9655 or SOC GPIO: #define NCV7675_CHIPS_NUM 0x04 /* Chips number */ #define PCA9655_Address 0x22 /* PCA9655 I2C address */ #define BY_SOC 0 #define BY_PCA9655 1 #define ADDRESS_SETTING BY_PCA9655 /* SOC or PCA9655 */ #define Fix_Address 1 #define Address_Had_Set 0 4. For the board which address had programmed, just set "Address_Had_Set" to 1, So it will skip address setting function: #define NCV7675_CHIPS_NUM 0x04 /* Chips number */ #define PCA9655_Address 0x22 /* PCA9655 I2C address */ #define BY_SOC 0 #define BY_PCA9655 1 #define ADDRESS_SETTING BY_PCA9655 /* SOC or PCA9655 */ #define Fix_Address 1 #define Address_Had_Set 1 Files Structure of Project
```
```
"ncv7685.h" file. Here are options: 1. Floating Address method using SOC GPIO: Figure 11. Files Structure of Project
```
```
*app_basc.c: Battery level indication handler ·app_bass.c: Battery Service code ·app_config.c: Application configuration source file ·app_customss.c: Bluetooth custom service ·app_msg_handler.c: Customer defined functions and data ·app_trace.c: Trace functions ·ncv7685.c: APIs of NCV7685 Chip and Board ·app.c: main function
```
Flow Chart of App.c
Schematic
Assembly
Table 1. BILL OF MATERIALS
Item
Designator
Manufacturer
Comment
Description
Quantity
| 1 | C1, C4, C5, C8, C9, C10, C11, C12, C13, C14, C15 | − | 10 V, 100 nF | WCAP−CSGP Ceramic Capacitors, 0603 | 11 |
|---|---|---|---|---|---|
| 2 | C2 | − | 25 V, 10 F | WCAP−CSGP Ceramic Capacitors, 1206 | 1 |
| 3 | C3 | − | 25 V, 4.7 F | WCAP−CSGP Ceramic Capacitors, 1206 | 1 |
| 4 | C6 | − | 10 V, 10 F | WCAP−CSGP Ceramic Capacitors, 1206 | 1 |
| 5 | C7 | − | 10 V, 100 nF | WCAP−CSGP Ceramic Capacitors, 1206 | 1 |
| 6 | D1 | ON Semiconductor | BAS16H | Schottky Barrier Diode, | 1 |
| 7 | D3, D4 | ON Semiconductor | NTS560 | Trench Schottky Rectifier, Low Forward Voltage, 60 V, 5 A | 2 |
| 8 | J1 | − | 694106106102 | DC Power Jack Connector, 5 A, 24 V | 1 |
| 9 | J5 | − | 1.27 mm_SMD_Vertical_10 pin | Pin Header WR−PHD, pitch 1.27 mm, | 1 |
| 10 | L1 | − | 2.2 H, 4.7 A | SMT Shielded Power Inductor | 1 |
| 11 | LED11, LED12, LED13, LED14, LED21, LED22, LED23, LED24, LED31, LED32, LED33, LED34, LED41, LED42, LED43, LED44 | − | LRTB GVSG | − | 16 |
| 12 | R1, R4, R5, R12, R13, R14, R18, R20, R21 | − | 10 k (1002) ±1% | Chip Resistor | 9 |
| 13 | R2, R3 | − | 0 (0R0) ±1% | ’Chip Resistor | 2 |
| 14 | R6, R7, R8, R9, R23, R24 | − | 68 (68R0) ±1% | ’Chip Resistor | 6 |
| 15 | R10 | − | 2.7 k (2701) ±1% | ’Chip Resistor | 1 |
| 16 | R11 | − | 10 (10R0) ±1% | ’Chip Resistor | 1 |
| 17 | R15, R22 | − | 100 k (1003) ±1% | ’Chip Resistor | 2 |
| 18 | R16, R17 | − | 1.5 k (1501) ±1% | ’Chip Resistor | 2 |
| 19 | R25, R26, R27, R28 | − | 2 k (2001) ±1% | ’Chip Resistor | 4 |
| 20 | SW1 | − | 434133025816 | 4.2x3.2 mm J−Bend SMD Tact Switch | 1 |
| 21 | SW2 | − | 416131160804 | SMD Dip Switch | 1 |
10
SECO−NCV7685RGB−GEVB
Table 1. BILL OF MATERIALS
| Item | Designator | Manufacturer | Comment | Description |
|---|---|---|---|---|
| 22 | U1 | ON Semiconductor | NCV891330PD33R2G | − |
| 23 | U2 | ON Semiconductor | PCA9655EMTTXG | − |
| 24 | U3, U4, U5, U6 | ON Semiconductor | NCV7685G | − |
11
ON Semiconductor and the ON Semiconductor logo are trademarks of Semiconductor Components Industries, LLC dba ON Semiconductor or its subsidiaries in the United States and/or other countries. ON Semiconductor owns the rights to a number of patents, trademarks, copyrights, trade secrets, and other intellectual property. A listing of ON Semiconductor's product/patent coverage may be accessed at www.onsemi.com/site/pdf/Patent−Marking.pdf. ON Semiconductor is an Equal Opportunity/Affirmative Action Employer. This literature is subject to all applicable copyright laws and is not for resale in any manner.
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|
AFRICAN UNION
UNION AFRICAINE
UNIÃO AFRICANA
P. O. Box 3243, Addis Ababa, ETHIOPIA Tel.: 00251-11-5517700, ADDIS ABABA
Website: www.africa-union.org
COMMON AFRICAN POSITION (CAP) ON THE POST2015 DEVELOPMENT AGENDA
Preamble:
We, Heads of State and Government of the African Union assembled in Addis Ababa, Ethiopia, during the 22 nd Ordinary Session of the Assembly of the Union on 31 January 2014,
NOTE: The participatory approach that led to the elaboration of the Common African Position (CAP) on the post-2015 Development Agenda involving stakeholders at the national, regional and continental levels among the public and private sectors, parliamentarians, civil society organizations (CSOs), including women and youth associations, and academia. This approach has helped address the consultation gap in the initial preparation and formulation of the Millennium Development Goals (MDGs);
RECOGNIZE: The efforts of the members of the High-Level Committee on the post-2015 Development Agenda, the coordinating role of the African Union Commission, and the technical support of the New Partnership for Africa's Development (NEPAD) Agency, the African Development Bank (AfDB), the Economic Commission for Africa (UNECA), the United Nations Development Programme (UNDP) Regional Bureau for Africa, and the United Nations Population Fund (UNFPA) in facilitating the process;
EMPHASIZE: That the post-2015 Development Agenda provides a unique opportunity for Africa to reach consensus on common challenges, priorities and aspirations, and to actively participate in the global debate on how to provide a fresh impetus to the MDGs and to examine and devise strategies to address key emerging development issues on the continent in the coming years. The post-2015 Development Agenda should also reaffirm the Rio Principles, especially the principle of common but differentiated responsibilities, the right to development and equity, and mutual accountability and responsibility, as well as ensure policy space for nationally tailored policies and programmes on the continent, including appropriate support for the implementation of the NEPAD;
ACKNOWLEDGE: The rising trends such as population growth, the youth bulge, urbanization, climate change and inequalities, and therefore REITERATE the importance of prioritizing structural transformation for inclusive and people-centred development in Africa. We are CONVINCED that such a development approach requires: development of adequate policy space and productive capacities, notably through infrastructure development; science, technology development, transfer and innovation; value addition to primary commodities; youth development; women's empowerment. It also requires addressing the challenges posed by climate change, desertification and land degradation, drought, loss of biodiversity sustainable natural resource management; and promoting responsive and accountable global governance architecture, including through the full and equitable representation of African countries in international financial and economic institutions;
REASSERT: The urgent need to end poverty in all its forms and achieve an integrated, prosperous, stable and peaceful Africa that is effectively engaged in the global arena, which is Africa's vision in this development agenda.
We therefore commit ourselves to speak with one voice and to act in unity to ensure that Africa's voice is heard and is fully integrated into the global development agenda.
I. Background
1. Recalling the July 2012 Decision of the African Union Summit (Assembly/AU/Dec. 423 (XIX)), which mandates the African Union Commission, in close consultation with Members States and Regional Economic Communities, to identify Africa's priorities for the post-2015 Development Agenda, and further recalling the Decision of May 2013 of the African Union Summit, which decided to establish a High-Level Committee (HLC) of Heads of State and Government to sensitize and coordinate the activities of African leaders and build regional and inter-continental alliances on the Common African Position (CAP) on the post-2015 Development Agenda (Assembly/AU/Dec.475(XXI)), a ten-member committee was formed. 1
2. The CAP identifies substantive issues of importance to Africa and arrives at a consensus on Africa's key priorities, concerns and strategies to be reflected in the outcomes of the post-2015 negotiation process. This was achieved by taking into account the wealth of information collected and collated from national and regional stakeholders (the executive and legislative arms of governments, private sectors, civil society organizations, youth associations, women groups, trade unions, and academia) African multilateral institutions and selected pertinent UN organizations and agencies.
3. We take note of the various initiatives established to articulate the post-2015 Development Agenda including the United Nations Task Team and the High-Level Panel of Eminent Persons. We also take note of the United Nations Secretary-General's report, "A Life of Dignity for All" (A/68/202), and the outcome of the United Nations General Assembly at its September 2013 Special Event on the MDGs (A/RES/68/6).
4. We recall the outcome document of the United Nations Conference on Sustainable Development, "The Future We Want", which, inter alia, agreed to a coherent and integrated global post-2015 Development Agenda.
5. We acknowledge the processes in the implementation of the Rio+20 outcomes such as the Open Working Group on Sustainable Development Goals, the Intergovernmental Committee of Experts on Sustainable Development Financing, the High-Level Political Forum on Sustainable Development Goals, and the Africa Regional Consultation on the Sustainable Development Goals.
1 Members of the HLC are Heads of State and Government of Liberia (Chair), Algeria, Chad, Congo, Ethiopia, Guinea, Mauritania, Mauritius, Namibia and South Africa.
6. We reiterate that the post-2015 process should galvanize political will and international commitment for a universal development agenda, focused on the eradication of poverty and exclusion as well as the pursuit of sustainable, inclusive development.
7. We call for the adoption of concrete measures supported by adequate means of implementation in order to ensure the full realization of the Agenda.
8. We emphasize the primacy of a transparent and a fully inclusive intergovernmental process in the articulation of the global post-2015 Development Agenda.
II. Context and Justification
(a)Learning from the implementation of the Millennium Development Goals (MDGs):
9. Remarkable advances have been made in some areas, such as net primary school enrolment, gender parity in primary education, representation of women in decision making, immunization coverage, and reversing the trend of the spread of HIV/AIDS.
10. Notwithstanding the progress made, more needs to be done. Africa's progress remains uneven across goals/targets, within groups and among countries. For example, despite rising enrolment rates in primary schools, the quality of education remains a concern, and learning outcomes in many cases are poor. Progress on the health-related MDGs such as child and maternal mortality, quality of health services, and access to sanitation is insufficient to achieve the targets by 2015 in many countries. Reducing inequity in access to basic social services remains a major challenge for many African countries.
11. The inclusive process used to formulate the post-2015 Development Agenda should: enhance Member States' ownership of development; generate the required political will to address the unfinished business of the MDGs; and respond to the emerging issues and gaps in implementation, particularly with regard to data collection and monitoring.
12. While Africa acknowledges its primary responsibility for the attainment of the MDGs, international partners also have a key responsibility to honour their commitments and support country-led strategies.
(b)Assuming ownership:
13. The post-2015 Development Agenda should be Member State-driven, and in this regard, Africa will stand together in solidarity in negotiating an outcome that will result in our collective ownership of the new agenda. This CAP is our contribution to this process. We come as 54 countries in unison, determined to represent a broad spectrum of stakeholders. The elaboration of this common position takes us on the path of ownership, which engages all citizens and enables them to hold key development stakeholders mutually accountable.
(c)Reaffirming our common interests:
14. The post-2015 Development Agenda presents a unique opportunity for Africa to articulate its common priorities, opportunities and challenges. Therefore, we affirm our collective interests, which include the pursuit of structural economic transformation for inclusive and peoplecentred development. This requires: productive capacities development, notably in the areas of infrastructure, agriculture, industrial and services sectors development; science technology and innovation; value addition; youth development and engagement; women's empowerment; and sustainable natural resource management. It also requires addressing the challenges posed by climate change, desertification and land degradation, drought and loss of biodiversity; promoting peace and security; and implementing a responsive and accountable global governance architecture through, inter alia, the full and equitable representation of African countries in the international financial and economic institutions.
15. We stress that the post-2015 Development Agenda should also reflect Africa's priorities and development programmes.
III. Statement of our Position on the post-2015 Development Agenda
16. Africa's development priorities are grouped into six pillars: (i) structural economic transformation and inclusive growth; (ii) science, technology and innovation; (iii) people-centred development; (iv) environmental sustainability natural resources management, and disaster risk management; (v) peace and security; and (vi) finance and partnerships.
Pillar One: Structural economic transformation and inclusive growth
17. CONCERNED that the benefits of Africa's resources have been concentrated in a few enclave sectors and limited to narrow segments of society, thus exacerbating poverty, inequality and fragility;
18. RECOGNIZING the need to promote an integrated economy that nurtures inter-sectoral synergies, linkages and job growth; and AWARE of the potential role that structural transformation can play in creating resilient economies, decent employment opportunities, minimizing income and wealth disparities, and eradicating poverty;
19. ACKNOWLEDGING the role of value addition in promoting job creation and expanding the fiscal space for development financing, including social protection programmes, and eliminating poverty; MINDFUL that a successful and effective value-addition programme depends on a stable supply of raw materials, as well as a services sector that is supportive and responsive to the needs of the agricultural and industrial sector;
20. STRESSING the importance of a conducive international environment, including the international economic and financial institutions, in the achievement of sustained and inclusive economic growth; and RECOGNIZING that governance at the international level should be more responsive, legitimate, democratic and inclusive by strengthening the voice and participation of African countries, we COMMIT to:
(a) Inclusive growth that reduces inequality
21. We DEDICATE ourselves to accelerated, stable and sustained inclusive economic growth that: creates decent and productive employment that rapidly reduces inequality; nurtures sustainable social protection programmes; facilitates economic diversification; strengthens resilience to external shocks; and fosters rapid inclusive, resilient and sustainable socio-economic development leading to eradication of poverty.
(b) Sustainable agriculture, food self-sufficiency and nutrition
22. To address this development priority, we RESOLVE to:
(i) Enhance the production, storage, transportation, availability, accessibility, utilization, safety and quality of food.
(ii) Improve the productivity of smallholder agriculture and livestock through extension of technological support, small-scale irrigation schemes, rural infrastructure, credit and social services.
(iii) Support modernization and diversification of agricultural sectors through: private sector participation in agriculture; agri-business development; improved agroindustry linkages; providing special support to integrate women into agri-business value chains; equitable access to land; and sustainable land management practices, including on our arable lands, for present and future generations.
(iv) Promote agricultural marketing and information flows by establishing national and regional information centres and cooperation mechanisms in agriculture, food and nutrition security.
(v) Adopt sustainable agricultural, ocean and freshwater fishery practices and rebuild depleted fish stocks to sustainable levels.
(vi) Strengthen resilience to external and climate shocks, such as droughts, floods, commodity price volatility, food shortages and export restrictions, particularly on staple foods.
(vii) Urgently call for multilateral partnerships aimed at food loss reduction, resilience to commodity price fluctuations, and addressing food shortages and export restrictions during crises.
(c) Diversification, industrialization and value addition
23. In achieving this, we PLEDGE to:
(i) Develop the private sector and strengthen the productive capacity of the informal sector to ensure a more active contribution to industrialization and value-addition;
(ii) Reallocate and reinvest wealth generated from extractive and other primary commodity sectors into sectors that prioritize value-addition, promote job-rich growth and ensure fair taxation;
(iii) Promote processing of primary commodities by developing national value chains across sectors and designing and enforcing national content and beneficiation policies in the extractive and primary commodity producing sectors of the economy;
(iv) Advocate the Blue/Ocean Economy as well as sustainable exploitation of marine resources in order to make the oceanic industry a solid and viable pillar of our economies.
(d) Developing the Services Sector
24. Developing the service sector is vital for generating decent employment and optimizing and upgrading our industrial structures and other important sectors of African economy. Noting the important role that the service sector can play in facilitating economic transformation and recognizing the weak linkages between the services sector and other sectors of the economy,
25. We COMMIT to:
(i) Improve linkages between the services and real sectors, inter alia, through strengthened support to the agricultural and industrial sectors, improved coverage of broadband Internet services, and strengthened telecommunications as backbones of the service sector.
(ii) Stimulate home-grown innovations in service delivery, including by improving the quality and efficiency of public services, modern logistics, high-tech services, culture, e-commerce, tourism and health-related services..
(iii) Accelerate international development exchanges and cooperation in this sector.
(e) Infrastructure development
26. Accelerating Africa's infrastructural development is pivotal to connect African people, countries and economies as well as to help drive social, cultural and economic development. In this regard, we are DETERMINED to:
(i) Develop and maintain reliable, sustainable, environmentally friendly and affordable infrastructure in both rural and urban areas with a focus on land, water and air transport and storage facilities, clean water and sanitation, energy, waste management and Information and Communication Technologies (ICT);
(ii) Implement infrastructure projects that facilitate intra-African trade and regional and continental integration including, with the assistance of the international community, enhancing research and technological development and the provision of adequate financial resources; and
(iii) Promote the delivery of infrastructure programmes to generate local jobs, strengthen domestic skills and enterprise development, as well as enhance technological capability.
Pillar Two: Science, technology and innovation
27. MINDFUL of the importance of science, technology and innovation for the transformative agenda of the continent, and COGNIZANT of the low levels of technology development, transfer and utilization in Africa and its capacity deficits with respect to technology;
28. STRESSING the importance of access by all countries to environmentally sound technologies, new knowledge, know-how and expertise and the importance of cooperative action on technology innovation, research and development; we COMMIT to:
(a) Enhancing technological capacities for Africa's transformative agenda
29. This will entail:enhancing the development, transfer and diffusion of technology and innovation in line with each country's development needs; improving access to funding for home-grown technological innovations and to environmentally sound technologies; and strengthening the science and technology component of education curricula. It is also important to concentrate our efforts on developing technological capacities by enhancing utilization of ICT in key social and economic sectors.
(b) Building enabling environment for innovation
30. This will require strengthening the financial and regulatory environment to support an innovation culture by: strengthening and creating, where needed, African property rights institutions; protecting intellectual property and industrial rights; increasing funding for science and technology research and innovation; and fostering collaboration among African countries on science and technology for development.
(c) Increasing support for research and development
31. This requires: promoting greater links among academia, industry, government and civil society organizations with respect to their roles in R&D; marketing and commercialization of R&D;
scaling up investments in science and technology parks; and encouraging action-oriented research at all levels of the education and training system.
(d) Optimal utilization of space and geospatial technologies
32. This will requires increasing investments and promoting human resources development in the management and deployment of space and geospatial technologies.
Pillar Three: People-centred development
33. CONVINCED that the eradication of poverty in all its forms must be the overarching priority in the post-2015 Development Agenda;
34. COGNIZANT of the fact that sustainable and equitable development can only be guaranteed in Africa when people are the means and end of the economic growth process, particularly when the potential contribution of women and youth is fully realized, and that investment in children, youth and women always generates substantial development multipliers with positive effects on all sectors of the economy and society;
35. MINDFUL that Africa is witnessing a number of demographic trends including the youth bulge and increasing migration, and thus of the need to respond to the social and economic consequences of the continent's changing demographic structure by implementing the right public policies, particularly in education and health services;
36. AWARE of the need to provide universal and equitable access to affordable and quality healthcare for all, with particular attention to improved access for people in vulnerable situations, end preventable newborn, child and maternal mortality, and significantly reduce the incidence of communicable and non-communicable diseases, including mental health and cancer;
37. MINDFUL that education is the foundation for development and of the need to strive to achieve excellence in education and boost human resource capacities through improvements in the quality of learning and investment in education infrastructure, we COMMIT to:
(a) The eradication of poverty
38. This will require the empowerment of all people, including those living in vulnerable situations (including women, children, the elderly, youth, people with disabilities, rural populations, displaced persons and migrants), through inclusive growth that creates decent jobs, improved access to social protection and through the promotion of measures that ensure that no individual remains below the poverty line. In this regard, we commit to ensure that no person – regardless of ethnicity, gender, geography, disability, race or other status – is denied universal human rights and basic economic opportunities.
(b) Education and human capital development
39. We must achieve excellence in human resources capacity development through an improvement in the quality of education and training by: investing in learning infrastructures; increasing the use of ICT; ensuring higher completion rates; promoting pre-schooling, integrated adult education and tertiary education; and improving the quality and conditions of service of educators and trainers.
40. Enhancing equity will require: improving and sustaining progress on gender parity at all levels of education, with special emphasis on secondary and tertiary education; creating a positive environment for girls and boys at school; increasing the representation of female teachers, especially in science and technology; and eliminating human trafficking and child labour, thus allowing children to benefit from educational facilities for their full development.
41. In order to strengthen the school curriculum, it must include:basic rights and responsibilities of citizens; quality education beyond primary schooling; the development of entrepreneurship skills, life skills and vocational and technical training to respond to labour market demands; the provision of information and technology skills; and the introduction of age-appropriate and comprehensive sexual and reproductive health education for all.
(c) Universal and equitable access to quality healthcare
42. We must improve the health status of vulnerable people such as mothers, newborns, children, youth, the unemployed, the elderly and people with disabilities by: reducing the incidence of communicable diseases, non-communicable diseases (e.g. mental health) and emerging diseases; ending the epidemics of HIV/AIDS, tuberculosis and malaria; reducing malnutrition; and improving hygiene and sanitation. This can be achieved by: ensuring universal and equitable access to quality healthcare, including universal access to comprehensive sexual reproductive health and reproductive rights (e.g. family planning); improving health systems and health financing, and medical infrastructure, the local manufacturing of health equipment, (e.g. commitment to the Abuja Declaration); and setting up monitoring and evaluation, and quality assurance systems.
(d) Gender equality and women's empowerment
43. This will require: enhancing women's occupational mobility and eliminating gender-based wage inequality; ensuring their access to, and ownership of, land and other productive assets, credit and extension services and training; eradicating all forms of violence against women and children, and harmful practices such as female genital mutilation (FGM) and early marriage; and eliminating gender-based discrimination in political, economic and public decision-making processes.
44. We must provide adequate resources to strengthen women's voices, and ensure full and equal participation of women in all decision-making bodies at the highest levels of government and in the governance structures of international organizations, including by eliminating gender stereotyping in appointments and promotions, and building women's productive capacities as agents of change.
45. The crucial role of women in conflict prevention and resolution, mediation and peace-building efforts, and in the rebuilding of post-conflict societies must be supported by strengthening their capacities, including leadership skills, and creating legal frameworks that protect their engagement in political and economic decision making.
(e) Leveraging population dynamics for development
46. We must improve space planning and evidence-based urban policies, and provide equitable, quality services for all age groups, supported by a monitoring and regulatory framework. This will be achieved through public and private partnerships, the strengthening of municipal revenue generation and collaboration between municipalities, scholars, ministries and civil society.
47. We must ensure the provision and implementation of adequate public policies in education and health services; create jobs, especially for youth; strengthen the linkages between migration and development; support the elderly; promote human capital development within the context of regional integration; develop innovative plans that respond to population dynamics and incorporate them into the national planning frameworks; ensure equal access to quality and affordable healthcare and social services for all; ensure equity and access to services by making them adequately and geographically available in both urban and rural areas; promote good governance; and eliminate human trafficking, especially youth, particularly girls.
(f) Harnessing Africa's youthful population
48. To ensure that Africa's youth bulge is translated into demographic dividend, we must put in place policies and strategies that: strengthen entrepreneurial skills and capacity; increase youth's access to financial services; promote decent and commensurate jobs; increase access to business advisory services and credit facilities; promote participation in decision-making processes; and support the African Union initiative to create a continental framework on demographic dividends.
(g) Improving access to sustainable human settlements
49. We are cognizant of the rapid urbanization rates in Africa and the importance of having the necessary infrastructures and amenities for an improved quality of life. We are therefore committed to expanding urban infrastructures and developing a planned approach to rapid urbanization and the emergence of new cities, as well as promoting urban and rural planning. This includes increasing decent and affordable housing; improving sanitation and hygiene services, promoting access to social and economic amenities in human settlements and increasing the efficiency of delivery and use of physical facilities and amenities, including waste management, transportation and energy.
Pillar Four: Environmental sustainability, natural resources management and disaster risk management
50. CONCERNED that the exploitation of Africa's natural resources and biodiversity base is not fully translating into value-adding activities, adequate employment opportunities, and enhanced economic returns for the continent;
51. CONSCIOUSthat many of these resources are non-renewable and DETERMINED to ensure profitability, intergenerational equity and sustainability in their use;
52. MINDFUL of the importance of ensuring the availability of safe water supply for all and closing the sanitation gap, and CONCERNED about the challenges posed by climate change, desertification and land degradation, natural disasters such as drought and floods, loss of biodiversity, management of waste and chemicals, coastal erosion, marine pollution and rising sea levels that threaten the existence of coastal mega-deltas and Small Island Developing States;
53. DETERMINED to address the potential adverse effects of these challenges on Africa's transformative agenda and COGNIZANT of the principle of common but differentiated responsibilities in addressing the challenges of natural resource management and biodiversity, we COMMIT to:
(a) Improving natural resource and biodiversity management
54. Achieving this objective will require:
(i) Promoting sustainable utilization of the continent's natural resources and biodiversity, including land and water for the continent's economic and social transformation. This can be achieved by combating the depletion and degradation of Africa's natural resource base and fostering the conservation and recovery of African biodiversity, which represents an inestimable heritage, through improved control of access to the genetic resources of the continent;
(ii) Ensuring that the use of the natural resources and biodiversity will financially and economically benefit the countries that possess them and the fair and equitable sharing of the benefits arising from their use, with consideration for both present and future generations; and
(iii) Promoting value addition, pertinent R&D, and technological innovations for sustainably harnessing the natural resource base and biodiversity by developing joint ventures and private- public- partnerships to facilitate the establishment of industries in Africa.
(b) Enhancing access to Safe Water for All
55. To this end, we will ensure universal and reliable access to safe water in a sustainable manner, especially access to safe drinking water in urban and rural areas by: enhancing the protection and judicious management of water resources to safeguard water quality, and assurance of access to these resources for all uses; ensuring effective conservation and management of catchments areas; minimizing wastewater discharges; and improving wastewater and water quality management systems as well as sanitation and hygiene services in rural and urban areas.
(c) Responding effectively to climate change
56. While Africa is not responsible for the pollution and the factors causing climate change, it stands to suffer the most, the African leadership is poised to cooperate fully along the lines of the Rio+20 outcome.
57. We will reduce deforestation, desertification and pollution, promote reforestation and reduce soil erosion; improve land management; promote renewable energies; promote efficiency of energy production, consumption and recycle; and effectively implement the Kyoto Protocol.
58. Recognizing that climate change is one of the greatest challenges of our times, we emphasize our deep concern with the vulnerability of developing countries, in particular in Africa, to the adverse impacts of climate change, and also recognize that adaptation to the phenomenon represents an immediate and urgent global priority.
59. We urge developed country parties to the United Nations Framework Convention on Climate Change (UNFCCC) to fully implement their commitments under the Kyoto Protocol in order to bridge the gap between the aggregate efforts of mitigation pledges and aggregate emission pathways consistent with having a likely change of holding global average temperature rise below 2 degrees or 1.5 degrees above pre-industrial levels.
60. We call upon developed countries to provide sufficient and predictable financing to developing countries, mainly through effective use of the Green Climate Fund with US$100 billion per year by 2020, as well as the transfer of technologies and capacity building in accordance with the relevant decisions adopted in Cancun.
(d) Addressing desertification, land degradation, soil erosion, flooding and drought
61. We are conscious that desertification, land degradation, soil erosion, flooding and drought are challenges of a global dimension and continue to pose a serious threat to the sustainable development of all countries, in particular in Africa, as recognized in the United Nations Convention to Combat Desertification (UNCCD).
62. There is an urgent need to reverse land degradation, soil erosion and desertification. This should act as a catalyst for adequate support, including by mobilizing predictable, appropriate and timely financial resources in order to enable developing countries especially in Africa to face these challenges.
(e) Natural disaster risk reduction and management
63. We must strengthen Africa's resilience to natural disasters by: building capacities for adequately anticipating and responding to disasters and reducing their impact on people living in vulnerable situations; implementing the African Solidarity Initiative, which targets countries in difficult situations; developing and supporting early warning systems; and increasing support for loss and damage incurred through climate disasters.
Pillar Five: Peace and Security
64. ACKNOWLEDGING the importance of peace and security in Africa and in the world, and the inextricable links between development and peace, security and stability;
65. REAFFIRMING that peace and security is essential for the achievement of the continent's development aspirations particularly for countries affected by conflict and those emerging from conflict, we COMMIT to:
(a) Addressing the root causes of conflict
66. To address this priority, we must: tackle economic and social inequalities and exclusion; strengthen good and inclusive governance; fight against all forms of discrimination; and forge unity in diversity through democratic practices and mechanisms at the local, national and continental levels.
(b) Preventing the outbreak of armed conflicts
67. We must take measures to prevent the outbreak of armed conflicts by: strengthening crossborder cooperation for the resolution of disputes and the promotion of cross-border security; implementing comprehensive, post-conflict reconstruction programmes, including the African Peace and Security Architecture (APSA), in countries emerging from conflict through effective partnership at regional and continental levels; supporting domestic financing for conflict resolution and stabilization; and promoting the use of mediators for conflict resolution, including traditional conflict resolution mechanisms.
Pillar Six: Finance and Partnerships
68. The priority strategies identified in this common position need to be financed. To this end, resource mobilization and innovative financing methods need to be implemented. In addition, implementation of the strategies will require the consolidation of existing partnerships and the forging of new ones.
A. Finance
69. REAFFIRMING that previous commitments by developed countries in financing development, including through Agenda 21 and its programme of implementation, the Johannesburg Plan of Implementation, the Monterrey Consensus of the International Conference on Financing for Development, and the Doha Declaration on Financing for Development, among others, are indispensable for achieving the full and effective translation of partners' commitments into tangible sustainable development outcomes;
70. REITERATING that each country has primary responsibility for its own economic and social development, and that the role of national policies, domestic resources and development strategies is critical; REAFFIRMING that African countries need additional resources for sustainable development; and RECOGNIZING the need for significant mobilization of resources from a variety of sources and the effective use of financing;
71. ACKNOWLEDGING that a stable global financial architecture that supports global systemic economic risk management and that emphasizes the importance of financial and investment flows as opposed to aid as well as fair and inclusive multilateral trading systems is vital for financing development in Africa, we COMMIT to:
(a) Improving domestic resource mobilization
72. We must improve domestic resource mobilization by: ensuring financial deepening and inclusion (e.g. domestic savings and microfinance) and strengthening tax structures, coverage and administration; carrying out fiscal reforms; encouraging public private partnerships; and deepening capital markets.
73. It is imperative to curtail illicit financial flows and fight corruption in a way that ensures the efficient and effective use of resources and domestic long-term financing, such as insurance, pension schemes and capital market instruments.
(b) Maximizing innovative financing
74. To promote and enhance the efficiency of innovative financing mechanisms, we must: develop mechanisms to harness and invest remittances; reduce remittance transfer costs and enhance their effective management; and strengthen long-term, non-traditional financing mechanisms.
(c) Implementing existing commitments and promoting quality and predictability of external financing
75. The global commitments on financing development have not been fully met, which has been one of the reasons among others that several of the MDGs are not likely to be achieved by 2015 in many African countries. We therefore call upon development partners to fulfill their promises and commitments in the spirit of the Monterrey Consensus and G8 Gleneagles Summit. This will restore trust, confidence and mutual respect in global partnerships.
76. Enhancing the quality and predictability of external financing will require: encouraging reinvestment of the proceeds from foreign direct investment; promoting conducive policies to encourage capital in-flight; holding external partners accountable for their commitments including allocation of 0.7 per cent of gross national income (GNI) to international development; encouraging official development assistance (ODA) in short, medium and longterm development; mobilizing external, non-traditional sources of financing, including from philanthropists and emerging partners; facilitating access to various global financing mechanisms without conditionalities, such as the Education For All-Fast Track Initiative (EFA-FTI) and Climate Finance; and accelerating the implementation of the global commitment to address issues of illicit financial flows. We urge an expeditious transition to a development-friendly, international financial architecture.
B. Partnerships
77. NOTING that the post-2015 framework will require a conducive, global environment to ensure effective implementation, which includes mutually beneficial partnerships that ensure ownership, coherence and alignment of international support with national and regional priorities; working with partners to develop a global framework that includes technology and skills transfer, and that takes into account Africa's specific characteristics; promoting publicprivate partnerships; boosting intra-African trade; promoting Africa's access to global markets and the fair trade system; and ensuring that the global governance architecture is inclusive, responsive, legitimate, democratic, equitable and accountable;
78. CALLING for a new spirit of solidarity, cooperation, and mutual accountability to underpin the post-2015 Development Agenda, and AFFIRMING our commitment to the achievement of a truly inclusive and transformative 'Global Partnership', we COMMIT to:
(a) Promoting mutually beneficial partnerships
79. Fair and equitable partnerships will require: strengthening ownership, coherence and alignment of international support with national and regional priorities; working with partners to develop financing frameworks that take into account Africa's specific characteristics and priorities; promoting public-private partnerships; strengthening South-South, North-South, triangular partnerships and Diaspora cooperation; enhancing the involvement of private sector and civil society stakeholders to ensure better ownership, implementation and accountability; supporting intra-African cooperation including solidarity; supporting countries in special situations, namely low-income, landlocked, small island and post-conflict countries; ensuring that the global governance architecture promotes ownership, reliability, equality of states, leadership and accountability; promoting partnerships for international peace and security; and promoting autonomy and independence of countries to advance alternative policies for development.
(b) Strengthening partnerships for trade
80. We must accelerate regional integration including by boosting intra-African trade and enhancing Africa's participation in the global supply chains systems.
81. We reaffirm the critical role that an open, universal, rules-based, non-discriminatory and equitable multilateral trading and financial system as well as meaningful trade liberalization can play in stimulating economic growth and development worldwide, thereby benefitting African countries at all stages of development as they advance towards sustainable development. In this context, the post-2015 Development Agenda should urgently address a set of important issues such as, inter alia, trade-distorting subsidies and trade in environmental goods and services.
82. We urge the members of the World Trade Organization (WTO) to redouble their efforts to achieve an ambitious, balanced and development-oriented conclusion to the Doha Round while respecting the principles of transparency, inclusiveness and consensual decision-making. These efforts aim to strengthen the multilateral trading system and promote trade initiatives (including Aid for Trade) in order to address key developmental concerns of the poorest and most vulnerable states, including countries in special situations.
83. We wish to reaffirm our full solidarity with all African countries in the process of accession to the WTO and urge all WTO members to facilitate and accelerate the accession in line with their level of development and the contours of the current WTO rules. We insist that acceding countries should not be asked to make commitments that go beyond their level of development and current WTO rules. In this context, the principle of Special and Differential Treatment and non-reciprocity should be applied. These processes should be accelerated and carried out without political impediment.
84. WTO members, the WTO Secretariat and relevant international organizations must provide technical assistance and capacity building prior to, during, and in the follow-up to the accession process in line with countries' needs and development priorities.
(c) Establish partnerships for managing global commons
85. The experience from implementing the MDGs shows that Africa has not capitalized on the benefits of global commons including trade, finance and climate change, among others. We therefore believe in the need for sustainable management of global commons, which are important for development.
86. The international community must collectively address the sustainable management of global commons in the post-2015 Development Agenda. In this regard, we identify five areas of global commons that are vital to accelerating Africa's development priorities: (i) creating and implementing strategies for managing environmental commons such as the prevention of climate change, climate change adaptation and the promotion of biodiversity; (ii) preventing and managing cross-border and communicable diseases (including HIV&AIDS, tuberculosis, malaria and avian influenza); (iii) promoting a fair, predictable, non-discriminatory and rule-based multilateral trading system including the completion of the Doha Round; (iv) ensuring international financial architecture that promotes access to concessional development finance, penalizes illicit financial flows, strengthens early warning systems for global financial fragility, and deepens responsive financial risk management; and (v) promoting a global knowledge for development system that encourages
building, documenting and sharing good practices on pertinent development issues.
IV. Enabling Implementation
87. In order for above efforts to be successful, an enabling domestic, continental and global environment is imperative. To this end, we reaffirm the importance of key enablers underpinned by the African Union's Agenda 2063, which presents the vision for the Continent's development. We also recall that the obligations under the Millennium Declaration that must be respected by Africa and the international community. The MDGs are still highly relevant to Africa, and we call on the global community to sustain progress made and deepen the implementation of the challenging areas in the years ahead. To enable effective implementation, we COMMIT to:
88. SUSTAIN efforts towards democratization undertaken on the continent, and REITERATE our commitment to end instability and conflicts on the continent, and to build resilience.
89. ADOPT additional measures to fight corruption, promote good political and socio-economic governance, transparency and accountability, especially in the field of natural resources management; and IMPROVE the enabling environment for the involvement of civil society.
90. ACCELERATE decentralization of the governance system, reinforce rule of law frameworks and strengthen capacities of our institutions in order to protect human rights and meet the aspirations of our people; and PROMOTE integrity and leadership that is committed to the interests of the people.
91. ENHANCE the implementation and impact of existing continental mechanisms, such as the African Peer Review Mechanism (APRM), the NEPAD and the African Governance Architecture.
92. ENSURE an effective global governance architecture, including full and equitable representation of African countries in international, financial and economic institutions, as well decision making processes, that reinforces the principles of fair trade, deters illicit financial flows, and is framed by genuine cooperation and partnerships for development based on trust.
93. PROTECT human rights of all citizens in order to ensure their meaningful participation in society; fight against all forms of discrimination; and promote the constructive management of diversity through democratic practices and mechanisms at the local, national and continental levels.
94. PROMOTE the right to development, as adopted in 1986 by the United Nations General Assembly (GA) in its Resolution 41/128 and recognized in the African Charter on Human and
Peoples' Rights. This is an inalienable human right by virtue of which every human person and all peoples are entitled to participate in, contribute to, and enjoy economic, social, cultural and political development. By extension, this also includes the right of poor countries to develop through adequate policy space and involvement in global governance systems.
95. ENSURE equality and access to justice and information for all through the pre-eminence of justice and rule of law, and guarantee the protection of the rights of minorities and people living in vulnerable situations, including children, women, the elderly, people with disabilities, rural populations, displaced persons and migrants in order to achieve social sustainability.
96. ENCOURAGE mutual accountability between the State and its citizens, and between the State and development partners.
97. PROMOTE sound macro-economic policies that combine short-term imperatives of growth with long-term development considerations such as equality, environmental sustainability, and social inclusion at the national, regional, continental and global levels.
98. RESOLVE to promote private sector development by improving the investment and business climate and supporting small-scale enterprises as well as by promoting public private partnerships, quality assurance, participation and leadership of the private sector, local content policy, and socially responsive and accountable business practices. The implementation of continental mechanisms to promote intra-African trade including the NEPAD framework is also crucial in achieving this objective.
99. ENSURE a viable and credible participatory process that respects diversity and encourages input from all stakeholders – from priority setting to the planning, implementation and monitoring of development policies.
100. INVEST IN and STRENGTHEN national statistical capacities and geospatial information systems for the collection, analysis, production and dissemination of disaggregated data to measure and evaluate policy effectiveness; and PROMOTE a culture of evidence-based decision making.
101. INSTITUTE and STRENGTHEN effective monitoring and evaluation systems, and IMPROVE accountability.
102. ENSURE the preservation, protection and promotion of traditional intellectual property, and promote knowledge creation through its integration in development programmes.
103. To strengthen human and institutional capacities in all of the priorities mentioned above, we COMMIT to:
(i) Building and strengthening capacity to negotiate contracts, concessions and fiscal incentives for investors, including natural resource management, capacity for trade negotiations, e.g. WTO and related issues, as well as capacity for technology transfer, innovation and R&D.
(ii) Strengthening of technical and scientific cooperation, including North-South, South-South and triangular cooperation. We reiterate the importance of human resources development, including training, the exchange of experiences and expertise, knowledge transfer and technical assistance for capacity-building, all of which require strengthening institutional capacity, which includes planning, management and monitoring.
(iii) Continued and focused implementation of the Bali Strategic Plan for Technology Support and Capacity-Building.
V. Conclusion
We, Heads of State and Government of the African Union:
104. COMMEND the participatory approach of the post-2015 Development Agenda formulation process, which provides a unique opportunity for Africa to present a united and common set of priorities. We believe in a world with a just and equitable economic order that is free from poverty, exclusion and human suffering, and respects the limits of the planet earth.
105. REITERATE that the post-2015 process should galvanize political will and international commitment for a universal development agenda focused on the eradication of both poverty and exclusion, as well as on the pursuit of sustainable development.
106. RECOMMEND that the global post-2015 Development Agenda GIVE ADEQUATE ATTENTION to: the development of productive capacity underpinned by value addition, technology and innovation, and infrastructure development; people-centred development with a particular emphasis on youth empowerment and gender equality; natural resources and disaster risk management in the context of sustainable development; peace and security; and a truly inclusive and transformative global partnership. This is important for us to achieve an integrated, prosperous, stable, peaceful and secure Africa that is effectively engaged in the global arena.
107. CALL FOR a fully open, transparent and inclusive negotiation process in which nations are equal and have an equal voice. We commit to speak with one voice in order to ensure that Africa's position is heard and fully integrated into the global development agenda.
108. BELIEVE that these objectives are attainable within 15 years; we therefore RECOMMEND that the post-2015 Development Agenda should extend over a period of 15 years starting from 2016.
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CMS/ONC PATIENT ACCESS DEVELOPER API DOCUMENTATION
Table of Contents
1. Overview:
Summary Overview of ABCBS APIs
Arkansas Blue Cross Blue Shield interoperability APIs enable Arkansas Blue Cross Blue Shield members to consent to have their data shared with third-party applications. It also allows third-party application owners to connect to provider and pharmacy directories, further referred to as "public non-member specific data."
Arkansas Blue Cross Blue Shield Interoperability APIs provide the functionality listed below:
- Enable developers to register member-facing applications
- Enable members to provide consent for an application to access their data
- Use the HL7 FHIR standard for member data, provider directory and the drug formulary; use the OAuth 2.0 / Open ID Connect standard for member authorization
- Use the HL7 FHIR standard for sharing public non-member specific data
Please Note: Documented search parameters are not all inclusive, and that interested developers should request GET [base]/metadata for the full capabilities of the FHIR server.
2. Registration
Registration Authorization Form & Attestation
To get started with Arkansas Blue Cross Blue Shield FHIR APIs, please send a request to following email address: email@example.com
Please include the following information in your request:
- Company Name
- Company Address
- Point of Contact, including email, and phone.
- Short description of intent on how APIs will be used.
Once we receive the above information a member of the Arkansas Blue Cross Blue Shield team will be in contact shortly.
Capability Statement
The capability statement is a key part of the overall conformance framework in FHIR. It is used as a statement of the features of actual software, or of a set of rules for an application to provide. This statement connects to all the detailed statements of functionality, such as Structure Definitions and Value Sets. This composite statement of application capability may be used for system compatibility testing, code generation, or as the basis for a conformance assessment.
Links to capability statement
a) Sandbox: https://apipreprod.arkbluecross.com/blueware/V1/FHIR/metadata
b) Production: https://api.arkbluecross.com/blueware/V1/FHIR/metadata
SMART on FHIR and OIDC API
Arkansas Blue Cross and Blue Shield implements OpenID Connect (OIDC) in conjunction with the SMART on FHIR® standalone patient app launch (http://www.hl7.org/fhir/smart-app-launch/). The specification provides a framework for an OpenID Provider (OP) to securely convey an authenticated user's identity to relying parties (RPs), and in turn the RPs will convey the identity to the FHIR APIs.
1. Authentication Request
An Authentication Request is an OAuth 2.0 Authorization Request that requests that the End-User be authenticated by the Authorization Server.
- Authorize endpoints
o Sandbox: GET
https://apipreprod.arkbluecross.com/oidc/oauth2/authorize?client_id={ Client Key}&redirect_uri={Client's preregistered redirect uri}&response_type=code&state={Opaque value used to maintain state}&nonce={Optional case sensitive string}&scope=openid+launch/patient+patient/*.read&aud=https://apip reprod.arkbluecross.com/
oProduction: GET
https://api.arkbluecross.com/oidc/oauth2/authorize?client_id={Client
Key}&redirect_uri={Client's preregistered redirect uri}&response_type=code&state={Opaque value used to maintain
state}&nonce={Optional case sensitive string}&scope=openid+launch/patient+patient/*.read&aud=https://api.
arkbluecross.com/
2. Redirect URI
Client specified redirection URI to which the OP Authentication response will be sent.
- Response query parameters in Redirect URI
o code: Authorization Code to be exchanged for bearer token
o state: State code value from the Authorization Request
3. Token Request
A client makes a Token Request by presenting its Authorization Grant (in the form of an Authorization Code) to the Token Endpoint. Among other attributes the token endpoint response body will include an access token, refresh token, and an ID JSON Web Token (JWT). The ID Token shall be submitted in the Authorization HTTP header when requesting the FHIR APIs.
- Sandbox Token endpoint
o POST https://apipreprod.arkbluecross.com/oidc/oauth2/token
o Headers
-
Accept: application/json
- Content-Type: application/x-www-form-urlencoded
- Authorization: Basic {Base64 Encoded Sandbox Credentials}
o Token Request Body with Authorization Code: client_id={Client Key}&grant_type=authorization_code&redirect_uri={ Client's preregistered redirect uri }&code={Authorization Code}
o Token Request Body with Refresh Token: client_id={Client Key}&grant_type=refresh_token&refresh_token={Refresh Token}
* Production Token endpoint
o POST https://api.arkbluecross.com/oidc/oauth2/token
o Headers
- Accept: application/json
- Content-Type: application/x-www-form-urlencoded
- Authorization: Basic {Base64 Encoded Production Credentials}
o Token Request Body with Authorization Code: client_id={Client Key}&grant_type=authorization_code&redirect_uri={ Client's preregistered redirect uri }&code={Authorization Code}
o Token Request Body with Refresh Token: client_id={Client Key}&grant_type=refresh_token&refresh_token={Refresh Token}
3. API(s) – CARIN IG
Overview
The CARIN for Blue Button® Framework enables third party applications to call FHIR APIs for returning Medicare Advantage and Part D claims and enrollment data. This implementation guide contains the specifications for the FHIR Patient, Coverage, ExplanationOfBenefit, and Organization resources profiled from CARIN IG for Blue Button® (http://hl7.org/fhir/us/carin-bb/index.html).
a. Patient Resource
Demographics and other administrative information about an individual member.
HL7 FHIR Interactions:
read Interaction:
GET [base]/Patient/[id]
search-type Interaction:
GET [base]/Patient?[parameter=value]
| Parameter | | Conformance | | Sample Search | Notes |
|---|---|---|---|---|---|
| | MAY | | [base]/Patient | | |
| _id | | MAY | | [base]/Patient?_id=[id] | |
b. Coverage Medical Resource
Provides the high-level identifiers and descriptors of the specific insurance plan for a specific individual member - essentially the insurance card information.
HL7 FHIR Interactions:
read Interaction:
GET [base]/Coverage/[id]
search-type Interaction:
GET [base]/Coverage?[parameter=value]
| Parameter | | Conformance | | Sample Search | Notes |
|---|---|---|---|---|---|
| | MAY | | [base]/Coverage | | |
| _id | MAY | [base]/Coverage?_id=[id] |
|---|---|---|
c. EOB Medical Resource
The claim and adjudication details from the processing of a Claim; no records dated prior to 2016-01-01 will be returned.
HL7 FHIR Interactions:
read Interaction:
GET [base]/ExplanationOfBenefit/[id]
search-type Interaction:
GET [base]/ExplanationOfBenefit?[parameter=value]
| | Parameter | | Conformance | | Sample Search | Notes |
|---|---|---|---|---|---|---|
| type | | Must | | [base]/ExplanationOfBen efit?type=[claim type] | | |
| _id and type | | MAY | | [base]/ExplanationOfBen efit?_id=[id]&type=[claim type] | | claim type - |
| | | | | | | https://terminology.hl7.or |
| | | | | | | g/2.1.0/CodeSystem- |
| | | | | | | claim-type.html |
| member number identifier and type | | MAY | | [base]/ExplanationOfBen efit?identifier=[member number]&type=[claim type] | | |
| _lastUpdate d and type | | MAY | | | [base]/ExplanationOfBen | |
| | | | | | efit?_lastUpdated=eq[_la | |
| | | | | | stUpdated]&type=[claim | |
| | | | | | type] | |
| service-date and type | | MAY | | [base]/ExplanationOfBen efit?service- date=eq[service date]&type=[claim type] | | |
d. Organization Resource
Payer identifiers and contact details.
HL7 FHIR Interactions:
read Interaction:
GET [base]/Organization/[id]
search-type Interaction:
GET [base]/Organization?[parameter=value]
| | Parameter | | Conformance | | Sample Search |
|---|---|---|---|---|---|
| | | MAY | | [base]/Organization | |
| | _id | | MAY | | [base]/Organization?_id=[id] |
| profile | | MAY | | [base]/Organization?profile=http://hl7. org/fhir/us/carin- bb/StructureDefinition/C4BB- Organization | |
| name | | MAY | | | [base]/Organization?name=Arkansas |
| | | | | | Blue Cross Blue Shield |
4. API(s) – CLINICAL US-CORE IG
a. AllergyIntolerance Resource
Risk of harmful or undesirable, physiological response which is unique to an individual member and associated with exposure to a substance.
HL7 FHIR Interactions:
read Interaction:
GET [base]/Allergy/Intolerance/[id]
search-type Interaction:
GET [base]/Allergy/Intolerance?[parameter=value]
| | Parameter | | Conformance | | Sample Search | Notes |
|---|---|---|---|---|---|---|
| | | MAY | | [base]/AllergyIntolerance | | |
| _id | | MAY | | [base]/AllergyIntolerance?_id=[id] | | |
| identifier – member number | | MAY | | [base]/AllergyIntolerance?identifier =[member number] | | |
| clinical- status | | MAY | | [base]/AllergyIntolerance?clinical- status=[clinical status] | | clinical status - |
| | | | | | | http://hl7.org/fh |
| | | | | | | ir/R4/valueset- |
| | | | | | | allergyintolera |
| | | | | | | nce- |
| | | | | | | clinical.html |
b. Immunization
Describes the event of a member being administered a vaccine or a record of an immunization as reported by a member, a clinician, or another party.
HL7 FHIR Interactions:
read Interaction:
GET [base]/Immunization/[id]
search-type Interaction:
GET [base]/Immunization?[parameter=value]
| | Parameter | | Conformance | | Sample Search | Notes |
|---|---|---|---|---|---|---|
| | | MAY | | [base]/Immunization | | |
| _id | | MAY | | | [base]/Immunization?_id=[i | |
| | | | | | d] | |
| identifier – member number | | MAY | | [base]/Immunization?identifi er=[member number] | | |
| status | | MAY | | | [base]/Immunization?status | status - |
| | | | | | =[status] | http://hl7.org/fhir/R4/value |
| | | | set-immunization- status.html |
|---|---|---|---|
| date | MAY | [base]/Immunization?date= eq[Immunization.occurrenc e] | |
c. Observation
Measurements and simple assertions made about a member including height, weight, BMI, blood pressure, smoking status, labs, and vital signs panels.
HL7 FHIR Interactions:
read Interaction:
GET [base]/Observation/[id]
search-type Interaction:
GET [base]/Observation?[parameter=value]
| | Parameter | | Conformance | | Sample Search | Notes |
|---|---|---|---|---|---|---|
| | | MAY | | [base]/Observation | | |
| _id | | MAY | | | [base]/Observation?_id=[ | |
| | | | | | id] | |
| identifier – member number | | MAY | | [base]/Observation?ident ifier=[member number] | | |
| status | | MAY | | [base]/Observation?statu s=[status] | | status - |
| | | | | | | http://hl7.org/fhir/R4/val |
| | | | | | | ueset-observation- |
| | | | | | | status.html |
| category | | MAY | | [base]/Observation?cate gory=[Observation Category] | | |
| code | | MAY | | [base]/Observation?code =[Observation Type] | | Observation Type - |
| | | | | | | http://hl7.org/fhir/R4/val |
| | | | | | | ueset-observation- |
| | | | | | | codes.html |
d. Medication
This resource is used for the identification and definition of a medication using the RxNorm RxCUI and terminology.
HL7 FHIR Interactions:
read Interaction:
GET [base]/Medication/[id]
search-type Interaction:
GET [base]/Medication?[parameter=value]
| | Parameter | | Conformance | | Sample Search | Notes |
|---|---|---|---|---|---|---|
| | | MAY | | [base]/Medication | | |
| _id | | MAY | | [base]/Medication?_id=[id] | | |
| code | | MAY | | [base]/Medication?code=[RxCUI] | | |
e. MedicationRequest
An order or request for both supply of the medication and the instructions for administration of the medication to a member
HL7 FHIR Interactions:
read Interaction:
GET base]/MedicationRequest/[id]
search-type Interaction:
GET [base]/MedicationRequest?[parameter=value]
| | Parameter | | Conformance | | Sample Search | Notes |
|---|---|---|---|---|---|---|
| | | MAY | | [base]/MedicationRequest | | |
| _id | | MAY | | [base]/MedicationRequest?_id=[id] | | |
| identifier – member number | | MAY | | [base]/MedicationRequest?identifier =[member number] | | |
| status | | MAY | | [base]/MedicationRequest?status=[ status] | | |
| intent | | MAY | | [base]/MedicationRequest?intent=[ MedicationRequest.intent] | | |
| authoredon | | MAY | | [base]/MedicationRequest?authore don=eq[MedicationRequest.authore don] | | |
f. Procedure
An action that is or was performed on or for a member using the HCPCS, CPT, or other code sets
HL7 FHIR Interactions:
read Interaction:
GET [base]/Procedure/[id]
search-type Interaction:
GET [base]/Procedure?[parameter=value]
| | Parameter | | Conformance | | Sample Search | | Notes |
|---|---|---|---|---|---|---|---|
| | | MAY | | [base]/Procedure | | Bundle all Procedure resources for member in JWT id token | |
| _id | | MAY | | | [base]/Procedure?_id | | |
| | | | | | =[id] | | |
| identifier – member number | | MAY | | [base]/Procedure?ide ntifier= [member number] | | member number - Internal member number | |
| status | | MAY | | | [base]/Procedure?sta | | status - |
| | | | | | tus= | | http://hl7.org/fhir/R4/valueset- |
| | | | | | [status] | | event-status.html |
| date | | MAY | | [base]/Procedure?dat e= [Procedure.performe d date] | | | |
| code | | MAY | | [base]/Procedure?co de= [Procedure.code] | | | Procedure.code - |
| | | | | | | | https://www.hl7.org/fhir/us/cor |
| | | | | | | | e/ValueSet-us-core- |
| | | | | | | | procedure-code.html, |
| | | | | | | | http://www.ama- |
| | | | | | | | assn.org/go/cpt, |
| | | | | | | | http://www.cms.gov/Medicare/ |
| | | | | | | | Coding/ICD10 |
g. Goal
Describes the intended behavioral health objective(s) for a member.
HL7 FHIR Interactions:
read Interaction:
GET [base]/Goal/[id]
search-type Interaction:
GET [base]/Goal?[parameter=value]
| Parameter | | Conformance | | Sample Search | Notes |
|---|---|---|---|---|---|
| | MAY | | [base]/Goal | | |
| | _id | | MAY | | [base]/Goal?_id=[id] | | |
|---|---|---|---|---|---|---|---|
| identifier – member number | | MAY | | [base]/Goal?identifier=[m ember number] | | member number - Internal member number | |
| lifecyclestat us | | MAY | | [base]/Goal?lifecycleStatu s=[goal status] | | | goal status values - |
| | | | | | | | http://hl7.org/fhir/R4/value |
| | | | | | | | set-goal-status.html |
5. API(s) – PDEX US DRUG FORMULARY DIRECTORY IG
Overview
Plan Drug Formulary API will support query requests using plan and drug identifiers and will return information on coverage including cost share and utilization management requirements of the formulary drugs tied to a plan. The formulary information returned is based on the current information for the patient's formulary list and benefit plan limits and rules. Previous and future formulary lists are not supported. This implementation guide contains the specifications for the FHIR resources List and MedicationKnowledge profiled from the HL7 FHIR® DaVinci PDex US Drug Formulary Implementation Guide (https://build.fhir.org/ig/HL7/davinci-pdex-formulary).
Resource Descriptions
a. List
The List API (using the CoveragePlan profile) will retrieve the active benefit plans and their cost share tiering data for the query parameters in the API request. The CoveragePlan resource represents a health plan and contains links to administrative information, a list of formulary drugs covered under that plan, and a definition of drug tiers and their associated cost-sharing models.
HL7 FHIR Interactions:
read Interaction:
GET [base]/List/[id]
search-type Interaction:
GET [base]/List?[parameter=value]
| Parameter | | Conformance | | Sample Search | Notes |
|---|---|---|---|---|---|
| | MAY | | [base]/List | | |
b. MedicationKnowledge
The MedicationKnowledge API (using the FormularyDrug Davinci profile) will retrieve active formulary drug records for the query parameters in the API request. The FormularyDrug resource represents a drug that is part of a drug formulary. A drug formulary is a list of brand-name and generic prescription drugs a health insurer agrees to pay for, at least partially, as part of health insurance coverage. In addition to identifying the drug by its RxNorm code and the PlanID of the formulary, the FormularyDrug entry provides information on prescribing limitations, and optionally drug classification.
HL7 FHIR Interactions:
read Interaction:
GET [base]/MedicationKnowledge/[id]
search-type Interaction:
GET [base]/MedicationKnowledge?[parameter=value]
| DrugPlan | MUST | [base]/MedicationKnowledge?Dr ugPlan=[plan identifier] | |
|---|---|---|---|
| code | MAY | [base]/MedicationKnowledge?Dr ugPlan=[plan identifier]&code=[RxCUI] | RxCUI - |
| | | | http://hl7.org/fhir/us |
| | | | /core/STU3.1.1/Val |
| | | | ueSet-us-core- |
| | | | medication- |
| | | | codes.html (rxnorm |
| | | | id) |
| DrugName | MAY | [base]/MedicationKnowledge?Dr | Drug name - Descriptive name of a formulary drug |
|---|---|---|---|
| | | ugPlan=[plan | |
| | | identifier]&DrugName:contains=[ | |
| | | Drug name] | |
6. API(s) – PDEX PROVIDER DIRECTORY IG
Overview
The HL7 FHIR® DaVinci PDEX Plan Net Implementation Guide enables third party applications to call FHIR APIs for returning payer Medicare Advantage provider networks. This implementation guide contains the specifications for the FHIR InsurancePlan, Location, HealthCareService, Organization, OrganizationAffiliation, Practitioner, and PractitionerRole resources profiled from the HL7 FHIR® DaVinci PDEX Plan Net Implementation Guide (https://build.fhir.org/ig/HL7/davinci-pdex-plan-net).
Resource Descriptions
a. InsurancePlan
Details of a Health Insurance product/plan provided by an organization.
HL7 FHIR Interactions:
read Interaction:
GET [base]/InsurancePlan/[id]
search-type Interaction:
GET [base]/InsurancePlan?[parameter=value]
| | Parameter | | Conformance | | Sample Search | | Notes |
|---|---|---|---|---|---|---|---|
| | | MAY | | [base]/InsurancePlan | | Bundle all Insurance resources | |
| | _id | | MAY | | [base]/InsurancePlan?_id=[id] | | |
| identifier - rxplan | | MAY | | [base]/InsurancePlan?identifier=[rxplan] | | rxplan - rxplan value from FHIR Coverage.clas s structure | |
| identifier - product_cod e | | MAY | | [base]/InsurancePlan?identifier=[product _code] | | | product_code |
| | | | | | | | - |
| | | | | | | | product_code |
| | | | | | | | value from |
| | | | | | | | FHIR |
| | | | | | | | Coverage.clas |
| | | | | | | | s structure |
b. Location
The physical place where healthcare services are provided, practitioners are employed, organizations are based, etc.
HL7 FHIR Interactions:
read Interaction:
GET [base]/Location/[id]
search-type Interaction:
GET [base]/Location?[parameter=value]
| | Parameter | | Conformance | | Sample Search | Notes |
|---|---|---|---|---|---|---|
| | | MAY | | [base]/Location | | |
| _id | | MAY | | | [base]/Location?_i | |
| | | | | | d=[id] | |
| address- postalcode | | MAY | | [base]/Location?ad dress- postalcode=[zip code] | | |
| address-state | | MAY | | | [base]/Location?ad | |
| | | | | | dress-state=[state] | |
| address-city | | MAY | | [base]/Location?ad dress-city=[city] | | |
| address | | MAY | | | [base]/Location?ad | |
| | | | | | dress=[part of the | |
| | | | | | address] | |
c. HealthCareService
Services offered by an organization/practitioner at a location,
HL7 FHIR Interactions:
read Interaction:
GET [base]/HealthCareService/[id]
search-type Interaction:
GET [base]/HealthCareService?[parameter=value]
| | Parameter | | Conformance | | Sample Search | Notes |
|---|---|---|---|---|---|---|
| | | MAY | | [base]/HealthCareService | | |
| _id | | MAY | | | [base]/HealthCareService? | |
| | | | | | _id=[id] | |
| coverage- area | | MAY | | [base]/HealthCareService?c overage-area=[coverage area location] | | |
| location | | MAY | | [base]/HealthCareService?l ocation=[location of service] | | |
| organization | | MAY | | [base]/HealthCareService? organization=[Organization that provides healthcare service] | | |
| specialty | | MAY | | [base]/HealthCareService?s pecialty=[specialty] | | specialty - |
| | | | | | | http://nucc.org/provider- |
| | | | | | | taxonomy |
| name | | MAY | | [base]/HealthCareService? name=[Healthcare service name] | | |
| service- category | | MAY | | [base]/HealthCareService?s ervice-category=[Service category] | | Service category - |
| | | | | | | http://hl7.org/fhir/us/davinci- |
| | | | | | | pdex-plan- |
| | | | | | | net/CodeSystem/Healthcar |
| | | | | | | eServiceCategoryCS |
d. Organization
Organizations and individuals that deliver a set of services across a geography through health insurance products/plans.
HL7 FHIR Interactions:
read Interaction:
GET [base]/Organization/[id]
search-type Interaction:
GET [base]/Organization?[parameter=value]
| | Parameter | | Conformance | | Sample Search | Notes |
|---|---|---|---|---|---|---|
| | | MAY | | [base]/Organization | | |
| _id | | MAY | | [base]/Organization?_id=[id] | | |
| identifier | | MAY | | [base]/Organization?identifier= [NPI] | | |
| address | | MAY | | [base]/Organization?address= [part of the address] | | |
| name | | MAY | | [base]/Organization?name=[O rganization name] | | |
e. OrganizationAffiliation
Affiliation/association/relationship between two distinct organizations, that is not a part-of relationship/sub-division relationship.
HL7 FHIR Interactions:
read Interaction:
GET [base]/OrganizationAffiliation/[id]
search-type Interaction:
GET [base]/OrganizationAffiliation?[parameter=value]
| | Parameter | | Conformance | | Sample Search | Notes |
|---|---|---|---|---|---|---|
| | | MAY | | [base]/OrganizationAffiliation | | |
| _id | | MAY | | | [base]/OrganizationAffiliation?_id | |
| | | | | | =[id] | |
| identifier | | MAY | | [base]/OrganizationAffiliation?ide ntifier=[NPI] | | |
| location | | MAY | | | [base]/OrganizationAffiliation?loc | |
| | | | | | ation=[location(s) at which the | |
| | | | | | role occurs] | |
| network | MAY | [base]/OrganizationAffiliation?ne twork=[Provider network] | | |
|---|---|---|---|---|
| participatin g- organizatio n | MAY | | [base]/OrganizationAffiliation?pa | |
| | | | rticipating- | |
| | | | organization=[organization that | |
| | | | provides services to the primary | |
| | | | organization] | |
| primary- organizatio n | MAY | [base]/OrganizationAffiliation?pri mary-organization=[organization that receives the services from the participating organization] | | |
| role | MAY | [base]/OrganizationAffiliation?rol e=[Role of participating- organization] | | Role - |
| | | | | http://hl7.org/fhir/us/davi |
| | | | | nci-pdex-plan- |
| | | | | net/CodeSystem/Organi |
| | | | | zationAffiliationRoleCS |
f. Practitioner
A person who is directly or indirectly involved in the provisioning of healthcare.
HL7 FHIR Interactions:
read Interaction:
GET [base]/Practitioner/[id]
search-type Interaction:
GET [base]/Practitioner?[parameter=value]
| | Parameter | | Conformance | | Sample Search | Notes |
|---|---|---|---|---|---|---|
| | | MAY | | [base]/Practitioner | | |
| | _id | | MAY | | [base]/Practitioner?_id=[id] | |
| identifier | | MAY | | [base]/Practitioner?identifier=[NPI] | | |
| family | | MAY | | | [base]/Practitioner?family=[Portion of | |
| | | | | | the family name] | |
| name | | MAY | | [base]/Practitioner?name=[Any of the string fields in the HumanName] | | |
g. PractitionerRole
Describes the role a practitioner plays at an organization
HL7 FHIR Interactions:
read Interaction:
GET [base]/PractitionerRole/[id]
search-type Interaction:
GET [base]/PractitionerRole?[parameter=value]
| Parameter | Conformance | Sample Search | | |
|---|---|---|---|---|
| | MAY | [base]/PractitionerRole | | |
| _id | MAY | [base]/PractitionerRole?_id=[id] | | |
| identifier | MAY | [base]/PractitionerRole?identifier=[ NPI] | | |
| location | MAY | | [base]/PractitionerRole?location=[ | |
| | | | locations at which this practitioner | |
| | | | provides care] | |
| practitioner | MAY | [base]/PractitionerRole?practitione r=[Practitioner providing the services] | | |
| role | MAY | [base]/PractitionerRole?role=[Pract itioner's role] | | Practitioner roles - |
| | | | | http://hl7.org/fhir/us/d |
| | | | | avinci-pdex-plan- |
| | | | | net/STU1/CodeSyste |
| | | | | m- |
| | | | | ProviderRoleCS.html |
| service | MAY | [base]/PractitionerRole?service=[H ealthCareService reference] | | |
|
Unity Task Force Meeting
Dialogue with Renewal Leaders
Meeting with The Council of Bishops Unity Task Force Lake Junaluska, N.C. November 5, 2009
CONTENT:
Biographies of Renewal Delegation
Issues for Discussion
1. Opening Statement
2. The Theology of Unity
3. Tension Points Outside of General Conference
4. Tension Points At General Conference
5. Worst Case Scenarios
6. Closing Statement
1
Biographies of Renewal Delegation
William J. Abraham is the Albert Cook Outler Professor of Theology and Wesley Studies and Altshuler Distinguished Teaching Professor at Perkins School of Theology, Southern Methodist University, Dallas, Texas. He is widely known as a theologian, philosopher, and scholar of Methodism, most recently as coeditor of The Oxford Handbook of Methodist Studies (Oxford: Oxford University Press, 2009). He is a member of the Southwest Texas Conference and is a United Methodist Representative to the Faith and Order Committee of the National Council of Churches and has served on the General Commission on Christian Unity and Inter-Religious Concerns. He is on the teaching staff of Highland Park United Methodist Church in Dallas and is extensively involved in missionary training in Malaysia, Costa Rica, Kazakhstan, Nepal, and Romania.
Larry R. Baird is in his seventh year as District Superintendent for the Cornerstone District of the Western New York Conference. He has served on the General Board of Discipleship (Curriculum Review Committee, Ethnic Minority Local Church Committee), the Northeastern Jurisdiction Episcopacy Committee and New ACT—the body responsible for enabling leaders in four Annual Conferences to create a new upstate New York Conference.
Eddie Fox is one of Methodism's foremost evangelists. He has been the World Director of Evangelism for the World Methodist Council since 1987. His efforts at linking Methodists through the "Connecting Congregations" program have resulted in some 140 New Testament-modeled partnerships between established churches and newly formed congregations. Dr. Fox also directs the activities of sixteen regional evangelists worldwide and has been a strong advocate for training indigenous people to reach their fellow citizens with the gospel. A member of the Holston Conference, Dr. Fox has served as a General Conference Delegate for the past two decades.
Tom Harrison is in his seventeenth year as the Senior Pastor of Asbury United Methodist Church in Tulsa, Oklahoma. The congregation has a membership of 7,677, worship attendance of 3,400, and pays close to a million dollars in apportionments. Dr. Harrison has been a General Conference delegate and alternate. He currently serves as chairperson of the Oklahoma Annual Conference Council on Finance and Administration.
Liza Kittle is a member of Trinity on the Hill United Methodist Church in Augusta, Georgia, is the current President of the RENEW Network, the women's ministry program arm of Good News. She has been an active member in her local church as a United Methodist Women leader for fifteen years and then as a founding leader of Women of the Vine, the current women's ministry at Trinity. Liza has represented her local church as a lay delegate to the North Georgia Annual Conference for the past five years. She has served as a member of the Renewal and Reform Coalition for the past two General Conferences. Liza feels a passionate calling to minister to the women of the United Methodist Church and to be an advocate for the establishment of alternative women's ministry programs within the denomination.
Tom Lambrecht has been in ordained ministry since 1982 in the Wisconsin Annual Conference. He has served as senior pastor of a large church, medium-size church, and three-point charge, as well as associate pastor of a large church, all in Wisconsin. He was elected as an alternate delegate to Jurisdictional Conference in 1992, 1996, and 2000. His annual conference involvements include: Chairperson of the District Council on Ministries, Chairperson of the Conference Hunger Task Force, Vice-chairperson of the Conference Board of Discipleship, Registrar and member of the Conference Board of Ordained Ministry, member of the Conference Evangelism Committee, member of the Conference Mission Motivation Committee, member of the Conference Board of Church and Society, and member of the Rural Crisis Task Force. Rev. Lambrecht has also served as a member of the Board of Directors of Good News since 1993, holding the position as Chairperson from 2005-08. He served as the coordinator of the Renewal and Reform Coalition efforts at the 2008 General Conference.
Senator Patricia Miller has been the Executive Director of The Confessing Movement within the United Methodist Church since 1997 and has served as a General Conference delegate from South Indiana five times. She has served as a lay member to her Annual Conference since 1972. For the past nine years she has been a member of the Executive Committee of the World Methodist Council. Senator Miller served as a member of the Indiana House of Representatives in 1982-83. Patricia became a State Senator in 1983 and continues to serve in that capacity.
Rob Renfroe is the President and Publisher of Good News and previously served as the Chairperson of the Confessing Movement Board of Directors. He is the Pastor of Adult Discipleship at The Woodlands United Methodist Church, north of Houston, Texas—a congregation of 8300 members. Rob speaks to five hundred men weekly in a men's ministry he created called Quest and is most proud of the thirty homes which Quest has built for persons living in poverty in the desert slums of Juarez, Mexico. Rob has previously served on the General Board of Church and Society.
Chuck Savage is the Senior Pastor at Kingswood United Methodist Church in Dunwoody, Georgia. He has been in full-time ministry for sixteen years, the first seven as a local pastor. Chuck graduated from the Candler School of Theology in 2001 and was ordained as an elder in 2004. He was elected as a delegate to the 2008 General Conference and currently serves on the Board of Trustees of the Board of Church and Society. Prior to entering the ministry, Chuck spent 32 years with IBM where he served in many capacities. Upon departure from IBM, he was the General Manager of a business unit that dealt with some of the corporation's largest customers across the world.
Steve Wende is the Senior Pastor of First United Methodist Church of Houston, one of our denomination's leading congregations. It was the first large church in Houston to stand against the Ku Klux Kan and then to integrate, and now draws members from all backgrounds, races, and economic classes. Its services are telecast live throughout the Houston area every Sunday morning, with an estimated sixty thousand homes watching. Steve has served this church for the past eight years, has a daughter who just graduated from Duke and is also a member of the Texas Conference, and has served as a General Conference delegate five times.
Alice Wolfe has served as a pastor in the West Ohio Conference for twelve years and is currently serving as Senior Pastor of Anna United Methodist Church. She served as a delegate to the 2008 General Conference and to the North Central Jurisdictional Conference in 2008 and 2004, where she also served on the Committee of Nominations. Alice has also been an active member of West Ohio's Unity Task Force since 2005.
Steve Wood is the Senior Pastor of Mount Pisgah United Methodist Church, a 9000 member congregation in the Greater Atlanta area. Since 1983, he has served as a church planter, the pastor of a multi-ethnic church, and the pastor of two of the largest churches in Methodism. Steve has served in various positions of leadership at the Conference, Jurisdictional, and General Church level and as a delegate to both General Conference and Jurisdictional Conference. Steve has led mission teams to eleven countries and has taught in leadership conferences and Methodist seminaries in Venezuela, Costa Rica, Nigeria, Brazil, and Monterrey, Mexico.
I. OPENING STATEMENT
We are so grateful for the opportunity to have this discussion. Speaking on behalf of the others invited to be here today, we are deeply appreciative of the initiative the Bishops have taken to explore the critical issue of unity. It is crucially important to us to lift up the unity of the church. We love the United Methodist Church, are committed to it, spend time defending it, and have served and supported it throughout our professional lives. We have come both to listen and to speak, and to join with the Bishops in seeking to keep our hearts open to the Spirit throughout the afternoon – for division within the Body of Christ breaks the heart of God and weakens our witness in the world.
Please know that we have come to be honorable partners in this process. Whether this conversation goes beyond this day or not, we cannot now say, but we seek to open ourselves not just to the Spirit but also to you, our Bishops. We want to be as honest with you as we can possibly be about tension points we see within the denomination, about dangers our church may face if they are not addressed, and about ways forward through them. We do this for the sake of working together so that these points of difficulty can be addressed. We also know that you have perspectives you would share with us, and we will be honest and thoughtful in our responses, and will handle information shared in this conversation within the boundaries established before we leave.
I think it important also to say that we do not perceive ourselves as representing a fringe group. As we think of the people we serve, they form the core of the people in the pews: who pay the bills, build new congregations, support missions, love the Lord and love His church. While they form a working majority at General Conference, the numbers they represent in the local church are even more significant. Therefore, it is doubly important to us that we are here, so that we can reflect to you with a significant degree of accuracy the feelings and thoughts of much of the heart of the membership of the United Methodist Church.
Again, thank you for this opportunity and your hospitality.
II. THE THEOLOGY OF UNITY
We come here representing a network of renewal groups some of which have been in operation since the nineteen sixties. We do not see ourselves as a minority within United Methodism. We are rank and file United Methodists, representing hosts of folk across the church as a whole who yearn for an authentic expression of the Christian faith, living and active today. We intentionally reach back into the classical faith and heritage of the church as we work enthusiastically for a better future.
We are not a monolithic group. We are committed to the mainstream generous orthodoxy of the church catholic and of classical Methodism. The focus of renewal movements varies, of course, according to the renewal movement. We have worked diligently for a deeper commitment to and immersion in scripture, to the retrieval of our doctrinal heritage in the Articles of Religion and Confession of Faith, to the development of comprehensive mission that includes evangelism, disciplemaking, church planting, social engagement, and to a fresh and continuous Pentecost in our midst. More specifically, we are committed to the transmission of the Christian faith as bequeathed to us through the Wesleys and Methodism. We believe that Methodism has inherited a viable and precious version of the Gospel (in its doctrines and in its practices) that was birthed of the Spirit and that is vital to the church catholic in the future. Of course, folk disagree on what they think that legacy is, but we cannot but be faithful to the light as we see it.
We have no interest in dividing the church. Our aim is the renewal of the church not its division. It is daft to seek to fix or renew something in order to divide it. On the contrary, division would be a very messy and unmanageable development. It will consume precious energy and massive resources that we want to use in sustaining healthy churches, in renewing the denomination, and in carrying out mission and evangelism. We have in fact been vital in enabling many United Methodists to stay within our church, especially those who have felt alienated for various reasons (some healthy and some unhealthy). We love our church – warts and all – and have absolutely no interest in causing schism.
We believe that our unity is both a gift and task. It is a work of the Spirit, and it demands constant effort. Unity is fragile today. The evidence from other mainline Protestant traditions (Episcopal, Lutheran, and Presbyterian) is obvious and compelling on this front. We support both the teaching and canon law of our Book of Discipline on homosexual practice. Contrary to what is often thought, this is not the primary issue for us. It has been made a primary issue by those desiring to change our teaching and discipline; we cannot ignore it because it simply keeps recurring again and again. Our primary
commitments are scriptural, doctrinal, and missional. We place these in a theological vision of the Methodist Tradition that is committed to the divine revelation enshrined in scripture. So the bigger issues are those of faithfulness to our Lord and to the church as a community of Word and Sacrament rightly ordered in faithfulness. These are not matters that can be resolved by political slogans like "the extreme center" or "the middle way" or "inclusivism." Theological and missional integrity under the authority of divine revelation are vital to us.
We are realists about the future. Should the worst happen and The United Methodist Church go the way of the Episcopal Church and the Lutheran Church on homosexual practice, we will not stand idly by. We feel a clear responsibility on two fronts. First, we have a responsibility to take care of the millions of sheep that will find this development unacceptable. Second, we have a responsibility to preserve a living edition of the work of the Holy Spirit developed doctrinally and evangelistically within Methodism across the centuries. Should these necessitate the formation of a new Methodist/Wesleyan church, we will deal with that if and when it arises. If necessary, we will take on that responsibility in fear and trembling, trusting in providence to supply what we need in that hour.
In the meantime, we would be cheered if the leadership of The United Methodist Church, not least its bishops, would acknowledge our place in the church as a whole and find ways to harvest the best fruits of our work and ministries across the last generation.
III. TENSION POINTS OUTSIDE OF GENERAL CONFERENCE
As we in the renewal groups seek what will make for unity in the church, we find a number of tension points that we believe are disruptive of the unity that we all seek.
A. Some leaders of the church seem to be promoting an agenda of changing the United Methodist Church's position on human sexuality. This is being done both overtly and more subtly. Examples include the following:
1. Bishops who speak at Reconciling Ministries events, including celebrations at Reconciling Congregations within their annual conferences.
2. Bishops who participated in an "extraordinary" ordination of a self-avowed practicing homosexual person who was denied acceptance into ministry in the UMC.
3. A bishop taking the microphone on the floor of General Conference and haranguing the delegates about how our votes on this issue were contrary to the will of God.
4. The utilization of "testimonies" by self-avowed practicing homosexuals during worship services and other programs sponsored by boards and agencies and annual conferences, in an attempt to promote the acceptance of homosexuality.
5. Placing self-avowed practicing homosexuals or vocal proponents of the acceptance of homosexual practice in positions of high visibility in the church, for example music leaders at General Conference.
6. Articles printed or promoted by general boards and agencies contradicting United Methodist positions, such as a recent article on the General Board of Church and Society website that promoted the acceptance of sexual relationships outside of heterosexual marriage, with no commitment or covenant expected.
These and many similar activities are corrosive to the unity of The United Methodist Church. They represent a minority of the church attempting to force its agenda on the majority. We believe the leaders of the church, including its bishops, should promote and defend the church's position on issues, not a minority agenda that alienates people in the pews and fosters division in the church.
B. On the flip side of the coin, there is often a deafening silence when it comes to promoting and defending the United Methodist Church's position on doctrinal and social issues that are controversial in the church. There have been times when a bishop has spoken out in defense of the church's position, but then pressured by colleagues into subsequent silence. It seems that it is acceptable for bishops and others to speak out against the church's position, but it is not acceptable for bishops and others to promote the church's position.
C. It is our perception that the renewal group constituency—theologically orthodox, evangelical, or conservative—is not adequately represented on boards and agencies and other denominational decision-making bodies. Several general boards have fewer than 10% of their directors voting in a theologically conservative direction, whereas recent Barna surveys and others have identified that over 50% of United Methodists consider themselves to be conservative theologically. Numerous surveys over the past 20 years have demonstrated that General Conference delegates, general board members, and agency staff are not (as a group) representative of the opinions of grassroots United Methodists. The Byzantine nominations process used to constitute boards and agencies, including the Connectional Table, are so convoluted that it is nearly impossible for us to gain fair representation on these decision-making bodies. Even within various boards, classically orthodox members are often excluded from strategic committee assignments.
There is great concern about diversity of externals, such as race, gender, age, or those differently abled, but there is very little attention paid to insuring the presence and participation of those committed to the historic doctrines and mission of the UMC. This lack of proportional representation leads denominational decision-making bodies to speak and act in conflict with the beliefs and values of many grassroots United Methodists, resulting in a widespread lack of trust by laity in these church bodies. Inasmuch as bishops are heavily involved in the nominations process at the Jurisdictional level and at the various boards and agencies, we believe that bishops could exercise leadership in assuring that orthodox United Methodists are proportionally represented at the various tables where the current and future ministry of our church is being set.
D. To us, there seems to be a misuse of the principle of accountability within the covenant of ordained ministry. On the one hand, there is little or no accountability exercised over bishops, elders or deacons who contradict the church's doctrinal standards or moral positions. On the other hand, there have been instances over the past ten years of leaders using the complaint process to silence or expel classically orthodox voices in some annual conferences. While we sympathize with the desire to eliminate the guaranteed appointment, we are afraid that its elimination will provide one more tool for the marginalization of solid, loyal classically orthodox clergy within annual conferences.
These are some of the items we have identified as leading to a fracturing of our United Methodist body and increasing the tensions that lead to disunity among us. They are reflective of the polarization of our church and society at large. They also reflect a struggle for power within the church that seems to be more about a certain agenda or vision of the church, than about promoting the unity and mission of the church. We are alarmed that some pursuing this power and control agenda disregard the consequences of their approach to the unity and vitality of the church. It seems as if they would rather have their way in the church, even if it leads to widespread membership losses or even outright separation.
IV. TENSION POINTS AT GENERAL CONFERENCE AND SUGGESTIONS FOR IMPROVEMENT
We as pastors, laity, delegates, and renewal group leaders recognize the many administrative hours and great financial resources are required to plan and convene General Conference every four years. We also seek to be good stewards of all God's resources and to help make this global assembly an efficient and effective time of substantive legislative action through holy conferencing, spiritual renewal, and vision casting for the future. We present to you some areas of tension with the process of General Conference that we believe hinder the effectiveness, efficiency, and fruitfulness of this historic body.
A. Sufficient time for debate and legislative action.
While we understand that worship is a vital part of General Conference and that some speakers and reports are informative, paragraphs 15 and 16 of the Discipline state that the responsibilities of the Conference are primarily legislative. We believe that sufficient time for debate and action on all the legislation that delegates are charged to address should take precedent over other matters such as special reports, guests, and speeches. This was especially evident at the 2008 General Conference in light of the fact that the conference was shortened by one full day. Some examples of problems associated with time constraints included:
1. Near the end of the 2008 GC, many pieces of legislation which had been pulled from the consent calendar were placed back on the consent calendar without time for delegates to know which petitions were affected by this action. Much work goes into getting legislative pieces pulled from consent calendars in order for them to be discussed before the entire body. Suspending this important tool for delegates due to time constraints seems to violate the integrity of the legislative process.
2. Towards the end of the 2008 GC, the numbers of speeches and length of speeches allowed for legislation were shortened due to time constraints, leaving many important pieces of legislation, such as constitutional changes, without proper debate before voting. Only a few minutes of debate were given for important constitutional amendments.
B. Placement of "controversial votes" in the calendar agenda.
We believe that placement of controversial issues on the calendar agenda should be done with great care in order maximize the number of delegates present at optimal times of the day for attentive and thorough debate.
1. While it is each delegate's responsibility to be present for all business conducted, it is sometimes difficult for everyone to return on time. It appeared to some delegates and observers that many of the votes on controversial issues took place immediately after a break time or meal recess, when the entire body of delegates had not returned to their seats. The intense daily attendance requirements (some 14-16 hours) over eleven continuous days is grueling for anyone, especially international delegates. Calendar placement to ensure maximum participation and attentiveness should be prioritized over celebrations, speeches, and non-essential matters.
2. Arrangements should allow international delegates to remain until the end of General Conference. Some important and controversial legislative issues were scheduled on the last day of conference when many international delegates had already left. Over 100 African delegates missed the votes during the final afternoon on the issue of the church's continued participation with the Religious Coalition for Reproductive Choice due to early travel departures. The African delegates, unlike the U.S. churches, could not afford the expense of sending alternates. All delegates should be required to stay for the entire duration of General Conference and special consideration should be given to international delegates to ensure their attendance.
C. Translation concerns for delegates who do not speak English.
1. Delegates who do not speak English should have an equal opportunity to review documents before the start of General Conference. This can only happen if General Conference materials are translated and provided to those delegates in advance, allowing for an adequate amount of time for review. Financial resources must be provided to ensure accurate and timely translations. Improper translations don't just create problems for non-English speaking delegates, but for all delegates. If we do not allow time for review of these documents, particularly those related to voting procedures and issues, our actions imply that the opinions and input of our international brothers and sisters is unimportant. It is in the best interest of The United Methodist Church to ensure that every delegate is voting based on a complete understanding and prayerful consideration of the issues presented as well as the procedures followed.
2. Providing translators at all legislative committees as well as general sessions should be a priority. In at least one case during General Conference 2008, one legislative committee had to wait two and a half hours for a translator to arrive.
3. In other cases, some translators were not fluent in the dialects spoken by our delegates. This caused confusion and misunderstanding when words in different dialects had different meanings. The use of double negatives when voting caused much confusion and should be avoided. In some languages, double negatives cancel themselves out, in others, they emphasize meaning, and in all, they are confusing
4. Prior to voting, non-English speaking delegates should be given the opportunity to ask questions if clarification about issues and procedures is needed. In 2008, there were constant and consistent complaints about translations into certain languages while others went well.
5. Non-English speaking delegates should be equally informed. According to the 2009 Rules of Order, "The Commission shall take the necessary measures to assure full participation of all General Conference delegates including but not limited to providing accommodation for language and physical challenges.
D. Protests and violations of the bar of General Conference.
Rule 11: Bar of Conference
"The bar of the conference shall provide for the integrity of the General Conference. It is for delegates, pages, and others who have been granted access to the area for General Conference business as provided through the Rules or through the suspension of the Rules." Suspension of the rules requires a two-thirds vote of the delegates.
1. Because representatives of our total connection come together only at General Conference what is done and what is allowed to occur at the conference presents a dramatic statement about the unity of the church—and how those presiding over the conference understand unity and holy conferencing. In the past protests have been allowed on the floor of General Conference both in session and in recess and these actions have broken the rules and the spirit required for mutual trust and true unity. Allowing anyone on the conference floor without the prior consent of two-thirds of the voting delegates is in direct violation of the rules by which all General Conference delegates agree to abide.
2. When protests that violated General Conference rules were allowed, it gave the impression that those who allowed the protests condoned both the action and the message of the protest. And the message, intended or not, is that the presiding officers of the conference are no longer functioning as non-biased arbiters—but as part of an agenda belonging to a special interest group. The actions that occurred at the last several General Conferences appeared preferential to one group at the expense of the integrity of unity at General Conference.
3. The question remains of who and how the protest was allowed to take place. Certainly, this raises questions of unity, holy conferencing, integrity, and trust of the whole process. Those of us who wished to obey the rules were not offered an opportunity to present an opposing viewpoint.
4. If protests or demonstrations are to be allowed on the floor of General Conference then the rules should be changed and other groups, including renewal groups, should be allowed equal opportunity to conduct their own "silent witness". However, the renewal groups have no intention of staging a protest at present as we believe violating the rules of the General Conference are not conducive to holy conferencing. We also don't desire to usurp the trust of our fellow delegates or desecrate the altar of God. We are asking that no protests be allowed on the conference floor without the authorization from the voting body of General Conference. Even "reserve delegates are to function within the Rules of Procedure of the General Conference (Rules 27 and 31)" and do not have access to the floor except as allowed by rule.
5. Order within the conference facility should be maintained at all times so observers are not distracting delegates from doing the work of General Conference. After the vote was passed to maintain the current language regarding homosexual practice, observers in the stands began singing and shouting so that the delegates at the back of the conference floor couldn't hear the comments or instructions of the presiding elder. When order cannot be maintained, the rules allow for: "The presiding officer *to+ have the right to recess the session of the body at any time at the presiding officer's discretion and to reconvene at such time as the presiding officer shall announce. Consistent with the spirit of ¶721 of the Book of Discipline, in rare circumstances the presiding officer shall also have the right to stipulate that the session shall reconvene in closed session with only delegates, authorized personnel, and authorized guests permitted to attend such a session following recess (Section VII.E.1.)". We believe the use of these rules would improve the integrity of the conference.
6. Another violation of the bar of the conference was the distribution of a list of endorsements for judicial council elections. The distribution of such materials was a clear breech of the rules of General Conference.
7. All efforts should be made by the presiding officers of General Conference to ensure that holy conferencing, unity, integrity, trust, and rules of order are followed to strengthen the entire legislative process of General Conference. This will help us to fulfill the mission of the church to make disciples of Jesus Christ.
E. Leadership and comments of Bishops.
Part of our covenanting together for holy conferencing is to follow Robert's Rules of Order, which calls for the presiding officer to remain unbiased and impartial when facilitating discussions. We very much appreciate the fine work that was done by the bishops who spoke to the conference to not "take sides" or use their position of influence to try to sway the body's decisions.
However, there were exceptions. Comments that are condescending, scolding, or judgmental to the delegates who uphold the current language in the Discipline simply should not be made by our Episcopal leaders. Elders and deacons in the United Methodist Church are required to vow to God and the United Methodist Church that they "approve of our Church government and polity" and "will support and maintain them" (¶ 330.5d and ¶ 336). We deserve to be treated with the same respect as those who disagree with the church's stated position.
F. Influence of some boards and agencies over General Conference.
Many delegates and observers have expressed frustration at how a few of the boards and agencies of the church (particularly the General Board of Church and Society, the General Board of Global Ministries, and the Women's Division) seem to control much of the legislative process of General Conference, especially at the committee and sub-committee level. Several examples seem to bear this out.
1. Women's Division Orientation for female delegates.
While this orientation for female delegates should be an impartial time of fellowship and general information concerning the process of General Conference, it has been observed that the Women's Division spends the majority of the time telling the delegates their positions on key votes and also coaching them on getting particular delegates in positions of leadership in committees and sub-committees. These practices are a clear violation of the spirit of holy conferencing, especially when only 15% of the women in the UMC are involved in United Methodist Women. (Numbers from GCFA data are available.) This puts women who are advocating for the establishment of alternative women's ministries within the UMC at a clear disadvantage right out of the starting gate of General Conference.
2. Unlimited access of board and agency staff during committee meetings.
Many delegates and observers have reported that several staff persons of the boards and agencies routinely sit right at the periphery of committee and sub-committee groups and give unhindered input in legislative discussions. These persons are strategically placed throughout the legislative process, almost guaranteeing the endorsement of petitions authored by their perspective board or agency, clearly an unfair advantage to other individuals and groups at General Conference.
3. Time spent on the voluminous Book of Resolutions.
In 1960, the Book of Discipline carried only 6 resolutions. A separate Book of Resolutions has been published after every General Conference since the 1968 church merger. It has grown exponentially over the years and become the mouthpiece for political and social advocacy for a few of the boards and agencies of the UMC. By 1980, there were 221 pages to this book. By 1984, it had doubled to 451 pages. By 2008, we are at 1009 pages! Countless hours are spent at General Conference on the political and social agendas of a few boards and agencies. Their success is staggering and warrants examination.
In the 2008 Book of Resolutions, out of 352 resolutions passed, the origin of these legislative pieces are the Board of Church and Society (31.5%), the General Board of Global Ministries (27.6%), and the Women's Division (8.5%). These three groups work on many of these resolutions together, so together these three boards are responsible for 67.6% of the total Book of Resolutions. The policies, programs, and resolutions of these agencies tend to be politically partisan, theologically "progressive", and socially liberal. When you add three other boards which also work closely with these three agencies (General Commission on Christian Unity, and Inter-Religious Concerns, the General Commission on Religion and Race, and the General Commission on the Status of Women), these six groups are responsible for 79.5% of the entire volume. Resolutions authored by individuals and conferences have a successful passage rate of only 7.4% each. There is only one resolution authored by a local church. (A complete report of this statistical analysis is available.)
Perhaps limiting the scope and influence of a few boards and agencies over the process of General Conference would enable the church to participate in the legislative outcomes of the conference in a more equitable fashion.
V.WORST CASE SCENARIOS AND HOW TO AVOID THEM
Our intent is not to be caustic, hostile or divisive; but simply to be honest. We acknowledge that our major problem within our local congregations is not with the practice of homosexuality, but with heterosexuality run amuck. Nevertheless, we strongly support our current stance on this issue. Simply put: we welcome all people, but we do not approve all behavior.
If there was a change in the position of our denomination in regards to the practice of homosexuality no longer being incompatible with Christian teaching, it obviously would have a devastating impact on The United Methodist Church. The experience of the Episcopal Church in America (and that of a Presbyterian congregation in Tulsa which withdrew from their denomination over this issue) is an example and should serve as a warning to us. Very serious and dire consequences would in all likelihood ensue for The United Methodist Church as well. Membership and worship attendance loss, apportionments withheld and unpaid, and litigation would occur in local congregations and within entire Annual Conferences. It is not only large congregations which would be adversely affected by a change in our stance, but churches (and Conferences) of all sizes.
An interesting book which predicts the ultimate demise of The UMC is Lyle Schaller's The Ice Cube is Melting. He believes that our differences are so overwhelming that it is only a matter of "when?" we will split, not "if" we will split. It is our hope that this will not happen.
At a meeting the last week in August, the senior pastors of 92 of the 100 largest United Methodist Churches in the United States had a discussion about this matter in relationship to General Conference. These churches have over 150,000 in weekly worship attendance, and pay between $45-50 million in apportionments each year. While we vary significantly in ministry and theological styles, we left that meeting with a definite consensus that it is imperative that the 2012 General Conference focus on our pathways in worship, prayer, and mission planning, and to defer all legislation concerning human sexuality.
In the strongest possible language we can use, we would ask that the Bishops actively work to help avoid changing the current stance on sexuality.
VI. CLOSING STATEMENT-THE CENTER OF GOD'S WILL AND A WAY FORWARD
Again, we want to thank you for the invitation to dialogue and to discuss issues that are dear to all of our hearts.
Hopefully, you have heard how much all of us and those we represent love the United Methodist Church and our Wesleyan heritage. We are committed to preserving the wonderful gift God gave the world through the Wesleyan revival – its doctrines, disciplines and spirit.
How do we move forward as a church together in mission?
One way that we are convinced will not work for the long term is finding "middle ground." We disagree with that concept (1) theologically and (2) practically.
(1) Theologically, the goal should not be to take a poll of all views within the church and land somewhere in the middle of the most extreme views – mistakenly thinking that such an approach is unity. It is not. It's little more than a politically expedient way to ignore the deep issues that divide us.
The goal is to be faithful to what God has revealed. Where we in the renewal movements are wrong, we want to be corrected. Where we are right, we cannot deny what God has said simply because others see matters differently.
Though our disagreements as a church often center on sexuality, we know that the real issues that divide us are much deeper and more important – issues such as the authority of the Scriptures, the present work of the Holy Spirit, and the uniqueness of Christ (whether his work on the cross is the sole means of salvation for all the world). Even on matters we consider essential, we know that United Methodists are not of one mind. And our differences on these issues do raise the question of what kind of unity is truly possible for the people called Methodist.
We can disagree amicably and with respect. We can look for points of agreement and celebrate those. And we can believe the best about each other. But our goal is not to find a middle ground. Our goal is for the church theologically and missionally to be faithful to what God has revealed and to live in the center of God's will.
(2) Practically, we are uncomfortable with the concept of finding middle ground because we don't believe that's what the other side desires. In Pittsburgh the motif that was chosen by the Reconciling Movement was "like water on a rock." It's a great metaphor and one that is telling. The goal of the
Reconciling Movement is not to agree to disagree – it's to wear away at least some of the long-standing, traditional Christian beliefs regarding human sexuality. Simply stated, it's to change the views which have been in The Discipline for decades and in the Church for centuries.
Any movement away from the current positions and towards what some might describe as middle ground will simply create a new starting point for further dialogue – again with the stated goal of trying to reach new middle ground. Only this time we will begin even further from where the church has always been theologically and closer to a view that the majority of United Methodists hold to be incompatible with Christian teaching.
Practically, finding middle ground will become nothing more than a series of steps, with the goal of each time taking us further from traditional beliefs and closer to views that the church has rejected. Like water on a rock, the ultimate goal is to wear away our resistance to a cultural flood that rejects traditional Christian teaching. And the other side will not be satisfied until this end has been reached.
We don't fault those with whom we disagree for promoting their beliefs. They have every right to do so. But we're not naive. "Middle ground" is only a step toward changing the church's views and it's best to admit so at present and acknowledge that we can't take that journey together.
How do we move forward?
One way is to watch our language. It's hard to believe we can move forward together when we are likened to the KKK by persons representing the other side. It's hard to believe we can work together when we are called racists as we were at General Conference. Or when Bishops refer to us as sinners because we have voted our conscience.
I respectfully ask that if leaders of our renewal groups have ever used derogatory language to refer to persons whose beliefs or practices differ from ours that I be given that information. I will personally ask them to apologize and make whatever amends are necessary.
How we can move forward together?
The best way I know is to agree that The Book of Discipline will be our guide and for our Bishops not only to enforce it but also promote it. It should not fall upon the renewal groups to defend and promote the position of the church regarding sexuality or any issue. That is the charge given to our Episcopal leaders. And yet, when have we ever heard our Bishops give a thoughtful, substantive defense and rationale for
our views? The loudest voices are those that speak in favor of changing the church's position. That does not create unity; and it does not assure our church members that the leadership of the church represents them and their beliefs.
Finally, unity would be greatly helped by a moratorium on the issue of sexuality at General Conference. The renewal groups do not bring up this issue. We would be happy never to discuss it again. Our Discipline holds a gracious and biblical position. The only reason the church is divided on this issue is because various groups repeatedly and passionately try to change the church's views. If we bemoan the fact that our time at General Conference is consumed with this issue every four years and that we should "major on the majors" instead of the "minors" that divide us, let us ask those who force this issue upon us at every General Conference, not to insist on dividing us with the promotion of an agenda that the church has rejected for forty years.
Again, we are grateful for the invitation to meet with you. And we pray God's wisdom and courage for you as you move forward.
|
South Sudan 2013 CHF Standard Allocation Project Proposal
for CHF funding against Consolidated Appeal 2013
For further CHF information please visit http://unocha.org/south-sudan/financing/common-humanitarian-fund or contact the CHF Technical Secretariat
email@example.com
This project proposal shall be submitted by cluster partners in two stages to the Cluster Coordinators and Co-coordinators for each project against which CHF funds are sought. In the first stage, before cluster defenses, applying partners fill sections I and II. The project proposal should explain and justify the activities for which CHF funding is requested and is intended to supplement information already available in the CAP Project Sheets. The proposals will be used by the cluster Peer Review Team in prioritizing and selecting projects for CHF funding during CHF Standard Allocation round. Partners should also fill and submit to cluster coordinator/ co-coordinator the CHF Project Summary (Annex 1). In the second stage projects recommended for funding by the CHF Advisory Board must complete Section III of this application and revised/update sections I and II if needed.
SECTION I:
CAP Cluster
HEALTH
CHF Cluster Priorities for 2013 First Round Standard Allocation
This section should be filled by the cluster Coordinators/Co-coordinators before sending to cluster partners. It should provide a brief articulation of Cluster priority activities and geographic priorities that the cluster will recommend for funding from the CHF in line with the cluster objectives highlighted in the CAP 2013.
Cluster Priority Activities for this CHF Round
Cluster Geographic Priorities for this CHF Round
- Maintain the existing safety net by providing basic health packages and emergency referral services
- Strengthen emergency preparedness including surgical interventions
- Respond to health related emergencies including controlling the spread of communicable diseases
(see chf 2013 R1 health cluster priorities description document for more details on specific supported activities)
Project details
The sections from this point onwards are to be filled by the organization requesting CHF funding.
Project Location(s) (list State, and County (or counties) where CHF activities will be implemented. If the project is covering more than one State please indicate percentage per State)
| State % | | County |
|---|---|---|
| Warrap | 100% | Twic |
Funding requested from CHF for this project proposal
US$ 311,096
Are some activities in this project proposal co-funded?
Yes X No
(if yes, list the item and indicate the amount under column i of the budget sheet)
Indirect Beneficiaries
Indirect beneficiaries count 187,000 people (50% of the whole population of Twic county, including IDPs and returnees).
Catchment Population (if applicable)
The project target is composed of: (i) women in reproductive age, men and children (50% boys and 50% girls) from host communities of Aweeng, Turalei and Wunrok pajams of Twic county, living under the poverty line of 2USD/day and at risk of health complications due to poor hygienic conditions and high food insecurity (80% of the whole target), (ii) IDPs and returnees (at least 40% women in reproductive age and 35% children), living in Twic county and prone
Page1of16
| Total Project Budget | US$ 675,000 |
|---|---|
| requested in the in South | |
| Sudan CAP | |
| Total funding secured for the | US$ 78,150 |
| CAP project (to date) | |
Direct Beneficiaries (Ensure the table below indicates both the total number of beneficiaries targeted in the CAP project and number of targeted beneficiaries scaled appropriately to CHF request)
| | Number of direct beneficiaries targeted in CHF Project | Number of direct beneficiaries targeted in the CAP |
|---|---|---|
| Women: | 8,750 | 15,000 |
| Girls: | 2,030 | 6,500 |
| Men: | 5,406 | 12,000 |
| Boys: | 2,030 | 6,500 |
All states. Grossly underserved counties in the equatorial states (Western, Eastern and Central Equatorial)
Implementing Partner/s (Indicate partner/s who will be subcontracted if applicable and corresponding sub-grant amounts)
N/A
| | Contact details Organization’s Country Office | |
|---|---|---|
| Organization’s Address | | Munuki – Suk Melisha (Juba) |
| Project Focal Person | | Anthony Odhiambo (PM) firstname.lastname@example.org +211 912897847 / 955981350 |
| Country Director | | Alessia Montanari email@example.com firstname.lastname@example.org +211 918570727 |
| Finance Officer | | Mekonnen Abegaz email@example.com +211 921899785 |
to health emergencies due to poor shelters and incomes, high promiscuity (17.5% of the whole target), (iii) prisoners and soldiers living in Turalei, exposed to prolonged unhealthy living conditions and insecurity risks (2.5% of the whole target). All direct beneficiaries will benefit from both preventive and curative health activities, to comprehensively improve EP&R.
CHF Project Duration (12 months max., earliest starting date will be Allocation approval date)
Indicate number of months: 6 months
Starting date: (mm/dd/yy): 04/01/2013
Ending date: (mm/dd/yy): 09/30/2013
| | Contact details Organization’s HQ | |
|---|---|---|
| Organization’s Address | | Via Cirié 31/E – 10052 Torino (Italy) |
| Desk officer | | Daniela Gulino firstname.lastname@example.org Office: + 39 011 6602793 |
| Finance Officer | | Francesca Dal Maso email@example.com Office: + 39 011 6602793 |
A. Humanitarian Context Analysis
Briefly describe (in no more than 500 words) the current humanitarian situation in the specific locations where CHF funded activities will be implemented. Provide evidence of needs by referencing assessments and key data, including the number and category of the affected population 1
In Twic County (Warrap State) live 108,494 women and 105,732 men (OCHA). Further, in 2011-12, 99,891 IDPs moved in to flee clashes with 23 deaths (OCHA). Returnees' population has reached 60,129 people (4,383 only in 2012), mostly women in reproductive age and U5 (OCHA). For 2013, IOM expects 70,000 IDPs from Abyei and 8,148 returnees.
Twic County health indicators are dire:
- U5 mortality rate 135/1,000 births (Warrap is the 2nd worst State in SS),
- infant mortality rate 102/1,000 births,
- maternal mortality rate 2,054/100,000 live births.
The combination of poor health, hygiene, nutrition standards and late referral seriously hinder the capacities to prevent common diseases (malaria, water-borne diseases, ARI) from turning into severe cases. The appalling food insecurity (the area is marked as 'in crisis' by WFP with 129,000 people expected in need of food aid in 2013) worsens the already weak MARPs' status (U5, women in childbearing age, IDPs, returnees, prisoners and people living in remote areas). Proximity to border, huge inflation, poor infrastructures and hostile weather (flood-prone area) aggravate the effects of natural and human-made disasters, on top of poor health indicators.
Turalei Hospital receives many injured/traumatized patients from inter-ethnic and cross-border clashes, uncontrolled use of small arms (UNDP, 2012) and victims of mine blasting (UNMAS has included Twic in the map of the possibly contaminated areas). SPLA soldiers' recruitment/deployment to face cross-border tensions and tribal upraise result in young men's (military and non) involvement in armed fights. Conflicts, displacement, promiscuity/polygamy exacerbate the incidence of STIs (including HIV) and GBV. Low reported HIV rate (0.7%) is linked to limited testing capacities (only in Turalei and Kuajok) and low HIV/AIDS awareness (only 21%, UNAIDS, 2012). Unhealthy RH practices in both host and IDP/returnees' communities (poor FP, late STIs treatment, late obstetric emergency referral) stem from socio-economic factors (women fully depend on men for decision-making), stigmatization of STIs/sterility, poor confidence in male health staff. No gender disparity in children's access to health care is assessed.
Assessed humanitarian health needs include in Twic county:
1. 24/7 emergency surgical capacities mainly to P&LW, victims of clashes, girls/boys traumatized
2. hospital OPD/IPD enhanced capacities to treat medical complications not manageable at PHC level,
3. emergency RH services (including mainstreaming on HIV), for women/partners in remote areas, cattle camps or IDP/returnees' camps,
4. training of local health staff for emergency health care service provision (including triage and post-surgery follow up),
5. community sensitization on hygiene, sanitation, outbreaks prevention/control, targeting caretakers (men and women), women in reproductive age and partners, prisoners, soldiers, TB patients, opinion leaders
6. institutional EP&R capacity building
7. inter sector coordination to improve the e-warn and referral system
'Mother Teresa' County Hospital in Turalei, covering Gogrial, Western Bar-el-Ghazal and Abyei, is the only hospital offering lifesaving operations (MSF Hospital in Agok serves a different catchment area). In 2012:
- 3,714 U5 (50% boys and 50% girls) accessed OPD,
- 1,950 women were ANC clients (328 receiving TT2+),
- 345 delivered assisted by SBA (44 through caesarean sections),
- 816 surgical operations, were carried out, out of which (406 for emergencies),
- 896 traumas (wounds, burns) were treated.
Humanitarian support to Twic county secondary health system is essential to: (i) maintain safety nets until the HPF starts, (ii) not disrupt emergency/surgical capacities, (iii) prevent drug stock raptures, (iv) enforce EP&R capacities. Host and IDP/returnee' communities shall be equally targeted to ensure equal access to service delivery and to promote integration and prevent clashes
B. Grant Request Justification
Briefly describe (in no more than 500 words) the reasons for requesting CHF funding at this time. Explain how CHF funding will help address critical humanitarian gaps in your cluster. Explain the value added by your organization (e.g. geographical presence). Indicate if any other steps have been taken to secure alternative funding.
Primary Health Care service provision in Twic county is ensured by a relatively effective network of PHCUs supported by different implementing partners (Goal, ADRA, MoH). Anyhow, none of these partners nor supported facilities can (i) treat common diseases complications in need of admission (especially sever malaria and ARI cases), (ii) provide quality skilled birth attendance, (iii) manage surgical cases and emergency obstetric complications, (iv) assist serious victims of traumas.
All PHC facilities in Twic and Gogrial counties of Warrap State as well as from neighbouring counties of Unity State do refer all cases in need of secondary health care to 'Mother Teresa' Hospital in Turalei and ordinary patients do come from far distances, including clash-affected or disputed areas (namely Agok, Abyei and Unity western pajams) since MSF Hospital in Agok cannot cover all the requests. The hospital plays also an essential role in increasing information and creating awareness on HIV prevention, gender and sexuality awareness including ABC promotion. By Q2 2013 also a TBMU shall be set in 'Mother Teresa County Hospital in Turalei, identified by the National TB Programme and WSMoH as the county site for the provision of TB management and control
1 To the extent possible reference needs assessment findings and include key data such as mortality and morbidity rates and nutritional status, and how the data differs among specific groups and/or geographic regions. Refer situation/data/indicators to national and/or global standards.
services.
CCM is partner of the Catholic Diocese of El Obeid in running Mother Teresa County Hospital in Turalei, which is mostly been supported by CHF and private donors/foundations and religious congregations. The Hospital is not supported by any pooled-funding mechanisms (namely Crown Agents) in place during the bridge period (waiting for the Health Pooled Fund to start).
In Warrap State the HPF will not be functional until Q3 and secondary health services (including emergency/surgeries) may not be founded or only at limited extent. A drug-supply fund replacing the MDTF is not yet in place and MoH quarterly supplies not yet delivered shall cover only up to 2 months. RoSS 2012 Austerity Plan will continue in 2013 and no additional assistance in terms of medical supplies/equipment or human resources is expected (MoH has employed only 2 qualified health staff in Turalei Hospital).
Current CHF provision will be come to an end by Q1 2013 and, after that, Turalei Hospital functionality may dramatically drop if resources are not secured in time to:
i. procure/preposition drugs and lab supplies to face the rainy season demands (especially for antimalarials, diarrheal kits, trauma kits and reproductive health kits
ii. ensure 24/7 emergency and surgical capacities services;
iii. grant adequate hospital staffing tor the provision of the MISP in RH services to MARPs in Twic county (with particular emphasis to U1, U5, P&LWs, IDP/returnees);
iv. improve health emergency referral, epidemiological surveillance, outbreaks control for Turalei, Aweeng and Wunrok communities;
v. strengthen the capacities of local health staff and Twic CHD on early warning, first aid, emergency preparedness/response.
This project proposal covers 6 months to ensure adequate and proper staffing for 'Mother Teresa Hospital in Turalei from the completion of the current CHF project to the HPF effective start. Up to date, CCM could spend only 52% of the availed budget (CHF 2012 R2 project) since (i) CHF 2012 R1 resources were also fully exhausted, (ii) major procurement for drugs and medical supplies is being finalized in Q1 2013 to ensure proper hospital capacities up to the end of Q1, (iii) all the indirect human resources and most indirect costs are planned to be charged in Q1 2013.
Added values of the proposal are:
- Increased capacities prevention and control of diseases outbreaks (i.e. malaria and severe ARI),
- Strengthened hospital capacities to perform emergency and surgical interventions,
- Improved health referral system for local communities, IDPs and returnees,
- Enhanced health supervision and monitoring system, working closely with concerned CHDs.
Close collaboration with Twic CHD ensures the effective integration of Mother Teresa County Hospital in Turalei services in the county health system, the timely info sharing among partners, IDRS/DHIS reporting and coordination to tackle/control emergencies and to link up for an integrated management of frontline Health Care & Nutrition services.
C. Project Description (For CHF Component only)
i) Contribution to Cluster Objectives
Briefly describe how CHF funding will be used to contribute to the achievement of the cluster priority activities identified for this allocation.
The overall objective of the project is to reduce the vulnerability to health related emergencies of both host and IDP/returnee' communities in Twic County (Warrap State), by combining health emergency response/control (including safety nets and surgical capacities) and institutional capacity building for preparedness.
The project purpose is perfectly integrated within the Health Cluster strategy and is in line with all the three Clusters priorities:
- Maintain the existing safety net by providing basic health packages and emergency referral services
- Strengthen emergency preparedness including surgical interventions
- Respond to health related emergencies including controlling the spread of communicable diseases
Health emergency response (including 24/7 surgical capacities, MISP in RH services, traumas management and treatment) is provided mainly in Mother Teresa County Hospital in Turalei (emergency mobile clinics in IDP/returnees sites when required). Enhanced emergency preparedness is pursued through combining institutional capacity building for health surveillance, e-warning system and outbreaks control and community sensitization on health, hygiene and sanitation. Awareness raising activities target opinion leaders (community/religious leaders, teachers, VHC, CBOs) and MARPs (women and men living under the poverty line and with poor education, prisoners, soldiers).
ii) Project Objective
State the objective/s of this CHF project will achieve. Objective/s should be Specific, Measurable, Achievable, Relevant and Time-bound (SMART)
The specific objectives of the project are:
- to increase at least by 10% the access of local and stranded population (IDPs, returnees and nomads) to continuous and effective frontline hospital health care in Twic County (Warrap State), with main focus to maternal, neonatal and new-born care (baseline: 85 persons/month);
- to ensure 24/7 comprehensive emergency service – with main focus on emergency and obstetric emergency – at hospital level;
- to increase at least of 10% the number of community members sensitized on health and hygiene-related safe behavior to prevent spread of infectious diseases and outbreaks (baseline: 800 persons/month).
The achievement of the objective and of the expected results (see below) will be monitored through the utilization of a number of specific measurable indicators, selected among the Health Cluster output indicators and the MoH requirements for health reporting, since relevant to achieve the HSDP 2011 – 2015 targets, as well as health related MDGs.
The project timeframe is considered adequate to meet the project objectives, since it represents the natural continuation and enhancement of CHF 2012 project.
The requested additional resources are exclusively meant at (i) maintaining a minimum level of secondary health service provision, mostly targeting U5 (boys and girls), P&LW, victims of clashes, IDPs and households under the poverty line, and (ii) scaling up CCM raising awareness and outreach capacities, to improve the epidemiological surveillance in the project catchment area.
iii) Proposed Activities
List the main activities to be implemented with CHF funding. As much as possible link activities to the exact location of the operation and the corresponding number of direct beneficiaries (broken down by age and gender to the extent possible).
The project objective will be achieved through implementing and monitoring the following activities, grouped under 3 outputs:
Output 1. Frontline basic and emergency health services, including surgical capacities, are available in 'Mother Teresa' County Hospital in Turalei to host and IDP/returnees' communities
1.1 Provision and prepositioning of drugs (including diarrheal and trauma kits), lab, medical and non medical supplies, complementing MoH and donors' stocks to face outbreaks
1.2 OPD/IPD service provision (focusing on boys and girls U5, P&LWs, women and men victims of traumas/injuries)
1.3 Emergency RH service provision, mainly by female health staff (MCH, FP, ANC, clean and safe delivery, PNC, STI management, GBV medical follow-up, counseling and referral)
1.4 Maintenance of Vaccine Cold Chain for ordinary and emergency EPI (focusing on new-born and P&LWs)
1.5 Provision of 24/7 emergency secondary and surgical health care
1.6 TA on the job and theoretic trainings for local health staff on (i) management of communicable disease, (ii) triage, (iii) first aid and basic surgical skills.
HIV awareness and education mainstreaming is ensured throughout all the above listed activities.
TARGETS:
- U5 consultation: at least 1,925 (50% boys, 50% girls)
- Adult consultations: at least 3,200 (50% men, 50% women)
- ANC clients: 1,050 (out of which 200 receiving IPT2)
- PMTCT services: 690
- Skilled attended deliveries: 180 (at least 10% Cesarean sections)
- EPI services: 935 vaccinations (out of which 120 DPT3)
- Surgery operations: 400 (at least 50% emergencies)
- IPD care: 2,500 (40% pediatric)
- Trained facilities staff: 20 (at least 50% female)
Output 2. Host and IDP/returnees' communities are sensitized on preventive health, hygiene and safe reproductive health
2.1 Organization of daily health education session for patients and caretakers in Turalei Hospital, focusing on hygiene, sanitation and prevention of communicable diseases
2.2 Organization of targeted trainings for community leaders, religious leaders and VHCs on preventive health, hygiene and sanitation and prevention of communicable diseases (focusing on women's access to health services)
2.3 Organization of monthly health, hygiene and sanitation sensitization sessions targeting Turalei prison, military camps and IDP/returnees' sites, including medical screening and referral to Turalei Hospital for emergency treatment
HIV awareness and education mainstreaming is ensured throughout all the above listed activities.
TARGETS:
- Community members reached by health education messages in Turalei Hospital: 5,700 (at least 40% men)
- Leaders, VHCs and other leaders sensitized on safe health and hygiene practices: at least 12
- Community members/IDPs/returnees/prisoners reached by health education messages during outreaches: 1,600 (at least 40% men)
Output 3. Institutional capacities to manage health services, EP&R and e-warning system in Twic County are improved
3.1 CHD training and capacity development on: (i) epidemic preparedness, (ii) E-Warn, (iii) surveillance.
3.2 Organization of workshop for all stakeholders (CHD, RRC, health implementing partners, UN agencies, etc.) on emergency referral mechanism in Twic county
3.3 Participation in the Health sector coordination mechanism at County and State level
3.4 Strengthening inter-sector coordination through building relations with WaSH, Nutrition, Food Security and Protection partners at county level.
TARGET
- CHD members capacity built: 4
iv). Cross Cutting Issues
Briefly describe how cross-cutting issues (e.g. gender, environment, HIV/AIDS) are addressed in the project implementation.
DISASTER RISK REDUCTION is mainstreamed in all project components through the provision of basic health services for host , IDPs and returnees' communities both at facility and outreach level, by implementing the following activities: (i) improving the emergency preparedness and control mechanisms, which will strengthen the current capacity of stakeholders to early detect and respond to any public health emergencies; (ii) strengthening the referral system to the next level of care
ENVIRONMENT: (i) incinerators and placenta pits for hazardous waste management are in use and periodically maintained in Turalei hospital (sharps, needles, syringes, blades and bottles are incinerated while rests of waste are burned to ash in the disposal pit), (ii) the outreach teams shall be trained on how to manage the waste material produced during the outreaches visits, (iii) periodic maintenance will be regularly done on the project vehicles and generators, to limit the waste of fuel and related-emissions, (Turalei hospital mainly relies on solar system for power).
HIV: CCM will ensure that the universal procedures to prevent HIV and AIDS are respected and implemented, as well as that the staff is informed on HIV/AIDS prevention. CCM shall ensure: (i) mainstreaming of FP in comprehensive RH services, (ii) promoting VCT and PMTCT services availed in Turalei Hospital (priority target: prisoners, soldiers, youths, P&LWs, TB/HIV positive persons), (iii) facilitating the counseling and referral of HIV positive patients to facilities where ARV treatment is available, (iv) including HIV/AIDS awareness messages in health education sessions at facility and community level, (v) guaranteeing universal precautions and safe blood supply during direct transfusions (surgery), (vi) managing the consequences of sexual violence, including provision of PEP and linking with protection cluster for client follow-up.
GENDER: (i) equal opportunity of accessing the health services offered by Turalei Hospital are ensured to both male and female patients; (ii) mobile clinic service in the most remote areas and critical contexts (as returnees and IDPs camps) will facilitate women in accessing health care, as they are usually penalized by HFs distance because of their home care duties and of some traditional rules regulating their movements. Moreover, women will play a great role in the successful implementation of the project activities through the active participation of the female health staff in the health activities, including outreach and health education sessions.
CAPACITY DEVELOPMENT; theoretical and on the job trainings, workshops and coordination meetings involving both health personnel and institutional partners (State and County level) have been included as main project activities to concretely enforce the early warning and health emergency risk reduction and ensure adequate sustainability to the project. The identified implementation modalities (see below) envisage and pursue full and active involvement of the institutional stakeholder in the project follow up and consistent monitoring, as well as in the regular info and data sharing with other stakeholders to better coordinate emergency response and manage integrated resources. As far as health personnel is concerned, when availability of qualified health staff is limited, also the task shifting approach (endorsed by WHO), backed by continuous supportive supervision is pursued.
v) Expected Result/s
Briefly describe (in no more than 300 words) the results you expect to achieve at the end of the CHF grant period.
The project is aimed at achieving 3 main results, which are strictly linked to the overall and specific objectives of the project and which the above mentioned activities stem from:
1. Frontline basic and emergency health services, including surgical capacities, are available in 'Mother Teresa' County Hospital in Turalei to host and IDP/returnees' communities
- 'Mother Teresa' hospital in Turalei is properly supplied with drugs (including emergency drug kits) and medical/lab supplies to effectively treat patients, mostly focusing on human-made or natural disasters (clashes, floods, fires, etc.), P&LW and U5.
- All emergency services in 'Mother Teresa' Hospital are functional 24/7 (including theatre, IPD, emergency RH/EPI services),
- The staff of 'Mother Teresa' hospital in Turalei is properly trained and mentored and provided with sound TA.
2. Host and IDP/returnees' communities are sensitized on preventive health, hygiene and safe reproductive health
- Patients and caretaker accessing 'Mother Teresa' hospital services are informed/educated on and aware of health, hygiene and sanitation principles
- IDPs' and returnees and MARPs in the project catchment area are sensitized on health, hygiene and sanitation principles
- Key opinion leaders are informed on health, hygiene and sanitation principles
3. Institutional capacities to manage health services, EP&R and e-warning system in Twic County are improved
- Twic county CHD is capacity built on EP&R and health surveillance.
List below the output indicators you will use to measure the progress and achievement of your project results. At least three of the indicators should be taken from the cluster defined Standard Output Indicators (SOI) (annexed). Put a cross (x) in the first column to identify the cluster defined SOI. Indicate as well the total number of direct beneficiaries disaggregated by gender and age.
| # | Output Indicators (Ensure the output indicators are consistent with the output indicators that will be used in the results framework section III of this project proposal). |
|---|---|
| 1 | number of >5 consultations (male and female) |
| 2 | number of <5 consultations (male and female) |
| 3 | Number of emergency surgical operations carried out |
| 4 | Number of births attended by skilled birth attendants |
| 5 | Number of antenatal clients receiving IPT2 second dose |
| 6 | Number of health workers trained in MISP / communicable diseases / outbreaks / IMCI / CMR |
vi) Implementation Mechanism
Describe planned mechanisms for implementation of the project. Explain if it is implemented through implementing partners such as NGOs, government actors, or other outside contractors.
CCM (Comitato Collaborazione Medica) is an Italian NGO, providing support to Mother Teresa Hospital in Turalei (Twic County, Warrap State) since 2003.
The hospital was built and started by the Diocese of El Obeid, which has asked CCM support for the ordinary management of hospital activities and technical assistance in health service delivery. Mother Teresa Hospital is recognized by WSMoH as county hospital and is taken as model of effective secondary health facility in all Warrap State for the quality of services provided. CCM is partner to both WSMoH and Twic County CHD and this collaboration ensures the respect of all MoH guidelines/protocols in health care delivery, as well as the adherence to DHIS/IDRS reporting system and timeframes.
CCM core interventions include primary and secondary health care, with a special focus on reproductive, maternal and child health, especially for vulnerable groups in need of humanitarian assistance. Actions promoted and supported by CCM aimed at strengthening the local health system rather than duplicating efforts or establishing parallel health structures.
The project aims at ensuring continuation and preventing the disruption of the provision of basic service package and uninterrupted emergency services, including surgical interventions, at Turalei Hospital. Furthermore, the project foresees to scale-up the promotion of maternal and child health, through the organization of education and sensitization activities.
CCM project staff is composed of a small team of expatriates (project manager, surgeon, anesthetist, matron, midwife), providing both high-skilled health services and continuous supportive supervision to the local staff, backed by trained local staff employed in 'Mother Teresa' Hospital (Warrap SMoH could avail only 2 health staff, expected to join CCM team in Turalei during Q1 2013). In addition to the clinical job, the project shall rely on the local health staff, as well as the already functioning community mechanisms, to reach out and disseminate essential and key messages to the local populations, the IDPs and returnees in a bid to change their health seeking behavior. Health education and sensitization activities will mainly focus on child health and the importance of immunization, personal and community hygiene, malaria prevention and treatment.
Finally, the project will also build the County Health Department capacities by training the personnel on strategic planning and involving them in the monitoring and supervision of activities being implemented. Community leaders will also be trained in order to enhance the involvement of the community in the acknowledgment and ownership of the health services offered in the county.
With regard to data collection and analysis, the correct and timely utilization of DHIS and IDRS will ensure integration of the project data within the MoH reporting system and will contribute to the timely info sharing to prevent/control outbreaks.
The project design is based on the proactive and continuous collaboration between the implementing partner (CCM) and health institutions at Warrap State and Twic County level. In order to ensure proper coordination, adherence to the activity plan and capacity of prompt project adjustments (when required), a Management Committee (MC) will be purposely established and meet on regular basis to ensure achievement of expected results. The MC will be composed of Twic CHD Manager, CCM Project Coordinator and a representative of the El Obeid Diocese (or its delegate), and will be responsible for: (i) defining/consolidating/readjusting the work plan, (ii) sharing information and data on the activities and services carried out and in pipeline, (iii) debating possible project implementation challenges and identifying the related way forward, (iv) providing technical assistance in the project supervision, (v) consolidating quarterly project reports.
vii) Monitoring and Reporting Plan
Describe how you will monitor and report on the progress and achievements of the project. Notably:
1. Explain how will you measure whether a) Activities have been conducted, b) Results have been achieved, c) Cross-cutting issues have
been addressed, and d) Project objectives have been met
2. Indicate what monitoring tools and technics will be used
3. Describe how you will analyze and report on the project achievements
4. Ensure key monitoring and reporting activities are included in the project workplan (Section III) 2 .
The Management Committee of the project, including representatives from all partner associations, will be set up and meet on monthly basis to ensure effective monitoring of the project activities. In particular, it will look for shared solutions to the problems that may arise and redefine the strategy of intervention on the basis of the data acquired during the monitoring exercise.
A monthly report on the activities undertaken versus the work plan shall be prepared by the Project Manager and submitted to CCM Country Representative, to check on the progress of the activities and action forward. Along with the narrative monthly report also health indicators are registered, including information on all the hospital services (OPD, IPD, ANC/PNC, maternity, EPI, VCT Centre, theatre, laboratory, drug management).
CCM staff includes also an M&E Officer based in SS Head Office (Juba), who will pay periodic visits in the project areas, to check about the consistency of reported indicators/targets and effective performances. Further, CCM Regional Health Advisor will conduct at least one M&E mission, to provide further inputs on how to better tailor action to answer the assessed needs and achieve the project results.
On top of it, CCM shall compile: (i) weekly IDSR reports, (ii) monthly DHIS reports, (iii) monthly malaria sentinel reports, (iv) and monthly TB reports (once TB programme would start). All data will be shared at both County and State Level with Twic CHD and Warrap SMoH. They will also be availed to all main stakeholders, through proactive participation in the sector cluster coordination mechanism at State level. The same will be done at federal level, through CCM Juba office.
The monitoring of the activities and the evaluation of the project progress will be enriched through the establishment of several control mechanisms. These are reported below:
- Effective Reporting System: (i) compilation of daily/weekly/monthly facility registers. Health staff will be trained, supervised and supported to ensure the regular compilation of registers and reports including the daily/weekly/monthly health facility registers (ii) compilation of outreach reports (iii) compilation of monthly and quarterly reports for Twic County authorities and
2 CHF minimum narrative reporting requirements will include the submission of a final narrative report and where applicable a narrative mid-term report. Narrative reports will include a progress on the project achievements using the outputs indicators listed in this project proposal.
Warrap State MoH; (iv) Quarterly progress reports and final report will also be compiled for the donor, using the facility and activities data; (v) monthly and quarterly reports are regularly shared with HQ project department for revision;
- Employment and/or utilization of key human resources: (i) Health professionals skilled in hospital management and supervision, responsible for assisting and supporting the local health staff in the daily provision of service to local communities, IDPs and returnees; (ii) M&E Officer and Regional Health Advisor; (iii) CCM HQ desk reviewers,
- Experience sharing: CCM will share periodical information and data on project implementation with the Health cluster focal person both at Warrap State and federal level, to share views and lessons learnt, and get additional inputs and comments. Moreover, coordination meetings will be organized with Twic CHD and other stakeholders in the health sector, to monitor the emerging needs of the county population and ensure prompt reaction to emergency situations.
- Effective financial monitoring system: (i) CCM accounting systems is based on the double-entry system, which records transactions into journals and ledgers. Daily transactions, including purchases, cash receipts, accounts receivable and accounts payable are recorded using a specific accounting software which is reconcile on a weekly/monthly basis under the supervision of HQ administrative department, (ii) Budget follow-up are elaborated and approved by HQ project department together with the request for funds (ii) procurement plan is elaborated at the begin of the project and review on a quarterly basis with the support and supervision of HQ procurement officer; III) compilation of financial report is elaborated by CCM country administration with the support of a Project accountant and subsequently approved by HQ administrative department.
F. Budget Guideline
Each CHF project proposal must include a budget which details the costs to be funded by CHF. The budget should reflect activities described in the project narrative, and include sufficient detail to provide a transparent overview of how CHF funds will be spent. Budget lines should be itemized including quantity and unit prices of items to be procured whenever possible. Use the annexed excel sheet to fill the budget ensuring it strictly adheres to CHF budget guidelines hereafter. These guidelines provide guidance on budget category description (section i), type of budgetary information required (section ii) and guidance on Direct and Indirect costs (section iii)
Note i) Description of Budget Categories
Note ii) type of budgetary information required
(a) Items Description: Provide a brief description of items required to implement the project.
(b) Location: The place where the cost is incurred. This column is key to determine the Direct and Indirect nature of the budget line in column c.
(c) Cost Type (I or D): Indicate if a budget line is D (direct) or I (indirect). See Notes iii) below for guidance on how to determine the cost type.
(d) Unit of measurement: indicate the unit used to measure the budget line. e.g months, tonnage, pieces etc
(e) Percentage/full-time-equivalent (FTE): indicate the percentage or FTE that CHF will cover.
(f) Quantity: the amount in relation to the unit of measurement, such as number of people, number of months etc
(g) Unit Cost: the cost of one item.
(h) Total CHF Cost: the sheet automatically calculates once column e, f and g are filled in
(i) Other funding to this project including in kind: indicate if there is any other funding or resources (cash or in-kind) received toward activities of this project. e.g supplies received from the pipelines.
Note iii) Guidance on Direct and Indirect Costs
1. RELIEF ITEMS and TRANSPORTATION
- If relevant to the project all cost fall under direct cost
- Cost for supplies should be presented separately from cost of transport in the budget sheet
2. PERSONNEL
Direct costs:
- All Staff costs, including entitlements, of personnel directly involved in the implementation of the project and based at project location. (Remember to provide in the budget a detailed description of staff members title & post location.)
Indirect costs:
- All Staff costs and entitlements of personnel not directly involved in the implementation of the project (Juba/other state capital headquarters staff). (For Juba/ other state capital HQs staff, charged to the project please provide in the budget a detailed description of staff members title, location and percentage of time devoted to the project and equivalent dollar amount. For example for an M&E officer at Juba level, devoting 10% of his/her time for six months, the row will be filled as follows:
Please note, the budget sheet will automatically calculate the total cost.
3. STAFF TRAVEL
Direct costs:
- Travel cost of staff directly involved in the implementation of the project (staff based at project area) are direct. Please specify in the budget line where from and where to is travel intended.
Indirect costs:
- Travel cost for support staff not directly involved in the implementation of the project (e.g. headquarters staff travelling on mission to the project location).
4. TRAININGS, WORKSHOPS, SEMINARS, CAMPAIGNS
Direct costs:
- All costs of training, workshop, seminars and campaigns if they are directly related to the outcome of the project (e.g. mobilization campaign to promote hygiene and sanitation; training of nurses on safe delivery). (Remember to describe in the budget the type of training, the number of participants, location and duration of the training).
5. CONTRACTS
- All costs under contracts fall under direct. Please remember to provide a description of the services provided.
6. VEHICLE OPERATING & MAINTENANCE COSTS
Direct costs: if related to vehicles used at the project implementation area
Indirect costs: if related to vehicles outside project areas (e.g. vehicle cost in Juba for a project being implemented in Bor)
7. OFFICE EQUIPMENT & COMMUNICATIONS
Direct costs:
- If items/service is used at the project implementation area
Indirect costs:
- If items/service is used outside of the project implementation area (e.g. Cost of services in Juba Country Office for a project being implemented in Bor).
8. OTHER COSTS (bank charges, …)
Direct costs:
- If items/service is used at the project implementation area costs Indirect costs:
- If items/service is used outside of the project implementation.
- Visibility is considered Indirect cost.
9. Programme Support costs (Indirect cost)
10. AUDIT COSTS for NGO implemented projects (Indirect Cost)
Please refer to CHF guidance note (annexed) to calculate Direct versus Indirect cost in the budget sheet
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SECTION III:
This section is NOT required at the first submission of a proposal to the cluster coordinator/co-coordinator. However it is required to be filled for proposals recommended for funding by the Advisory Board.
The logical framework is a tool to present how the implementation of CHF funded activities and their results (outputs and outcomes) will contribute to achieving higher level humanitarian results (project and cluster objectives) and how these results will be measured.
Fill in the logical framework below for this project proposal ensuring the information provided is in accordance with the strategies and activities described in the narrative section of this proposal, in particular section C.
Results - Outcomes (intangible):
State the changes that will be observed as a result of this CHF Project. E.g. changes in access, skills, knowledge, practice/behaviors of the direct beneficiaries.
Outcome 1
Frontline basic and emergency health services, including surgical capacities, are available in 'Mother Teresa' County Hospital in Turalei to host and IDP/returnees' communities
Outcome 2
Host and IDP/returnees' communities are sensitized on preventive health, hygiene and safe reproductive health
Outcome 3
Institutional capacities to manage health services, EP&R and e-warning system in Twic County are improved
Immediate-Results - Outputs (tangible):
List the products, goods and services (grouped per areas of work) that will result from the implementation of project activities. Ensure that the outputs are worded in a manner that describes their contribution to the outcomes.
For Outcome 1
- Output (i): 'Mother Teresa' hospital in Turalei is properly supplied with drugs (including emergency drug kits) and medical/lab supplies to effectively treat patients, mostly focusing on humanmade or natural disasters (clashes,
floods, fires, etc.), P&LW and U5
- Output (ii): All emergency services in 'Mother Teresa' Hospital are functional 24/7 (including theatre, IPD, emergency RH/EPI services),
- Output (iii) The staff of 'Mother Teresa' hospital in Turalei is properly trained and mentored and provided with sound TA.
Indicators of progress:
What are the indicators to measure whether and to what extent the project achieves the envisaged outcomes?
Monitoring of progress towards meeting the total expected beneficiaries:
- Men: 5,406
- Women: 8,750
- Girls: 2,030
- Boys: 2,030
Out of the total 18,216 beneficiaries:
- 10,900 (59,84%) will have access to frontline health services at hospital level (Outcome 1)
- 7,312 (40,14%) will be sensitized on Health, Hygiene and Sanitation (Outcome 2)
- 4 (0,02%) will be institutional members capacity built on EP&R (Outcome 3)
Indicators of progress:
What are the indicators to measure whether and to what extent the project achieves the envisaged outputs?
Ensure the indicators identified in Section II (v) of this proposal are adequately inserted in this section.
For Outcome 1:
- N. of U5 consultation: at least 1,925 (50% boys, 50% girls)
- N. of Adult consultations: at least 3,200 (50% men, 50% women)
- N. of ANC clients 1,050 (out of which 200 receiving IPT2)
- N. of PMTCT services conducted: 690 - N. of Skilled attended deliveries: 180 (at least 10% Caesarean sections)
- N of EPI services; 935 vaccinations (out of which 120 DPT3)
- N. of Surgery operations: 400 (at least 50% emergencies)
- IPD care: 2,500 (40% paediatric)
- N. of Trained facilities staff: 20 (at least 50% female)
How indicators will be measured:
What are the sources of information on these indicators?
- Quarterly Narrative project reports for donors and WSMoH,
- Quarterly Technical Performance reports for donors and WSMoH,
How indicators will be measured:
What are the sources of information on these indicators?
For Outcome 1:
- Hospital patients' registers (daily, weekly, monthly),
- Hospital drug consumption registers (daily, weekly, monthly),
- Hospital monthly and quarterly reports (DHIS, EPI, MCH, Malaria sentinel report),
- Training attendance sheets.
Assumptions & risks:
What factors not under the control of the project are necessary to achieve the expected outcomes? What factors may get in the way of achieving these objectives?
- Collaboration of concerned State and local institutions (WSMoH, Twic CHD, HIV/AIDS Commission, etc.);
- Collaboration from other stakeholders (UN agencies, other IPs operating at PHC level and in Nutrition/WaSH, returnees' sectors),
- Conducive environment for INGOs in Twic county;
Assumptions & risks:
What factors not under the control of the project are necessary to achieve the expected outcomes? What factors may get in the way of achieving these objectives?
For Outcome 1:
- DoE confirms its support to Mother Teresa Hospital in Turalei and to CCM as implementing partner,
- WSMoH honours the provisions of the MoU signed with CCM for collaboration in Primary and Secondary Health Service provision in selected counties of Warrap State (including Twic)
- Project funds are timely availed
- Local communities, IDPs and returnees do acknowledge and are willing to access/utilize hospital services
For Outcome 2:
For Outcome 2:
For Outcome 2:
For Outcome 2:
Activity 2.3
Organization of monthly health, hygiene and sanitation sensitization sessions targeting Turalei prison, military camps and IDP/returnees' sites, including medical screening and referral to Turalei Hospital for emergency treatment
Inputs
- Human resources: Project manager
- Qualified local human resources;
- Collaboration with Warrap State MoH, Twic CHDs and other health stakeholders
- Cultural mediation
- Community involvement - Movement capacities
Activities for Result n. 3
| Activity 3.1 CHD training and capacity development on: (i) epidemic preparedness, (ii) E-Warn, (iii) surveillance. | Inputs - Human resources: qualified trainers; - Availability of RoSS official training guidelines, manuals, - Procurement/printing of training materials |
|---|---|
| Activity 3.2 Organization of workshop for all stakeholders (CHD, RRC, health implementing partners, UN agencies, etc.) on emergency referral mechanism in Twic county | Inputs - Human resources: qualified trainers; - Availability of RoSS official training guidelines, manuals, - Procurement/printing of training materials |
| Activity 3.3 Participation in the Health sector coordination mechanism at County and State level | Inputs - Human resources: Project manager - Movement capacities |
| Activity 3.4 Strengthening inter-sector coordination through building relations with WaSH, Nutrition, Food Security and Protection partners at county level. | Inputs - Human resources: Project manager - Movement capacities |
| | Q1/2013 | | | | Q2/2013 | | | | Q3/2013 | | | | | | Q4/2013 | | | | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| | | Feb | Mar | Apr | | May | Jun | Jul | | Aug | | Sep | | Oct | | Nov | Dec | Jan | Feb |
| Result n. 1 | | | | | | | | | | | | | | | | | | | |
| | | | | | | | | | X | | X | | X | | | | | | |
Assumptions
- Freedom of movement
- Collaborative attitude from local stakeholders and international organizations
PROJECT WORK PLAN
This section must include a workplan with clear indication of the specific timeline for each main activity and sub-activity (if applicable).
*: TIMELINE FOR EACH SPECIFIC ACTIVITY MUST BE MARKED WITH AN X AND SHADED GREY 15%
| Q1/2013 | Q2/2013 | | | Q3/2013 | | | Q4/2013 |
|---|---|---|---|---|---|---|---|
| | X | X | X | X | X | X | |
| | X | X | X | X | X | X | |
| | X | X | X | X | X | X | |
| | X | X | X | X | X | X | |
| | | X | | | X | | |
| | X | X | X | X | X | X | |
| | | | X | | | X | |
| | X | X | X | X | X | X | |
| | | | X | | | | |
| | X | X | X | X | X | X | |
| | X | X | X | X | X | X | |
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UNITED STATES DISTRICT COURT DISTRICT OF ARIZONA Planned Parenthood Arizona, ) Incorporated, et al., ) ) Plaintiffs, ) ) vs. ) CV-19-00207-TUC-JGZ ) Mark Brnovich, et al., ) ) Tucson, Arizona Defendants. ) July 22, 2019 ____________________________) 1:04 p.m. TRANSCRIPT OF SCHEDULING CONFERENCE BEFORE THE HONORABLE JENNIFER G. ZIPPS UNITED STATES DISTRICT JUDGE For the Plaintiffs: Ms. Catalina Vergara Mr. Dimitri D. Portnoi O'Melveny & Myers, LLP - Los Angeles, CA 400 South Hope Street, 18th Floor Los Angeles, CA 90071 Mr. Daniel B. Pasternak Squire, Patton, Boggs, LLP - Phoenix, AZ 1 East Washington Street, Suite 2700 Phoenix, AZ 85004 Ms. Alice Clapman Planned Parenthood Federation of America - New York, NY 123 William Street New York, NY 10038 Proceedings recorded by mechanical stenography, transcript produced by computer. Aaron H. LaDuke, RMR, CRR Federal Official Court Reporter 405 W. Congress St. Tucson, Arizona 85701 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25
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APPEARANCES CONTINUED: For Plaintiff Paul A. Isaacson, M.D. Mr. Marc A. Hearron Center for Reproductive Rights - Washington, D.C. 1634 Eye Street NW, Suite 600 Washington, D.C. 20006 Ms. Jessica L. Sklarsky Center for Reproductive Rights 199 Water Street, 22nd Floor New York, NY 10038 For Defendant Mark Brnovich: Mr. Andrew G. Pappas Office of the Attorney General - Phoenix 2005 North Central Avenue Phoenix, AZ 85004 For Defendants Members and Executive Director of the Arizona Medical Board and Arizona Board of Nursing: Mr. John R. Tellier Office of the Attorney General - Phoenix 2005 North Central Avenue Phoenix, AZ 85004 For Defendant Cara M. Christ Ms. Aubrey Joy Corcoran Office of the Attorney General - Phoenix 1275 West Washington Street Phoenix, AZ 85007 * * * * * 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25
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PROCEEDINGS
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THE CLERK: In civil matter 19-207, Planned Parenthood America, Incorporated, et al., versus Brnovich, et al., on for a scheduling conference. Counsel, please state your appearances. MS. VERGARA: Good afternoon, Your Honor. Catalina Vergara of O'Melveny & Myers here on behalf of plaintiffs. I'm here with my law partner, Dimitri Portnoi, and one of our summer associates, Andrew Campa, who is a law student at Berkeley. THE COURT: Good afternoon. MR. PAPPAS: Good morning, Your Honor -- or good afternoon, rather. Andrew Pappas of the Arizona Attorney General's Office for Attorney General Mark Brnovich. THE COURT: Good afternoon. And do we have attorneys on the phone? MR. PASTERNAK: Good afternoon, Your Honor. This is Dan Pasternak on behalf of plaintiffs. MS. CLAPMAN: And Alice Clapman on behalf of plaintiffs. MR. TELLIER: Good afternoon, Your Honor. Assistant Attorney General John Tellier on behalf of the Members and Executive Director of the Arizona Medical Board and the Arizona Board of Nursing. THE COURT: Good afternoon. 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25
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MR. HEARRON: Marc Hearron on behalf of plaintiff Dr. Isaacson. MS. SKLARSKY: Jessica -MS. CORCORAN: Aubrey Joy Corcoran -- I'm sorry. Aubrey Joy Corcoran with the Arizona Attorney General's Office for defendant Dr. Cara Christ. MS. SKLARSKY: Jessica Sklarsky on behalf of plaintiff Dr. Isaacson. THE COURT: All right. Is that everyone? MS. VERGARA: I believe so, Your Honor. THE COURT: All right. Thank you. All right. So I have multiple counsel for plaintiffs. Will each attorney be speaking, or is there one attorney who is speaking for plaintiffs generally? MS. VERGARA: This is Catalina Vergara. I will be speaking on behalf of plaintiffs, Your Honor. Thank you. THE COURT: Thank you. And for the defendants, who all will be speaking? MR. PAPPAS: Your Honor, this is Andrew Pappas. I'll be speaking primarily, though if I need for Ms. Corcoran or Mr. Tellier to chime in on behalf of their respective clients, I'll ask them to do so. THE COURT: All right. Thank you. All right. So this is the time set for a scheduling conference in this matter. The parties have submitted a joint 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25
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Rule 26(f) report. Thank you for that submission. The report proposes standard deadlines for discovery and disclosure of certain matters in this case. I appreciate those.
The deadlines are a little bit longer than what are presumptively set in our cases, but I realize this isn't the standard type of accident case or such, so I'm assuming that the parties have proposed these deadlines, have taken into account what type of discovery and disclosure is needed and how long it will take to have expert reports prepared and such. 4 5 6 7 8 9 10
But to review that, I'm going to ask if each party would please generally summarize the discovery that's anticipated so that I'll have an idea of what that is, and I'll start with Ms. Vergara. 11 12 13 14
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MS. VERGARA: Yes, Your Honor. Thank you.
As you know from having reviewed our joint report, this litigation challenges a series of statutes and regulations in the state and a rather extensive web, if you will, of statutes and regulations. 16 17 18 19
The litigation we anticipate and the discovery will be focused on uncovering not only information on the legislative history regarding the statutes that were implemented but also information regarding the enforcement of the various statutes and how they have played out in the state of Arizona and restricted the rights of women in Arizona to access legal 20 21 22 23 24 25
1 abortions.
And so we do expect a fair amount of expert discovery, which is why we've allotted for, if I'm not mistaken, two months following the close of fact discovery for the parties to submit expert reports and an additional two months for rebuttal reports. 2 3 4 5 6
And we recognize that that is perhaps longer than in your typical case, as Your Honor mentioned, but given the extent of the expert discovery that we are anticipating, we feel that the time limits are appropriate and worked collaboratively with Mr. Pappas to come up with a schedule that we mutually thought would work for the case. 7 8 9 10 11 12
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THE COURT: All right. Mr. Pappas.
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MR. PAPPAS: Thank you, Your Honor.
We did work collaboratively together and agree that the deadlines are reasonable, particularly given the extent of the factual allegations in the plaintiffs' complaint. It runs to -- I think I checked -- 188 paragraphs of factual allegations, and, of course, we want to test all of those allegations. 15 16 17 18 19 20
A lot of the allegations in the complaint concern the effects, the alleged effects of these laws on Planned Parenthood and the other plaintiffs. Among other things, they allege that these laws caused for their clinics to close, for example, and so we'll want to test -- we'll want to test the 21 22 23 24 25
1 veracity of all those allegations.
We also anticipate a reasonable but substantial amount of expert discovery, including with regard to the medical benefits and other benefits, for that matter, associated with the challenged laws. 2 3 4 5
So we also think that the discovery proposal is reasonable under the circumstances. 6 7
THE COURT: The substantial amount of expert discovery, what does that consist of? 8 9
MR. PAPPAS: Well, that's a good question, Your Honor. We don't exactly know yet. I mean, we do anticipate identifying medical experts, for instance, who could opine on the benefits of certain of these laws. I don't know what sort of expert testimony exactly the plaintiffs have in mind, but I know that they've represented to us that they do intend to engage multiple experts. 10 11 12 13 14 15 16
MS. VERGARA: Yes, Your Honor, and we've begun the work of thinking through those issues. It will be guided, of course, in part by what we learn over the course of fact discovery, but much of the expert discovery we expect to be focused on how these laws have affected the women of Arizona in seeking legal abortions, and that could touch on a number of different areas. So we do anticipate fairly extensive expert discovery, and I would invite Mr. Portnoi to fill in the details, with Your Honor's indulgence. 17 18 19 20 21 22 23 24 25
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MR. PORTNOI: Yes. So we would expect that there would be a number of experts. I know that Mr. Pappas in this regard mentioned impacts, but those impacts may result in multiple experts, for instance, in different communities.
Arizona is not a state that's easy to summarize with a single, a single easy expert in different communities. In, for instance, tribal areas, rural areas, you'll see different impacts than you do in urban areas. But also we intend to test, ourselves, the veracity of the medical benefits that are purported to accompany these laws and whether or not there are sufficient benefits to justify them as is contemplated in the standards of cases such as this in the U.S. Supreme Court, like Whole Woman's Health. 5 6 7 8 9 10 11 12 13
THE COURT: All right. And then as far as the number of depositions, if I'm reading the parties' report correctly, neither party is planning on exceeding the number of depositions provided for in the rules, at least not at this point. That's not something that's anticipated; is that correct? 14 15 16 17 18 19
MS. VERGARA: That's correct. At this time, we don't anticipate exceeding the limits. Should there come a time when either side believes that to be necessary, we will work together to see if we can come up with a solution that makes sense, Your Honor. 20 21 22 23 24
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MR. PAPPAS: That's correct, Your Honor.
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THE COURT: All right. The defense raises an issue with respect to Joey Ridenour, that the complaint names Ms. Ridenour in the caption but not in the body, and there are no factual allegations pertaining to the executive director. Is that an issue that the plaintiffs intend to address with an amendment or dismissal? MS. VERGARA: No, Your Honor, it's not an issue that we intend to address. Joey Ridenour is the executive director of the Arizona State Board of Nursing, and the allegations that pertain to that board pertain to Ms. Ridenour. THE COURT: All right. And the defense raises the issue or states its position that plaintiff lacks standing to assert the punitive constitutional rights of patients. Is that something that the defense intends to address by motion? MR. PAPPAS: It is not, Your Honor. THE COURT: All right. MR. PAPPAS: At least not at this juncture. THE COURT: All right. The report indicates the parties have talked about a plan for disclosure of electronically stored information. No issues with that? That's in place? MS. VERGARA: Your Honor, we've begun those conversations and they're progressing very well. We've agreed, on the plaintiffs' side, to draft an ESI protocol to exchange with Mr. Pappas and his office for their review and 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25
expect to be able to work out any issues on that front. We're also working on a protective order that we'll exchange and collaborate on. 1 2 3
THE COURT: All right. And that was my next question, since it seems that that would be a possible impediment to discovery, but the parties -- is there a deadline or date by which you have set to submit a proposed protective order? 4 5 6 7 8
MS. VERGARA: We've offered to send drafts of both the ESI protocol and the protective order to Mr. Pappas by Wednesday of this week, so in a couple of days, and we'll work together to get that resolved quickly so that it doesn't impede the parties' productions. 9 10 11 12 13
THE COURT: All right. I am going to adopt the guidelines that the parties have proposed, and I will by separate order adopt those guidelines and then provide general information about how this Court conducts its cases and what to do in particular circumstances, and I want to cover two of those specific standard procedures that I follow. 14 15 16 17 18 19
Discovery disputes: You all know that if there's a discovery dispute that the rules require personal consultation and that the Court expects that the personal consultation will occur and that it will be cordial, and the best method, of course, is in-person and in-person can be over the phone. 20 21 22 23 24
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But if after personal consultation the parties are unable
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to resolve a dispute, it's my procedure that the parties jointly, or in this case more than jointly, contact the law clerk assigned to this case telephonically and tell the law clerk what the nature of the dispute is. If I'm available, I'll get on the line and we'll see if we can resolve the discovery dispute then. If I need additional information based on the nature of the dispute, then I'll have the parties provide briefing. It will be abbreviated briefing. And the idea is to keep the case on track. So I wanted to make you aware of that procedure. 1 2 3 4 5 6 7 8 9 10
As far as motions for summary judgment, it appears that this might be the kind of case where motions for summary judgment would be filed and that potentially cross-motions for summary judgment could be filed, and if that occurs, then I'm going to ask the parties to consider a four-brief briefing schedule to address those motions, and my order will set out the details of that. 11 12 13 14 15 16 17
Usually we set a deadline, a periodic deadline for the parties to report as to settlement efforts, and the idea of that deadline is to make sure the parties are periodically talking about the case and seeing if it can be resolved. This doesn't strike me as the kind of case where that would be useful, so unless the parties disagree, I would not anticipate including that type of requirement in the scheduling order. 18 19 20 21 22 23 24
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Does anyone disagree with that?
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MR. PAPPAS: No, Your Honor. MS. VERGARA: No, Your Honor. THE COURT: Counsel, are there any other issues that we could address at this point with respect to scheduling or the progression of the case that will help to resolve or keep it on track? Anything from the plaintiffs? MS. VERGARA: No, Your Honor. THE COURT: Anything from the defense? MR. PAPPAS: No, Your Honor. THE COURT: All right. I appreciate the parties' joint report and the way that everyone's working together to conduct the discovery. I appreciate that very much. And I will issue an order essentially that will be adopting the guidelines that you've proposed and then providing some information about the procedures, as I talked about here in court, in the scheduling order. All right. If there's nothing further, we'll stand at recess. Thank you. MS. VERGARA: Thank you very much, Your Honor. MR. PAPPAS: Thank you, Your Honor. MR. TELLIER: Thank you, Your Honor. (Court recessed at 1:19 p.m.) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25
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CERTIFICATE
I, Aaron H. LaDuke, do hereby certify that I reported the foregoing proceedings to the best of my skill and ability, and that the same was transcribed by me via computer-aided transcription, and that the foregoing pages of typewritten matter are a true, correct, and complete transcript of all the proceedings had, as set forth in the title page hereto.
Dated this 23rd day of September, 2019.
______s/Aaron H. LaDuke_____
Aaron H. LaDuke, RMR, CRR Official Court Reporter
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Marijuana Licensing Work Group Meeting #4
June 25, 2020
Attendance:
* Ashley Kilroy (co-chair), Denver Department of Excise and Licenses
* Molly Duplechian (co-chair), Denver Department of Excise and Licenses
* Councilmember Candi CdeBaca, Denver City Council
* Councilmember Kendra Black, Denver City Council
* Michelle Garcia, Denver Mayor's Office of Social Equity and Innovation
* Anshul Bagga, Denver City Attorney's Office
* Jason Moore, Denver City Attorney's Office
*
Michel Holien, Denver Public Schools
*
Sarah Woodson, The Color of Cannabis
* Shawn Coleman, 36 Solutions
* Truman Bradley, Marijuana Industry Group
* Sarah Belstock, Denver Public Health
*
John Bailey, Black Cannabis Equity Initiative
* Jaqueline Flug, Drizly
* Clarissa Krieck, National Cannabis Industry Association
* Ryan Tatum, Cultivated Synergy
* Henny Lasley, Smart Colorado
* Dan Pabon, Schwazze
* Kenneth Allison, All About Hemp
* Ean Seeb, Governor's Office
* Jessica Scardina, Vicente Sederberg
Agenda:
1. Welcome and Introductions
2. MLWG Purpose and Ground Rules
3. MLWG Meeting Format
4. Continue Topic #3: Marijuana Equity Program
5. Next Steps
Meeting Notes:
| Item | Discussion |
|---|---|
| Introduction and | |
| Marijuana Equity | |
| Program Comparison | |
Should Denver adopt the same language for a "social equity licensee" from HB 201424?
* A member requested the link to the presentation be included in the Microsoft Teams Live group chat so the public could access it.
* A member asked whether state or city agencies have determined whether their programs are successful. The member also asked what challenges have persisted. A representative for the Department of Excise and Licenses said that partners in other jurisdictions have shared their challenges, successes, and advice with the city, but that none are likely prepared to say that their program is an outright success yet. The representative for the Department said that beyond legal challenges, some jurisdictions have experienced challenges with implementation, communication, or local cooperation.
* A member asked whether the Department researched social equity programs in other industries and suggested legal challenges would not be unique to cannabis. A representative for the Department said research on equity programs has guided the city attorneys. A representative for the City Attorney's Office said equity programs are new to licensing processes.
* A member said the Health Kids Colorado Survey data shows high rates of youth marijuana use in communities of color. The member said outlet density in some neighborhoods may contribute to this, and that the city and the industry should consider how to strike balance between creating an equity program and protecting impacted neighborhoods. The member expressed concern that the budget shortfall created by COVID-19 will impact youth marijuana use prevention programs.
* A representative for the Department expressed a desire to better understand how that balance could be achieved and expressed that it was for this reason that there is a diversity of background and experience on the workgroup so that the City can receive input on how to achieve that balance.
* One member asked why there is an income requirement in the state definition and expressed concern that it makes the definition too broad such that it would benefit people beyond those it was intended to benefit. The member advocated for using race as criteria and eliminating the income criteria.
* Another member responded that the income criteria is designed to actually do the opposite and allow more people to apply for social equity licensee status. The member recommended against removing the income criteria from the city's definition and said if it is removed, some black and brown people will not qualify as social equity applicants because they do not have cannabis arrests or convictions or did not live in impacted neighborhoods. The member said there could be tiers of criteria carved out in rulemaking. For example, the member said, if an individual qualifies under multiple criteria, the individual may be eligible for additional resources, such as priority application review. The member said adding race to the
criteria could result in legal challenges, which the member felt would halt licensing and end up harming social equity applicants rather than helping them.
* One member suggested using tax revenue from the marijuana industry to create a fund to help equity applicants obtain capital to start a cannabis business.
* One member said that the criteria should be explicit about race and ethnicity.
* One member said that the criteria in the bill are a baseline and cities may tailor them to their own communities. The member suggested that disparities in health outcomes for youth in some communities could be related to businesses in those communities. The member said if people can own businesses in their own communities, the economic benefit may help mitigate some of the health disparities. The member said that the license classes of hospitality and new retail stores in particular are community-facing, and suggested that helping equity applicants own those businesses would allow youth to see business owners who look like them in the community.
* Another member responded and said that minority business owners might not start businesses in their own communities because zoning regulations may not allow it. The member said that finding locations is difficult and people will start businesses wherever they can find viable locations.
* A member asked when state rulemaking will begin. A representative from the Governor's Office said that rulemaking on HB 20-1424 will begin this summer and will be completed in time for the effective date of the bill on January 1, 2021.
* One member said that Denver has the largest proportion of black people in the state, so the city's criteria should be more narrowly tailored than the state's criteria. The member said that the majority of poor people are white, so using income criteria could unintentionally benefit more white people than black people. The member proposed removing the household income criteria and explicitly including minority groups.
* One member said the city should not attempt to prevent white people from participating in the program and cautioned against minimizing the experiences of people who were harmed by the war on drugs. The member said the program's objective should be to allow all people harmed by the war on drugs to benefit from legalization.
* A member asked whether it benefits the city to align with the state's definition. Another member said that aligning with the state as much as possible promotes compliance and make it easier to understand regulations. A third member disagreed and said cities appreciate the flexibility to create their own guidelines and do what is best for their communities.
What tools, services, and benefits would be valuable to individuals who qualify for Denver's cannabis social equity program?
* One member suggested that there are likely between three and ten potential equity applicants currently. The member said that the group should focus on what success looks like, how to get more equity businesses into the market, and how to do it as fast as possible.
* One member asked how disproportionately impacted areas will be designated. Another member responded that in other states, disproportionately impacted areas are identified by neighborhoods with high rates of police enforcement, cannabis arrests, or drug use, or neighborhoods with higher rates of poverty or lower household incomes. The member said that disproportionately impacted areas for Colorado would be determined in the state's rulemaking process.
* One member suggested that because black and brown children are using marijuana at higher rates, social equity businesses in their communities should be held to a higher standard of corporate social responsibility.
* One member suggested using tracts that have been historically redlined to identify disproportionately impacted areas.
* A member who represents the National Cannabis Industry Association said NCIA has created a social equity scholarship program that includes complimentary annual membership for social equity applicants, a reduction in sponsorship prices, a mentorship program and complimentary tickets to NCIA's B2B trade shows. The member said the program will help social equity applicants with networking, technical assistance, and professional development opportunities.
* One member suggested the city look at what its core capabilities are, which would include prioritized license distribution and financial assistance. The member said that industry groups are better suited than the city to provide technical assistance.
* One member said there should be a dedicated revenue stream to create a grant program for equity applicants, not just low-interest loans. The member also said that the city should license cannabis cooperatives to alleviate financial burdens.
* One member expressed that access to capital must be the top priority for an equity program or the program will fail.
* One member asked how the infrastructure for an equity program would be funded. The member suggested that the industry should provide assistance where the city's budget may fall short.
* One member said the industry will contribute when and how it can but noted that federal prohibition and Section 280E of the Internal Revenue Code make it very difficult for the industry to profit, as plant-touching businesses are taxed at a rate of over 70%. The
member noted that because of this, there will be a need for ongoing financial support for social equity business owners.
* A member said tax revenue could be used for the fund, and again urged the industry to fund social equity efforts.
* One member said that discussions about federal taxation should not be part of the equity conversation.
* One member said that industry consolidation is happening as smaller companies lose market share due to IRS Code 280E. The member said the city and state lose more money in the couch cushions than industry could ever contribute.
* Another member said it is less likely the city and state will be able to help because of the budget shortfall created by COVID-19.
* One member asked, if ten people apply for a license, and six were social equity applicants, would all six social equity applicants get a license if they qualify? Another member explained that licensing ratios could be used; for example, for every license issued to a social equity applicant, a non-social equity applicant could apply. For example, the member said, if the ratio is 5:1, after the fifth equity license is approved, a new license is made available for a non-equity applicant. The member said that the theory is that equity licenses create non-equity licenses as they are approved. The member also advocated for hospitality being a preferred license for equity applicants.
* One member said there should be no licenses available for nonequity applicants.
* One member advocated for a more neutral policy. The member suggested that new retail and cultivation locations should be awarded to equity applicants only, new hospitality licenses and delivery permits should be issued on a 1-to-1 ratio, and the city should figure out how to make the accelerator program work. The member cautioned against policies that would harm current business owners because if current industry does not support the program, the program will face challenges. The member pointed to Los Angeles, where the member said equity applicants are caught in a war between the existing industry and the city because the industry is unhappy with how licenses were distributed.
* One member said there should be no new licenses until equity licenses are available. The member also said that a culture shift is needed.
* One member said it is important to create a culture that normalizes marijuana hospitality in order for hospitality to be a viable license type.
Which cannabis licenses should be included in the Cannabis Social Equity Program?
* One member said that police and criminal justice receive large budgets, and suggested reallocating funds from police to an equity program.
* One member asked whether new hospitality licenses would be double with the number of cannabis locations in the city. The member also expressed concern about how this would impact youth marijuana use, particularly in neighborhoods that are saturated with marijuana businesses.
* One member said that outlet density impacts youth use rates, and suggested thinking about this when discussing caps and location requirements.
* One member said the city must define what percentage of cannabis licenses would help achieve equity, and the goal of the program.
* One member asked why the city would award any licenses to nonequity applicants, and suggested the that the proportion of licenses should reflect the proportion of black and brown people arrested, sentenced or convicted during the war on drugs. A second member asked how the license distribution could reflect such a proportion when only a few licenses will be made available under the cap. The first member responded that any new licenses should go to equity applicants until there is a balance among all licenses that reflects the proportion of people impacted by the war on drugs. The second member responded that such a proposal would never achieve balance in the industry and would come at the expense of equity applicants.
* Another member disagreed with the proportions of licenses being related to the proportion of black and brown people impacted by the war on drugs. The member noted this proposal would have a negative impact on social equity applicants, particularly in regard to delivery licensing, because the state requires stores that work with delivery transporters to hold delivery permits, too. The member said the concept is noble but it will not work in practice.
* A member suggested prohibiting the sale of licenses because white business owners are likely to sell to other white business owners without giving social equity applicants an opportunity to buy the license. The member said all new licenses should go to social equity applicants until there is a balance, and there should be no new licenses awarded that deepen the imbalance.
* Another member reiterated the proposal to make new store and grow licenses available to social equity applicants only. However, the member noted that if delivery licenses are made available only to equity applicants, the program will fail and people will not have access to medicine.
How does the existing licensing framework affect implementation of a successful equity program?
* One member asked who would make the decision about how licenses will be allocated. A representative for the Department responded that it would draft an ordinance based on the feedback gathered from this group and other stakeholders, then it may reconvene the work group for feedback on the draft ordinance. The Department said that the ordinance would then move through the normal City Council process with additional public feedback.
* One member said the Zoning code is discriminatory.
* One member said he previously testified to City Council that the Zoning regulations and proximity restrictions were too restrictive. The member said that industry is unlikely to fight for new grow or retail licenses in Denver because it is too difficult to find a viable location. The member said the zoning restrictions are a clear barrier, and that the 1,000-foot setback for cultivations from residential zone districts and the 1,000-foot setback from store-to-store are too restrictive.
* One member said that there should be no lottery for the remaining cultivation and retail licenses and said that the lottery requirements create a barrier to entry.
* One member asked how applicants would qualify for the lottery, and asked if the lottery was only open to social equity applicants, would there be additional criteria, such as proof of financial capability, that would eliminate some applicants?
* One member asked why the lottery was procedure was created, and said that the qualification requirement to show proof of financial capability is a barrier to entry. The Department said that the lottery was established by City Council in 2016 when the city was nearing the end of the phase when only existing medical licensees were allowed to add or convert to a retail license and retail licenses were about to be made available to the public.
* A member asked who will decide on proposals and recommendations made by work group members. A representative for the Department said proposals and recommendations will inform an ordinance that will be sent to City Council. The member suggested City Council members begin preparing their colleagues for some of the proposals and recommendations made in the work group.
* A City Council member asked if lottery requirements would need to be changed through an ordinance or could be amended through rule. A representative for the Department said that the lottery requirements are in the municipal code and would need to be changed through an ordinance.
* One member asked how many licenses have been revoked in the past two years. The Department said that revoked and surrendered licenses are returned to the lottery pool to be redistributed when the lottery is reopened.
Given the current economic climate, what are possible ideas for funding a cannabis social equity program in Denver?
* One member said that if the city removes proof of financial capability as a requirement for the lottery, then the city should coordinate with the state, as the Marijuana Enforcement Division requires certain financial information for new applicants.
* The Department clarified that zoning requirements apply to all like uses, not just marijuana, and explained that marijuana stores are allowed in zone use districts that allow retail sales, and cultivations are allowed in zone use districts that allow plant husbandry. The representative asked what members would propose to expand or adjust zone use districts.
* A City Council member asked why cultivations were relegated to industrial neighborhoods and not commercial areas, and asked if the Department would recommend to the Department of Community Planning and Development that cultivations be allowed in commercial zones. The Department said that City Council has more influence over Zoning than the Department does, but that the Department would be happy to engage Community Planning & Development and City Council in a conversation about zoning requirements for marijuana cultivations.
* Several members said that odor from marijuana cultivations is a significant concern that contributes to zoning of marijuana cultivations. Another member responded that odor regulations are unenforceable.
* One member suggested that funding for an equity program should come from annual fees on current licensees so as not to have to propose a tax increase to the voters. The member also suggested adding a fee to the sale of a license.
* A representative for the Department reminded members that licensing fees go into the general fund, and those funds are allocated through the budget process. The representative also said fiscal policy requires that licensing fees can only charge what is needed to recoup costs of managing a program. A member responded that the fee would be used to recoup costs of implementing a social equity program.
* One member recommended creating a mechanism to hold the equity program accountable for results.
* One member suggested creating a Cannabis Control Commission to do work related to social equity because more staff will be needed to manage the program.
* One member said that the way the city spends money is a statement about how the city values black and brown people. The member also said that the cannabis industry pays some of the highest fees of any industry, and that while it is easy to talk about top line industry revenues, the bottom line is what matters.
* One member suggested allowing businesses to renew their licenses every two years, which would reduce the amount the administrative
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Hospital Readmissions among Medicaid Beneficiaries with Disabilities: Identifying Targets of Opportunity
By Todd Gilmer, PhD, University of California San Diego, and Allison Hamblin, Center for Health Care Strategies, Inc.
DECEMBER 2010
P reventing unnecessary readmissions among Medicaid beneficiaries offers tremendous opportunity to improve health care quality and reduce spending. This new Faces of Medicaid analysis was commissioned by the Center for Health Care Strategies (CHCS) to examine readmission rates among Medicaid beneficiaries with disabilities (defined for the study as those not dually eligible for Medicare, receiving Supplemental Security Income (SSI), and in fee-for-service care). The goal of the analysis was to identify potential opportunities to improve care and reduce recurring hospitalizations. It builds on previous CHCS Faces of Medicaid analyses that explored the patterns and prevalence of comorbidity within Medicaid populations and the impact of comorbidity on costs and utilization. 1 This analysis focuses on Medicaid beneficiaries with disabilities through a variety of lenses: by morbidity and comorbidity patterns; by state; and by whether or not beneficiaries had a physician visit between discharge and readmission. With great attention being paid to readmissions nationally and growing momentum to increase accountability for preventing these events, this analysis should help Medicaid stakeholders identify critical opportunities for intervention.
In Brief
Preventable readmissions offer a key opportunity for states to improve quality and reduce costs. This analysis by Todd Gilmer, PhD, at the University of California, San Diego highlights opportunities for Medicaid stakeholders to target interventions for beneficiaries with disabilities at greatest risk for readmission. Select findings reveal:
* The 30-day readmission rate for Medicaid beneficiaries with disabilities was 16 percent, rising to 53 percent within one year.
* Fifty percent of those readmitted within 30 days did not visit a physician between discharge and readmission.
* The likelihood of readmission increased with the number of chronic conditions.
The analysis highlights the need for targeted action to reduce avoidable readmissions, particularly for high-risk populations. The finding that half of those who are readmitted within 30 days have not seen a physician in the interim demonstrates clear opportunities for intervention.
BACKGROUND
The 2009 article by Steven Jencks and colleagues in the New England Journal of Medicine heightened attention to the problem of readmissions in the Medicare population 2 and provided a model for Medicaid and other payers to examine readmission trends in their own populations. According to Jencks' findings, nearly 20 percent of Medicare beneficiaries are readmitted to a hospital within 30 days of hospital discharge. While it is not clear how many of these readmissions could be prevented with better systems of ambulatory care, it is striking that fully half of the patients who are readmitted had no claims for physician visits between the discharge and readmission. In addition, some of the highest rates of readmissions occurred among persons who were discharged with chronic conditions that might be targeted by disease management and prevention programs. 3
There are reasons to expect that patterns of readmission may be different among beneficiaries with disabilities in Medicaid programs. First, state-level policies, which play a critical role within Medicaid, may influence readmission rates. 4 Second, the pattern of chronic illness may vary between Medicare and Medicaid beneficiaries with disabilities, and thus the causes for readmission may differ among participants in these two programs. Finally, beneficiaries with disabilities have a high level of multimorbidity (i.e., multiple comorbidities) that may both predict readmission and identify opportunities for intervention. 5
STUDY DESIGN OVERVIEW
This analysis examines readmission rates among 941,208 fee-for-service, Medicaid-only beneficiaries with disability who were hospitalized during 2003-2005. It uses data from the Medicaid Analytical Extract (MAX) data system supplied by the Centers for Medicare & Medicaid Services. 6,7 The MAX data are constructed from the Medicaid Statistical Information System and include eligibility and claims data for all Medicaid beneficiaries from all 50 states plus the District of Columbia. The study focuses on beneficiaries with disabilities receiving cash assistance, since federal requirements for SSI ensure some level of comparability across state Medicaid programs. The analysis excludes Medicaid beneficiaries enrolled in managed care, as well as beneficiaries dually-eligible for Medicare, because the MAX data do not capture Medicare experience. 8 For a more detailed description of study methodology, see sidebar below.
METHODOLOGY
This analysis followed the methods used by Jencks and colleagues to calculate 30-day, 60-day, 90-day, and 365-day readmission rates among fee-forservice, Medicaid-only beneficiaries with disabilities. 9 The study first identified all beneficiaries who were hospitalized between January 1, 2003 and November 30, 2005. For each beneficiary within this group, the study identified their first hospitalization, excluding admissions that resulted in transfers to other acute care hospitals or death on the day of discharge, as well as their first readmission to a hospital, excluding readmissions for rehabilitation (based on receiving a primary diagnosis of V571, V5789, or V579). The probability of readmission was then calculated within the four timeframes listed above, excluding observations where the timeframe exceeded a beneficiary's window of eligibility. The percent of beneficiaries with readmissions within 30 days who did not receive any physician services between the time of discharge and the time of readmission was also estimated.
Next, the relationship between morbidity and hospital readmission was examined. For each beneficiary, morbidity was calculated using the Chronic Illness and Disability Payment System (CDPS). 10 CDPS is a risk adjustment model used to adjust capitated payments to health plans that enroll Medicaid beneficiaries. CDPS was used to map diagnosis codes from the calendar year prior to the index hospital admission to one of 58 CDPS categories within 19 major categories corresponding to type of disease (e.g., diabetes, infectious disease) or body system (e.g., cardiovascular, pulmonary). 11 The number of CDPS categories was also calculated for each beneficiary. Thirty-day readmission rates were compared by number of CDPS categories, and logistic regression was used to analyze the relationship between the probability of readmission within 30 days and specific CDPS categories. Incremental effects were estimated for the 10 CDPS categories that were the most predictive of readmission.
The predictive ability of specific comorbidities, defined as interaction across major CDPS categories, was also investigated as well as the impact of multimorbidity, defined as the number of major CDPS categories. A set of interaction variables was created across the CDPS major categories. Then a set of 19 logistic regressions was run, each including the full set of major categories in addition to one set of interaction variables. 12 All interactions with a logistic regression coefficient of 0.2 or greater (corresponding to approximately a 20 percent increase in the probability of readmission) were identified. These covariates were added into a final logistic regression including all 57 CDPS categories and indicator variables for the number of CDPS categories, and incremental effects were calculated. 13
Finally, the analysis examined geographic variation in readmission rates among states and analyzed the relationship between readmission rates and market characteristics among hospital referral regions (HRRs). 14 Interstate variation in 30-day readmission rates among the Medicaid and Medicare programs was also compared. Logistic regression was used to estimate the relationship between the probability of readmission within 30-days, measures of supply in the market for health services, and Medicaid program characteristics. Market supply was measured at the hospital referral region and included the number of acute care beds, primary care physicians, and specialist physicians per 1,000 population. Medicaid program characteristics were measured at the state level and included the average price per inpatient day, number of outpatient visits, price per visit, number of pharmacy fills, and price per fill. 15 Incremental effects of statistically significant covariates were calculated and evaluated at two standard deviations. 16
FINDINGS
The 30-day readmission rate was 16.3 percent.
Exhibit 1 shows the 30-day, 60-day, 90-day, and 365-day readmission rates for Medicaid beneficiaries with disabilities in the study population. At 16.3%, the 30-day readmission rate was somewhat lower than Jencks finding of 19.6% among Medicare beneficiaries. Readmission rates climbed to 53.4 percent during a 365-day window.
Fifty percent of those readmitted within 30 days did not have a physician visit between discharge and readmission.
This finding is identical to Jencks' result among Medicare beneficiaries, and suggests a compelling opportunity for intervention. Exhibit 2 shows the number of physician visits between discharge and readmission among beneficiaries who were readmitted within 30 days. By encouraging greater continuity of care between hospitals and community physicians, states can promote more coordinated discharge planning and higher rates of physician follow-up. Potential mechanisms for doing so include the adoption of transitional care models, the creation of accountable care organizations, and the implementation of bundled payment methodologies, all of which are supported by a number of provisions under the Affordable Care Act and are of principal interest to the newly created Center for Medicare and Medicaid Innovation.
The likelihood of readmission increases with the number of chronic conditions (i.e., CDPS categories).
Exhibit 3 shows 30-day readmission rates by the number of CDPS categories. The probability of readmission is higher for newly enrolled beneficiaries (18.2 percent) than for beneficiaries with one CDPS category (12.7 percent). Newly enrolled beneficiaries may be in a more acute phase of their disability, resulting in higher admission rates. 16 Among those with one or more CDPS categories, the probability of readmission increases with the number of CDPS categories, and there is a much steeper gradient among beneficiaries with more than five CDPS categories: the probability of admission within 30 days increases from 19.7 percent among those with six CDPS categories to 36.1 percent among those with 10 or more CDPS categories. 18
Low-cost skin disorders comprised the CDPS category most predictive of readmission.
Exhibit 4 shows the incremental effects for 10 CDPS categories that were the most predictive of readmission within 30 days. 19 Perhaps surprisingly, the CDPS category most predictive of readmission was "skin, very low cost." The most common diagnosis in this category is cellulitis, infection of the skin caused by bacteria. 20 These infections may be the result of poor self-care combined with a compromised immune system, possibly resulting from cancer, HIV/AIDS, substance abuse, or homelessness. Beneficiaries receiving diagnoses related to "skin, very low cost" in the previous year were 8.8 percentage points more likely to be readmitted to the hospital within 30 days (or 54 percent more likely from a base rate of 16.3 percent).
Other CDPS categories that were highly predictive of readmission included cancers, substance use disorder, hematological disorders, and schizophrenia. Slightly less predictive, but still important predictors of readmission included gastrointestinal conditions (most commonly cirrhosis), heart failure or complications related to devices of grafts, infections including AIDS / HIV, renal failure or dialysis, and type 1 diabetes with complications. Heart failure is another well-identified condition for which there exist interventions with documented cost effectiveness at reducing readmission. 21 Cancer and renal failure / dialysis may represent conditions for which readmissions are more likely to be planned, and are therefore less appropriate targets for intervention.
A number of combinations of conditions represent key opportunities for intervention. For example, the combination of cardiovascular and pulmonary conditions is associated with an 11 percent increase in the probability of readmission. This risk is 1.7 percentage points greater than the cumulative probability of readmission of each category alone. Although this incremental effect is relatively small, 16.5 percent of the population had this specific interaction, making it a prime target for intervention. To note, this is the only specific combination of conditions identified by the analysis as having an "interaction effect" – meaning that the predicted impact of the combination of conditions on readmissions is greater than the cumulative effect of each condition alone. That said, even without an interaction effect, the cumulative risk of readmission associated with specific combinations of conditions is worth noting as potential targets for intervention or for prioritizing efforts to reduce readmissions. For example, the combination of schizophrenia and substance use increases the probability of readmission by 11.9 percentage points, or 73 percent. This finding complements recent analyses demonstrating that the combination of mental illness and substance abuse is associated with a 4 to 5-fold increase in overall hospital admission rates for chronically ill populations. 22 In combination with the findings above, this finding suggests that Medicaid beneficiaries with schizophrenia and/or substance use who are homeless provide a well-identified target for intervention. 23
State policies may be an important factor affecting readmission rates.
Exhibit 5 displays 30-day readmission rates by state. Lower readmission rates were found in the South, and higher rates in the Mid-Atlantic, parts of the Midwest, Florida, California, and Hawaii. There is greater variation in Medicaid readmission rates than there is in Medicare, suggesting that state-level polices are an important factor affecting readmission rates. The weighted state-level standard deviation in readmissions across Medicaid programs is 2.0 percentage points, or 13 percent of the mean, while the weighted state-level standard deviation readmissions in Medicare is 1.4 percentage points, or 7 percent of the mean. State-level Medicaid and Medicare readmissions are moderately correlated at 0.29.
Exhibit 5 | Thirty-Day Readmission Rates by State
Source: Author's analysis of MAX data, 2003-2005.
Providing more primary care visits and paying a higher average price per visit were associated with lower rates of readmission.
The effects of market supply and Medicaid program characteristics on readmission rates are shown in Exhibit 6. The regression analysis indicated that measures of both market supply and Medicaid program characteristics were predictive of readmission within 30 days. 24 Providing more primary care visits and paying a higher average price per visit were associated with lower rates of readmission: the combined effect of a two standard deviation change in both of these variables reduced the probability of readmission by 1.9 percentage points, or 11.7 percent. These results lend further support to the above suggestion that increased access to primary care or more intensive or more expertly coordinated primary care results in reduced rates of readmission. Conversely, the number of specialists at the HRR level was positively associated with readmission: the incremental effect of moving from one standard deviation below to one standard deviation above the mean (from 33.5 to 55.9 specialists per 1,000 persons) increased the probability of readmission by 2.2 percentage points, or 13.5 percent. This finding suggests that more intensive specialty care or less coordinated care may increase readmission rates.
Exhibit 6 | Measures of Market Supply and Medicaid Program Characteristics
| Acute Care Beds / 1,000 pop. | 2.7 | 0.6 | -0.2 |
|---|---|---|---|
| | 71.3 | 12.9 | |
| Specialist Physicians / 1,000 pop | 44.7 | 11.2 | 2.2 * |
| Price per Hospital Day | $1,465 | 348 | 0.5 |
| | 16.1 | 4.3 | |
| Price per Visit | $117 | 22 | -0.9 * |
| | 34.1 | 8.5 | |
| Price per Fill | $76 | 9 | 1.3 * |
The probability of readmission was positively related to the average price of pharmaceuticals prescribed at the state level.
Prescribing a more expensive mix of medications at the state level was predictive of a higher rate of readmissions: a two standard deviation increase in pharmacy costs increased readmission rates by 1.3 percentage points or 8 percent. There are several possible interpretations for this finding. First, the finding may be causal. For example, the use of more complex pharmacotherapy may increase the incidence of side effects or acute reactions from interactions, perhaps even from contraindicated medications, resulting in an increased rate of readmission. However, this finding may also be spurious. For example, it may be that states that employ the latest technology (including the newest medications) are the same states that promote more hospital-based care and therefore have the highest readmission rates. Alternatively, this finding could be subject to reverse causality if new medication regimens are started during readmissions, and thus readmissions increase the complexity of pharmacotherapy.
IMPLICATIONS/NEXT STEPS
This analysis demonstrates a high prevalence of readmissions among Medicaid beneficiaries with disability, and that 50 percent of the beneficiaries who are readmitted do not see a physician following hospital discharge prior to the readmission. Further, the findings reveal that beneficiaries with multiple comorbidities have much higher rates of readmission than beneficiaries with fewer diagnostic problems. Readmission rates are particularly high among beneficiaries with mental illness, substance use disorder, skin infections, and infectious disease. Thus, focusing on better coordination and management of care for these beneficiaries, particularly for the homeless, should be considered. Additional targets of intervention may include heart failure, diabetes, and persons with comorbid cardiovascular and pulmonary disease.
These findings suggest that more effective coordination between inpatient and ambulatory care might lead to a reduction in readmission rates, and provide some support for the suggestion that, if effectively pursued, an increased emphasis on timely primary care may be accompanied by reduced rates of hospital readmission. There is a growing evidence base for models of care that coordinate transitions between inpatient and outpatient settings and reduce risk of readmission – for example, Mary Naylor's Transitional Care model, 25 Eric Coleman's Care Transitions 26 model, and the Guided Care 27 model developed by researchers at Johns Hopkins University. States could use payment policies and pilot initiatives to drive the adoption of models such as these that are known to reduce readmissions, thereby encouraging more collaboration and shared accountability between hospitals and physicians.
The results presented here suggest opportunities for targeting these models to populations at greatest risk of readmission. In particular, this analysis reinforces the impact of behavioral health comorbidities on hospitalization rates. 28 The dramatic increase in readmission risk for individuals with co-occurring schizophrenia and s ubstance abuse highlights the need for improved coordination across physical and behavioral health systems, particularly in discharge planning. Accordingly, the adoption of models aimed at improving care transitions should explicitly address the coordination of physical, mental health, and substance abuse treatment needs.
Today, Medicaid agencies nationwide are exploring innovative ways to use limited public health care dollars to cover an expanding population of beneficiaries. Preventing costly readmissions represents a critical strategy to both improve health care quality for Medicaid's highest-risk subset and curtail unnecessary spending. The findings in this analysis provide new insights to help states better target efforts for reducing readmission rates.
Endnotes
1 R. G. Kronick, M. Bella, T.P. Gilmer. The Faces of Medicaid III: Refining the Portrait of People with Multiple Chronic Conditions. Center for Health Care Strategies, Inc., October 2009.
2 S. Jencks, M. Williams, and E. Coleman. "Rehospitalizations among patients in the Medicare fee-for-service program." New England Journal of Medicine. 360:1418-28.
3 J. Sisk, P. Hebert, C. Horowitz, M. McLaughlin, J. Wang, and M. Chassin."Effects of nurse management on the quality of heart failure care in minority communities: a randomized trial." Annals of Internal Medicine. 145(4):273-83; P. Gibson, H. Powell, A. Wilson, M. Abramson, P. Haywood, A. Bauman, M. Hensley,
E. Walters, and J. Roberts. "Self-management education and regular practitioner review for adults with asthma." Cochrane Database of Systematic Reviews 2002, Issue 3; P. Hebert, A. McBean, and R. Kane. "Explaining trends in hospitalization for pneumonia and influenza in the elderly." Medical Care Research and Review. 62(5):560-82.
4 R. Kronick and T. Gilmer. "Understanding the null relationship between state-level Medicare and non-Medicare spending." Under review at Health Affairs.
5 R. Kronick, M. Bella, T. Gilmer, and S.A. Somers. The Faces of Medicaid II: Recognizing the Care Needs of People with Multiple Chronic Conditions. Center for Health Care Strategies, Inc., October 2007.
6 http://www.cms.hhs.gov/medicaiddatasourcesgeninfo/07_maxgeneralinformation.asp
7 Maine did not submit data for 2005, and thus the data for Maine cover only 2001-2004. We exclude six states with a high rate of managed care penetration (AZ, DE, MD, MI, NM, PA), under the assumption that the remaining beneficiaries would be non-representative of the general Medicaid population in that state. We also exclude two states due to the poor quality of their hospital admission data (AL, ND).
8 We exclude Medicaid beneficiaries in comprehensive managed care plans (e.g., HMOs). We do not exclude beneficiaries in primary care case management. We include beneficiaries who were not enrolled in HMOs for physical health care but who were enrolled in managed behavioral health plans; we adjust our analyses to account for the loss of information on psychiatric admissions.
9 S. Jencks, et al., op. cit.
10 R. Kronick, T. Gilmer, T. Dreyfus, and L. Lee. "Improving health-based payment for Medicaid beneficiaries: CDPS." Health Care Financing Review. 21(3):29-36.
11 For example, if a beneficiary was admitted to the hospital in July 2003 (or any time during 2003), their CDPS score was calculated over CY 2002. Beneficiaries without at least one-month eligibility in the prior calendar year were excluded from these analyses.
12 For example, one regression includes cardiovascular interacted with the other 18 CDPS major categories, and another regression includes psychiatric interacted with the other 18 CDPS major categories.
13 Given the large sample size, we decided to use a criterion based on effect size rather than statistical significance; .2 corresponds to an approximate 20% increase, not a 20 percentage point increase.
14 Data were downloaded from the Dartmouth Atlas of Health Care: http://www.dartmouthatlas.org/index.shtm
15 Medicaid program characteristics were derived from the MAX data. Outpatient visits included visits to physicians, clinics, outpatient hospital departments, and community mental health centers. The price per pharmacy fill is evaluated at the average price at the NDC code level, and therefore reflects the mix of drugs provided.
16 We calculated the incremental effect for each market supply variable or Medicaid program characteristic of moving from one standard deviation below the mean to one standard deviation above the mean.
17 The '0 CDPS' group (15.2% readmission rate) also includes some proportion of newly eligible beneficiaries. Among beneficiaries eligible for one to three months in the previous calendar year, 32% had 0 CDPS categories, compared to 9% overall.
18 However, relatively few beneficiaries have 6 or more CDPS categories. From 6 to 10, the percentages are 4.0%, 2.3%, 1.3%, 0.7%, and 0.6%; 91.2% have 5 or fewer.
19 These are the 10 most predictive categories from a regression including all CDPS categories. Some of the CDPS categories presented are combinations of CDPS categories. For example, the Cancers category includes high and medium, hematological includes extra high, very high, and medium, and infections includes AIDS, high, HIV, and medium.
20 People at risk for cellulitis and its complications include those who have a compromised immune system due to such diseases as HIV/AIDS or combined immunodeficiencies; other risk factors include having diabetes, cancer, animal bites, human bites, severe burns, or severe trauma. Cellulitis is treatable, but in some people, such as those with diabetes, cellulitis can be serious and lead to gangrene and other potentially life-threatening complications.
21 P. Hebert, J. Sisk, J. Wang, L. Tuzzio, J. Casabianca, M. Chassin, C. Horowitz, and M. McLaughlin. "Cost-effectiveness of nurse-led disease management for health failure in an ethnically diverse urban community." Annals of Internal Medicine, 149(8):540-8.
22 C. Boyd, B. Leff, C. Weiss, J. Wolff, A. Hamblin, and L. Martin. Clarifying Multimorbidity Patterns to Improve Targeting and Delivery of Clinical Services for Medicaid Populations. Center for Health Care Strategies, Inc., December 2010.
23 T. Gilmer, A. Stefancic, S. Ettner, W.G. Manning, and S. Tsemberis. "Effect of Full Service Partnerships on homelessness, use, and costs of mental health services use, and quality of life among adults with serious mental illness." Archives of General Psychiatry. In Press; M. Larimer, D. Malone, M. Garner, D. Atkins, B. Burlingham, H. Lonczak, K. Tanzer, J. Ginzler, S. Clifasefi, W. Hobson, and G. Marlatt. "Health care and public service use and costs before and after provision of housing for chronically homeless persons with severe alcohol problems." Journal of the American Medical Association. 301(13):1349-1357.
24 The logistic regression was at the person level and included measures of market supply measured at the HRR level and Medicaid program characteristics measured at the state level. Both sets were averaged over 2001-2005. A robust covariance matrix was used to account for clustering at the HRR level. All reported effects were statistically significant at p<.01.
25 M. Naylor, D. Brooten, R. Campbell, G. Maislin, K. McCauley, and J. Schwartz. "Transitional Care of Older Adults Hospitalized with Heart Failure: A Randomized, Controlled Trial." Journal of the American Geriatrics Society. 2004; 52: 675–684.
26 E. Coleman, C. Parry, S. Chalmers, and S. Min." The Care Transitions Intervention: Results of a Randomized Controlled Trial." Archives of Internal Medicine. 2006;166:1822-8.
27 M. Sylvia, M. Griswold, L. Dunbar, C. Boyd, M. Park, and C. Boult. "Guided Care: Cost and Utilization Outcomes in a Pilot Study." Disease Management. 2008;11(1):29-36.
28 C. Boyd, et al., op. cit.
Additional Resources
Hospital Readmissions among Medicaid Beneficiaries with Disabilities: Identifying Targets of Opportunity is part of CHCS' Faces of Medicaid data series designed to help Medicaid stakeholders identify subsets of patients or conditions that are most likely to benefit from care management. This is one of a number of tools being produced by CHCS through the Rethinking Care Program. This national initiative, made possible by Kaiser Permanente, was developed by CHCS to design and test better approaches to care for Medicaid's highest-need, highest-cost beneficiaries.
For more information about the Rethinking Care Program, as well as tools for improving care management for Medicaid beneficiaries with complex needs, visit www.chcs.org.
About the Center for Health Care Strategies
The Center for Health Care Strategies (CHCS) is a nonprofit health policy resource center dedicated to improving health care quality for low-income children and adults, people with chronic illnesses and disabilities, frail elders, and racially and ethnically diverse populations experiencing disparities in care. CHCS works with state and federal agencies, health plans, providers, and consumer groups to develop innovative programs that better serve people with complex and high-cost health care needs. Its program priorities are: enhancing access to coverage and services; improving quality and reducing racial and ethnic disparities; integrating care for people with complex and special needs; and building Medicaid leadership and capacity. For more information, visit www.chcs.org.
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Legal Notice No……………………
PLANT PROTECTION (GENERAL) REGULATIONS, 2021
IN EXERCISE of the powers conferred by section 61 of the Plant Protection Act, 2021 the Cabinet Secretary for Agriculture makes the following Regulations.
infected area for the purposes of this Regulations;
"Inspector" means a suitably qualified person appointed or authorized under the Plant Protection Act;
"Hoppers" means immature locusts that are not yet able to fly;
"Locusts" means the insect Schistocerca gregaria, Locusta migratoria, Nomadacris septemfasciata, or any other species of the family Acridiidoe that have the swarming habit;
"Migratory pests" means pests that move seasonally in swarms, flocks, infestations for several kilometers across borders and cause significant economic losses to plants;
"Pest" any species strain or biotype of plant, animal or pathogenic agent injurious to plants or plant products;
"Pest free area" means an area in which a specific pest is absent as demonstrated by scientific evidence and in which, where appropriate, this condition is being officially maintained by The Service;
"Pest risk analysis" means the process of evaluating biological or other scientific and economic evidence to determine whether a pest should be regulated and the strength of any phytosanitary measures to be taken against it;
"phytosanitary measure" means any legislation or official procedure for the prevention of the introduction or spread of pests;
"Plant product" means any unmanufactured material of plant origin including grain and those manufactured products that, by their nature or their processing, may create a risk of the introduction and spread of pests;
"Plant quarantine procedures" means procedures followed for importation of risk-associated materials that require quarantine;
"Quarantine pest" means a pest of potential economic significance to the area endangered and not yet present there, or present but not widely distributed and being officially controlled;
"Quarantine station" means an official station for holding plants, plant products and other regulated articles under quarantine;
"Regulated article" means any packaging, conveyance, container, soil and other organism, object or material capable of harbouring or spreading pests, that requires phytosanitary measures;
"Service" means Kenya Plant Health Inspectorate Service;
"Treatment" means an officially authorized procedure for the killing, removal or rendering of pests inactive or infertile;
3. These Regulations shall apply to:-
a) Prevention of the establishment and spread of pests through plants, plant products and other regulated articles being stored, moved, propagated, researched, cultivated or growing in the wild whether for commercial or other purposes;
b) Pest surveillance and management;
c) Certification of organic plants and plant products; and
d) Monitoring of plant protection product residues and heavy metals in plants, plant products and regulated articles.
4. (1) The purpose of these regulations is to provide for the protection of plant health, safe movement and trade in plants, plant products and
Scope of application
Purpose of the regulations
analyse the pest report, conduct field visits where appropriate to determine the identity of the pest.
(4) Where the pest identification reveals that the pest is endemic to the area, the County Director or an inspector of the Service shall prescribe pest management measures to the person who reported the pest occurrence.
(5) Where the County Director or an inspector of the Service establishes that the pest:-
i. Causes economic damage beyond acceptable thresholds; or
ii. Is spreading beyond farmers capacity to manage the pest; or
iii. Is new to the County;
(a) The County Director or the inspector of the Service shall prescribe pest management measures and notify CPHERU to consider the pest to be of concern.
(b) The County Plant Health Emergency Response Unit shall:-
i. Develop a County Plant health emergency plan for the specific pest of concern;
ii. Recommend measures for the management of the pest.
iii. Provide prescribed pest management measures to the land occupier or owner of land within the County.
(5) Where the County Director or an inspector of the Service establishes that the pest is deemed to be a pest of concern to the County, The County Director or the inspector of the Service shall inform the land occupier or owner of land of the identity of the pest and control measures to be implemented.
(6) If it is determined that the pest is a migratory pest the provisions of (Part IV) shall apply.
(7) Where the pest is deemed to be an unknown pest, The County Director or the inspector of the Service shall take a sample of the pest or
plants infected for laboratory identification and diagnosis at designated or authorized laboratories.
(8) If upon diagnosis the pest is identified to be a pest which is established in Kenya or a pest of concern, then the provisions of sub regulation (4) and (6) shall apply.
(9) Where the pest is deemed to be a new pest not previously reported in Kenya:
a. Where the report was made to The County Director, he shall notify The Service and CPHERU of the occurrence of the new pest concurrently.
b. The Service shall carry out pest risk analysis to establish whether the new pest warrants regulation.
c. Where the Service determines that the new pest be classified as a regulated pest, The Service shall request the chair of NPHERU to convene a meeting to inform the committee of the occurrence of the new regulated pest and develop an emergency response action plan.
d. NPHERU shall then notify CPHERU of the emergency response action plan for implementation.
e. Where the new regulated pest is determined to occur or have spread to more than one County, NPHERU shall coordinate the implementation of the emergency response action plan within the affected Counties.
f. The County Executive Committee Member may convene a CPHERU meeting to discuss mechanisms for implementation of the recommendations of NPHERU and other rapid response systems as they may determine and inform land occupiers or owners of land in the county of the new regulated pest and pest management measures.
g. The land occupiers or owners of land shall adopt and implement the prescribed pest management measures including eradication and containment at their own cost.
h. NPHERU shall notify all other CPHERUs in the country of the occurrence of the new regulated pest and inform them of mechanisms for management.
10. (1) Any person who intends to publish in print, electronic or declare in broadcast media presence of a new pest previously not officially reported in Kenya shall notify the service and provide a report prior to publication as prescribed in form PPGR 2 set out in the First Schedule and a specimen of the pest where applicable.
(2) The Service upon receipt of the new pest report shall: -
a) Acknowledge the receipt of the notification within 7 working days.
b) Evaluate the status and may approve the pest report for publication where the pest report is accompanied with more than one laboratory diagnostic confirmatory reports.
c) Evaluate the pest report and shall confirm the identity of the pest and status within a period of 2 months.
d) Approve for publication upon confirmation and notify the person or
e) Seek further information for evaluation where the confirmation of pest identity and status is not conclusively determined.
(3) The service may in line with international obligations report occurrence of news pests in the country to trading partners.
11. (1) Where NPHERU or CPHERU has prescribed eradication as an appropriate control measure for the new regulated pest in one County the County Executive Committee Member shall: -
a) Declare an area to be under containment and restrict; movement, research, cultivation and harvesting of plants;
b) Prescribe rapid pest control measures for eradication of the pest;
Publication of a new pest
Containment and Eradication of new regulated pests
c) Provide prescribed pest management measures to the occupiers of land and land owners within the County.
d) Seek approval from the Cabinet Secretary prior to giving an order for destruction of plants, plant products and other regulated articles in the case of gazetted protected areas which include ports, military barracks, national parks and forests.
(2) Where NPHERU has prescribed eradication of the new regulated pests in more than one County:
a) The Cabinet Secretary in consultation with the National Plant Health Emergency Response Unit shall Gazette the area(s) to be under containment, impose temporary restrictions and prescribe additional pest management measures.
b) The Service shall following the gazette notice provide any further guidance as may be required to the County Executive Committee Members, monitor and report the implementation of the pest management measures to the NPHERU.
c) The County Executive Committee Member shall provide prescribed pest management measures to the occupiers of land and land owners within the County
(3) Every occupier or, in the absence of the occupier, every owner of land shall implement the prescribed measures for the eradication of the pest prescribed by the County Executive Committee Member.
(4) County Executive Committee Member may in collaboration with the Service implement the prescribed measures where the land occupier fails to implement.
(5) The County Executive Committee Member may in collaboration with the Service monitor the pest status in the area under containment and give reports to CPHERU.
(6) The CPHERU shall consider the pest status reports and may
recommend institution of more stringent measures where the pest is not eradicated.
(7) Where the pest has been eradicated the CPHERU shall advice the County Executive Committee Member to lift the containment measures and the NPHERU shall advice the Cabinet Secretary to lift the containment measures where applicable.
(8) Where it is determined that eradication is no longer tenable CPHERU shall inform the Service in writing and may prescribe further containment and management measures for the pest.
(9) The Service shall evaluate the information and request the Cabinet Secretary to convene the NPHERU to evaluate the pest management status and may prescribe further containment measures or prescribe further management measures where applicable
(10) The Service shall inform the County Executive Committee Member(s) on the further containment measures or prescribe further management measures where applicable.
12. (1) The Service shall keep an updated list of regulated pests and areas under containment.
(2) The Service shall prescribe phytosanitary measures to mitigate the spread of regulated pests through:
a) Restricting movement of plants, plant products and regulated articles likely to harbour the regulated pest.
b) Approving and monitoring research activities conducted in areas under containment
c) Testing for regulated pests on plants, plant products and other regulated articles meant for propagation purposes before distribution
d) Inspecting and approval of commercial sites for production of propagation material.
Measures for containment of Regulated pests
e) Prohibiting propagation of certain crops for set periods in infected areas as provided for in the Act.
(3) All persons moving plants, plant products or other regulated articles likely to be affected by the Regulated Pests from areas declared infected shall seek approval from the Service through form PPGR 3 as set out in the First Schedule.
(4) The Service shall ascertain that the plants, plant products or other regulated articles in sub regulation 2(a) are free from regulated pests through testing and if compliant authorise movement of plants as provided for in PPGR 4 as set out in the First Schedule upon payment of prescribed fees.
(3) All consignments of plants, plant products or other regulated articles moved without authorisation from areas under containment into other areas shall be intercepted.
(4) Any person who contravenes the provisions of this regulation commits an offence and if found guilty shall be liable to a fine not exceeding one million or imprisonment of a term not exceeding one year or both.
13. (1) The County Governments may establish plant clinics for farmer advisory on pest management and good agricultural practises.
(2) The County Governments shall maintain a register of all the plant clinics established within their counties.
(3) The established plant clinics may submit samples to the Service for confirmation at a fee as prescribed in the Second Schedule.
(4) The Service in collaboration with other stakeholders may carry out capacity building of plant health advisors offering services at the plant clinics at County level.
(5) Plant health advisors who will offer services at the plant clinics shall have the following minimum qualifications: -
a) A certificate in Agriculture or relevant discipline;
Establishment and management of Plant Clinics
b) Two years' experience in the same field.
and determine the pest identity.
(4) The County Director or Director in charge of Crops shall upon confirmation of the pest identity as a migratory pest, give written instructions or recommend the adoption of such measures for the destruction of the pests.
(5) The occupier or owner of infested land shall carry out such instructions or adopt such measures as may be so given or recommended.
16. (1) The management of migratory pests may be undertaken by the application of a broad-spectrum pesticide except:-
a) over any public or private water;
b)
over any visible standing water;
c) over any populated area;
d) on land within the borders of an excluded area as declared by the County Governments.
(2) The control of migratory pests with pesticides may be executed only according to the specifications prescribed on the label of the product.
(3) No person or institution may use a pesticide as described in sub regulation (2) unless the pesticide is registered by the Pest Control Products Board.
(4) Without prejudice in sub regulation (2) the Cabinet Secretary may authorise use of unregistered pest control products for emergency use.
(5) Any land owner or occupier on whose land migratory pests occur, shall use his uttermost endeavours for the control of the migratory pests by approved methods.
(6) Any person who executes area wide management of migratory pests must be certified by the Director in charge of Crops or the County Executive Member.
(7) Any person that carries out management of migratory pest shall report on each swarm, flock or infestation controlled, according to
Requirements for management of migratory pests
specifications laid down by the Director in charge of Crops.
(8) The Service shall monitor the management of migratory pests and shall inform the Cabinet Secretary the status of the migratory pests in the Country periodically.
(9) The Cabinet Secretary shall regularly publish the status of migratory pests in the Country and mobilize extra resources for management whenever need arises.
PART V- SURVEILLANCE
17. (1) The County Government shall periodically carry out pest surveillance to:-
a) Determine pest status in the County or in an area within the County;
b) Develop appropriate pest management measures.
(2) The County Executive Committee Member may update CPHERU on the pest surveillance status reports for consideration.
(3) The County Executive Committee Member may share the pest surveillance status reports with The Service for updating the country pest status.
18. (1) The Service may in collaboration with County Governments and other stakeholders undertake surveillance in areas under cultivation such as fields, plantations, nurseries, gardens, green houses and in wild flora, at points of entry and exit and in areas where plant products are in storage or on transit.
(2) The Service shall conduct surveillance to:
a) determine pest status in the country or in an area;
b) detect new pests introduced in an area; and
c) develop appropriate phytosanitary measures;
d) develop and or update Pest list;
e) develop appropriate phytosanitary measures for import and
County Surveillance
National Surveillance
undertake a survey to determine the baseline target pest population dynamics.
(4) The Service in collaboration with the County Government shall inform the relevant stakeholders within the delimited areas of the requirements.
(5) The relevant stakeholders within the delimited areas shall apply phytosanitary measures to ensure the pests in the production area are reduced to zero or to appropriately acceptable levels.
(6) The relevant stakeholders within the delimited areas shall establish a system and quality control checks for monitoring pest population dynamics and effectiveness of phytosanitary measures in place as prescribed by the Service.
(7) The relevant stakeholders within the delimited areas shall put in place a traceability system.
22.The County Governments shall: -
a) Enforce movement, restriction of pest host products and other operational procedures into the core area and buffer zones.
b) Develop and implement a public awareness campaign within the pest free areas and areas of low pest prevalence.
c) Collect and analyze target pest data within the pest free areas and areas of low pest prevalence
d) Identify, verify and preserve target pest specimen within the pest free areas and areas of low pest prevalence.
e) Maintain the pest free areas and areas of low pest prevalence status following the declaration through management of target pest and enforcement of operational aspects.
f) Monitor target pest populations through regular surveillance and document findings and share the findings with the Service.
g) Develop and implement measures to support value chain actors to
County Government roles in pest free areas and areas of low pest prevalence.
put in place traceability systems.
h) Enforce implementation of a corrective action plan once the target pest is detected within the pest free areas and areas of low pest prevalence, within a prescribed period.
23. (1) The Service shall monitor the pest status of the target pest in areas or farms or production units identified as provided for in these Regulations.
(2) All actors undertaking any prescribed measure in pest free areas or areas of low pest prevalence shall document all such activities and give periodic returns to the Service.
(3) The Service shall develop a periodic official review process on the effectiveness of the pest free areas and areas of low pest prevalence by external experts or individuals not directly involved in the process.
24. (1) The Service shall approve the pest free areas and areas of low pest prevalence once all the requirements have been met and notify trading partners where applicable.
(2) The Service shall suspend the pest free area or area of low pest prevalence status once the target pests are detected and shall notify trading partners where applicable.
(3) The Service shall ensure corrective action is undertaken before reinstatement of the pest free areas or areas of low pest prevalence status.
PART VII - NURSERY PLANT HEALTH CERTIFICATION
25. (1) No person shall operate a nursery or propagation facility that offers for sale plant propagation material without plant health certification.
(2) Any person intending to operate a nursery or propagation facility that offers for sale plant propagation material shall apply to The Service for plant health certification as provided for in the Form PPGR 5 set out in the First Schedule.
Monitoring of pest free areas and areas of low pest prevalence
Approval and revocation of pest free areas and areas of low pest prevalence
Application for nursery plant health Certification
26. (1) Upon receipt of the application accompanied with the proof of payment of the prescribed fee set out in the Second Schedule, The Service shall carry out inspection to ensure that the nursery or propagation facility owner or operator: -
(a) has put in place plant health measures to assure plant health and prevent spread of pests;
(b) has sourced mother stock and scions from a certified nursery or propagation facility; and
(c) Keeps records for traceability of all plants for planting traded in.
(2) Further to the provision in sub regulation (1) above, inspection shall take into consideration export requirements in cases where the product are for export;
(3) Samples not limited to water, growing media, manure, plant tissues, diseased material and insect pests may be taken for laboratory testing by the Service inspector.
(4) Testing and Certification shall be subject to payment of the prescribed fees.
27. (1) Upon satisfactory compliance with the requirements, a nursery or propagation facility shall be issued with a certificate as provide for in form PPGR 6 set out in the First Schedule.
(2) The certificate shall be valid for a period of 12 months.
(3) The service in collaboration with the County shall regularly monitor the nursery or propagation facility to ensure implementation of plant health measures.
(3) Upon expiry of the certificate nursery or propagation facility operator shall apply for re-certification through the prescribed form PPGR 5 as provided for in the first schedule.
28. Every nursery or propagation facility owner or, in the absence of the owner, every nursery or propagation facility operator shall be required to
Nursery and propagation facility plant health certification
Nursery or propagation facility plant health certificate
Plant Health measures for propagating the material
| 29. (1) The Service shall revoke nursery or propagation facility plant health certificate where the plant health measures prescribed by the inspector of The Service have not been undertaken. (2) The Service may advise other relevant agencies to revoke licenses of nursery or propagation facility where the facility plant health certificate has been revoked. | |
|---|---|
| | PART VIII - MONITORING OF LOCALLY SOLD AND EXPORTED |
| | PLANTS, PLANT PRODUCTS, AND OTHER REGULATED ARTICLES |
| | 30. (1) The service shall undertake annual risk-based monitoring of plants, |
| | plant products and other regulated articles for compliance with national |
| | and international requirements with respect to plant protection product |
| | residues, heavy metal contaminants and contaminants of concern. |
| | (2) The sampling shall be from production, distribution, sale points and |
| | points of import and export. |
| | a) The Service shall use sampling methods that are internationally, |
| | regionally and nationally approved. |
| | b) At the point of sampling, the information shall be recorded in the |
| | prescribed form PPGR 7 in the Frist Schedule. |
| | (3) The analysis shall be carried out at The Service laboratories. |
| | 31. In planning the local monitoring programs, The Service shall consider: |
| | a) The production and marketing volumes; |
| | b) The range of plant protection products in use; |
| | c) The number of market outlets, collection centres and marketing |
| | centres in various Counties; |
| | d) Results from previous monitoring programs. |
32. The Service shall provide a report of the Analysis to the Cabinet Reporting of results
| Secretary, County Governments and any other relevant Government |
|---|
| body. |
| 33. Where the decision rules indicate a non-compliance, The Service shall |
| provide the results for prosecution to the Directorate of Criminal |
| Prosecutions |
| PART IX - ORGANIC CERTIFICATION |
| 34. (1) The Service is the competent authority for Kenya on matters of |
| organic certification for plants and plant products. |
| (2) The Service may authorize persons to be organic certification bodies |
| for the carrying out of inspection and certification in the field of organic |
| production in accordance with the national and international organic |
| certification provisions. |
| (3) The Service shall inspect the organically produced plants, plant |
| products and regulated articles against phytosanitary requirements |
| before export. |
| 35. (1) Any entity wishing to be designated as an organic certification body |
| shall apply to the Service for authorisation through form PPGR 8 as set |
| out in the First schedule and shall be required to meet the following |
| requirements; |
| a) is a company or such other legal entity registered in Kenya; |
| b) has subscribed to a recognised national, regional or |
| international certification scheme relevant to the export |
| market |
| c) has in place clear established assessment criteria for certified |
| production schemes; |
| d) has qualified personnel or engages the services of qualified |
| personnel with skills on organic certification systems |
| (2) The application in sub regulation (1) shall be accompanied by |
payment of the prescribed fees set out in the Second Schedule.
(3) The Service shall evaluate the application and authorize the certification body within 14 working days from the date of the application if the application meets requirements for Authorization and issue a certificate of authorization as provided for in Form PPGR 9 set out in the First Schedule.
(4) Where the application does not meet the requirements specified in sub regulation (1) the Service shall reject the application and notify the applicant within 14 working days from the day of submission of the application giving reasons for the rejection.
(5) The applicant may resubmit the application after addressing the reason for the rejection and where, upon evaluation, the Service considers the application successful, authorize the certification body within 14 working days from the day of resubmission at no additional fee to the applicant.
(6) A certificate of authorization shall be valid for a period of three years from the date of issuance and shall not be transferable;
(7) the Service carry out yearly audit on all authorized entities to ascertain continued conformity with the provisions of the Act and these Regulations
36. The Service may revoke the organic certification authorization certificate where the authorized entity
(a) Ceases to conform to the requirements; or
(b) Violates the provisions of the Act and these regulations.
37. (1) All producers of organic produce shall ensure that the plants and plant products certified as organic are produced in adherence to organic farming practices as provided for in national and international standards. (2) All persons intending to certify their plants and plant products as organically produced shall be certified by the authorized organic
Revocation of the authorization certificate
Adherence to Organic certification standards
certification bodies.
PART X – AUTHORIZATION OF LABORATORIES
38. (1) For the purposes of enforcing the provisions of the Act and these Regulations, the Service may authorize competent laboratories to undertake diagnostic and analytical tests on behalf of the Service.
(2) Any person who intends to undertake diagnostic and/ or analytical tests on behalf of the Service shall apply to the Service for authorisation using form PPGR 10 set out in the first Schedule.
(3) Upon receipt of the application and payment of prescribed fees, the Service shall assess the application to ascertain its suitability.
(4) To determine eligibility of the applicant for authorization, the Service shall assess the following:-
a) That the entity is legally established and operated under law;
b) That the entity has the capability and technical competence in performing the tests against the relevant standards;
c) That the entity is accredited by an internationally recognised accreditation body, where applicable.
(5) The Service shall issue an authorization certificate in form PPGR 11 specifying the relevant scope of testing and measurement to compliant laboratories, which is valid for one year and is not transferrable.
(6) The authorised laboratory shall notify the Service of any changes including changes to its accreditation status which may significantly impact the laboratory's capacity to provide tests or measurements for which they are authorised.
(7) The authorised laboratories shall: -
a) Adhere to the terms and conditions under which the laboratory is authorised;
b) Adhere to the national laws and regulations;
c) Provide the Service with updates in accordance with these
Authorization and rights and obligations of competent laboratories
regulations.
PLANT PROTECTION (GENERAL) REGULATIONS, 2021
FIRST SCHEDULE
Form PPGR 1
(R. 9(1)(2), 15(1)(2), 17 (3))
Republic of Kenya
The Kenya Plant Health Inspectorate Service
Pest reporting form
INFORMANT'S INFORMATION
a) Name
b) Address
c) Telephone/Email address
d) Date
Category: (i) farmer (ii) student (iii) researcher( iv) general public (v) Regulator
Institution:
INFORMATION ON AREA WHERE PEST WAS DETECTED
GPS Coordinates
Administrative location
Latitude
County
Longitude
Sub-County or
Constituency
Altitude (m)
Location or
Ward
Nearest town or shopping centre
Map of the areas (Where
applicable)
PEST INFORMATION
Pest identify
a) common name
b) Scientific name (where applicable)
Date (period) when pest was observed
Host(s) or articles
Parts affected
Pest status
For researchers only
Provide a research abstract (attach)
PLANT PROTECTION (GENERAL) REGULATIONS, 2021
For official use only (KEPHIS)
Received by:
Name of receiving officer: Station:
Date: Sign:
Action taken:
Managing Directors remarks:
Form PPGR 2
Republic of Kenya
The Kenya Plant Health Inspectorate Service
Manuscript Publication notification Form
PUBLICATION INFORMATION
a) Name of Applicant
b) Address
c) Telephone/Email address
d) Date
Applicant Category: (i) Student (ii) Researcher(iii) Regulator (iv) Other (Please specify)
Manuscript title:
Manuscript Authors:
Author(s) Institution (s):
Corresponding Author
Provide a research abstract (attach)
What initiated the study?
Pest distribution outside Kenyan territory
PEST INFORMATION
Pest identify
a) Scientific name
b) Common name
Diagnostic method (s) used
Diagnostic protocol (attach)
Verification expert (s)
Surveillance period
Host(s) or articles
Parts affected
Pest status
Pest impact
GPS locations Latitude/Longitude/Altitude where pest has been detected (Attach)
(R. 10(1))
PLANT PROTECTION (GENERAL) REGULATIONS, 2021
Voucher specimens (Attach)
For official use only (KEPHIS)
Received by (Name of receiving officer): Station:
Date: Sign:
Action taken:
Managing Directors remarks:
(i) Approved for publication
(ii) Conditional approval (specify conditions)
………………………………………………………………………………………………………………………………………
(iii)Not Approved (give reasons)
………………………………………………………………………………………………………………………………………
Form PPGR 3
(R. 12(3))
Republic of Kenya
The Kenya Plant Health Inspectorate Service
Application for Authorization to move plants, plant products and regulated articles from areas infected with regulated pests
Declaration
I hereby declare that the information given above is complete and correct to the best of my knowledge and belief.
Name:__________________________ Official stamp
Signature:_______________________ Date:___________________________
| Check list | |
|---|---|
| Application complete | Yes |
| Application details appropriate | Yes |
Characteristics of the regulated pest known or likely to be presented with the plants, plant products and other regulated articles:-
Is the regulated pest likely to establish in the area where the material is to be moved:-
PLANT PROTECTION (GENERAL) REGULATIONS, 2021
Nature of the packaging material:-
Final Action Taken:
( ) recommended for movement
( ) not recommended for movement
Evaluated by:
_________________________________________
(Signature/Name/Designation)
Date:_________________
Form PPGR 4 Republic of Kenya
(R. 12(4))
The Kenya Plant Health Inspectorate Service
Request form to move plants, plant products or other regulated articles from / within an area under containment
1.0 PRINCIPAL INVESTIGATORS INFORMATION
e) Name
f) Institution
g) Address
h) Telephone/Email address
i) Date
2.0 DESCRIPTION OF THE AREA UNDER CONTAINMENT
a)
County b) Sub county c) Ward
GPS Coordinates:
Regulated pest of interest:
Host plants:
3.0 DESCRIPTION OF THE RESEARCH
Plants intended for research:
Origin of planting material:
Objective of the research:
Duration for the research:
Type of facility in which the research shall be conducted (a) open field (b) green house
Number of persons to access the area under research:
Are any materials going to move out of the research area? Yes or No
If yes, describe the type of material to be moved, purpose and destination.
Declaration
I hereby declare that the information given above is complete and correct to the best of my knowledge and belief.
Name:
Signature: Date: Official stamp:
PLANT PROTECTION (GENERAL) REGULATIONS, 2021
For official use only (KEPHIS)
Application complete: Yes or No
Application appropriate: Yes or No
Received by:
Name of receiving officer: Sign: Official stamp:
Managing Directors remarks:
Final decision:
Application approved:
Application declined:
Form PPGR 5 (R. 25(2), 27(3))
Republic of Kenya
The Kenya Plant Health Inspectorate Service
Application for Nursery Plant Health Certification
1. I, _________________________________________________________ (print or type owner/proprietor's name), in accordance with Kenyan laws required, hereby apply to operate a business as a nursery, plant dealer or a plant broker in the Kenya.
2. _________________________________________________________________
Firm name - as it will appear on license
3. Circle ALL that applies to your business/operation in the box below. Do you want this information listed in future printings of KEPHIS Directory of Certified Nurseries, Licensed Plant Dealers, and Licensed Plant brokers? Yes_______No________
4. Business mailing address: _________________________________________
5. Addresses of additional sales locations in Kenya. Provide complete address, manager's name, telephone number, and information requested in questions 612. Use a separate sheet of paper if necessary:-__________________________
6. Address of principal place of business if different from item 5:-_______________
| Type of Business | Type of product(s) produced or sold | Sales Structure |
|---|---|---|
| A. Nursery (Growing Plants) B. Plant Dealer (Selling Plants) C. Plant Broker D. Landscape Contractor E. Greenhouse F. Public/Government Agency | 1. Bedding Plants/Annuals 2. Bulbs 3. Christmas Trees - Cut 4. Christmas Trees - Live 5. Cut Flowers/Greens 6. Fruit Trees 7. General/Ornamental Nursery Stock 8. Herbaceous Perennials 9. Interior Plants 10. Native Plants 11. Small Fruit 12. Sod 13. Vegetable Transplants | I. Wholesale II. Re-Wholesale III. Retail IV. Mail Order |
7. Contact information:
Phone:____________________________________
Cell phone: ________________________________
E-mail:____________________________________
Other:____________________________________
8. If a partnership or association, list the name and address of each partner or association officer:-_________________________________________
9. If a corporation, list the following:
a. Date incorporated:________________________ b. State:___________________________________ c. FID no.:_________________________________
d. Address of principal office:_________________________________________
e. Name & address of resident agent:-__________________________________
10. If business name is an assumed name and not incorporated enclose a notarized "Doing Business As" statement.
11. Location of nursery/growing areas (not sales areas) if different from, or in addition to, principal place of business. Use a separate sheet of paper if necessary:-_________________________________________
12. Combined number of acres in nursery stock production, sales area, and landscape holding area:-_________________________________________
13. Number of meter’s square feet in greenhouse space: ____________
14. Please list all sources of nursery stock sold but not produced by you including liners, plugs and finished plants. (This information will be kept confidential; information is used to help in the detection of accidently introduced quarantine pests.) Use a separate sheet of paper if necessary
Name of Firm
Address
_________________________________________________________________
15. _________________________________________________________________
Signature of Applicant Title Date
FOR OFFICIAL USE ONLY:
| Date | Check | License | Inspection | License | Control | Date | Date |
|---|---|---|---|---|---|---|---|
| Rec’d | No. | Fee | Fee | No. | No. | Approved | Mailed |
Form PPGR 6
REPUBLIC OF KENYA
KENYA PLANT HEALTH INSPECTORATE SERVICE
(KEPHIS
Plant Protection Act (Cap 324)
NURSERY PLANT HEALTH INSPECTION CERTIFICATE
This is to certify that:
Producing Assorted seedlings was inspected in accordance with the provisions of Plant Protection regulations 2020 of the Laws of Kenya and found to be virtually free from injurious pests and diseases at the time of inspection.
This certificate is valid for a period of 12 Months
Commencing on
Certificate No
Inspector/s:
Date of Issue:
MANAGING DIRECTOR
* Renewal is subject to re-inspection by KEPHIS and Conformity to the terms of approved measure(s) is mandatory .
* The certificate is not transferable.
(R. 27(4))
Form PPGR 7
(R. 30(b))
4SAMPLING FORM
This form is to be filled in by a sampling officer from the laboratory, or a trained sampling officer. It is to be filled in for each customer taken from the field or market or facility for the purpose of pesticide residue analysis, soil, water and other contaminants and is part of the chain of custody. Please fill in all the information in the spaces provided. This form should be filled in duplicate, the original remains with the sampler while in the field and the copy is placed with the sample at the time of packaging and labeling, ready to send it to the laboratory via courier, transported by hand or other means.
Part 1
Customer details:
Customer Reference: ………………………………………………………….………………………….......... Physical
Address:……………………………………………………………………
Telephone contact/Mobile number:……………………………………………………………………..……. Email address of
customer:…………………………………………………………
Sampling site/location:……………………………………………………………………………
*Customer's signature
(optional):.........................................................
Part II
Sampling procedure used (specify):…………………………………………………………….. Date of sampling : ……........…….……………….Time of sampling:
………………..………….…….
| No. | Commodity sampled | Customers Traceability Code/Reference (if applicable) | Nature of Lot | Approximate size of Lot | Number of primary/increment al samples taken | Number of composite samples (if applicable) | Weight of laboratory sample (kg) | *Cost of sample |
|---|---|---|---|---|---|---|---|---|
| 1 | | | | | | | | |
| 2 | | | | | | | | |
| 3 | | | | | | | | |
| 4 | | | | | | | | |
| 5 | | | | | | | | |
| 6 | | | | | | | | |
For Invoicing and dispatch purposes:
KENYA PLANT HEALTH INSPECTORATE SERVICE (KEPHIS)
Oloolua Ridge. P.O. Box 49592. Tel. 0709891000; Email: firstname.lastname@example.org
PLANT PROTECTION (GENERAL) REGULATIONS, 2021
*Total cost of sample(s) (delete as appropriate):……………………………….. (This represents the cost of purchasing the samples)
*Amount Payable (for the analysis):........................................... (show payment breakdown, if applicable)
Analysis payable
by:………………………………………….
Sample sent via (please tick appropriate place) :
Delete as appropriate: KEPHIS vehicle delivery( )Please indicate registration: ……………………………… Via courier ( ) other (specify): ……………………………
Sampling Inspectors:
1…………………………………………. ……………………..Sign…………………………….
Date:…………………………
2………………………………………………………………... Sign…………………………….
Date:………………………..
3………………………………………… ……………………...Sign:……………………………. Date:………………………..
PPGR 8
(R. 35 (1))
Republic of Kenya
The Kenya Plant Health Inspectorate Service
Organic Farming Registration Form Application Form for Registration of Organic Certification Body
1.Name of organic certifying body
Address
Telephone & E-mail:
2. Application Date:
3. Name of the contact person Telephone
4. Location and physical address of the control body (County/Town/Ward/Road)
5. Brief information about the control body
6. Type of application
( ) New
( ) Renewal
7. Standard operating procedures (SOPs) in place for organic farming certification
Yes/No
8. Number of trained staff on organic certification
9. Any additional information
Declaration
I hereby declare that the information given above is complete and correct to the best of my knowledge and belief.
Name:__________________________ Official stamp
Signature:_______________________
PLANT PROTECTION (GENERAL) REGULATIONS, 2021
Date:___________________________
For Official Use Only
Check list
Status Scrutinized
by
Action by IA
Applicant comments
Application
complete
Yes No
Facility
plan/diagram
Yes No
Facility SOPs Yes No
Final Action Taken:
By:
_________________________________________
(Signature/Name/Designation)
Form PPGR 9
(R. 38(2))
REPUBLIC OF KENYA
KENYA PLANT HEALTH INSPECTORATE SERVICE
(KEPHIS)
CERTIFICATE OF AUTHORIZATION OF ORGANIC CERTIFICATION BODY
This is to certify that ………………………………………
Located at …………………………………….
Whose facility has been assessed and found to comply with requirements for organic Certification.
Is hereby approved for a period of one year
Commencing on ....................................
Certificate No. KEPHIS/……………….
Date
of Issue.......................
.………………………………………………
MANAGING DIRECTOR
* Renewal is subject to assessment by KEPHIS and Conformity to the physical and operational requirements. Non-conformity will lead to suspension or cancellation of the certificate.
Form PPGR 10
(R.38(2))
Republic of Kenya
The Kenya Plant Health Inspectorate Service
Application for Authorization of a competent laboratory
1.Name/Address of the Applicant/operator: Telephone & E-mail:
2. Application Date:
3. Nature of laboratory
( ) Analytical
( ) Diagnostic
( ) Reference
( ) others :________________(specify)
4. Type of application
( ) New
( ) Renewal
5. Location and physical address of laboratory (County/Town/Ward/Road)
6. Type of tests to be undertaken
7. Current certificate number (in case of renewal) and date on which the laboratory was approved (for renewal)
8. Evidence of accreditation by an internationally recognized body.
9. Any additional information
Declaration
I hereby declare that the information given above is complete and correct to the best of my knowledge and belief.
Name:__________________________ Official stamp
Signature:_______________________ Date:___________________________
For Official Use
Check list
Status
Application Complete
Yes No
Application details appropriate
Yes No
Final Action Taken:
( ) recommended for assessment
( ) not recommended for assessment
Scrutinized by:
_________________________________________
(Signature/Name/Designation)
Date:_________________
Form PPGR 11
(R. 38(5))
REPUBLIC OF KENYA
KKEENNYYAAPPL LA AN N T T H HE E A A L L T TH H I IN N S SP P E E C C T TO O R R A AT TE E S SE E R R V V I IC C E E ( ( K K E E P P H HI IS S) )
CERTIFICATE OF AUTHORIZATION OF LABORATORIES
This is to certify that ………………………………………
Located at …………………………………….
Whose facility has been assessed and found to comply with requirements to perform:
1.
2.
3.
Is hereby approved for a period of one year
Commencing on....................................
Certificate No . KEPHIS/……………….
Date of Issue.......................
.………………………………………………
MANAGING DIRECTOR
*Conditions of issue
Renewal is subject to assessment by KEPHIS and Conformity to the physical and operational requirements. Non-conformity will lead to suspension or cancellation of the certificate.
SECOND SCHEDULE
FEES AND CHARGES
| | Item | Charges (Ksh.) |
|---|---|---|
| 1 | Farm Visits | |
| | a) Farm visits for advice on pest control (Excluding subsistence and transport) | 2,400 |
| | b) Consultation fees for student, farmer and other clients | 500 |
| 2 | Nursery Inspections and Certification | |
| | (a) Inspection | 2,000 |
| | (b) Certification | 5,000 |
| | (c) Annual renewal of certificate | 1,000 |
| 3 | Organic certification | |
| | a) Authorization of a certification body | 20,000 |
PLANT PROTECTION (GENERAL) REGULATIONS, 2021
|
Gamemasterʼs notes
Townspeople of note:
1. Phinel Cromwell (the town watchman).
3rd level fighter
STR:16 INT:6 WIS:12 DEX:14 CON:14 CHA:11
AC:8 HP:16 ALIGNMENT:chaotic neutral
NOTES: Is married to wife Lisa Cromwell.
2. Frander Enn (seller of tanned hides).
0 level fighter
STR:12 INT:12 WIS:15 DEX:11 CON:11 CHA:14
AC:10 HP:5 ALIGNMENT:chaotic neutral
NOTES: The Enn family is very large, consisting of Frander and his wife Glenda with their children, Alina, Bess, Brenard, Harris, Inna, Petula, Pippin, Rester, and Xanthe.
3. Clement Farthing (blacksmith)
1st level fighter
STR:18/84 INT:9 WIS:8 DEX:11 CON:16 CHA:10
AC:10 HP:9 ALIGNMENT:chaotic neutral
NOTES: Clement is a compulsive gambler. He will bet almost any amount with a new traveler that he can shoe a horse in ten minutes. He can do it too.
4. Lenda Lena (Madam)
2nd level thief
STR:9 INT:12 WIS:11 DEX:13 CON:10 CHA:13
AC:10 HP:7 ALIGNMENT:chaotic evil
5. Tredwater Lindwell (tavern owner and barkeep)
0 level fighter
STR:13 INT:14 WIS:13 DEX:10 CON:9 CHA:15
AC:10 HP:10 ALIGNMENT:chaotic good
NOTES: Tredwater is maried to Celena Lindwell and has two adventurous sons, Boris and Michael.
6. Boris Lindwell
4th level fighter
STR:15 INT:12 WIS:8 DEX:10 CON:13 CHA:14
AC:7 HP:23 ALIGNMENT:chaotic good
NOTES: Boris wears studded leather armor, and would like to have much better. He is an upwardly mobile mercenary.
Lendow's Berkshire
(AD&D setting for all characters level 1-10) By Jeremy Clay Fowler(-Lindemulder)
7. Michael Lindwell 3rd level fighter STR:15 INT:10 WIS:9 DEX:9 CON:15 CHA:16 AC:7 HP:22 ALIGNMENT:chaotic good NOTES: Unlike his brother, Boris, Michael is content with his lot and fights for the sake of others. 8. Prea Mana (cleric of Fanus) 5th level cleric STR:10 INT:6 WIS:14 DEX:12 CON:12 CHA:15 AC:6 HP:22 ALIGNMENT:chaotic good NOTES: Prea is wise, yet confused. If questioned about her religeon, she will dogmatically relate the ledgend of Fanus. She has the few cleric spells that she does because of the pity of the local river goddess, Dartila. No one in Lendow's Berkshire would even begin to think that Fanus is not a god. SPELLS: 1st level 2nd level bless resist fire cure light wounds resist fire cure light wounds slow poison 9. Ipnus Marblem (hotheaded fighter and brother of Trenia Marblem) 5th level fighter STR:13 INT:12 WIS:11 DEX:13 CON:15 CHA:14 AC:7 HP:33 ALIGNMENT:chaotic neutral NOTES: Ipnus fights as a Berserking fighter (see monster manual). 10. Trenia Marblem (the 9th blue wizard) 8th level magic-user STR:7 INT:17 WIS:9 DEX:16 CON:13 CHA:12 AC:8 HP:20 ALIGNMENT:chaotic neutral NOTES: Trenia now holds the title of blue wizard, and therefore is the rightful ruler of Lendow's berkshire. She is no great ruler, just a competent one. Much of her time is spent keeping her brother, Ipnus, out of trouble. SPELLS: 1st level 2nd level magic missile invisibility magic missile stinking cloud enlarge stinking cloud sleep 3rd level 4th level lightning bolt fear lightning bolt confusion dispel magic
```
11. Demel Ralor (blacksmith) 1st level fighter STR:16 INT:13 WIS:12 DEX:9 CON:15 CHA:11 AC:6 HP:10 ALIGNMENT:chaotic good NOTES: Demel's family consists of his wife, Rena, and his eight year old son, Clermont. 12. Rena Ralor (blacksmith's wife) 1st level fighter STR:14 INT:10 WIS:13 DEX:15 CON:14 CHA:17 AC:5 HP:9 ALIGNMENT:chaotic good NOTES: Rena is maried to the blacksmiith Demel Ralor, and the two of them have a young son, Clermont. 13. Timerman (captain of the city thieves) 7th level thief STR:12 INT:12 WIS:10 DEX:16 CON:15 CHA:16 AC:5 HP:40 ALIGNMENT:chaotic evil NOTES: He carries a medallion of ESP with him. It has a 30' range with the added power of empathy. 14. Penot Himmer Finn Tezler II (proprioter of mystic shop and local magiker) 6th level magicuser STR:6 INT:16 WIS:8 DEX:14 CON:10 CHA:6 AC:10 HP:15 ALIGNMENT:chaotic evil NOTES: Tezler's shop is a small dirty place, just as Tezler is a small dirty man. He manages to continue his studies while selling worthless trinkets, curealls, and a few good herbs to the more superstitious of the local populace. He wears a ring of free action. SPELLS: 1st level 2nd level 3rd level magic missile detect good lightning bolt magic missile fools gold lightning bolt read magic charm person The Three Tranisants 15. Jamioe (wandering mercenary) 6th level fighter STR:16 INT:14 WIS:12 DEX:12 CON:11 CHA:15 AC:8 HP:45 ALIGNMENT:neutral good NOTES: Jamoie fights with her traveling companion, Devil's bane the Neutral good +0 two handed sword. The sword will hit any creature vulnerable to +1 weapons, and does +1 damage to devils and undead. INT:12 EGO:3
```
16. Morgan (wandering ranger) 4th level ranger STR:17 INT:13 WIS:15 DEX:14 CON:16 CHA:12 AC:1 HP:32 ALIGNMENT:chaotic good NOTES: Morgan wears platemail made by Clement Farthing. 17. Minbar the Changer (wandering elvish wizard) 11th level magicuser STR:11 INT:17 WIS:12 DEX:13 CON:9 CHA:13 AC:10 HP:36 ALIGNMENT:chaotic neutral NOTES: The people of Lendow's Berkshire are distrustful of this elf, but they do respect the power that he apperars to command. Unknown to the populace, Mesor owns a wand of illusion (24 charges) and a scroll of four spells: Charm Plants, Stone to Flesh, Permanency, and an Astral Spell. SPELLS: 1st level 2nd level read magic levitate message continual light burning hands wizard lock burning hands pyrotechnics 3rd level 4th level lightning bolt minor globe of invulnerability hold person wall of ice protection from evil 5th level monster summoning III animate dead
Places of interest in Lendow's Berkshire
A. The town has two massive gates that are closed at dusk. Anyone approaching the gates is likely to be met by the city watchman, Phinel Cromwell (75% chance). After dark anyone approaching the gates will be met by three city guards in leather armor, carrying short swords. Cromwell will then be sent for.
B. These are the five guard houses and are virtually identical in appearance. Each will contain from 3 to 18 guards at any one time. Each house also has its own cook who sleeps in a separate kitchen. The guards sleep in a central sleeping hall with 20 beds. next to each bed is a personal chest for the guard that sleeps there. Inside each chest will be found personal items and perhaps 1-6 silver pieces. Next to the sleeping hall is the armory which will contain 0 to 9 long swords and 0 to 5 suits of leather armor. A large vat in the corner may (5% of the time) contain a blue liquid sleeping poison for sword blades.
C. This is the residence of Phinel Cromwell. The building has two floors: the first floor has a large living room, a dining room, and a kitchen. The second floor contains two guest bedrooms, the master bedroom and a little used study. In the study is an iron chest with a big lock. Inside it is 300 gold pieces, 250 silver pieces, and 22 copper pieces. This is the Cromwell's life savings. In the bedroom there are fine sheets, and about 2 gold pieces worth of jewelry. The living room is also Cromwell's trophy room. There are two suits of platemail here with battle axes and there is a 15% chance that Phinel left his favorite longsword in a rack on the wall.
D. The "wooden nail" blacksmith's shop is here. Being an excellent blacksmith, Clement Farthing feels obliged to sell his products for 1 to 20% more than standard prices. He makes the weapons for the town guard, but he specializes in armor. given a few weeks he can construct a suit of platemail (AC:1) for twice the normal cost.
E. The "Iron Horse" blacksmith's shop is owned by Demel Ralor. He is a fair blacksmith who charges reasonable prices. He is especially proficient at reforging broken swords (the price will be about 20% of the original price of the sword), and if someone can describe a weapon to him, he can forge it for them. At any time he will have one shortsword and two suits of chainmail for sale. anything else must be made.
F. This is "Enn's Tannery." Mr. Frander Enn makes most of the armor in Lendow's Berkshire; he makes all the armor for the city guard. Heaven forbid that the actual tannery should be in such a highly populated area of the city. This building is actually just a merchandise outlet and storage place, as well as the Enn family house. Because the tannery is a family business, Mr. Enn will seldom be found inside. In fact, he can often be found at the "Cutpurse and Rhinewine" tavern (H). When one walks into the store front, someone will be in the front room standing behind the counter. Inside the counter is 3 to 18 gold pieces, 2 to 12 silver pieces, and 2 to 20 copper pieces. The only other money in the building can be found in a chest with no lock under the bed in the master bedroom: 50 gold pieces and 90 silver pieces. When occupied, the actual living space for the Enn family is much too small. This is only because the family is so large.
G. Here stands the temple of Fanus. The local clergy is composed of one confused cleric, Prea Mana. She worships Fanus, the 8th Blue Wizard. The temple is very spartan. Wooden benches face a stone alter with no discernible markings. In the back of the building is Mana's room and room for four others. She sleeps on a grass mat and has little material wealth. The entire temple is meticulously clean.
H. The "Cutpurse and Rhinewine" is the only tavern in town. Rooms are inexpensive, and company is not difficult to find. The owner of the tavern also doubles as the barkeep. His name is Tredwater Lindwell. The first floor of the tavern is a large open room with tables and a bar. The kitchen is in the back through a hanging curtain. The basement contains a wine cellar with many bottles of wine (none exceptional). Also in the basement is a meat locker in a cool corner. The second and third floors are rooms for the guests and small staff. The outside of the building is stone and fairly new, it is also very hard to climb (-15% climbing walls). An easier access to the upper floors may be found through a dumb waiter apparatus that never has worked right. It has openings on each floor in the kitchen, meat locker, and at the end of two halls. There is also a clever entrance to it from the back of the building through some boards loosened by a couple of cleaver thieves. Most patrons prefer to use the stairs. The tavern acts as a boarding house around the clock, but the bar does close. The bar hours are from about three hours past noon until eight to ten hours after sundown (3pm to 2am). After dark, about seven or eight people frequent the tavern on a fairly regular basis, and there are usually 1 to 4 more around for the evening. Madam Lena usually sends a few of her newer girls here too. Lindwell does a pretty good business in this town. In the till each night one might find as much as 20 gold pieces value in various coinage. The "Cutpurse and Rhinewine" is a prime target for thieves, and Lindwell is always on the look out for a good bouncer and mercenary guards.
The basic menu for the tavern
Unrecognizable stew (leftovers in broth) 1sp
Roast bird (of some local variety if someone caught one recently) 2sp
Everything else about 1 or 2sp wine 9sp
thick mead 3sp beer 7-9cp
I. The town stables charges 2sp per day to feed and groom horses. This is a common working place for the town's youth. Trenia Marblem has set it up as a part of her public works program. Enough travelers pass through to make it a mildly profitable endeavor.
J. This is the house of Trenia Marblem. Like most of the Local architecture, it stands only one story tall. It does cover enough area as befits the residence of the town's leader, and it provides enough room for both Trenia and her brother, Ipnus. Ipnus keeps a sack of 15 gold pieces under his bed, and in the basement there is a firetraped trunk (8th level) containing 250 gold pieces. In the back of the house Trenia has her own study and small library. In it can be found all of her spells:
SPELLS:
Also in her study is wand of wonder brought to her by Ipnus some time ago. She knows that it is magical, yet she does not know the command word. Unknown to her it has 15 charges and the following
% effects:
K. Morgan lives here on occasion. He is the designated protector of this area. He considers anyone on this map to be under his legal Jurisdiction. He spends very little time in his house because he is usually living in the woods to the south. There is little of interest here. Morgan keeps no valuables.
L. Madam Lena's house of pleasures is always open for business. Anyone wanting company can find it with no trouble, for a price. There are at least two waiting rooms, several (fifteen) smaller bedrooms, and one small kitchen. Most of the rooms will be occupied at any one time, and wandering around is heartily discouraged be the "staff." Another known property of Madam Lena's is the fact that no one leaves wealthy. Those flaunting great wealth will often wake up much poorer, even if they sleep at home. Many people believe that a local gang of thieves uses Madam Lena's as a way to spot "pigeons." No one has been able to prove this accusation. Above all, the working girls at Madam Lena's are polite. If someone becomes irate, they do not get angry, they get efficient. Rude customers will be "requested" not to return.
M. The local cutpurses and burglars only have about a dozen members, but the gang will always accept more. Thievery is not common within the town gates. Outside, however... To join, one must pledge homage to Timerman, the captain of the gang. It is a sort of mock ceremonial organization filled with disillusioned thieves. In actuality this "guild hall" is Timerman's house. In the back room he sleeps on a cot. Beneath a trap door, however, there is an elaborate, richly decorated room reminiscent of a palace treasure room. Timerman feigns poverty very well.
N. Penot Tezler II owns this small, dirty magic shop. Most common magical herbs can be found here at extravagant prices, but the worthless talismans and trinkets are inexpensive. Normally Tezler Keeps about 80 copper pieces and 15 silver pieces in the cash box behind his counter. In the back room, Tezler has his own laboratory for his private research. In it can be found the notes for all of his spells. The spells are unbound yet neatly piled on a clean shelf among the clutter of the dark abode. SPELLS:
read magic
O. This building is the town courthouse. In it is also the jail and local meeting hall.
Lendow's Berkshire Encounter Matrix
roll 1D100
ASSASSIN: someone has issued a contract on one of the players lives. Determine who the target is randomly, or if, circumstances dictate, reasonably. An assassin will then begin stalking the character until either he is either slain or the assassin is. An assassin in Lendow's Berkshire will be 1st to 3rd level.
BEGGAR: There are only a few beggars in Lender's berkshire and subsequent rolls of this category may (70% likelihood) be the same beggar(s) as the last time.
BRIGRAND: daytime encounters should be called something else like mercenaries or gentleman. In actuality they will be checking the party out for future theft. Nighttime encounters will be with 2 to 8 thieves and fighters (50%/50%) of 1st level, plus one of 2nd level who will act as an informal leader.
TOWN GUARD: the town guard always travels in threes when it can. That way, if there is any large scale trouble, two can try to settle matters while the third goes for aid. Encounters of this nature will be with 3 fighters wearing leather armor and carrying shortswords. They may also bear the badge of Fanus which will mean nothing to strangers. All guardsmen are 1st level.
TOWN WATCHMAN: this will always be Phinel Cromwell. Under this category, however, he will always be accompanied by 2 guardsmen carrying longswords.
CLERIC: this will usually be Prea Mana alone (80% of the time), but other clerics may visit the town from time to time. If this is one of the rarer cases, then encounters will be with one cleric of 2nd to 8th level accompanied by 1 to 4 lesser clerics of 1st and 2nd level. Most encounters of this kind will be just matter of fact, because the clerics will have little interest in the party.
FIGHTER: Encounters with a fighter are determined from the following chart.
roll 1d6
1 Ipnus Marblem: he is never pleased with strangers.
2 Boris and/or Michael Lindwell: commonly found in
their father's tavern.
3 Jamoie: he will be just passing through.
4 Morgan: the party will have pleased (60%) or
displeased (40%) him.
5 or 6 a single fighter of 1st or 2nd level.
GENTLEMAN: This will be a stranger to Lendow's Berkshire. There will be 2-8 traveling companions of 0 to 5th level.
GOODWIFE: any nondescript woman.
HARLOT: In all probability this is one of Madam Lena's girls (90% likely). If she is not, then she is probably a laborer's daughter trying to make some money for her family.
LABORER: These are 2 to 5 uninteresting towns people, probably on their way to or from the tavern.
MAGIC USER: This is an encounter with one of the following:
```
roll 1D6 1 or 2 Trenia Marblem 3 or 4 Penot Tezler II 5 Minbar the Changer 6 A traveling magic user of 1st to 5th level with a party of companions (see gentleman above).
```
MERCENARY: From 2 to 8 fighters of 0 and 1st level. One will be 2nd or 3rd level and act as a leader.
RAKE: Local boys who have too much time on their hands. They will irrationally dislike strangers. All will be 0 level and there will be 2 to 5 of them in a group.
RUFFIAN: From 2 to 5 local boys who not only dislike strangers, but like to bully them to. They will all be 0 level and will carry clubs.
RANGER: This will usually be Morgan (95% of the time). The rest of the time it will be a single traveler of 1st to 6th level.
THIEF: One of Timmerman's light-fingered gang. Encounters will be with 1 or 2 thieves of 1st to 3rd level. They may work as a team.
PERSONALITY: This will be one of the personalities outlined in the first section describing the town:
roll 1D20
SPECIAL: This is some improbable, unnatural event or creature. It could perhapse be a Vampire or warewolf. It could alse be a magic battle between Trenia Marblem and Penot Tezler II.
|
EUROPEAN PATENT OFFICE U.S. PATENT AND TRADEMARK OFFICE
CPC NOTICE OF CHANGES 517 DATE: JANUARY 1, 2019 PROJECT RP0421
The following classification changes will be effected by this Notice of Changes:
| Action | Subclass |
|---|---|
| SCHEME: | |
| Symbols Deleted Pending Reclassification: (frozen (F)) | H01M |
| Titles Changed: | H01M |
| | H01M |
| | H01M |
| | H01M |
| | H01M |
| | H01M |
| | H01M |
| | H01M |
| | H01M |
| | H01M |
| | H01M |
| Warnings New: | H01G |
| | H01M |
| | H01M |
| | H01M |
| | H01M |
| Notes New: | H01M |
| Notes Modified: | H01M |
| | H01M |
| DEFINITIONS: | |
| Definitions New: | H01M |
| | H01M |
| | H01M |
| | H01M |
| | H01M |
| | H01M |
| Action | Subclass |
|---|---|
| Definitions Modified: | H01M |
| | H01M |
| | H01M |
| | H01M |
| | H01M |
The following subclasses/groups are also impacted by this Notice of Changes (indicate subclasses/groups outside of the project scope, such as those listed in the CRL): C07F, H04R
This Notice of Changes includes the following [Check the ones included]:
1. CLASSIFICATION SCHEME CHANGES
A. New, Modified or Deleted Group(s)
B. New, Modified or Deleted Warning(s)
C. New, Modified or Deleted Note(s)
D. New, Modified or Deleted Guidance Heading(s)
2. DEFINITIONS
A. New or Modified Definitions (Full definition template)
B. Modified or Deleted Definitions (Definitions Quick Fix)
3. REVISION CONCORDANCE LIST (RCL)
4. CHANGES TO THE CPC-TO-IPC CONCORDANCE LIST (CICL)
5. CHANGES TO THE CROSS-REFERENCE LIST (CRL)
1. CLASSIFICATION SCHEME CHANGES
A. New, Modified or Deleted Group(s)
SUBCLASS H01M - PROCESSES OR MEANS, e.g. BATTERIES, FOR THE DIRECT CONVERSION OF CHEMICAL INTO ELECTRICAL ENERGY
| Type | Symbol | Indent Level Number of dots (e.g. 0, 1, 2) | Title (new or modified) “CPC only” text should normally be enclosed in {curly brackets}** |
|---|---|---|---|
| M | H01M | SUBCLASS | PROCESSES OR MEANS, e.g. BATTERIES, FOR THE DIRECT CONVERSION OF CHEMICAL ENERGY INTO ELECTRICAL ENERGY |
| M | H01M 2/02 | 1 | Cases, jackets or wrappings |
| M | H01M4/00 | | Electrodes |
| M | H01M 4/58 | 3 | of inorganic compounds other than oxides or hydroxides, e.g. sulfides, selenides, tellurides, halogenides or LiCoF ; of y polyanionic structures, e.g. phosphates, silicates or borates |
| M | H01M 4/82 | 3 | Multi-step processes for manufacturing carriers for lead-acid accumulators |
| M | H01M 6/36 | 2 | containing electrolyte and made operational by physical means, e.g. thermal cells |
| C | H01M 10/04 | 1 | Construction or manufacture in general (H01M 10/058, H01M 10/12, H01M 10/28, H01M 10/38 take precedence) |
| E | H01M 10/058 | 2 | Construction or manufacture |
| M | H01M 10/48 | 2 | Accumulators combined with arrangements for measuring, testing or indicating condition, e.g. level or density of the electrolyte |
| C | H01M 12/00 | 0 | Hybrid cells; Manufacture thereof (hybrid capacitors H01G 11/00) |
| Type | Symbol | Indent Level Number of dots (e.g. 0, 1, 2) | Title (new or modified) “CPC only” text should normally be enclosed in {curly brackets}** |
|---|---|---|---|
| F | H01M12/005 | 1 | |
| M | H01M 12/04 | 1 | composed of a half-cell of the fuel-cell type and of a half-cell of the primary-cell type |
| M | H01M 12/08 | 1 | composed of a half-cell of a fuel-cell type and a half-cell of the secondary-cell type |
*N = new entries where reclassification into entries is involved; C = entries with modified file scope where reclassification of documents from the entries is involved; Q = new entries which are firstly populated with documents via administrative transfers from deleted (D) entries. Afterwards, the transferred documents into the Q entry will either stay or be moved to more appropriate entries, as determined by intellectual reclassification; E= existing entries with enlarged file scope, which receive documents from C or D entries, e.g. when a limiting reference is removed from the entry title; M = entries with no change to the file scope (no reclassification); D = deleted entries; F = frozen entries will be deleted once reclassification of documents from the entries is completed; U = entries that are unchanged.
NOTES:
- **No {curly brackets} are used for titles in CPC only subclasses, e.g. C12Y, A23Y; 2000 series symbol titles of groups found at the end of schemes (orthogonal codes); or the Y section titles. The {curly brackets} are used for 2000 series symbol titles found interspersed throughout the main trunk schemes (breakdown codes).
- For U groups, the minimum requirement is to include the U group located immediately prior to the N group or N group array, in order to show the N group hierarchy and improve the readability and understanding of the scheme. Always include the symbol, indent level and title of the U group in the table above.
- All entry types should be included in the scheme changes table above for better understanding of the overall scheme change picture. Symbol, indent level, and title are required for all types except "D" which requires only a symbol.
- #"Transferred to" column must be completed for all C, D, F, and Q type entries. F groups will be deleted once reclassification is completed.
- When multiple symbols are included in the "Transferred to" column, avoid using ranges of symbols in order to be as precise as possible.
- For administrative transfer of documents, the following text should be used: "< administrative transfer to XX>" or "<administrative transfer to XX and YY simultaneously>" when administrative transfer of the same documents is to more than one place.
- Administrative transfer to main trunk groups is assumed to be "invention information", unless otherwise indicated, and to 2000 series groups is assumed to be "additional information".
B. New, Modified or Deleted Warning notice(s)
SUBCLASS H01M - PROCESSES OR MEANS, e.g. BATTERIES, FOR THE DIRECT CONVERSION OF CHEMICAL INTO ELECTRICAL ENERGY
| Type | Location | Old Warning notice |
|---|---|---|
| N | H01G 11/00 | |
| N | H01M10/04 | |
| N | H01M10/058 | |
| N | H01M 12/00 | |
*N = new warning, M = modified warning, D = deleted warning
NOTE: The "Location" column only requires the symbol PRIOR to the location of the warning. No further directions such as "before" or "after" are required.
C. New, Modified or Deleted Note(s)
SUBCLASS H01M - PROCESSES OR MEANS, e.g. BATTERIES, FOR THE DIRECT CONVERSION OF CHEMICAL INTO ELECTRICAL ENERGY
| Type | Location | Old Note |
|---|---|---|
| M | H01M | This subclass covers galvanic primary or secondary cells or batteries, fuel cells or batteries. |
| M | H01M 12/00 | Hybrid cells are electrochemical generators having two different types of half- cells, the half-cell being an electrode-electrolyte combination of either a primary, a secondary or a fuel cell. |
| N | H01M 14/00 | |
| Type | Location | Old Note |
|---|---|---|
*N = new note, M = modified note, D = deleted note
NOTE: The "Location" column only requires the symbol PRIOR to the location of the note. No further directions such as "before" or "after" are required.
2. A. DEFINITIONS (new)
H01M 2/02
References
Informative references
Attention is drawn to the following places, which may be of interest for search:
H01M 4/82
References
Informative references
Attention is drawn to the following places, which may be of interest for search:
H01M 6/36
References
Informative references
Attention is drawn to the following places, which may be of interest for search:
H01M 10/48
References
Informative references
Attention is drawn to the following places, which may be of interest for search:
| Indicating or measuring level of liquid in general | | G01F23/00 |
|---|---|---|
| Measuring density | | G01N, G01N9/00 |
| Measuring electric variables | | G01R31/36 |
| | Methods for charging or discharging | H01M10/44 |
H01M 12/04
References
Informative references
Attention is drawn to the following places, which may be of interest for search:
H01M 12/08
References
Informative references
Attention is drawn to the following places, which may be of interest for search:
DEFINITIONS (modified)
H01M
References
Limiting References
DELETE: Limiting references section
Informative references
DELETE: In Informative references, DELETE the entry for "Containers or packages with special means for dispensing contents for batteries B65D85/88"
Special rules of classification
Delete: In the Special rules of classification section, the existing first paragraph shown below.
Every technical aspect of the invention is classified with inventive symbols and additional information from the description with additional symbols. When the battery or fuel cell is characterised by the combination of a specific positive electrode, specific negative electrode and/or specific electrolyte: every specific components of the combination will be classified with inventive symbols.
Replace:
The deleted paragraph with the following two paragraphs.
Every technical aspect of the invention is classified with inventive symbols and additional information from the description with additional symbols.
When the battery or fuel cell is characterised by the combination of a specific positive electrode, specific negative electrode and/or specific electrolyte: every specific component of the combination will be classified with inventive symbols.
H01M4/00 (modified)
References:
Informative references:
Attention is drawn to the following places, which may be of interest for search:
INSERT: In the existing Informative references table, the following new entry for "Electrodes for electrolytic processes C25, C25B11/00, C25C7/02, C25D17/10"
Special rules of classification
DELETE: Bullet point "The IPC rule concerning electrode for hybrid cells is applied"
H01M 8/06 (modified)
Insert: The following new section: References/Limiting references.
References
Limiting references
This place does not cover:
Regenerative fuel cells
CPC NOTICE OF CHANGES 517
DATE: JANUARY 1, 2019
PROJECT RP0421
H01M8/18
H01M 10/00 (modified)
References
Special rules of classification
Delete:
In the Special rules of classification section, the existing 4 th bulleted statement shown below.
For non aqueous secondary battery, a class indicating the type of battery, e.g. H01M 10/052 should always be given in addition to the classes related to construction H01M 10/058 - H01M 10/0587 or to the classes related to the type of electrolyte H01M 10/056 - H01M 10/0569.
Replace:
In the Special rules of classification section, the bulleted statement which was deleted with the following new statement.
For non-aqueous secondary battery, a class indicating the type of battery, e.g. H01M 10/052 should always be given in addition to the classes related to construction H01M 10/058 - H01M 10/0587 or to the classes related to the type of electrolyte H01M 10/056 - H01M 10/0569.
H01M 12/00 (modified)
Definition statement
REPLACE: Existing Definition statement with the one below
This place covers:
hybrid cells, e.g. half-cell of fuel cell type and half-cell of primary or secondary cell type
Relationships with other classification places
REPLACE: Existing Relationship with other classification places with the one below
Solid electrolytic capacitors, double-layer capacitors, are classified in H01G9/155
CPC NOTICE OF CHANGES 517
DATE: JANUARY 1, 2019
PROJECT RP0421
References
ADD: References/Limiting references section below
Limiting references
This place does not cover:
Hybrid capacitors; Electric double-layer [EDL] capacitors
H01G11/00
3. REVISION CONCORDANCE LIST (RCL)
| C | H01M 10/04 |
|---|---|
| C | H01M 12/00 |
| Type* | From CPC Symbol (existing) | To CPC Symbol(s) |
|---|---|---|
| F | H01M 12/005 | |
* C = entries with modified file scope where reclassification of documents from the entries is involved; Q = new entries which are firstly populated with documents via administrative transfers from deleted (D) entries. Afterwards, the transferred documents into the Q entry will either stay or be moved to more appropriate entries, as determined by intellectual reclassification; D = deleted entries.
NOTES:
- Only C, D, F and Q type entries are included in the table above.
- When multiple symbols are included in the "To" column, avoid using ranges of symbols in order to be as precise as possible.
- For administrative transfer of documents, the following text should be used: "< administrative transfer to XX>" or "<administrative transfer to XX and YY simultaneously>" when administrative transfer of the same documents is to more than one place.
- Administrative transfer to main trunk groups is assumed to be "invention information", unless otherwise indicated, and to 2000 series groups is assumed to be "additional information".
5. CROSS-REFERENCE LIST (CRL)
Definitions references impacted by this revision project
NOTES:
- The CRL tables above are used for changes to locations outside of the project scope. Changes to references in scheme titles or definitions inside the project scope will be reflected in the "scheme change" template or one of the "definition" templates.
- In addition to other changes proposed in the tables above, in the column titled "Referenced subclass or group to be changed," referenced D symbols should indicate an action of "delete" or should indicate a replacement symbol and referenced F symbols should indicate a replacement symbol.
- When a reference is deleted, text related to that reference will also be deleted unless other references or a range of references associated with the same text remain.
|
CITIZENS' CURRICULUM CASE STUDY
EFA LONDON
Charlotte Robey
June 2015
© NIACE 2015
Published by the National Institute of Adult Continuing Education (England and Wales)
21 De Montfort Street
Leicester LE1 7GE
Company registration no. 2603322
Charity registration no. 1002775
NIACE is the National Institute of Adult Continuing Education, the national voice for lifelong learning. We are an international development organisation and think-tank, working on issues central to the economic renewal of the UK, particularly in the political economy, education and learning, public policy and regeneration fields.
www.niace.org.uk
Follow NIACE on Twitter:
@NIACEhq
@NIACEDC (Wales)
All rights reserved. No reproduction, copy or transmission of this publication may be made without the written permission of the publishers, save in accordance with the provisions of the Copyright, Designs and Patents Act 1988, or under the terms of any licence permitting limited copying issued by the Copyright Licensing Agency.
CONTENTS
CITIZENS' CURRICULUM CASE STUDY: EFA LONDON
Introduction
Taking a Citizens' Curriculum approach ensures all individuals have the core set of skills they need for the 21st Century, including English, maths, ESOL, digital, civic, health and financial capabilities. NIACE is committed to widening access to these skills, particularly amongst under-represented groups in society, as well as improving the range and quality of provision available to all adults. These interrelated skills, which underpin lifelong learning, can be made more accessible by being contextualised and developed as an integrated curriculum offer or framework.
In 2015/15, the development of a Citizens' Curriculum was taken forward by thirteen pilots across a range of organisations including colleges, local authorities and charities. The pilots tapped into what motivates adults to learn, ensuring that more people are learning skills which are relevant to their lives, their needs and their work. Particular areas of focus included provision for homeless / vulnerably housed adults, offenders, ex-offenders, migrants, families and disadvantaged young adults. The pilots provided insight into methods of adopting a Citizens' Curriculum approach, how effective the approach is in engaging disadvantaged learners, the impact on learners and providers, and key success factors for both the learner and the provider. This case study tells the story of one of the pilots.
Background
English for Action (EFA) is a third sector charity which provides adult education opportunities for migrants in communities across London. The organisation was set up in 2009 to support London Citizens' campaigning work on the Living Wage and provided English for Speakers of Other Languages (ESOL) courses to support migrant workers to develop the English skills needed to negotiate for fairer wages. EFA London is now a well-established charity with seven trustees, eight staff members and a host of volunteers supporting over 300 learners at any one time.
How it worked
Because the aim of their institution is to equip learners with the language skills needed to take action, EFA London necessarily embeds the language and civic capabilities of the Citizens' Curriculum approach into all of their courses. For their pilot, EFA London adapted their own "making meaning – going deeper – broadening out" pedagogical approach. This approach is very much learnercentred and as such there are no set learning outcomes and the course is not prewritten or structured by tutors. Instead, learners are encouraged to take ownership of their own learning through a three-stage delivery model. The overall programme is focussed on a generative theme chosen by learners.
EFA London recruited 14 of their existing learners onto their six-week Citizens' Curriculum pilot, which focussed on the theme of health. The pilot ran for six weeks and learners attended a two-hour session once a week at a primary school in their local community. This venue was chosen as many of the learners had children who attended the school and so it was already a familiar environment. The school also provides a free crèche which enabled parents with younger children to attend.
The first two or three lessons were very exploratory and learners were encouraged to exchange their experiences of using the NHS and health services in other countries they had previously lived in. The tutor used these "making meaning" sessions to explore where learners' interests lie, their current knowledge of the theme and their skills gaps. The middle two or three lessons then explored two specific topics within the theme in more depth: using emergency services, such as A and E and the 999 emergency telephone number, and GP waiting times. These "going deeper" sessions involved critical literacy activities and discussions which built learners' language skills and developed their critical awareness of issues. The final, "broadening out" sessions of the programme enabled learners to relate what they had learnt to their own context. This involved introducing learners to thematic texts and participating in specific language practice activities or role-plays, particularly around using the NHS 111 telephone service. Learners also took actions to address a specific issue they identified through the previous sessions. This included writing a letter of complaint, speaking to their local MP or writing a letter to their local newspaper.
Throughout the pilot, learners were encouraged to use their smartphones, tablets and the interactive whiteboard in the classroom to look up information and write about their experiences. The class also had a group blog which tracked their progress from week to week and enabled learners to practise their writing and digital skills in an applied context.
Challenges encountered and how they were overcome
Tutors only experienced a small number of challenges in delivering the pilot. The majority of these were related to focussing the programme on an extended topic. This meant that some time at the beginning of each session needed to be spent recapping the learning of the previous week. Without this, learners struggled to recall the topics they had covered and the language they had practised previously. However, this approach proved very beneficial in enabling learners who missed sessions to keep up with the rest of the class.
'There was a big role for the teacher to lead a collective remembering of what we're doing, what we said last time, what language we learned last time... because sometimes they're just slightly slow to warm up and remember what was said last week.' (Pilot lead)
Another challenge which could have resulted from the in-depth focus on health was the potential for group discussions to move onto sensitive issues. To mitigate this potential risk, tutors were very clear from the start of the programme that learners were not required to share any experiences they were not comfortable talking about. However, the close relationships between the learners in the group meant that sharing experiences about hospital stays and illnesses became a positive experience which learners gained a lot of value from.
The third challenge faced by tutors was the difference in skills levels across the learner group, which varied from Entry Level 1 to Level 1. Having a volunteer teaching assistant and two tutors involved in the delivery ensured that learners received appropriate support tailored to their level, but it was an ongoing challenge to engage all of the learners in the critical discussions about people's experiences.
Impacts and outcomes
For learners
One of the most important outcomes for learners was a huge increase in their confidence to speak and write in English. All of the learners felt more confident to describe their symptoms to their doctor and understand their diagnosis. Some of the learners said they no longer rely on translation services at their GP, while others felt more confident that they were writing correct information on medical forms for themselves and their children.
'Now, I improve myself. Sometimes they ask me you want a translator, I say no I do - I speak myself... I'm confident actually speaking.' (Learner)
One learner in particular felt that they had made huge improvements in their written and spoken English.
'I want to say I am big example for learning English. When I came this class, no speaking, no saying, no listening, no understand the teacher. [Now] I can speak a little more. I can write, listening, understand the teacher.' (Learner)
Tutors also commented that learners' confidence to speak in front of the group and discuss a topic in depth increased dramatically from the beginning to the end of the six week programme. The pilot lead felt that having a theme running throughout the sessions helped learners to engage with the topic on a deeper level and encouraged them to develop their own opinions and express these to the group.
'So I think when you stick with a topic for longer the lexis becomes more familiar which then liberates people to talk a bit more and express their opinion. Whereas if the topic changes from week to week, I think people, they don't have as much to say.' (Pilot lead)
The pilot had supported learners to engage more confidently with their local services. The strong relationships within the group meant that learners were happy to share information and experiences about using emergency services and going to the GP, which enabled them to identify particular issues and challenges they faced in relation to accessing these services. This knowledge sharing has enabled learners
to use public services such as the 111 and 999 telephone services more appropriately.
'Before for me I don't know when to call to 999 and when you're going to call to 111. But now I know. Even if you call 999, I have confidence because I know what reason I am calling.' (Learner)
Another strong outcome for learners was developing the sense of belonging to a community. One of the tutors felt that learners treated the group as a community itself, giving them the confidence to make friends and attend a semi-public venue. This tutor was hopeful that the programme would encourage parents to engage more with their children's school.
'I think also having it in the school [is] like an intermediary step for a lot of the parents to getting more involved with the school, with life in the school. The secretary sometimes comes round and gives us information, like there's a PTA meeting and some parents might say I'm going to go to that. So that's, I think, embedding it in a community location, it's really effective for that.' (Tutor)
Learners all reported that they wanted to learn more English and practise their speaking and writing skills. In particular, learners were keen to learn the language needed to search for suitable and interesting jobs, develop a CV and complete application forms. Consequently, some of the learners had already signed up to additional language courses at the local FE college. Learners also wanted to develop their digital skills, as they recognised that the majority of jobs require applicants to have good IT skills and to apply online. Alongside this, learners wanted to gain a better understanding of e-safety so they can be sure their children are safe when using the internet.
For staff
Both the pilot lead and the tutor involved in delivering the pilot felt that the approach supported the development of their active listening skills. This was crucial in order for them to identify the important topics for learners and the feedback for learners on their use of language. By exploring the topics collaboratively with the class, tutors were able to establish the important topics for all of the learners, not just those with the "loudest voices". This enabled them to develop more relevant classes and activities.
A second outcome for tutors' practice was the lesson about the importance of recapping previous learning. Tutors also felt that they had improved the way in which they use technology to support learning in the classroom. In particular, tutors felt that the class blog was an effective way for learners to develop their digital skills and improve their written English.
By focussing on one topic for a longer period of time, tutors feel that learners have had a richer learning experience which has addressed some of their specific needs and issues around using the health service. This applied pedagogical approach enabled learners to develop the language skills needed to improve their access to and experience of health services.
'I think being very explicit, that we're focusing on a theme for a sustained period of time, really focusing students' minds, I guess, has allowed us to go into more depth about their experiences and ways that we could find out information and develop the language to improve those experiences.' (Tutor)
The tutors also found that engaging learners in the evaluation of the pilot helped them to gather views on what learners enjoyed doing and what could be improved about the course. The class blog in particular has been effective in enabling learners to express the importance of learning to and their opinions of the programme. This has helped the tutors to reflect on their practice and make changes to the course as it progressed.
For EFA London
Staff involved in developing and delivering the pilot felt that it had had huge benefits for EFA London as an organisation. The Citizens' Curriculum approach enabled them to take a more systematic approach to the delivery of their "making meaning – going deeper – broadening out" delivery model and they are now hoping to train other organisations in this approach. The pilot has also been a good platform for them to promote this approach and their wider work to a broader community.
The pilot has also helped the organisation to recognise the value of embedding digital learning into their programmes. This has given staff a much better idea of their learners' digital literacy and how this can be developed through activities which also allow learners to practise and apply their language skills. The organisation is keen to build on this and embed digital capability into their future programmes.
The success of the pilot has encouraged the organisation to take the programme to the next stage and encourage learners to participate in more practical activities out in the community. EFA London is hoping that this would give learners the chance to practise their skills in a real life context and take action using the capabilities they have developed through the programme.
Critical success factors
[x] Embedding language, civic and digital capabilities in an overarching theme enabled learners to develop and apply these skills to their lived experience.
[x] Having an overarching theme for the programme also enabled learners to discuss issues in more depth and develop a more sophisticated understanding of the topics involved.
[x] The learner-led approach of the "making meaning – going deeper – broadening out" delivery model ensures that learners are motivated to learn and take ownership of sessions.
[x] The strong relationships between learners in the group meant they were comfortable to share their experiences of using health services.
[x] The active listening skills of tutors supports learners to recap previous learning and enables tutors to tailor the sessions to learners' needs.
Further information and contact
For more information about EFA London, visit their website at www.efalondon.org/
For more information about the NIACE Citizens' Curriculum, please contact Alex Stevenson at email@example.com
|
ISSN (Online): 2455-9024
Effectiveness of Waste Transportation in Temporary Waste Dump (TPS)/Container in Maumere, Sikka Regency
Antonius Eko Setiawan, Christia Meidiana, Imma Widyawati Agustin
Urban and Regional Planning Department, Engineering Faculty, Brawijaya University, Malang, Indonesia
Abstract— Waste is the residual of human activity, its increasing number in a region was due to population growth. One problem in waste management system was related with waste transportation. City of Maumere, which is the capital city of Sikka Regency was the center of various human activities. Therefore, it increase waste volume to be transported to temporary waste dump (TPS) and final waste dump (TPA). Condition of TPSs in Maumere showed several issues in its waste transportation system. In several TPS there was some waste heaps when it was supposed to be clear of any waste. This indicated that system effectiveness regarding transportation in TPS did not reach 100%. Waste transportation can be said effective if there were no longer waste in TPS after the last transport was due.
Waste problem is a complicated problem to solve since some people view waste as a problem since managing it would exert lots of cost and energy. Unhandled waste was closely related with community's culture that still unaware about healthy environment and supported with weak government regulation regarding waste management (Purwendro and Nurhidayat, 2006).
This study measured system effectiveness of waste transportation in Maumere based on Indonesia National Standard regarding waste management in residential area. By comparing the current existing condition with the standard, showed that transportation system was not yet effective. Therefore, improvement in transportation system proposed would include service range in TPS location and transport pattern. Transport routes was determined using Network Analyst thus fastest transport route could be obtain.
Keywords— Effectiveness, temporary waste dump, waste truck, transport route.
I. INTRODUCTION
Waste is the residue of any consumption and considered to be least useful therefore additional processing was necessary to limit its impact so that it did not harm the surrounding environment and waste was mostly solid and consist of organic and inorganic (SNI 19-2454-2002). Population growth such as the existence of urbanization, in its high level would affect degradation in environmental quality such as those involved waste issues (Gong et al., 2012).
With higher population growth and urbanization also with attention toward the existed environmental issues would create a critical situation for waste management (Poser and Awad, 2006; Zhang and Huang, 2014; Cioca et al., 2015; PerezLopez et al., 2016; Hua et al., 2017). Most dominant factor among the people was less individual awareness concerning sanitation also people's behavior toward environment is very low thus it can be said that they do not care about environmental cleanliness and tend to show self-interest rationale (Nazaruddin, 2014).
Volume of waste to be transported was predicted to be about 60% to final waste dump (TPA), using landfilling system (Damanhuri, 2010). Environmental issue related with waste has become one of the main focuses of each waste manager in regional areas (Rhida, 2016).
Waste management is all activities process related with control of waste heap, collection, transportation and final processing. Waste transportation was a waste collection process from TPS to TPA with various collection patterns such as direct individual pattern or collection from transfer location, temporary dump, communals dump toward final waste dump (Statute No 18 of 2008 regarding Waste Management).
From all the existed managing process such as from household to TPA, waste transportation system has become one of the important element (Kanchanabhan et al., 2010). If there was waste heap, it would disturb the comfort of residential areas (Hua et al., 2017). To gain efficient waste transportation system, there should be optimization in waste transport route that could directly reduce the operational cost of waste transport system. This waste transport route optimization has been studied for the last several years (Swapan and Bidyut, 2015; Khanh et al., 2017; Mahmuda et al., 2017). Every region would need optimization in waste transport route as part of its waste management, since it is an effort to reduce operational cost in waste transport. One of the analysis used to optimize waste transport route was network analyst GIS (Amirhossein Malakahmad, 2014).
Effectiveness is a relationship between final results with objectives or aims to be achieved. An activity can be said effective if there was appropriateness from the process to achieve the end and the final objectives of a policy, thus in this study effectiveness was viewed from output or objectives of waste transportation which is by not having waste heap in TPS. Effectiveness assessment by the author was done by implementing concepts from the related management and organizational theories with effectiveness theories (Sumaryadi, 2005).
Based on interview result with Head of Waste and Waste B3 of Environmental Agency in Sikka Regency, Gatot Muryanto SE, he said that regional government has difficulties to maintain the distance between development for growth and infrastructure demand for community service such as waste collection and transport. Waste service still has less attention,
International Research Journal of Advanced Engineering and Science
ISSN (Online): 2455-9024
although government has already gained more knowledge about waste either as problematic source or as recycle material source. Political priority related with waste and status of people involved in waste matter was still low and limited. Other reason why there was less service in the service area was due to limited operational facilities compared to the existed volume of waste, based on data from Waste and Waste Management B3 of Environmental Agency, Sikka Regency in year 2015 for Maumere. Waste volume was reaching 141,37 m 3 /day but only 95 m 3 /day was able to be transported, thus it leaves 46,37 m 3 /day unmanaged. The existed waste transportation would consist of 5 unit of dump truck, 4 unit of amrol, 23 unit of container, 4 unit of three-wheel motorcycle and 5 unit of cartwheel. With this limited facilities, service was not optimum, waste in temporary waste dump cannot be transported, due to limited human labor and operational facilities in Waste and Waste Management B3 and people awareness were still low although socialization concerning when and how to treat their waste was already done but we still can easily find those who dump their waste along with animal waste and building materials also chopped-down trees outside of the existed TPS/container.
II. STUDY METHOD
Stages of this study were identifying location of TPS/container, amount and type of waste transportation vehicles, and initial route of waste transport in study site. Subsequently, effectiveness analysis related with the existed waste transportation system in study site was done according to SNI 3242:2008. Analysis used was meant to found out whether waste transportation system in study site has run effectively based on the valid standard, if it was found effective, subsequent analysis related with waste transport route was done using network analysis with ArcGIS 10.1 to found out the fastest route to final waste dump (TPA), thus distance and fuel comparison between the existed and the fastest routes were obtained.
III. RESULT AND DISSCUSION
Effectiveness of Waste Transport
A. Existed Condition of Waste Transport
Generally according to SNI 3242:2008, waste management system would covers containing, collection, transfer, transportation, processing and final dump. In this study, waste transportation system was discussed. More information can be reviewed from Figure 1. Waste Transportation System.
Location of TPS/containers was spread in residential area of Kec. Alok Timur, Kec. Alok, and Kec. Alok Barat with total TPS/container was 51 units TPS with capacity 2 m 3 each and 22 units container with capacity 6 m 3 . It was shown in Table I. Number of TPS/Container in Maumere.
TABLE I. Number of TPS/container in Maumere.
Source: Survey result, 2016
| Areas | Number of Unit | |
|---|---|---|
| | TPS (Waste Dump) | Container |
| Kecamatan Alok Timur | 21 | 3 |
| Kecamatan Alok | 28 | 12 |
| Kecamatan Alok Barat | 2 | 7 |
| Total | 51 | 22 |
Waste transport vehicles consist of dump truck with capacity 8m 3 used to transport waste from each TPS and household also amrol truck used to transport container to TPA. The operating vehicles were 5 unit of dump truck and 4 unit of amrol truck. Waste transport route in TPS using dump truck did not have fixed route. Route passed was based on location in which its waste heap has reach (or more of) the capacity of TPS. For route of amrol truck, there was no fix route between garage to container location and to TPA. More information regarding operational area of dump truck can be viewed in Table II. Operational area of dump truck was as follow:
TABLE II. Operational Areas of Dump Truck.
Source: Survey result, 2016
| Service Areas | Dump Truk |
|---|---|
| Kecamatan Alok Timur Kelurahan Waioti Kelurahan Nangameting | DH 1010 |
| Kelurahan Wairotang Kelurahan Beru | EB 8002 |
| Kelurahan Kota Baru | EB 939 |
| Kecamatan Alok Kelurahan Madawat Kerurahan Kabor Kelurahan Kota Uneng | B 9011 |
| Kecamatan Alok Barat Kelurahan Wolomarang Kelurahan Wuring | EB 903 |
International Research Journal of Advanced Engineering and Science
ISSN (Online): 2455-9024
B. Comparison of Existing Condition with Indonesia National Standard (SNI) 3242:2008
SNI is the national standard valid in Indonesia. This standard was used as reference regarding waste transport system in Maumere, whether it was effective according to the standard or does it need more development according to the standard. Assessment would cover service capacity of existing condition in study site either from TPS/container type or capacity. More information can be viewed from Table III. Comparison of Existing Condition with SNI 3242:2008.
TABLE III. Comparison of Existing Condition and SNI 3242:2008.
Source: Survey result, 2016
| Areas | Type | Service Capacity SNI 3242:2008 | | Existed | |
|---|---|---|---|---|---|
| | | Number (Volume) | Perso n | Number (Volume for 1 unit) | Number of people (BPS, 2016) |
| Kecamatan Alok Timur | TPS | 1 (1m3) | 200 | 21 (2m3) | 33.319 |
| | Kontainer | 1 (6m3) | 3.200 | 7 (6m3) | |
| Kecamatan Alok | TPS | 1 (1m3) | 200 | 28 (2m3) | 34.195 |
| | Kontainer | 1 (6m3) | 3.200 | 12 (6m3) | |
| Kecamatan Alok Barat | TPS | 1 (1m3) | 200 | 2 (2m3) | 17.309 |
| | Kontainer | 1 (6m3) | 3.200 | 3 (2m3) | |
Calculation for service capacity in existing condition on TPS/container based on SNI 3242:2008 was existing capacity times existing number and number of people being served can be obtained. After this number was obtained, population based on BPS data minus people served would obtain the difference or number of people not yet served. For TPS/container needed can be obtained from number of people not yet served divided by service capacity and thus the need for TPS/container would be obtained.
Kecamatan Alok Timur with population based on BPS 2016 was 33.319 persons. Existing service capacity of TPS in Kec. Alok Timur was 21 units and volume per unit was 2 m 3 , with 8.400 persons were served. Existing service capacity for container was 7 unit with volume per unit 6m 3 and 22.400 person were served, thus total population receiving service from TPS and container were 30.800 person. People not yet served were 2.519 person, obtained from existing population (based on data from BPS 2016) minus number of people receiving service. For the need of TPS or container, it can be obtained from number of people not yet served divided with TPS/container capacity and thus the needs for 6 unit TPS with volume 2m 3 per unit was obtained, and there was no need to increase container for Kec. Alok Timur.
Kecamatan Alok has the population of 34.195 person based on BPS 2016 data, which is the most dense area in Maumere. The existing service capacity of TPS in Kecamatan Alok was 28 units with 2m 3 volumes per unit and 11.200 persons being served. The existing service capacity of container in Kecamatan Alok was 12 units with 6m 3 volumes per unit and 38.400 persons being served, thus total people being served from TPS and container was 49.600 persons. Number of people being served was larger than number of population based on BPS 2016 data thus there was no need to increase TPS/container for Kecamatan Alok.
Kecamatan Alok Barat has the population of 17.309 person based on BPS 2016 data and was the least populated area in Maumere. The existing service capacity of TPS in Kec Alok Barat was 2 units with 2m 3 volumes per unit and 800 persons being served. The existing service capacity of container was 3 unit with 6m3 volume per unit and 9.600 person being served, thus total people being served from TPS and container were 10.400 person. Number of people not yet served was 6.909 persons, obtained from number of population based on BPS 2016 data minus total people being served. For the need for TPS or container can be obtained from people not yet served divided by TPS/container capacity and thus the need for TPS was 7 unit with volume 2m 3 per unit or 2 unit container with volume 6m 3 per unit for Kecamatan Alok Barat. More information can be viewed in Table IV. The Need for TPS/Container and Dump Truck for Maumere.
Waste transport vehicles operating in Maumere were amrol truck and dump truck. Both vehicles were used to transport waste from TPS/container to TPA. Numbers of dump truck still operating were 5 unit and 4 unit amrol truck with capacity of dump truck 8m 3 . To compare the existing condition with SNI 3242:2008, calculation used was amount of heap per day divided by dump truck capacity, times with tools compactness factor (1,2) and times with ritation, number of heap was calculated based on SNI 3242:2008 with amount of waste per person for small town scale was 2.5 liters. More information can be viewed in Table IV. The Need for TPS/Container and Dump Truck for Maumere.
Calculation for the need of amrol truck was obtained through number of container spread in each area divided with the existing ritation is 3 times ritation in one day transport. For Kec. Alok Timur there was the need for 2 amrol trucks for 7 containers, while for Kec. Alok there was the need for 4 amrol trucks for 12 containers and for Kec. Alok Barat there was the need for 1 amrol truck for 3 containers.
C. Route Effectiveness for Waste Transportation
The existing waste transport route at study site was not planned well thus it may become one of the reason there was still waste heap in TPS/container. For the existing waste transport route using dump trucks per Kecamatan was using operational route covers Kelurahans within Kecamatan. Waste transport system using dump truck was collecting waste from TPS such as waste bin on the curb and direct collection from house to house. This means duration of transportation became longer and effectiveness of transportation route can only be measured for waste transportation using container system and amrol trucks.
Determination of shortest route for transportation using amrol truck was done by networking analysis with ArcGIS 10.1 program whereas initial point of vehicles, container point being transported and route to TPA Waturia were analyzed.
International Research Journal of Advanced Engineering and Science
ISSN (Online): 2455-9024
TABLE IV. The Need of TPS/Container and Dump Truck for Maumere.
Source: Analysis result
| Areas | Type | Existing Unit (Volume) | Σ Waste Heap (m3) | Σ Population BPS 2016 (person) | Served (person) | Not Served (person) |
|---|---|---|---|---|---|---|
| Kecamatan Alok Timur | TPS | 21 (2m3) | 83 | 33.319 | 30.800 | 2.519 |
| | Kontainer | 7 (6m3) | | | | |
| | Dump Truk | 3 (8m3) | | | | |
| Kecamatan Alok | TPS | 28 (2m3) | 85 | 34.195 | 49.600 | - |
| | Kontainer | 12 (6m3) | | | | |
| | Dump Truk | 1 (8m3) | | | | |
| Kecamatan Alok Barat | TPS | 2 (2m3) | 43 | 17.309 | 10.400 | 6.909 |
| | Kontainer | 3 (2m3) | | | | |
| | Dump Truk | 1 (8m3) | | | | |
Traffic light is one of the factors that extend transportation duration since traffic lights has 30 seconds duration.
Figure 3. Comparison between Existed and Shortest Routes of Amrol Truck EB 924.
Waste transport mechanism using amrol truck at study site was amrol truck from the initial point carry an empty container to the first container point, and replace its empty container with the full container, done repetitiously until from TPA to garage it will carry an empty container. Average speed for each amrol truck was 40 km/hour with one liters fuel for 7 km. For more information in container spread and its transportation vehicles, Figure 2 showed Container Spread and Its Transport Vehicles in Maumere.
Based on networking analysis by using ArcGIS 10.1, comparison between the existing route and shortest route of each amrol truck were as follows :
- Amrol truck with plate EB 924
- Amrol truck with plate EB 921
Amrol truck with plate EB 921 has total existing route length from garage to each container to the TPA and back to the garage was 144,783 km with total duration 4.2 hours and 21 liters of fuel, while for its shortest route from garage to each container to the TPA and back to the garage was 143,962 km with total duration 4 hours and 20.5 liters of fuel. Comparison of existing route and shortest route obtain 0,821 km difference. More information can be seen in Table VI and Figure 4. Comparison between Existed and Shortest Routes of Amrol Truck EB 921.
- Amrol truck with plate DH 1010
Amrol truck with plate EB 924 has total existing route length from garage to each container to the TPA and back to the garage was 185,684 km with total duration 5.3 hours and 27 liters of fuel, while for its shortest route from garage to each container to the TPA and back to the garage was 182,901 km with total duration 5 hours and 26 liters of fuel. Comparison of existing route and shortest route obtain 2,783 km difference. More information can be seen in Table V and
Amrol truck with plate DH 1010 has total existing route length from garage to each container to the TPA and back to the garage was 161,761 km with total duration 4.2 hours and 23.1 liters of fuel, while for its shortest route from garage to each container to the TPA and back to the garage was 161,043 km with total duration 4 hours and 23 liters of fuel. Comparison of existing route and shortest route obtain 0,718 km difference. More information can be seen in Table VII and Figure 5. Comparison between Existed and Shortest Routes of Amrol Truck DH 1010.
Antonius Eko Setiawan, Christia Meidiana, and Imma Widyawati Agustin, "Effectiveness of waste transportation in temporary waste dump (TPS)/container in Maumere, Sikka Regency," International Research Journal of Advanced Engineering and Science, Volume 2, Issue 4, pp. 212-219, 2017.
Source: Analysis result
Source: Analysis result
International Research Journal of Advanced Engineering and Science
ISSN (Online): 2455-9024
TABLE V. Comparison between Existed and Shortest Routes for Amrol Truck EB 924.
| Route | Distance (km) | | Σ Traffic Light | | Time (hours) | |
|---|---|---|---|---|---|---|
| | Existing | Optimum | Existing | Optimum | Existing | Optimum |
| Garasi-K1-TPA | 17.224 | 16.802 | 4 | - | 0,52 | 0,42 |
| TPA-K2 | 16.048 | 15.361 | 3 | - | 0,49 | 0,38 |
| K2-TPA | 15.292 | 15.266 | - | - | 0,38 | 0,38 |
| TPA-K3 | 15.898 | 15.672 | 2 | - | 0,46 | 0,39 |
| K3-TPA | 15.680 | 15.644 | 2 | - | 0,45 | 0,39 |
| TPA-K4 | 15.392 | 15.450 | 2 | 1 | 0,44 | 0,42 |
| K4-TPA | 15.166 | 15.159 | 2 | - | 0,44 | 0,38 |
| TPA-K5 | 15.505 | 15.213 | 2 | - | 0,45 | 0,38 |
| K5-TPA | 15.260 | 15.200 | 2 | - | 0,44 | 0,38 |
| TPA-K6 | 13.632 | 13.145 | - | - | 0,34 | 0,33 |
| K6-TPA | 13.145 | 13.145 | - | - | 0,33 | 0,33 |
| TPA-Garasi | 17.442 | 16.844 | 4 | - | 0,53 | 0,42 |
| Total | 185.684 | 182.901 | 23 | 1 | 5,3 | 5 |
TABLE VI. Comparison between Existed and Shortest Routes for Amrol Truck EB 921.
| | Existing | Optimum | Existing | Optimum | Existing | Optimum |
|---|---|---|---|---|---|---|
| Garasi-K7-TPA | 17.201 | 17.17 | 2 | 1 | 0,49 | 0,46 |
| TPA-K8 | 13.297 | 13.301 | - | - | 0,33 | 0,33 |
| K8-TPA | 13.297 | 13.301 | - | - | 0,33 | 0,33 |
| TPA-K9 | 14.402 | 14.09 | 1 | - | 0,39 | 0,35 |
| K9-TPA | 14.174 | 14.09 | - | - | 0,35 | 0,35 |
| TPA-K10 | 13.952 | 13.953 | - | - | 0,35 | 0,35 |
| K10-TPA | 14.036 | 13.953 | - | - | 0,35 | 0,35 |
| TPA-K11 | 13.633 | 13.63 | - | - | 0,34 | 0,34 |
| K11-TPA | 13.635 | 13.63 | - | - | 0,34 | 0,34 |
| TPA-Garasi | 17.156 | 16.844 | 4 | - | 0,55 | 0,42 |
| Total | 144.783 | 143.962 | 7 | 1 | 3,83 | 4,04 |
Source: Analysis result
International Research Journal of Advanced Engineering and Science
ISSN (Online): 2455-9024
TABLE VII. Comparison between Existed and Shortest Routes for Amrol Truck DH 1010.
| Route | Distance (km) | | Σ Traffic Light | | Time (hours) | |
|---|---|---|---|---|---|---|
| | Existing | Optimum | Existing | Optimum | Existing | Optimum |
| Garasi-K12-TPA | 17.122 | 16.866 | - | - | 0,43 | 0,42 |
| TPA-K13 | 14.307 | 14.373 | - | - | 0,36 | 0,36 |
| K13-TPA | 14.369 | 14.373 | - | - | 0,36 | 0,36 |
| TPA-K14 | 14.939 | 14.725 | 1 | 1 | 0,40 | 0,40 |
| K14-TPA | 14.732 | 14.725 | 1 | 1 | 0,40 | 0,40 |
| TPA-K15 | 12.959 | 12.959 | - | - | 0, 32 | 0,32 |
| K15-TPA | 12.814 | 12.814 | - | - | 0,32 | 0,32 |
| TPA-K16 | 12.829 | 12.829 | - | - | 0,32 | 0,32 |
| K16-TPA | 12.705 | 12.705 | - | - | 0,32 | 0,32 |
| TPA-K17 | 4.559 | 4.559 | - | - | 0,11 | 0,11 |
| K17-TPA | 4.559 | 4.559 | - | - | 0,11 | 0,11 |
| TPA-K18 | 4.356 | 4.356 | - | - | 0,11 | 0,11 |
| K18-TPA | 4.356 | 4.356 | - | - | 0,11 | 0,11 |
| TPA-Garasi | 17.155 | 16.844 | 4 | - | 0,55 | 0,42 |
| Total | 161.761 | 161.043 | 6 | 2 | 4,23 | 4,08 |
217
Antonius Eko Setiawan, Christia Meidiana, and Imma Widyawati Agustin, "Effectiveness of waste transportation in temporary waste dump (TPS)/container in Maumere, Sikka Regency," International Research Journal of Advanced Engineering and Science, Volume 2, Issue 4, pp. 212-219, 2017.
Source: Analysis result
International Research Journal of Advanced Engineering and Science
ISSN (Online): 2455-9024
TABLE VIII. Comparison between Existed and Shortest Routes for Amrol Truck DH 8016.
| Route | Distance (km) | | Σ Traffic Light | | |
|---|---|---|---|---|---|
| | Existing | Optimum | Existing | Optimum | Existing |
| Garasi-K19-TPA | 17.724 | 17.071 | 2 | - | 0,50 |
| TPA-K20 | 13.048 | 13.048 | - | - | 0,33 |
| K20-TPA | 12.727 | 12.727 | - | - | 0,32 |
| TPA-K21 | 13.054 | 13.054 | - | - | 0,33 |
| K21-TPA | 12.477 | 12.477 | - | - | 0,31 |
| TPA-K22 | 10.928 | 10.928 | - | - | 0,27 |
| 22-TPA | 10.928 | 10.928 | - | - | 0,27 |
| TPA-Garasi | 17.454 | 16.844 | 4 | - | 0,56 |
| Total | 108.340 | 107.077 | 6 | - | 2,89 |
- Amrol truck with plate DH 8016
Amrol truck with plate DH 8016 has total existing route length from garage to each container to the TPA and back to the garage was 108,340 km with total duration 3.2 hours and 15.5 liters of fuel, while for its shortest route from garage to each container to the TPA and back to the garage was 107,077 km with total duration 3 hours and 15.2 liters of fuel. Comparison of existing route and shortest route obtain 1,263 km difference. More information can be seen in Table VIII and Figure 6. Comparison between Existed and Shortest Routes of Amrol Truck DH 8016.
For waste transportation route using container system, in the figures this transportation route to TPA was not displayed since the route passing through Kec. Alok Barat was going in straight lines, while all waste transportation route to TPA through Kec. Alok Barat was using the same road. Waste transportation system for container was using amrol truck with empty container from the starting point to replace it with the first full container and took it to TPA, afterward it goes to the second full container and done it repetitiously until the last reit. By using the shortest route, it would maximize waste transport operation for container system in Maumere.
IV. CONCLUSION
From the result of this study, it can be concluded that:
1. Viewed from the existing condition of waste transport at study site, it can be said that waste management was still ineffective. There was some area that still not served.
2. Number of TPS/container and its transport vehicles cannot serve all people in Maumere.
3. There were differences between the existing route and fastest (shortest) route and distribution of container transport at container points was not well-proportioned.
V. SUGGESTION
Input suggestions that can be said for this study were:
1. It was necessary to obtain complete data regarding number of house condition to found out more about garbage heap of each house at study site.
2. It was necessary to conduct more study regarding gas emission pollution from garbage vehicles.
3. It was necessary to conduct study regarding role and contribution of the people in an effort to reduce garbage in TPS.
International Research Journal of Advanced Engineering and Science
ISSN (Online): 2455-9024
REFERENCES
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Selection Notice for the post of
Team Leader–REMIT IT Delivery
(Temporary Staff, Grade AD 7)
in the Market Integrity and Transparency Department of the Agency for the Cooperation of Energy Regulators
REF.: ACER/2018/04
Publication
External
Title Function
Team Leader–REMIT IT Delivery
Parent Directorate-General / Service
DG ENER (BXL)
******
1. WE ARE
The Agency for the Cooperation of Energy Regulators (hereinafter referred to as "the Agency") is a European Union ("EU") body, legally established by Regulation (EC) No 713/2009 1 and operational since 2011. Based in Ljubljana (Slovenia), the Agency is central to the liberalisation of the EU's electricity and natural gas markets.
The purpose of the Agency is to assist National Regulatory Authorities ("NRAs") in exercising, at Union level, the regulatory tasks that they perform in the Member States and, where necessary, to coordinate their action.
In this respect, the Agency:
a) Complements and coordinates the work of NRAs;
b) Participates in the development of European network rules;
c) Takes, under certain conditions, binding individual decisions on terms and conditions for access and operational security for cross border infrastructure, on cross-border cost allocation for Projects of Common Interest and on terms and conditions or methodologies for the implementation of network codes;
1 Regulation (EC) No 713/2009 of the European Parliament and of the Council of 13 July 2009 (OJ L 211, 14.8.2009, p. 1).
d) Gives advice on electricity and natural gas related issues to the European institutions;
e) Monitors the internal markets in electricity and natural gas and reports on its findings;
f) Monitors trading in wholesale energy products to detect and deter market abuse and ensure the integrity and transparency of EU wholesale energy markets.
The main areas on which the Agency's activities focus are:
- supporting European market integration: this is mainly done through the development of common network and market rules, as well as through the coordination of regional initiatives which are concrete efforts from market participants to work towards greater integration,
- advising the EU Institutions on trans-European energy infrastructure issues: the Agency issues opinions on ten-year network development plans, to ensure that these are in line with priorities set at EU level, and on the draft lists of Projects of Common Interest,
- energy market monitoring: the Agency has a general mission in terms of market monitoring at the EU level and has, since the end of 2011, a very specific responsibility when it comes to the oversight of wholesale energy trading according to Regulation (EU) No 1227/2011 on wholesale energy market integrity and transparency (REMIT).
The Agency currently employs more than 80 staff and has an approved annual budget of €13.6 million in 2018. The Agency's internal structure comprises five Departments (Electricity, Gas, Market Surveillance and Conduct, Market Integrity and Transparency and Administration) and the Director's Office. Please find the Agency's organisational chart on the following link: http://www.acer.europa.eu/en/The_agency/Organisation/Pages/ACERdepartments.aspx
The Agency is located in Ljubljana (Slovenia).
2. WE PROPOSE
The Agency is looking for a Team Leader–REMIT IT Delivery who will be assigned to the Market Integrity and Transparency Department of the Agency and will operate under the direction of and report to the Head of the Market Integrity and Transparency Department.
The Team Leader–REMIT IT Delivery will be in charge of leading the REMIT IT software development and REMIT application management work at the Agency, including in particular the following duties:
(a) REMIT IT software development
- Collect, understand and analyse the input from stakeholders for the development of the business requirements for projects and products, and translating these into functional and non-functional specifications;
- Propose, document and analyse potential business requirements for improvements/upgrades to the existing ARIS components and modules to improve performance and/or usability of deployed solutions;
- Manage the integration and testing activities for any developed software; coordinate with business users and other IT teams on activities related to the quality assurance for the Agency's REMIT Information Systems;
- Initiate and support the activities related to procurement of new services and products, including identification of needs, drafting of the technical specifications for tenders, performing the technical evaluation of the received offers, participation in the tender evaluation processes;
- Coordinate and supervise the external consultants so as to ensure the delivery of expected solutions to stakeholders in agreed time, scope and budget;
(b) REMIT IT application management
- Manage the lifecycle of ARIS applications and services within scope according to the relevant ITSM processes (ITIL);
- Perform incident analysis of services and applications within scope and suggest the necessary actions;
- Ensure that security and business continuity provisions and procedures are complied with in all systems and processes;
- Provide recommendations on the evolution of services and applications;
- Design, implement and maintain the quality assurance processes to ensure proper quality of all deployed applications;
- Analyse and document business processes and workflows;
- Ensure that all manuals and guidelines for proper use of applications and services are available and up to date;
- Control the Continuous Service Improvement (CSI) of applications and services including incident and problem management;
(c) Team management
- Manage the REMIT IT Delivery Team in an active, motivating, and pragmatic manner;
- Plan and organise the efficient allocation of the work between the various members of the team;
- Monitor SLAs with external service providers, ensuring KPIs are met;
- Ensure timely delivery of high-quality work in the various areas of competence of the Agency in this field;
- Oversee the correct and timely execution of administrative processes and procedures in compliance with the Agency's policies and standards;
- Ensure good communication between the different members of the team, as well as across the rest of the Department and across the Agency;
- Liaise with other Agency's functions to ensure compliance and corporate-ICT alignment;
(d) Managerial support
- The Team Leader–REMIT IT Delivery supports the Head of Market Integrity and Transparency Department in his functions.
The jobholder will be required to act with a service culture, handling files with confidentiality and utmost professional integrity, being able to show excellent interpersonal and communication skills. He/she is expected to be proactive, with a team spirit, good management of stress, good level of flexibility, being able to prioritise, delivering quality and results with attention to detail and commitment to excellence and to closely collaborate with colleagues working in the department and in the Agency and with the Agency's stakeholders.
The Team Leader–REMIT IT Delivery may be required, at times, to assist in other areas of work of the Agency and the Market Integrity Department, according to needs and priorities, as defined by the Director of the Agency and the Head of the Market Integrity and Transparency Department.
The tasks and the nature of the post may change in the future as a result of any possible reorganisation of the IT-related activities in the Agency.
3. WE LOOK FOR
A) Eligibility criteria
Candidates will be considered eligible for selection phase on the basis of the following formal criteria to be fulfilled by the deadline for applications:
1. To have a level of education which corresponds to completed university studies of at least four (4) years attested by a diploma
or
To have a level of education which corresponds to completed university studies attested by a diploma and appropriate professional experience of at least one (1) year when the normal period of university education is at least three (3) years;
(Only study titles that have been awarded in the EU Member States or that are subject to the equivalence certificates issued by the authorities in the said Member States shall be taken into consideration).
2. By the closing date for applications candidates must, after obtaining the qualifications mentioned in point 3.A.1, have acquired at least six (6) years of professional experience;
3. To have a thorough knowledge of one of the official languages of the European Union 2 and a satisfactory knowledge of a second of these languages (level B2 of CEFR 3 ) to the extent necessary to perform his/her duties;
2 The languages of the EU are: Bulgarian, Croatian, Czech, Danish, Dutch, English, Estonian, Finnish, French, Irish, German, Greek, Hungarian, Italian, Latvian, Lithuanian, Maltese, Polish, Portuguese, Romanian, Slovak, Slovene, Spanish, Swedish.
3 Common European Framework of Reference for Languages, available at: https://www.coe.int/en/web/commoneuropean-framework-reference-languages/level-descriptions
4. To be a national of a Member State of the European Union;
5. To be entitled to his or her full rights as a citizen;
6. To have fulfilled any obligations imposed by the applicable laws concerning military service;
7. To be physically fit to perform the duties linked to the post. 4
B) Selection criteria
The following criteria will be assessed when selecting the candidates for the interviews:
Technical knowledge:
1. Relevant studies in the field of information technology, computer science, electrical engineering, physics or mathematics;
2. At the deadline for applications candidates will, after obtaining the qualifications mentioned in point 3.A.1, have acquired at least five (5) years of relevant professional experience with tasks closely related to those described above;
3. Three (3) years of experience in managing a team 5 or working in a managerial role, including strong leadership and social skills;
4. Experience in public procurement and managing outsourcing contracts;
5. Experience in facilitating organisational change management and/or in establishing and driving maturity improvement programmes for IT oriented processes and organisations;
6. Thorough knowledge of IT project and service management principles, methods and practices (e.g. PM2, Prince2, PMBOK, ITIL);
7. Thorough knowledge and experience of day-to-day operational aspects applicable to large IT solutions for collection of large amount of data and supporting a large number of users;
8. Thorough knowledge of ICT security according to the ISO 27000 series.
Communication and other personal skills:
1. Very good written and oral command (level C2 of CEFR) of the English language;
2. Proven ability to lead a team and work under pressure, combined with capacity to work on several projects simultaneously;
3. Experience of working in an international environment dealing with a very diverse range of stakeholders;
4 Before the appointment, a successful candidate shall be medically examined by one of the institutions' medical officers in order for the Agency to be satisfied that he/she fulfils the requirement of article 28(e) of the Staff Regulations of the Officials of the European Union.
5 Please indicate the size of the team.
Communication and other personal skills will be assessed at the stage of the interview and the written test.
Candidates are invited briefly to explain in their motivation letter in which positions they acquired their knowledge and professional experience in the specified areas.
4. SELECTION AND APPOINTMENT
A Selection Committee will evaluate the applications and select the candidates meeting the eligibility criteria and best matching the selection criteria.
The Selection Committee will endeavour to invite a minimum of six candidates and a maximum of eight candidates to an interview and written test. However, such numbers may be increased in the case of a larger number of high-scoring candidates participating in the selection procedure or reduced in the case of a limited number of eligible candidates and/or a limited number of high-scoring candidates participating in the selection procedure.
The interview and test will focus on the following aspects.
a) Specific competences and knowledge of languages with reference to the selection criteria of the present vacancy notice;
b) General aptitudes to the extent necessary for the performance of the duties in accordance with article 12.2.e of the Conditions of Employment of Other Servants;
A reserve list of the most suitable candidates will be drawn up by the Agency.
In line with Director Decision 2017/16, candidates achieving the qualifying mark in the written test and interview of a minimum of 70% will be placed on the reserve list. The reserve list will be valid until 31/12/2019. Its validity may be extended by decision of the Director.
All candidates will be informed about the outcome of the procedure.
Recruitment will be subject to budgetary availability and assignment of posts by the Budgetary Authority.
5. EQUAL OPPORTUNITIES
The Agency applies an equal opportunities policy and accepts and treats applications without distinction on grounds of sex, race, colour, ethnic or social origin, genetic features, language, religion, political or any other opinion, membership of a national minority, property, birth, disability, age or sexual orientation.
6. CONDITIONS OF EMPLOYMENT
The successful candidate will be appointed by the Director as a Temporary Staff in Grade AD 7 pursuant to Article 2(f) of the CEOS for a period of 5 years which may be renewed.
Pay and welfare benefits: the pay of staff members consists of a basic salary, allowances and other benefits.
Depending on the individual family situation and the place of origin, the successful jobholder may be entitled to: expatriation allowance (16% of the basic salary), household allowance, dependent child allowance, education allowance, pre-school allowance, reimbursement of removal costs, temporary daily subsistence allowance, installation allowance and other benefits. Salaries are exempted from national tax; instead, a Union tax at source is paid.
| Grade/step | Minimum requirements for classification in step (required level of university studies + minimum number of years of experience after university graduation | Monthly basic salary | Monthly net |
|---|---|---|---|
| | | | salary, including |
| | | | specific |
| | | | allowances6 |
| AD7 step1 | 4 years’ university degree (or 3 years’ university degree + 1 year professional experience) in a field relevant for this position + up to 6 years’ experience in some or all of the fields covered by the job description | 6,026.07 € | |
| AD7 step2 | 4 years’ university degree (or 3 years’ university degree + 1 year professional experience) in a field relevant for this position + more than 6 years’ experience in some or all of the fields covered by the job description | 6,279.29 € | |
Additional benefits:
- Annual leave entitlement of two days per calendar month plus additional days for age, grade, 2,5 days' home leave if applicable, and in addition up to 19 ACER holidays per year;
- EU Pension Scheme (after 10 years of service);
- EU Joint Sickness and Insurance Scheme (JSIS), accident and occupational disease coverage, unemployment and invalidity allowance and insurance.
7. DATA PROTECTION
The purpose of processing the data the candidates submit is to manage their application(s) in view of possible preselection and recruitment at the Agency. Personal data is processed by and accessible to authorised Agency's personnel. In some cases, an external expert, equally bound by the same data protection principles, may assist the Agency in the selection of candidates.
The Agency adheres to and is regulated under Regulation (EC) N° 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the European Union institutions and bodies. The Agency is supervised by EDPS, http://www.edps.europa.eu.
6 An estimation of net salary, including the deduction for tax, correction coefficient (currently at 81.5 %). and social security and adding the allowances (this estimation has been calculated with expatriation allowance, household allowance and with one dependent child allowance). Allowances depend in any case on the personal situation of the candidate.
For any further enquiries candidates may contact the Data Protection Officer at: email@example.com. Candidates are invited to consult the privacy statement, which explains how the Agency processes personal data in relation to recruitment and selections.
8. APPLICATION PROCEDURE
For applications to be valid, candidates must submit (in PDF or Word format):
- a complete and detailed curriculum vitae in English and in European CV format (Europass) 7 - other formats will not be considered
- a letter of motivation (1 page maximum) in English, explaining in which positions they acquired their knowledge and professional experience in the specified areas identified in Section 2 of this selection notice.
- A completed eligibility form
Applications that are not completed are considered as non-valid.
Applications should be sent by email to firstname.lastname@example.org quoting the reference number of selection notice.
Supporting documents (e.g. certified copies of degrees/diplomas, references, proof of experience etc.) should not be sent at this stage but must be submitted at a later stage of the procedure if requested.
In order to facilitate the selection process, all communications to candidates concerning this vacancy will be in English.
Under no circumstances should candidates approach the Selection Committee, directly or indirectly, concerning this recruitment. The authority authorised to conclude a contract reserves the right to disqualify any candidate who disregards this instruction.
Applications must be sent by e-mail by 14 September 2018 (closing time 23:59 Ljubljana time).
If at any stage in the procedure it is established that any of the information a candidate provided is incorrect, the candidate in question will be disqualified.
For more information on the selection procedure, please consult the Guide for Applicants on the Agency's website:
http://www.acer.europa.eu/The_agency/Working_at_ACER/Pages/FAQs-on-workingat- ACER.aspx.
7 The Europass template is available at the following link: https://europass.cedefop.europa.eu/
9. APPEALS
Pursuant to Article 90(2) of the Staff Regulations of Officials and the Conditions of Employment of Other Servants, a candidate may submit a complaint against an act affecting him/her adversely. The complaint must be lodged within 3 months from the date of notification to the following address:
Human Resources Management Agency for the Cooperation of Energy Regulators (ACER) Trg Republike 3 1000 Ljubljana – Slovenia
Should the complaint be rejected, pursuant to Article 270 of the Treaty on the Functioning of the European Union and Article 91 of the Staff Regulations of Officials and the Conditions of Employment of Other Servants, a candidate may request judicial review of the act. The appeal must be lodged within 3 months from the date of notification to the following address:
Registry The General Court Rue du Fort Niedergrünewald L-2925 Luxembourg Luxembourg
Any citizen of the European Union or any natural or legal person residing in a Member State may make a complaint for maladministration pursuant to Article 228(1) of the Treaty on the Functioning of the European Union. The complaint must be lodged within two years of becoming aware of the facts on which the complaint is based to the following address:
The European Ombudsman 1, Avenue du President Robert Schuman - BP 403 F-67001 Strasbourg Cedex France
Please note that complaints to the European Ombudsman do not have the effect of suspending the period mentioned in Articles 90 and 91 of the Staff Regulations of Officials and the Conditions of Employment of Other Servants for lodging complaints or submitting an appeal pursuant to Article 270 of the Treaty on the Functioning of the European Union. Please note also that under Article 2(4) of the General conditions governing the performance of the Ombudsman's duties , any complaint lodged with the European Ombudsman must be preceded by the appropriate administrative approaches to the institutions and bodies concerned.
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SUPPLEMENTARY INFORMATION: Cancer immunotherapy is a recent approach where tumor associated antigens (TAAs), which are primarily expressed in human tumor cells, and not expressed or minimally expressed in normal tissues, are employed to generate a tumor-specific immune response. Specifically, these antigens serve as targets for the host immune system and elicit responses that result in tumor destruction.
The initiation of an effective T-cell immune response to antigens requires two signals. The first one is antigenspecific via the peptide/major histocompatibility complex and the second or ''costimulatory'' signal is required for cytokine production, proliferation, and other aspects of T-cell activation.
The patents and patent applications describe a vaccine technology, TRICOM, in conjunction with tumor associated antigens (TAAs). The TRICOM technology employs avirulent poxviruses to present a combination of costimulatory signaling molecules with tumor-associated antigens (TAAs) to activate T-cells and break the immune systems tolerance towards cancer cells. This is achieved using recombinant poxvirus DNA vectors that encode both T-cell costimulatory molecules and TAAs. The combination of the three (3) costimulatory molecules B7.1, ICAM–1 and LFA–3, hence the name TRICOM, has been shown to have more than the additive effect of each costimulatory molecule when used individually to optimally activate both CD4+ and CD8+ T cells. When a TRICOM based vaccine expressing TAAs is administered it greatly enhances the immune response against the malignant cells expressing those TAAs. The addition of the two well-known TAAs, carcinoembryonic antigen (CEA) and MUC–1 to the TRICOM vector results in the PANVAC vaccine, which is used in a prime and boost vaccine strategy. It is well established that the over-expression of these two (2) TAAs are associated with the presence of a variety of carcinomas; including colorectal cancer and therefore PANVAC can potentially be an effective cancer vaccine for colorectal cancer. Additionally, new tumor associated antigens can also be used with TRICOM to develop novel vaccines. For example, Brachyury, well known for its role in developmental cell biology and recently been implicated in tumor cell invasion and metastasis, has been shown to be aberrantly expressed in several tumors including colorectal tumors. As a result, Brachyury is being used as a tumor associated antigen along with TRICOM and has potential as a cancer immunotherapeutic vaccine for the treatment of several tumors including colorectal cancer.
The prospective exclusive license will be royalty bearing and will comply with the terms and conditions of 35 U.S.C. 209 and 37 CFR Part 404.7. The prospective exclusive license may be granted unless within thirty (30) days from the date of this published notice, the NIH receives written evidence and argument that establishes that the grant of the license would not be consistent with the requirements of 35 U.S.C. 209 and 37 CFR Part 404.7.
Applications for a license in the field of use filed in response to this notice will be treated as objections to the grant of the contemplated exclusive license. Comments and objections submitted to this notice will not be made available for public inspection and, to the extent permitted by law, will not be released under the Freedom of Information Act, 5 U.S.C. 552.
Dated: May 23, 2012.
Richard U. Rodriguez,
Director, Division of Technology Development and Transfer, Office of Technology Transfer, National Institutes of Health.
[FR Doc. 2012–13006 Filed 5–29–12; 8:45 am]
BILLING CODE 4140–01–P
DEPARTMENT OF HOMELAND SECURITY
Transportation Security Administration
Intent To Request Approval From OMB of One New Public Collection of Information: Baseline Assessment for Security Enhancement (BASE) Program for Public Transportation Systems
AGENCY: Transportation Security
Administration, DHS.
ACTION: 60-day Notice.
SUMMARY: The Transportation Security Administration (TSA) invites public comment on a new Information Collection Request (ICR) abstracted below that we will submit to the Office of Management and Budget (OMB) for approval in compliance with the Paperwork Reduction Act (PRA). The ICR describes the nature of the information collection and its expected burden. This voluntary collection allows TSA to conduct transportation security-related assessments during site visits with security and operating officials of transit agencies.
DATES: Send your comments by July 30, 2012.
ADDRESSES: Comments may be emailed to firstname.lastname@example.org or delivered to the
VerDate Mar<15>2010 17:58 May 29, 2012 Jkt 226001 PO 00000
TSA PRA Officer, Office of Information Technology (OIT), TSA–11, Transportation Security Administration, 601 South 12th Street, Arlington, VA 20598–6011.
FOR FURTHER INFORMATION CONTACT:
Susan Perkins at the above address, or by telephone (571) 227–3398.
SUPPLEMENTARY INFORMATION:
Comments Invited
In accordance with the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), an agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a valid OMB control number. The ICR documentation is available at www.reginfo.gov. Therefore, in preparation for OMB review and approval of the following information collection, TSA is soliciting comments to—
(1) Evaluate whether the proposed information requirement is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility;
(2) Evaluate the accuracy of the agency's estimate of the burden;
(3) Enhance the quality, utility, and clarity of the information to be collected; and
(4) Minimize the burden of the collection of information on those who are to respond, including using appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology.
Information Collection Requirement
Purpose of Data Collection
Approximately 6,000 transit service providers, commuter railroads, and long distance passenger railroad providers operate in the United States. 1 Mass transit and passenger rail systems provide transportation services through buses, rail transit, commuter rail, longdistance rail, and other, less common types of service (cable cars, inclined planes, funiculars, and automated guideway systems). These systems can also include ''demand response services'' for seniors and persons with disabilities, as well as vanpool/ rideshare programs and taxi services operated under contract with a public transportation agency.
TSA is required to ''assess the security of each surface transportation mode and evaluate the effectiveness and efficiency of current Federal Government surface transportation
1 TSA, ''Transportation Sector-Specific Plan Mass Transit Modal Annex'', page 4 (May 2007).
Frm 00039 Fmt 4703 Sfmt 4703 E:\FR\FM\30MYN1.SGM 30MYN1
security initiatives.'' E.O. 13416, sec. 3(a) (Dec. 5, 2006). While many transit systems have security and emergency response plans or protocols in place, no single database exists, nor is there a consistent approach to evaluating the extent to which security programs are in place across public transportation systems.
TSA developed the Baseline Assessment for Security Enhancement (BASE) program for public transportation systems to evaluate the status of security and emergency response programs throughout the nation. 2 In particular, a BASE review assesses the security measures of public transportation systems and gathers data used by TSA to address its responsibilities, such as evaluating ''effectiveness and efficiency of current Federal Government surface transportation security initiatives'' and developing modal specific annexes to the Transportation Systems Sector Specific Plan that include ''an identification of existing security guidelines and requirements and any security gaps * * *'' E.O. 13416, sec. 3(c)(i). Reflecting its risk-based prioritization, TSA primarily conducts BASE reviews on the top 100 transit systems in the country, as identified by the Federal Transit Administration (FTA). 3
Description of Data Collection
TSA's Surface Transportation Security Inspectors (STSIs) conduct BASE reviews during site visits with security and operating officials of transit and passenger rail systems. The STSIs capture and document relevant information using a standardized electronic checklist. Advance coordination and planning ensures the efficiency of the assessment process. As part of this, transit and passenger rail systems may also obtain a checklist in advance from TSA and conduct selfassessments of their security readiness. All BASE reviews are done on a voluntary basis.
The BASE checklist guides the collection of information and encompasses review of security plans, programs, and procedures employed by transit and passenger rail systems in implementing the recommended TSA/ FTA Security and Emergency Management Action Items for Transit
2 A separate program within TSA also conducts BASE reviews to assess security measures related to highway transportation, notice of which will be published separately in the Federal Register.
3 A current list of the top 100 transit systems can be viewed on the National Transit Database Web site at http://www.ntdprogram.gov/ntdprogram/.
Agencies (Action Items). 4 During a review, STSIs collect information from the review of transit and passenger rail system documents, plans, and procedures; interviews with appropriate public transportation agency personnel, to gain process insight; and system observations prompted by questions raised during the document review and interview stages. TSA subject matter experts can then analyze this information. If information in completed assessments meets the requirements of 49 CFR parts 15 and 1520, which would mean that disclosure of the information would be detrimental to the security of transportation, TSA will designate and mark the data as ''Sensitive Security Information,'' and protect it in accordance with the requirements set forth in those regulations.
Use of Results
A BASE review evaluates a public transportation agency's security program components using a twophased approach: (1) Field collection of information, and (2) analysis/evaluation of collected information. The information collected by TSA through BASE reviews strengthens the security of transit and passenger rail systems by supporting security program development (including grant programs), and the analysis/evaluation provides a consistent road map for transit and passenger rail systems to address security and emergency program vulnerabilities. In addition, a public transportation system that undergoes a BASE assessment review is provided with a report of results that can be used by the system to identify and prioritize vulnerabilities to enhance security.
Specifically, the information collected will be used as follows:
1. To develop a baseline understanding of a public transportation agency's security and emergency management processes, procedures, policies, programs, and activities against security requirements and recommended security practices published by TSA and FTA.
2. To enhance a public transportation agency's overall security posture through collaborative review and discussion of existing security activities, identification of areas of potential weakness or vulnerability, and development of remedial recommendations and courses of action.
4 Action Items are available for download at http://www.tsa.gov/assets/pdf/ mass_transit_action_items.pdf.
VerDate Mar<15>2010 17:58 May 29, 2012 Jkt 226001 PO 00000
3. To identify programs and protocols implemented by a public transportation agency that represent an ''effective'' or ''smart'' security practice warranting sharing with the transit and passenger rail community as a whole to foster general enhancement of security in the mass transit and passenger rail mode.
4. To inform TSA's development of security strategies, priorities, and programs for the most effective application of available resources, including funds distributed under the Transit Security Grant Program, to enhance security in the Nation's transit and passenger rail systems.
While TSA has not set a limit on the number of public transportation system BASE program reviews to conduct, TSA estimates it will conduct approximately 100 public transportation system BASE reviews on an annual basis and does not intend to conduct more than one BASE review per transit or passenger rail system in a single year. The total hour burden dedicated to the assessment and collection of security-related documents for review varies depending upon the size of the system and scope of its security program and activities. The hours estimated represent a sampling of BASE reviews completed in 2010. The sampling was derived from 15 public transportation agencies varying in size from small to large. Actual inspection hours were utilized in the sampling. TSA estimates that the hour burden per public transportation agency to engage its security and/or operating officials with inspectors in the interactive BASE program review process is approximately 18 hours for a small public transportation agency, approximately 144 hours for a large public transportation agency, and approximately 46 hours for a moderately-sized agency. Thus, the total annual hour burden for the BASE program review (140 agencies identified) is estimated on the low end of 2520 hours (140 x 18 = 2520) annually and the high end of 6440 hours (140 x 46 = 6440) annually. This number will most likely increase as additional public transportation agencies volunteer to participate.
Issued in Arlington, Virginia, on May 23, 2012.
Susan Perkins,
TSA Paperwork Reduction Act Officer, Office of Information Technology.
[FR Doc. 2012–12959 Filed 5–29–12; 8:45 am]
BILLING CODE 9110–05–P
Frm 00040 Fmt 4703 Sfmt 9990 E:\FR\FM\30MYN1.SGM 30MYN1
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Information about transporting large or heavy vehicles through the, breakdown recovery and other associated Tyne Tunnels services.
Abnormal loads and breakdown recovery
tt2.co.uk email. email@example.com telephone. 0191 262 4451
TT2 Limited Administrative Building Wallsend Tyne and Wear NE28 0PD
Tunnel Categories
(ADR 2011, 188.8.131.52.2)
The Tyne Tunnels are designated as category "D" Tunnels however further restrictions apply for hazardous loads.
Further to Category D requirements - at the Tyne Tunnels all hazardous load vehicles are required to pull into the inspection lay by; whether loaded or unloaded.
Escort will be provided for certain loads. These loads are identified in the British Toll Tunnels Dangerous Traffic List Restrictions – 14 th Edition.
Information about transporting large or heavy vehicles through the Tyne Tunnels.
Tunnel charges for abnormal loads special services
(i) Abnormal Loads will only be accepted for transit after appropriate charges have been paid including the toll.
(ii) Breakdown recovery, parking fee and toll charge will be paid before vehicles and trailers are removed from TT2 site.
Northbound Tunnel
Abnormal Loads
Charges will be made, in addition to the appropriate toll for any vehicle or load whose dimensions exceed the following:-
Height
Over Height Vehicle Detection is set at 4.87m (16'). Loads up to 5.1 metres (16'8") are allowed passage after being briefed to stay within the white lines on lane 1. Lane 2 height is 4m (13'1"), loads exceeding 2.9m (9'6") wide may not exceed 4m (13'1") in height.
Length
Articulated vehicles & trailers including load of 25.9m (85')
Width
Loads of above 4.26m (14')
Weight
Up to 80,000 Kg
Attention is drawn to the "Dangerous Traffic – List of Restrictions" applied under the Tyne Tunnels Bylaws 2010.
Tunnel gradients are 1 in 20; there is a 7.2 metre (23'8") wide carriageway and a curve of 128 metres (420') centreline radius.
Speed limits of 15 M.P.H. Minimum and 30 M.P.H. maximum
Under normal circumstances passage of abnormal loads will be during the following periods:
Day Passage
09.30hrs - 11.30hrs
13.15hrs - 14.15hrs
19.00hrs - 22.00hrs
Width above 4.26m (14') £30.00 plus toll
Length: Vehicle & Trailers with a total length (including load or loads and drawbar) of over 25.9m (85') £30.00 plus toll
Night Passage
22.00hrs - 05.30hrs
Width above 4.26m (14') £15.00 plus toll
Length: Vehicle and trailers with a total length (including load or loads and drawbar) of over 25.9m (85') £15.00 plus toll
Abnormal loads must be prepared to wait if general traffic is busy.
Northbound A19 Tyne Tunnel Abnormal Load Guide
No vehicle or combination over height shown
Lane 1.
Max High 5.1m (16
MaxWide2.9m'
(
8
9"
'
)
6")
Free Escort
2.9m (9'6") up to 4.2m (14') wide & less than 4m (13'1") high
£30.00 Charge
Over 4.2m (14') wide & not exceeding 4m (13'1") high
Height.
Lane 1. Vehicles and loads less than 4.87m (16') high and less than 2.9m (9'6") wide may travel as normal. Vehicles over 4.87m (16') high up to 16'8" (5.1m) high and less than 2.9m (9'6") wide may travel once the driver has completed a special induction.
Lane 2. Vehicles must be less than 4m (13'1") high. This is a car only lane.
Width.
Vehicles and loads greater than 2.9m (9'6") wide up to 4.26m (14') wide and not exceeding 4m (13'1") high must be escorted. These shall be escorted free of charge.
Vehicles and loads greater than 4.26m (14') wide and not exceeding 4m (13'1") high must be escorted. This shall incur a charged £30.00 for a full tunnel closure.
Length.
Articulated vehicles less than 18.75m (61'6") long and drawbar vehicles less than 21.95m (72') long may travel as normal.
Vehicles and loads greater than this and up to 25.9m (85') long must be escorted. These shall be escorted free of charge.
Vehicles and loads exceeding 25.9m (85') long may be permitted to travel subject to a movement order and an approval charge of £30.
Rigid vehicles exceeding 12.2m (40') long may not exceed 4m (13'1") high.
Weight.
Maximum weight loading for the northbound Tunnel is 180 ton (45 HB Units) with a maximum individual axle weight of 15 ton.
Lane 2. Max 4m (13'1") High
Car Only
Lane
Southbound Tunnel
Abnormal Loads
Charges will be made, in addition to the appropriate toll, for special type vehicles travelling via the tunnel, that is, for any vehicle whose height, length or width (including load in each case) exceeds the following :-
Height
5.1m ( 16 f t .8 ” )
Length
25.9m ( 85 ’ )
Width
Loads of above 4.26m ( 14 ’ )
Weight
Up to 80,000 Kg
Tunnel g r a d i e nt s a r e 1 in 16 ; there is a 7.9m (2 5 ’ 10 ” ) wide carriageway.
Speed limits of 15mph (24kph) min. and 40 mph (64kph) max.
Under normal circumstances passage of abnormal loads will be during the following periods:
Day Passage between:
09.30hrs - 11.30hrs
13.15hrs - 14.15hrs
19.00hrs - 22.00hrs
Width above 4.26m (14’) £30.00 p l u s t o ll
Night Passage between:
22.00hrs - 05.30hrs
Width above 4.26m (14’) £15.00 p l u s t o ll
Abnormal Loads must be prepared to wait if general traffic is busy
Southbound A19 Tyne Tunnel Abnormal Load Guide
No vehicleor
Height.
Length.
Vehicles and loads must be less than 5.1m (16'8") high.
Width.
Vehicles and loads up to 2.8m (9'6") wide may travel as normal.
Vehicles and loads over 2.6m (9'6") wide and up to 4.26m (14') wide must be escorted. These are escorted free of charge.
Vehicles and loads over 4.26m (14') wide must be escorted. This shall incur a charge of £30.00 for a full tunnel closure.
Vehicles and loads less than 25.9m (85') long may travel as normal.
Vehicles and loads exceeding 25.9m (85') long may be permitted travel subject to a movement order and an approval charge of £30.00
Weight.
Maximum weight loading for the southbound tunnel is 140 ton (37.5 Units of HB) with a maximum individual axle weight of 15 ton.
Breakdown Services & Breakdown Parking
Breakdown Services
Charges for removal of vehicles from the tunnels are as follows, and subject to payment terms:
- All vehicles (including motorcycles) are charged at the rate of £100.00 per hour, inclusive of VAT, with a minimum charge of 1 hour.
Emergency and Breakdown Parking
Parking charges for vehicles and trailers which are not removed from TT2 Ltd property within 24 hours are applicable and subject to payment terms:
- £16.50 per day (or part thereof), inclusive of VAT, following the above 24-hour free parking period.
Before leaving a vehicle unattended on TT2 Ltd property, for any reason, drivers are required to report to a uniformed officer of TT2 Limited.
Additional/Other Charges
All additional/other charges are subject to payment terms:
- Oil Absorbent Granules:
£29.00 per bag, inclusive of VAT
- Use of Fire Extinguisher :
£50.00 per discharge, inclusive of VAT
- Barrier Damage:
£687.52 inclusive of. VAT
- Prohibited Passage Breach (ADR) £30.00 inclusive of VAT
- Traffic Management: All vehicles (including motorcycles) are charged at the rate of £30.00 per hour, inclusive of VAT, with a minimum charge of 1 hour.
Charge for Non-Payment of Tolls
If a customer has no means of payment, a Schedule of Charge/Service Agreement will be issued which is subject to payment terms and verifiable Identification of owner/driver.
Important Information
All charges are subject to Payment Terms which are strictly 5 days from the date of crossing.
Failure to make payment within 5 days from the date of crossing will result in Debt Recovery Charges being applied.
Registered Keeper details for the vehicle will be obtained where necessary and an invoice will be generated.
All debt will be pursued if payment is not received accordingly.
Vehicles Under Tow
All vehicles, including those being towed, are subject to a toll. Where a vehicle is being towed through the tunnels both the towing and the towed vehicle are liable to pay the appropriate toll to their individual vehicle classifications.
The only exception to this is where the towed vehicle is entirely under the control of the towing vehicle such that no driver is in the towed vehicle. The towed vehicle in this instance, in accordance with the Department for Transport guidance, is considered a trailer and the combination of the two vehicles are classified accordingly.
If you are towing a vehicle, when you arrive at the toll barrier please press the help button for staff assistance.
Disclaimer
TT2 Ltd will not accept responsibility for loss whilst vehicles, trailers or their contents are parked at their site. Vehicles may be removed to a secure compound after 48 hours. Any vehicles left on TT2 Ltd property are liable to be searched.
GDPR
TT2 Ltd processes and retains some personal details in connection with the operation of the Tyne Tunnels tolling charges and services provided to customers thereof.
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Domaine Abbatucci, Historical Agriculture Reinvented
By Soazig Cornu in Biodynamis Magazine N° 110, July 2020
Let's go a little farther south, to Corsica, to discover the Domaine Abbatucci, a domaine whose reputation knows no borders. The Tarvo Valley, where the domaine was born, has been home to vineyards from the seaside to the mountainside. Jean-Charles Abbatucci's vision crosses time periods, inspired as he is by ancient practices while resolutely dedicated to a sustainable future.
We depart from Corte – where the day before our annual viticultural conference had taken place. More than 2 hours on the winding roads of Corsica are necessary before arriving at Domaine Abbatucci, in Casalabriva southwest of Ajaccio. The domaine is entirely fenced to discourage wild boars, but also, possibly, to protect from too much human interaction.
Jean-Charles Abbatucci is one of the pioneers of biodynamic viticulture in Corsica. He very rarely hosts visitors, and we recognize the luck we have to meet him. We visit the domaine by foot, following this passionate vigneron from parcel to parcel, with grafted-over vine stocks here and bottom-pruned plants there. We observe the madness of a plantation on a slope at 30%, at the height of the domaine, with an unobstructed view of the property and the valley!
We recognize Barbary fig cacti and flowerbeds of immortelles, breathe in the potent perfume of wild lavender. Jean-Charles speaks, shares, and we discover the capacity that certain people have to anchor themselves upon ancestral agricultural history in order to innovate in the present day and to find ways forward for the future. He speaks of and is inspired by the agriculture that he calls "historical," which to him means that which was practiced by ancient peoples, based on the observation of nature and the stars. Jean-Charles formulates it well: by
observing and trying to better understand nature, he finds answers to the major challenges posed by today's viticulture.
Step by Step Evolution
The Abbatucci family has always worked the vines, for local and familial consumption. JeanCharles' grandfather planted the domaine in Casalabriva, which had been taken over by his father in the sixties, a period of great disruption with the arrival of the pieds-noirs, of mechanization and of large-scale plantations. The property grew at this time, from four to 30 hectares!
Jean-Charles took over the domaine in 1992, with very little means and even less equipment. For eight years he focused principally on getting the vineyards back in order. He concentrated on the viticultural side of things: restructuring the parcels, fencing them in to protect from the wild boars.
As far as élevage, vinification and bottling, before constructing his own cellar, he worked with his neighbor, the Domaine Peraldi in Ajaccio. In 2000, there was a general turn toward organic and biodynamic viticulture: after an initial beginning on 6 hectares, the entire domaine was converted during the same year and certified Demeter in 2005.
Three years later, an unfortunate experiment allowed Jean-Charles to understand horn-silica preparations. During a year marked by an extreme heat wave, following a treatment of 3g/ha of silica on a 2 hectare parcel, he harvested 2 tons of dried grapes! A revelation for him, as he realized that man must be the conductor that accompanies nature, but that he will never be its master. The effects that one can expect from silica had become concrete: heat effect, fire, fructification, ripening of the wood, creation of starch, early ripening…as well as the obvious importance of the conditions of pulverization for each biodynamic treatment.
This endearing man broke away from the appellations in 2010 to have more freedom to do what he thought was right for his land and his vines. And, he succeeded in making his wines shine across the globe.
Conservatory of Indigenous varietals
In 2006, in continuity with his interest for historical agriculture, this atypical and determined vigneron dedicated himself to the work realized by his father 40 years earlier. At the time president of the chamber of agriculture of Corsica, his father had initiated an important work on the research of indigenous varietals. Old varietals were sought and an inventory taken across the entire island. This work was the indispensable forerunner to the conservatory of 19 indigenous varieties put into place at Domaine Abbatucci. The richness of the conservatory resides equally in the fact that these varietals had been grafted onto different types of rootstock in order to study the behavior of the vine, its growth, and its health.
Ten years of monitoring of this collection, from 1965 to 1975, permitted to collect precious information, with the creation of ampelographic [botanical] records of the Corsican grapes (phenological characteristics, resistance to maladies, technological values of the wines…). It is also thanks to this work that a rootstock at the time seldom used was identified as advantageous: the Rupestris du Lot.
Today, Jean-Charles cultivates uniquely indigenous varietals, and since 2006 has been the pioneer of old-varietal blends using the vines planted by his father in the conservatory.
"The call of the rootstock"
The vigneron has various needs, constraints, hopes: to change a grape variety while maintaining the root system in place, to rejuvenate the vines, to plant in a Mediterranean climate. The discovery of the richness and the potential of Corsican varieties led Jean-Charles to replant old varietals. Many factors were favorable came together for the realization of this project: the terroir, the cultivation types, the climatic environment, biodynamics, but to his great regret, Jean-Charles could not plant vines that would immediately be 50 years old! That's why he became interested in surgreffage, which permits to graft a new varietal onto an existing vine and thus to take advantage of the root system already in place while only losing one year of production. As he did not want to "graft-on" to young vines, which is the usual practice, he tried on 30 year old vines, then on 40 year old, then 50, even 60 year old vines. And, it worked! The graft used is called Chip-Bud. With a few years of hindsight, the results are very gratifying.
In order to better resist the increasingly hot Mediterranean climate, since 2013 the plantations have been made by planting, first the "rooted" -- the grafted – stock exclusively. His choice was the Rupestris du Lot, in line with his father's work. The grafting of the varietal follows about 3 years later, when the rootstock is well implanted.
"The call of the rootstock" is the name given by Jean-Charles to another technique used in the vines, recépage or bottom pruning, used to re-form a new trunk with a young leafy branch (a young branch from the same year, before the lignification, beginning from the bottom of the vine), which permits the conservation of the generally well-developed root system. The vine that is bottom pruned will enter into production rapidly and much more quickly than a (normal) young plant. Jean-Charles' objective being to rejuvenate his plants, to regenerate them, he was again inspired by a viticultural tradition. This bottom pruning method might even allow him to get rid of Esca and other rootstock maladies, which motivated a 15-year experiment on one parcel. At the beginning, more than 30% of the rootstocks displayed symptoms of Esca. Fifteen years later, less than 1% of the symptoms were identified! As a result of this experiment, his team responds to the "call of the rootstock" during the pruning period across the entirety of the domaine. All of the employees who care for the vines have instructions to conserve any
new buds growing directly on the rootstock. At the end of the year the original trunk will be decapitated and serve as a support for the young branch.
Experiments with saltwater
In Corsica, the history of wine dates back over 3000 years. Documents attest that many of the historical vineyards were planted on the seafront. This despite the fact that the risks of maritime invasions were high and the tendency was generally to plant and to live inland. There must have been a particular interest to plant vines near the sea. Did the maritime ambiance have a positive influence?
This is Jean-Charles' hunch. He did an experiment in 2017 to recreate the maritime ambiance on his biodynamic vines. His protocol: a vineyard (Carcajolo Nero) cultivated biodynamically and with horse labor, with saltwater treatments that replace all use of copper and sulfur. Method: saltwater at around 3% of the total volume, spring water, dynamization for one hour, pulverization as with horn silica, but at a dose of 150 l/ha.
Jean-Charles associated his sensory and visual observations with analysis by sensitive crystallization. He observed:
n An all-around impression of vegetative strength.
n A faster healing from damages due to strong winds when compared to vines in other parcels.
n An exceptional quality of the grape berries and an intact bloom at harvest (which permits the development of yeasts and the creation of natural sulfur in the wine).
n The ripening of the wood as early as August, in advance of the other parcels, and consequently an early shift to vegetative resting state.
n An equivalent yield.
The sensitive crystallization analysis of the branches by Margarethe Chapelle confirmed the observations:
n 2017: no signs of malady
n 2018: high-performance immunity system
n 2019: Complete effectiveness of the treatments
The idea is to associate the curative effects of the sea, its energy, with the physical phenomenon of salt (NaCL) associated with micro and oligo-elements. The first observations were encouraging but of course, it will be necessary to see with time and according to the vintages if these observations will be confirmed and sustained.
Jean-Charles was at any rate sufficiently intrigued by this experimentation and extended the process over an additional hectare of Schiacarello in 2020.
In advance of its release, we tasted the cuvée 2019 made from the original saltwater parcel, and the result was a true success. This method could be explored as a solution to reduce or eliminate the doses of copper and sulfur in certain conditions.
The instincts for the future
Jean-Charles Abbatucci pursues his path with an approach that is instinctive, philosophical, and sensitive to biodynamic viticulture.
The observation of biodiversity takes increasing importance at the domaine: conservation and maintenance of the natural environment, the hedges, isolated trees, priority given to the presence of wild medicinal plants, lavender, immortelles, Barbary figs, myrtles, strawberries. Used in herbal infusions during the treatments, their presence in and around the vines quite probably has a positive influence. A herd of Merino sheep grazes in extensive herding at the domaine. Animals work the vines on a large part of the domaine. The winemaker hopes that the perfumes of the wines will be enhanced by the diversity of animals and plants and the symbiosis that flows from it.
Another one of Jean-Charles' original experiments takes place in the Monte Bianco parcel. A musician friend, a renowned violinist, comes to play several pieces of classical music during each of the human interventions such as the pruning, debudding, vine training, harvest, etc. The vine dances in the wind along with the music. The idea of the artist-winemaker (or winemaker-artist?) in this experiment is to give a vibrating impulsion in the wines. Tasting to follow!
As actions follow convictions, Jean-Charles has just completed a high-density plantation on a slope of 30% with the rootstock Rupestris du Lot, which will be worked uniquely by horse, and treated exclusively with saltwater. Will the vine remain healthy while producing a normal yield? Only time will tell.
This vigneron, so supported and inspired by nature likes to say, "When we take a step toward nature, she takes two toward us." Here's hoping that nature and Jean-Charles Abbatucci will continue walking in harmony for many years to come, to the delight of the environment and wine lovers alike.
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AIR FORCE HANDBOOK 32-4014, VOLUME 3
1 FEBRUARY 1998
Civil Engineer
USAF OPERATIONS IN A CHEMICAL AND BIOLOGICAL WARFARE ENVIRONMENT, DEFENSE EQUIPMENT
This handbook implements AFPD 32-40, Disaster Preparedness and AFMAN 32-4005, Personnel Protection and Attack Actions. AFH 32-4014, Volume 3, provides Civil Engineer Readiness Flight personnel with general information and technical data concerning fielded chemical and biological warfare defense equipment. The information contained in this guide was extracted from various Air Force Technical Orders and/or equipment manuals. The information contained herein does not supersede any published Technical Order (T.O.), Readiness Training Package (RTP), or equipment manual. Information on planning and analysis, hazards, and defense procedures can be found in Volumes 1, 2, and 4, respectively.
OPR: HQ AFCESA/CEXR (MSgt Steve Reed)
Pages: 100/Distribution: F
Certified by: HQ AFCESA/CEX (Colonel Randall L. Turner)
CHAPTER 1 - GENERAL INFORMATION
1.1. Introduction.
The threat of the use of chemical and biological weapons occurs across the spectrum of military operations. The number of nations capable of developing and possessing these weapons is steadily increasing. Nations are receiving these weapons, or means to develop them, through technological transfer, overt or covert direct transfer, or support to belligerent groups or governments. The potential for their use ranges from blackmail or acts of terrorism during peace to escalation during conflict or war.
1.2. Historical Precedence and the Threat Today.
Chemical and biological (CB) operations are not new. Historical records show use of chemicals, smoke, and flame in warfare. During World War I, the Allies and the Germans used them extensively. Many nations developed and manufactured agents during World War II, and some have used these agents since then. CB weapons capabilities, once available to only a select few of the world's most militarily powerful nations, today are in the hands of several emerging and developing nations.
1.2.1. It is increasingly likely the United States could encounter the use of CB at the operational and tactical levels in a regional conflict. Use of these weapons at the operational level could be against rear area targets such as air bases, considered critical to US efforts but far enough removed to permit the use without seriously jeopardizing the attacker's forces. The objective of a CB attack against USAF forces would likely be to cause casualties and degrade operations, greatly reducing sortie generation rates and denying the US the critical advantage of air superiority.
CHAPTER 2 - INDIVIDUAL PROTECTIVE EQUIPMENT
BDO 8415-01-137-1704 (Medium)
2.1. Groundcrew Chem-Defense Ensemble (GCE)
2.1.1. Purpose. The GCE provides the user with whole body protection from solid, liquid, and vapor wartime chemical agents.
2.1.2. Technical Reference. T.O. 14P3-1-141
2.1.3. Training Reference. RTP C11
2.1.4. General Description. Several variations are currently in the USAF inventory. The basic overgarment has two pieces: jacket and pants. The inner layer is charcoal impregnated foam and the outer layer is water repellent nylon/cotton twill.
2.1.5. Components. The GCE includes the overgarment, protective gloves, glove inserts, and footwear covers.
22.214.171.124. BDO: Battle Dress Overgarment.
126.96.36.199.2. BDO, Desert Pattern (six color).
188.8.131.52.1. 8 sizes available, Woodland Pattern.
184.108.40.206.3. BDO, Desert Pattern (three color).
220.127.116.11. Protective gloves: butyl rubber, gauntlet style. Two types: 7 mil and 14 mil thickness. There are four sizes available (small, medium, large, extra large)
18.104.22.168.2. 14 mil are standard issue.
22.214.171.124.1. 7 mil provides more dexterity.
126.96.36.199. Glove inserts: cotton, gauntlet style, three sizes available (small, medium and large).
188.8.131.52. Footwear covers: come in three types: four eyelet, five eyelet, and green or black vinyl overshoes (GVOs/BVOs).
184.108.40.206.2. Five eyelet type, two sizes: small and large.
220.127.116.11.1. Four eyelet type, two sizes: small and large.
18.104.22.168.3. GVO/BVO, available in 12 full sizes (3-14) -- no half sizes available.
22.214.171.124. Multipurpose Overboot (MULO): A one-piece overboot worn over combat or field boots utilizing an integrated strap/clip closure system.
126.96.36.199.1. Future fielding item that will replace current overboots.
2.1.6. Wartime User. All personnel in, or deploying to, a CB threat area.
2.1.7. Fit. Proper size of GCE components is essential to provide whole body protection. The table below describes proper fit of overgarment:
| Waist sizes. | Sizes. |
|---|---|
| Up to 19 inches | XXX Small |
| 19 to 23 inches | XX Small |
| 23.1 to 27 inches | X Small |
| 27.1 to 31 inches | Small |
| 31.1 to 35 inches | Medium |
| 35.1 to 39 inches | Large |
| 39.1 to 43 inches | X Large |
| 43.1 inches Up | XX Large |
2.1.8. Service Life. Service life is the amount of time the GCE will provide protection once taken from protective bag. It is influenced by wear, not exposure to air.
188.8.131.52. GVO/BVO: 14 days once removed from protective bag, provided the bag is free from cracks, tears, and punctures. 12 hours after contact with liquid chemical agents.
184.108.40.206. BDO: 22 days once removed from its protective bag. 24 hours after contact with liquid chemical agents.
2.1.9. Shelf Life. Shelf life is 14 years after date of manufacturer.
2.1.10. Inspection. The individual user is responsible for inspection of the GCE. Inspection must be done prior to use and every 12 months. Do Not remove any item from its factory bag for the sole purpose of inspection or sizing. Complete inspection of all components is identified in T.O. 14P3-1141, Table 5-1. As a minimum ensure:
220.127.116.11. All fasteners operate properly.
18.104.22.168. Absence of wetting, holes, tears. Check for cleanliness.
22.214.171.124. Absence of dry rot, brittleness, holes, or tears in the gloves and boots.
2.1.11. Operating Temperatures. All temperatures and humidities.
AFH 32-4014, Volume 3, 1 February 1998
7
2.1.12. Donning/Doffing, Decontamination, Operational Use. Complete procedures are identified in T.O.14P3-1-141. Failure to follow T.O. procedures could result in contamination to the individual.
2.2. Joint Service Lightweight Integrated Suit Technology Overgarment (JSLIST OG)
8415 01 444 1238 (Medium regular coat, woodland) 8415 01 444 2310 (Medium regular trousers, woodland)
2.2.1. Purpose. The JSLIST OG provides the user with whole body protection from both liquid and vapor wartime chemical agents.
2.2.2. Technical Reference. T.O. 14P3-1-171
2.2.3. Training Reference. C14 (when published)
2.2.4. General Description. The JSLIST OG is a two-piece, coat and trousers, overgarment with an integral hood that is compatible with existing protective masks. The coat and trousers are issued separately, but worn together as a uniform. The overgarment is made of permeable materials.
2.2.5. Components. The ensemble includes the JSLIST OG, protective gloves, glove inserts, and footwear covers.
126.96.36.199. JSLIST OG Trousers: 7 sizes available, Woodland Pattern. 7 sizes available, Desert Pattern.
188.8.131.52. JSLIST OG Coat: 7 sizes available, Woodland Pattern. 7 sizes available, Desert Pattern.
184.108.40.206. Protective gloves: butyl rubber, gauntlet style. Two types: 7 mil and 14 mil thickness. 7 mil provides more dexterity. 14 mil are standard issue. There are four sizes available (small, medium, large, extra large)
220.127.116.11. Glove inserts: cotton, gauntlet style, three sizes available (small, medium and large)
18.104.22.168. Improved CB Protective Glove (ICBPG): A semi-permeable glove in an integrated glove design. Future fielding item that will replace rubber glove/Inserts by attrition.
22.214.171.124. Footwear covers: come in three types: four eyelet, five eyelet, and green or black vinyl overshoes (GVOs/BVOs): Four eyelet type, two sizes: small and large. Five eyelet type, two sizes: small and large. GVO/BVO, available in 12 full sizes (3-14) -- no half sizes available.
126.96.36.199. Multipurpose Overboot (MULO): A one-piece overboot worn over combat or field boots utilizing an integrated strap/clip closure system. Future fielding item that will replace current overboots.
2.2.6. Wartime User. All personnel in, or deploying to, a CB threat area.
2.2.7. Service Life. Service life is the amount of time the JSLIST will provide protection once taken from protective bag. It is influenced by wear, not exposure to air.
| Uncontaminated wear time Whichever comes first: | | | |
|---|---|---|---|
| After 6 launderings | 45 day wear | 60 day service life | 10 year shelf life |
| Contaminated wear time: | | | |
| 24hrs (regardless of type of contamination). | | | |
| GVO/BVO: 14 days once removed from protective bag, provided the bag is free from cracks, tears, and punctures. 12 hours (extendible to 24) after contact with liquid chemical agents. | | | |
2.2.8. Inspection. The individual user is responsible for inspection of the GCE. Inspections must be done prior to use and every 12 months. Do Not remove any item from its factory bag for the sole purpose of inspection or sizing. As a minimum ensure:
188.8.131.52. All fasteners operate properly.
184.108.40.206. Absence of wetting, holes, tears. Check for cleanliness.
220.127.116.11. Brittleness, holes, or tears in the gloves and boots.
18.104.22.168. Complete inspection of all items listed in T.O. 14P3-1-171.
2.2.9. Operating Temperatures. All temperatures and humidities.
2.2.10. Donning/Doffing, Decontamination, Operational Use. Complete procedures are identified in T.O.14P3-1-171. Failure to follow T.O. procedures could result in contamination to the individual.
2.2.11. Fit. Proper size of JSLIST components is essential to provide whole body protection. The tables below describes proper fit of overgarment:
2.3. Mask, MCU-2A/P
2A/P: 4240-01-284-3615 thru 3617
2.3.1. Purpose. The MCU-2A/P mask with a serviceable canister filter installed protects the faces, eyes, and respiratory tract from chemical and biological warfare agents and radioactive dust particles. A properly worn mask provides a gas-tight face seal which prevents unfiltered air from reaching the wearer's respiratory system.
2.3.2. Technical Reference. T.O. 14P4-15-1 and T.O. 14P4-1-151
2.3.3. Training Reference. RTP C10
2.3.4. Operational Limitations. This mask is not authorized for use during industrial chemical spills. Chemicals of this nature normally require a self-contained breathing apparatus. For example, the mask would not be effective against chemicals such as ammonia, chlorine, or even carbon monoxide fumes. The mask is not effective in confined spaces when there is insufficient oxygen to support life. The MCU-2A/P mask is simply a filter respirator; it does not supply or produce oxygen.
2.3.5. Features. The MCU-2A/P has the following features:
22.214.171.124. Two voicemitters: the front one is for face-to-face speech and the side one is for use with communications equipment.
126.96.36.199. Drinking tube: enables the user to drink from a canteen having an M1 canteen cap.
188.8.131.52. Flexible lens: permits use of binoculars, a gunsight, or other optical equipment.
2.3.6. Mask Size. The mask comes in three sizes (short, medium, long). Correct mask size is determined by facial measurements. A spring caliper, vernier dial, and/or the M-41 Protection Assessment Test System (PATS) is required to determine proper fit. Proper mask size will be determined upon issue.
2.3.7. Inspection and Documentation. The user must inspect the mask upon issue, every six months during peacetime, and every seven days during wartime. Document the mask's inspection on a DD Form 1574 (Serviceability Tag) or data automated product. When a serviceable C-2 canister is installed, annotate the canister lot number and the date it was installed in the remarks section of the DD Form 1574 or in an area designated on the data automated form.
2.3.8. Familiarization and Inspection of Components. The MCU-2/AP mask consists of the following components:
184.108.40.206. Head Harness: The head harness holds the mask to the face. It has six elastic straps, a headpad, and a quick-don pull tab. Ensure the head harness has elasticity for a proper seal.
220.127.116.11. Facepiece: The facepiece is molded of silicone rubber which forms an effective seal on the face. Ensure it's not cracked or deteriorated.
18.104.22.168. Voicemitters: Voicemitters are located on the center and either side of the facepiece. The voicemitters transmit the user's voice outside the mask. The side voicemitter is useful when using phones, radios, or other communications equipment. Always make sure these voicemitters aren't damaged and are tightly seated.
22.214.171.124. Outlet Valve Assembly: The outlet valve assembly has a one-way valve at the bottom of the facepiece. The valve should be replaced if it's damaged or doesn't seat properly.
126.96.36.199. Drinking Tubes: The external and internal drinking tubes are rubber tubes used with the M1 canteen cap to provide water to the wearer. The tubes shouldn't have any breaks or leaks in it.
188.8.131.52. Outlet Valve Cover: The outlet valve cover is a rubber cover that holds the drinking tube coupling. It fits over the end of the outlet valve body and can be easily replaced if torn, dry rot or otherwise damaged.
184.108.40.206. Nosecup: The nosecup is made of silicone rubber and is located inside the facepiece. The nosecup helps prevent the mask from fogging by allowing air to enter through two nosecup valves and keeping warm air off the eyelens. This is not a replacement item.
220.127.116.11. Lens: The lens is made of transparent urethane and provides a wide field of vision. The lens must be free from stains, excessive scratches, and cracks.
18.104.22.168. Inlet Valve Assembly: The inlet valve assembly consists of a one-way valve disc and an air deflector assembly. As always, when inspecting any disks make sure they're flat; not ripped or curled.
22.214.171.124. Outsert: Check for scratches and damage.
126.96.36.199. Canister. The C-2 canister is made with layers of impregnated charcoal which provide the filtration. The canister must be free from dirt, debris, and water. Check it for physical damage around the seams and threads.
2.3.9. Accessories. The mask also has the following accessories:
188.8.131.52. Protective hood.
184.108.40.206. Mask carrier.
220.127.116.11. Mask outsert. The outserts are clear or tinted polycarbonate shells. The outserts protect the lens from scratches, chemical droplets, and oil and petroleum products.
18.104.22.168. Special canteen cap. The MCU-2A/P is designed to allow the wearer to drink from a canteen while wearing the mask. The canteen must have the M1 cap installed in order to use the drinking system.
22.214.171.124. Waterproofing bag. The waterproofing bag will be used to store the mask when operating in extremely wet areas. This will protect the filter elements from getting wet.
126.96.36.199. Spectacles inserts.
2.3.10. Wartime User. All personnel in, or deploying to, a CB threat area.
2.3.11. Care and Use. When the MCU-2A/P series mask is issued, all maintenance is the responsibility of the user.
2.3.12. Operational Factors. The MCU-2A/P series mask remains serviceable as long as it meets operational inspection IAW T.O. 14P4-15-1. C2 canister(s) must be replaced after CB contamination or shelf life expiration.
188.8.131.52. 15 days have elapsed after exposure to chemical-biological agents (except blood agent)
184.108.40.206. When directed by higher authority or a clear indication of chemical use.
220.127.116.11. Exposure to BLOOD agent has occurred.
18.104.22.168. Immersed in water or wetted in anyway.
22.214.171.124. Shows evidence of mechanical damage such as breaks or cuts in material or edge of seal, a bent or split connector, etc.
126.96.36.199. Excessive breathing restriction is experienced.
188.8.131.52. Filters have been exposed for 12 months in temperate climates. (Korea, Europe, etc.)
184.108.40.206. Filters have been exposed for two months in tropical climates. (Panama, Puerto Rico, etc.)
220.127.116.11. Filters have been exposed for 24 months in arctic climates. (Alaska, etc.)
2.3.13. Fitting. With the mask ready for fitting (canister installed, head harness straps loose and reversed over the front of the mask, and the outsert removed) you can fit the mask as follows:
18.104.22.168. Place mask on face, keeping the hair out of the way and pull the head harness over the head using the quick don tab.
22.214.171.124. Check that the headpad is centered at the high point of rear of head. Adjust if necessary.
126.96.36.199. Tighten temple straps, one at a time, using small jerking pulls until the mask feels snug.
188.8.131.52. Tighten the neck straps then the forehead straps in the same manner.
184.108.40.206. While wearing the mask, with the head harness properly adjusted, check the internal and external drinking tubes for a secure fit.
220.127.116.11. The mask should be comfortable on the face with no straps cuttings or pinching. The mask should not be so tight the nosecup presses painfully on the nose.
18.104.22.168. The last thing to check when fitting the mask is to perform a negative pressure check ("leak check") by pressing your palm over the end of the canister and inhaling. The mask will deflect and you shouldn't feel any air entering your mask. You will have to check and adjust your mask if leaks occur.
22.214.171.124. You can now remove the mask. Loosen ONLY the mask neck straps. Grasp mask by pulling outlet valve assembly and remove by pulling down, outward, and up.
2.3.14. Donning And Doffing Mask (With Hood Attached). Due to the short time it takes for toxic agents to affect you, becoming an expert in donning the mask and getting an air tight seal is imperative. With suspected contamination, every step in donning the mask is important and must be done quickly and accurately. You must put the mask on before you take another breath.
WARNING
Perform the steps for putting on our mask quickly. You must put the mask on before you take another breath. Toxic agents may be in the surrounding air and cause sickness or death.
2.3.14. Donning. Donning the mask with hood attached should take place in 15 seconds. This allows you to don the mask and get an airtight seal in nine seconds with an additional six seconds to pull the hood over the head and tighten the neck cord. Follow these steps in this order:
126.96.36.199. Close eyes tightly.
188.8.131.52. STOP BREATHING!
184.108.40.206. Remove headgear.
220.127.116.11. Hold outlet valve assembly in palm of one hand. Using free hand, push forehead hair aside. Place mask on face forcing the chincup very tightly against chin. Pull headharness over head using the quick-don tab.
18.104.22.168. Remove mask and hood from carrier.
22.214.171.124. Grasp a neck strap in each hand and tighten with small jerking motions. The neck straps should be the only straps adjusted. Temple and forehead straps are adjusted when you fit the mask and then left in position.
126.96.36.199. Press palm of one hand over the canister opening. Inhale to determine whether an airtight seal of mask against face has been obtained.
188.8.131.52. Expel air held in the lungs.
184.108.40.206. Open eyes and RESUME NORMAL BREATHING.
220.127.116.11. Use neck cord fastener to tighten neck cord until hood is held snugly around neck.
18.104.22.168. Pull back of hood over your head so the hood covers your head. Drape cape over shoulders. Make sure the cape is under neck cord.
22.214.171.124. Pass straps under arms. Fasten ends to front of cape.
126.96.36.199. Replace headgear and close the carrier.
WARNING
You must check the mask for leaks when it is fitted and each time you put it on. A leaky mask will not protect you from toxic agents which can cause sickness or death.
2.3.16. Doffing. Doffing the mask involves these five steps:
188.8.131.52. Pull back of cape forward over head and leave hood suspended from front of mask.
184.108.40.206. Unfasten underarm straps and loosen neck cord.
220.127.116.11. Loosen ONLY the mask neck straps. Grasp mask by pulling outlet valve assembly and remove by pulling down, outward, and up.
18.104.22.168. Properly stow mask in carrier.
22.214.171.124. Shake or wipe any moisture or frost accumulations from inside of hood and mask.
2.3.17. Hood. To increase operational efficiency, you must make sure certain adjustments to the hood based on temperatures. In moderate temperature (between 30 o to 90 o degrees Fahrenheit), place the hood over the voicemitter/outlet valve cover. The exhausted air inflates the hood and helps prevent contaminated air from entering the hood. In extreme weather -- cold (below 30 o F) or hot (above 90 o F), uncover the voicemitter/outlet valve cover. In cold weather, this prevents condensed moisture from freezing inside the hood or from dripping into your clothing. In hot weather, it prevents extreme heat and humidity buildup inside the hood.
2.3.18. Repair. The mask has no repair parts. All repair is accomplished using replacement parts. Defective parts other than those listed in the T.O. are cause for mask replacement. If mask replacement is required keep all serviceable parts – replacement masks only include the facepiece.
126.96.36.199. Don't over tighten the mask. Over tightening may actually cause leaks.
188.8.131.52. Have the proper size. Ensure you have a proper size mask by using the proper measuring caliper. A leaking mask will not protect against toxic agents.
184.108.40.206. Check the mask for leaks every time you put it on by performing your negative pressure or "leak" check.
220.127.116.11. Don the mask quickly. Remember it should be on and sealed before you take another breath.
18.104.22.168. When wearing the mask with the hood over the outlet valve do not loosen the straps of the head harness for comfort. If the straps are loosened, the wearer is in danger of suffocation by carbon dioxide and unprotected against toxic agents.
22.214.171.124. Remember the limitations. The MCU-2/P Series Mask is not intended for industrial chemical use and is not effective in confined spaces where there is not enough oxygen to support life.
126.96.36.199. If you become overheated in cold weather, do not remove your mask outdoors until your head cools and sweat has dried. Frostbite may result if the mask is removed while your face is still wet.
188.8.131.52. A serviceable C-2 canister must be installed in the MCU-2/P Series Mask prior to use in a toxic chemical or biological environment.
2.3.19. Cleaning. Clean the mask with mild liquid detergent and warm water. Alcohol towelettes may be used for expedient sanitation. Do not place the mask in boiling water. Do not wash the canister. Do not dry wipe the mask lens to avoid scratching.
2.3.20. Decontamination. The mask and hood should be decontaminated as soon as practical after CB contamination has occurred. Perform immediate decontamination using the M258A1 or M295 decontamination kits. Perform operational and thorough decontamination in accordance with the T.O.
2.4. Mask, M17A2
4240-01-143-2017
2.4.1. Purpose. The M17A2 mask, with serviceable M13A2 filters installed, protects the faces, eyes, and respiratory tract from chemical and biological warfare agents and radioactive dust particles. A properly worn mask provides a gas-tight face seal which prevents unfiltered air from reaching the wearer's respiratory system.
2.4.2. Technical Reference. T.O. 14P4-9-31 and T.O. 14P4-1-151
2.4.3. Training Reference. RTP C9
2.4.4. Operational Limitations. This mask is not authorized for use during industrial chemical spills. Chemicals of this nature normally require a self-contained breathing apparatus. For example, the mask would not be effective against chemicals such as ammonia, chlorine, or even carbon monoxide fumes. The mask is not effective in confined spaces when there is insufficient oxygen to support life. The M17A2 mask is simply a filter respirator; it does not supply or produce oxygen.
2.4.5. Mask Size. The M17A2 X-small is the only mask of this type still being fielded. The M-41 Protection Assessment Test System (PATS) is required to determine proper fit.
2.4.1. Inspection and Documentation. The user must inspect the mask upon issue, every six months during peacetime, and every seven days during wartime. Document the mask's inspection on a DD Form 1574 (Serviceability Tag) or data automated product. When serviceable M13A2 filters are intsalled, annotate the lot number and the date it was installed in the remarks section of the DD Form 1574 or in an area designated on the data automated form.
2.4.2. Familiarization and Inspection of Components. The M17A2 mask consists of the following components:
184.108.40.206. Nosecup: Prevents fogging of the eyelenses by diverting air through the outlet valves. Two nosecup valve assemblies, consisting of valve discs and seats, permit filtered air to enter nosecup, but prevent exhaled air from contacting the eyelenses. Inspect for damage, distortion, proper attachment, and positioning.
220.127.116.11. Faceblank: Provides the sealing surface of the mask. Pouches molded in the cheeks hold the filter elements. Deflector tubes direct filtered air across the eyelenses. Inspect it for damage and dryrot and serviceable lot numbers.
18.104.22.168. Eyelenses and Outserts: The eyelenses are made of clear glass and are held in place by aluminum alloy eyerings. The outserts protect the glass eyelenses from damage and reduces exterior fogging. Inspect for condition of the lenses, looseness, and leakage.
22.214.171.124. Voicemitter Outlet Valve Assembly: Permits the wearer to communicate and to exhale air while preventing unfiltered air from entering. A cover surrounds the voicemitter outlet valve assembly to protect the valve seat and disk. Exhaled air passes through four holes molded in
126.96.36.199. Head Harness: Holds the faceblank to the wearer to provide an airtight seal. Inspect for tears and/or lack of elasticity.
the lower edge of the cover. Inspect for damage, condition of valve disc, and leakage.
188.8.131.52. Flap Buttons: Fastens the filter pouch flaps so that filtered air will not escape into the main cavity of the mask except through the deflector tubes.
184.108.40.206. Clip And Buckle Assembly: Provides adjustable mounts for the headharness at six locations. Inspect for condition and operation.
220.127.116.11. Inlet Valve Assemblies: Air enters the filter elements through the inlet caps and discs and prevents air from flowing back out through the filter element. They also protect the filter elements from rain, snow, course particles, and physical damage. They fit over the connectors on the filter elements. Inspect for damage to caps and discs, curling, tears, proper functioning.
18.104.22.168. Carrier - you may carry the mask in its carrier strapped to your waist or hung over your shoulder. Inspect for damage, wear, and missing components.
22.214.171.124. Filters: Are located in pouches inside the mask. Filters have different capabilities depending on their type.
2.4.8. Accessories. There are some basics accessories associated with the M17A2:
126.96.36.199. Waterproofing bag. The waterproofing bag will be used to store the mask when operating in extremely wet areas. This will protect the filter elements from getting wet.
188.8.131.52. Special canteen cap. The M17A2 is designed to allow the wearer to drink from a canteen while wearing the mask. The canteen must have the M1 cap installed in order to use the drinking system.
184.108.40.206. Spectacles inserts.
220.127.116.11. Winterization kit. The winterization kit is installed only when field operations in subzero temperatures are anticipated. Once installed, the winterized discs are not removed when the ambient temperature rises above freezing.
2.4.9. Wartime User. All personnel in, or deploying to, a CB threat area.
2.4.10. Care and Use. When the M17A2 mask is issued, all maintenance is the responsibility of the user.
2.4.11. Operational Factors. The M17A2 series mask remains serviceable as long as it meets operational inspection IAW T.O. 14P4-9-31. M13A2 filters are the serviceable filters for the M17A2 mask. GREEN colored connector ring can visually identify the M13A2s. Other colors may be used for training, but are not considered serviceable. M13A2 filters must be replaced after CB contamination or shelf life expiration.
18.104.22.168. 15 days have elapsed after exposure to chemical-biological agents (except blood agent)
22.214.171.124. When directed by higher authority or a clear indication of chemical use.
126.96.36.199. Exposure to BLOOD agent has occurred.
188.8.131.52. Immersed in water or wetted in anyway.
184.108.40.206. Shows evidence of mechanical damage such as breaks or cuts in material or edge of seal, a bent or split connector, etc.
220.127.116.11. Excessive breathing restriction is experienced. Excessive breathing resistance is experienced (clogged filter element will increase breathing resistance, but will not impair the ability of filter to remove agents)
18.104.22.168. Filters have been exposed for 12 months in temperate climates. (Korea, Europe, etc.)
22.214.171.124. Filters have been exposed for two months in tropical climates. (Panama, Puerto Rico, etc.)
126.96.36.199. Filters have been exposed for 24 months in arctic climates. (Alaska, etc.)
2.4.12. Fitting. The mask will be fitted using the following procedures:
188.8.131.52. Hold the mask firmly against the chin and center the head harness pad in the middle of the back of the head.
184.108.40.206. Loosen the head harness straps and don the mask.
220.127.116.11. Hold it there with one hand.
18.104.22.168. Remove the hand from the chin position and tighten each of the forehead straps with a rapid pull or jerk (just enough to remove any slack).
22.214.171.124. Examine eye positions to see that the eyes are centered in the eyelenses.
126.96.36.199. Tighten bottom straps with a rapid pull or jerk, followed by the middle straps with steady, simultaneous pull toward the back of head.
188.8.131.52. Check to see that the nosecup does not press painfully on the nose of the edge or that the mask does not cut into the wearer's throat.
184.108.40.206. Proper fit is attained when the mask comes well up on the forehead and the edge of the facepiece is close to the ears.
220.127.116.11. Check to be sure that the edge of the mask does not touch the ears.
2.4.13. Sealing. Test for a proper seal of the mask. This will determine if there are leaks. Test for leaks by pressing the palms of the hands firmly over the inlet valve cover openings. Do not press too hard as to distort the mask. Block the inlets, inhaling normally and holding your breath for 10 seconds. If the facepiece collapses and remains collapsed during this test period, you should have an effective airtight seal. Locate the leak and eliminate the cause if the mask does not properly seal.
2.4.14. Donning And Doffing. Your mask should already be fitted to your face; therefore, it's just a matter of quickly donning your mask to ensure survivability. Due to the short time from agent detection to mask donning, the wearer must become an expert in donning the mask and getting an airtight seal in only nine seconds with an additional six seconds to adjust the hood when attached.
WARNING
Perform the steps for putting on our mask quickly. You must put the mask on before you take another breath. Toxic agents may be in the surrounding air and cause sickness or death.
2.4.15. Donning. Don the mask in the following order:
18.104.22.168. Remove headgear and place between knees.
22.214.171.124. Stop breathing and close eyes.
126.96.36.199. Remove Mask. With the left hand, open the carrier. Reach into the carrier and, with the right hand, grasp the carrier by the voicemitter-outlet valve assembly and remove the mask.
188.8.131.52. Clear Mask. Place the palm of one hand firmly over the openings in the bottom of the voicemitter-outlet valve assembly cover. Clear the mask by forcing exhaled air to escape around the facepiece and clearing the mask of contaminated air.
184.108.40.206. Don Mask. Grasp the lower head harness straps near the buckles. With the hands on the headharness straps, pull the mask up onto the face. Settle the chin snugly in the chin pocket of the facepiece and place the head pad in the middle of the back of the head.
220.127.116.11. Seal Mask. Press the palms of the hands over the inlet valve assemblies and inhale to ensure an airtight seal.
18.104.22.168. Open eyes and resume breathing.
WARNING
You must check the mask for leaks when it is fitted and each time you put it on. A leaky mask will not protect you from toxic agents which can cause sickness or death.
22.214.171.124. Once the mask is on, pull the back of the hood over the head so that the hood covers the head. Drape the cape over the shoulders and make sure the cape is under the neck cord. Fasten the neck cord and underarm straps. Don your headgear and close the carrier.
2.4.16. Doffing. To doff the mask:
126.96.36.199. Shake or wipe the moisture or frost accumulation from the inside of the hood and mask.
188.8.131.52. Unfasten the underarm straps, loosen the neck cord, pull the hood over in front of the mask, and remove the mask.
184.108.40.206. Gather the cape of the hood to one side of the facepiece and replace the mask and hood in the carrier.
2.4.17. Hood. To increase operational efficiency, you must make sure certain adjustments to the hood based on temperatures. In moderate temperature (between 30 o to 90 o degrees Fahrenheit), place the hood over the voicemitter/outlet valve cover. The exhausted air inflates the hood and helps prevent contaminated air from entering the hood. In extreme weather -- cold (below 30 o F) or hot (above 90 o F), uncover the voicemitter/outlet valve cover. In cold weather, this prevents condensed moisture from freezing inside the hood or from dripping into your clothing. In hot weather, it prevents extreme heat and humidity buildup inside the hood.
2.4.18. Repair. The mask has no repair parts. All repair is accomplished using replacement parts. Defective parts other than those listed in the T.O. are cause for mask replacement.
2.4.19. Operational Safety Tips. Safety is paramount when using any protective equipment.
220.127.116.11. Check the mask for leaks every time you put your mask on.
18.104.22.168. Ensure you have a proper fit on your mask. A leaking mask will not protect against toxic agents. Don't over tighten the mask. Over tightening may actually cause leaks.
22.214.171.124. Don the mask quickly. Remember it should be on and sealed before you take another breath. It should only take you nine seconds to don, clear, and seal the mask.
126.96.36.199. When wearing the mask with the hood over the outlet valve, do not loosen the straps of the head harness for comfort. If the straps are loosened, the wearer is in danger of suffocation by carbon dioxide and unprotected against toxic agents.
188.8.131.52. The M17A2 is not intended for industrial chemical use and is not effective in confined spaces where there is not enough oxygen to support life.
184.108.40.206. If you become overheated in cold weather, do not remove your mask outdoors until your head cools and sweat has dried. Frostbite may result if the mask is removed while your face is still wet.
220.127.116.11. Serviceable M13A2 filters must be installed in the M17A2 prior to use in a toxic chemical or biological environment.
2.4.20. Cleaning. Clean the mask with mild liquid detergent and warm water. Alcohol towelettes may be used for expedient sanitation. Do not place the mask in boiling water. Do not wash the filters. To clean the mask, prepare a solution of warm soapy water (ideally 110 o to 125 o degrees Fahrenheit.)
18.104.22.168. Remove the filter elements.
22.214.171.124. Remove the hood and eyelens outserts.
126.96.36.199. Remove the headharness.
188.8.131.52. Wash the mask thoroughly inside and out with the warm soapy water using a sponge or soft cloth.
184.108.40.206. Remove the voicemitter cover.
220.127.116.11. Rinse thoroughly with clear water.
18.104.22.168. Replace everything you took off the mask.
22.214.171.124. Allow the mask to dry ensuring all water is gone (Especially inside the filter pouches.).
126.96.36.199. You can use warm soapy water as well to clean the hood.
188.8.131.52. Soiled carriers should be cleaned by dry brushing or by brushing with a wet brushed dipped in water.
2.4.21. Decontamination. The mask and hood should be decontaminated as soon as practical after CB contamination has occurred. Perform immediate decontamination using the M258A1 or M295 decontamination kits. Perform operational and thorough decontamination in accordance with the T.O.
CHAPTER 3 - INDIVIDUAL DETECTION EQUIPMENT
3.1. M8 Paper, Chemical Agent Detection
NSN 6665-00-050-8529
3.1.1. Purpose. The M8 paper will detect liquid G and V nerve agents and H blister agents. M8 paper provides the user with a manual liquid detection capability.
3.1.2. Technical Reference. T.O. 11H2-14-5-1
3.1.3. Training Reference. RTP F1
3.1.4. General Description. M8 paper comes with 25 sheets of chemically treated paper bound into a cardboard cover booklet. The cover shows a color comparison chart and describes general instructions for use. The booklet is four inches by two inches in size.
3.1.5. Wartime User. All personnel in, or deploying to, a CB threat area.
3.1.6. Inspection. Inspect M8 paper prior to use. Discard any M8 paper that shows signs of wetness, wrinkling, dirt, damage, or discoloration. If M8 paper is out of its original plastic package, and the immediate user did not remove it from the package, discard the M8 paper.
3.1.7. Operation. When liquid nerve or blister agents contact M8 paper, a color change takes place. This color change is used to make an initial assessment of the presence of liquid nerve or blister agent. Never use the results from M8 paper as the sole indicator that liquid nerve or blister agents are present.
Do not check M8 paper with a colored light, because you will not see liquid chemical agent red spots.
If the paper turns red brown, it is an indication that a certain nerve (G) agent is present. This positive indication is not represented on the color comparison chart inside the cover.
3.1.8. Operational Use. M8 paper detects either through an active or passive method.
184.108.40.206. Passive - Remove a sheet of M8 paper. Secure the sheet to any object in an area that would most likely receive contamination (building, vehicle). Periodically check paper for color changes. Compare the color changes against those on the inside booklet cover. Do Not touch paper to booklet.
220.127.116.11. Active - Remove a sheet of M8 paper and dip the paper into the liquid, or blot the area, to be tested. Do Not scrub or rub M8 paper on suspected contaminated surfaces as false positives may result. Observe the paper for color changes. Compare the color changes against those on the inside booklet cover. Do Not touch paper to booklet.
3.1.9. Operational Limitations. M8 paper will function in snow, rain, and sleet. However, if the M8 paper becomes saturated with water, false color changes can occur. M8 paper reaction is immediate at temperatures above 32°F. At temperatures below 32°F, reaction time may take up to two minutes. The B1 dye that M8 paper is treated with will deteriorate rapidly at temperatures above 125°F.
3.1.10. Decontamination. Discard as contaminated waste.
3.2. M9 Chemical Agent Detector Paper
NSN 6665-01-049-8982
3.2.1. Purpose. The M9 paper will detect G and V Nerve agents and H and L blister agents. M9 paper manually provides a visual image of liquid chemical agent droplets. When worn on protective clothing or attached to equipment, M9 paper provides one rapid assessment of detection.
3.2.2. Technical Reference. T.O. 11H2-2-21
3.2.3. Training Reference. RTP F1
3.2.4. General Description. M9 paper comes in a dispenser with one 30foot roll of 2-inch paper. The dispenser is 2.5 inches long, 3.5 inches wide and 3.25 inches high. Each dispenser comes with a resealable plastic storage bag.
3.2.5. Wartime User. All personnel in, or deploying to, a CB threat area.
3.2.6. Operating Range. 32°F to 125°F, with relative humidity between 0 - 99%.
3.2.7. Operational Life. 1 year in temperate, tropic, and desert regions. 2 years, in frigid zones after removal from the shipping bag.
3.2.8. Shelf Life. The shelf life is six years from manufacturer's date, non-extendible.
3.2.9. Inspection. Inspection is a user responsibility. Inspect equipment to include:
18.104.22.168. Check for shelf life date that is stamped on the dispenser. Discard if shelf life has expired.
22.214.171.124. Shipping bag and dispenser. If shipping bag is torn or open, discard roll.
126.96.36.199. If dispenser is crushed, wet or cutting edge is missing, discard.
188.8.131.52. Detector paper is serviceable unless the paper will not stick or the paper is dirty or greasy.
184.108.40.206. Check paper for discoloration, tears, creases, or dirt. If paper comes apart from backing, discard.
Note: Do Not open shipping bag until ready for use; operational life of detector paper will be shortened.
3.2.10. Operational Procedures. Tear open shipping bag and remove dispenser and reusable storage bag. (Store M9 paper in plastic bag when not in use.) Write the current date on dispenser. This date determines the paper's operational life. Remove cutting edge cover and discard. Start paper through slot on dispenser with thumb or finger. Separate backing from paper; backing should be exposed on one end of the dispenser and paper on the other. Tear paper off about an inch from dispenser. Dispenser is now ready for the next use.
3.2.11. Operational Use. M9 paper can be attached to protective overgarment or equipment.
220.127.116.11.Overgarment: Attach paper to arm, wrist and ankle. Use the buddy system to place paper on clothing. Configuration for wear is in T.O. 11H2-2-21. Overlap paper about an inch around each limb to prevent paper from coming loose. Paper must not be too tight around clothing or tears will appear.
18.104.22.168. Equipment: Attach to vehicles, equipment, or supplies where it can be seen. Attach detector paper on horizontal surfaces. For easy removal, make a tab by folding adhesive side to adhesive side. When attaching to equipment items, wrap detector paper around some part of the equipment where it can attach adhesive side to adhesive side.
3.2.12. Paper Detection. M9 paper will turn different colors if liquid agent comes in contact with paper. Color changes to M9 paper identify agent presence, Not Agent Type. Positive liquid agents: pink, red, redbrown, red-purple. Blue, yellow, green, gray, or black spots are not from a liquid chemical agent.
3.2.13. Operational Limitations. The following is a list of items that cause false responses to M9 paper. Refer to T.O. 11H2-2-21 for complete list.
22.214.171.124. Brake fluid, hydraulic fluid, gasoline, aircraft and automotive grease.
126.96.36.199. Temperatures above 125°F.
188.8.131.52. DS-2 decontamination solutions.
184.108.40.206. Insect repellent.
3.2.14. Decontamination. Discard as contaminated waster.
3.3. M256A1 Chemical Agent Detector Kit
NSN 6665-01-133-4964
3.3.1. Purpose. The M256A1 kit manually detects and classifies nerve, blister, and blood agents in vapor or liquid form. The M256A1 samplerdetectors are capable of detecting and identifying vapors only. The M8 paper provided is to identify liquid agents.
3.3.2. Technical Reference. T.O. 11H2-21-1
3.3.3. Training Reference. RTP F2
3.3.4. General Description. The M256A1 kit contains 12 individually wrapped sampler-detectors, one book of M8 detector paper, and a set of operational instruction cards packaged in a plastic carrying case. The olive drab plastic carrying case is 7 inches wide, 3 inches deep, and 5 inches high.
3.3.5. Components.
220.127.116.11. Carrying case: Plastic shell, with a shoulder strap attached to bottom of case.
18.104.22.168. Sampler-detectors: 12 individually wrapped packets. The detectors consist of: Blood and Nerve agent detector spots and ampoules with a protective strip; Blister agent detector spots, ampoules, and a heating assembly used in the testing process; Lewisite detecting tablet and rubbing tabs.
22.214.171.124. Operational instruction cards: 4 cards.
126.96.36.199. M8 Paper: 1 booklet of chemically treated paper.
3.3.6. Wartime User. M256A1 kits are normally limited to those personnel assigned to chemical detection duties such as reconnaissance and shelter management teams. Prior to using the kit assume the proper MOPP level.
3.3.7. Operating Range. Between -25°F and 120°F.
3.3.8. Agents Detected.
| Cyanogen Chloride | CK | Blood |
|---|---|---|
| Mustard | H | Blister |
| Nitrogen Mustard | HN | Blister |
| Distilled Mustard | HD | Blister |
| Phosgene Oxime | CX | Blister |
| Hydrogen Cyanide | AC | Blood |
| Nerve Agents | V and G Series | Nerve |
| Lewisite | L | Blister |
3.3.9. Operational Limitations. The detector packages are a one-time use item. If any of the following conditions exist, Do Not use: outdated detector packages, discolored detector samples, open detector packages, or water soaked samplers. Avoid direct sunlight on sampler when operating. Avoid sampling in smoke and do not touch individual detector test spots.
3.3.10. Inspection: Inspect prior to use and annually. Verify the manufacture's date, stamped on cover of carrying case, prior to use.
M256A1 kits are serviceable for 5 years from manufacture date. Complete inspection procedures identified in T.O. 11H2-21-1.
3.3.11. Operational Use. Keep in mind the Cautions and Warnings identified in the T.O. before using this kit. Complete procedures are identified on the Operational Instruction Cards. Prior to using the kit assume the proper MOPP level. Testing with the M256A1 takes about 20 minutes and is just one of a number of sources used to determine the presence and extent of chemical contamination. When you conduct testing, it is just as important to provide negative as well as positive results. However, when checking for blood agents, a re-check is necessary if the first results are positive. This is due to mercuric cyanide used in the blister agent testing which could possibly be mistaken for hydrogen cyanide, a type of blood agent. If the blood agent test is positive both times, call in a positive result. When performing chemical testing, one ideal place to monitor is around or above suspected areas of liquid agents. By using a box or can, you can trap the vapors above the liquid for a better concentration.
3.3.12. Operating the M256A1 Detector Kit. Breaking the ampoules spreads the liquid contained in them over the separate testing spots. When in contact with a chemical agent vapor, the liquid will react and change colors on the test spot. This color change indicates a positive or negative result. The lewisite tab works the same except it uses a tablet instead of liquid. An initial rub mark is made on the tab for a color comparison, against a second rub mark. The following indications summarize the test results:
| Lewisite | After ten minutes of exposure time Remember, your first rub mark was a tan color |
|---|---|
| Blister | Square test spot (immediately after all ampoules are broken) |
| Blood | Round test spot (after ten minutes of exposure time) |
| Nerve | Star test spot (wait about three minutes after exposure) |
3.3.13. Unusual Conditions. There are some special considerations based on weather conditions. The procedures vary when using the kit in cold weather as well as using the kit in a tropical climate.
188.8.131.52. Below 32 degree Fahrenheit (0°C) the reagent solution may freeze. You must thaw it prior to use.
184.108.40.206. Extend the wait times for the test spot by six minutes when temperatures are between 32° and 50° degrees Fahrenheit or 0° and 10° degrees Celsius.
220.127.116.11. Retain a small amount of reagent after crushing ampoule marked "3" in desert conditions, defined as high temperature and low humidity. Rewet the nerve agent test spot after five minutes by squeezing the remaining reagent from the ampoule "3" onto the nerve agent test spot.
18.104.22.168. For tropic conditions, a faint blue color may appear in ABSENCE of blister agents H and HD. Otherwise, operation of the kit is the same as it is for usual conditions. When judging the results, special care must be taken with the Lewisite rub marks. Since changes in color may be vary slight, check the results with a second rub mark before making a decision.
22.214.171.124. Protect the sampler-detector from rain or snow as much as possible. Cover the detector with your body or use it under a roof or cover. You could also use the same can or box that you used to trap vapors.
3.3.14. Decontamination. The carrying case is the only component that can be decontaminated. All the internal components must be destroyed as hazardous waste if contaminated. Decontaminate carrying case with standard M258A1 or M295 kits. Follow procedures listed for use of the decontaminating kits.
CHAPTER 4 - DECONTAMINATION EQUIPMENT
NSN 4230-01-101-3984
4.1. M258A1 Personal Decontamination Kit
WARNING
The solutions are poisonous and caustic. Never allow solutions to contact eyes, mouth, or wounds.
4.1.1. Purpose. The M258A1 kit provides the individual with a portable, expedient, method of decontaminating the skin of liquid nerve and blister agents.
4.1.2. Technical Reference. T.O. 11D1-1-111
4.1.3. Training Reference. RTP F5
4.1.4. General Description. The M258A1 kit contains six olive drab foil packets in a plastic olive drab case. Three are numbered 1 and three are numbered 2. The case is 2 inches by 4.25 inches in size. The lid is molded to the case with a rubber o-ring. A nylon carrying strap with metal clip is secured to the outside of the case.
4.1.5. Wartime User. All personnel in, or deploying to, a CB threat area.
4.1.6. Operating Ranges. Temperatures up to 110°F.
4.1.7. Storage Ranges. Temperatures up to 110°F. Store in clean, dry, areas out of direct sunlight.
4.1.8. Operational Limitations. The packets are a one-time use item. Do Not use if any of the following conditions exist: outdated or open packets, seeping or swollen packets, or packets with dried residue. Packets that have been subjected to direct sunlight or temperatures of 110°F should not be used. Discard all defective packets as hazardous waste. Solutions in packets are flammable; Do Not use around open flame.
4.1.9. Inspection. Inspection of M258A1 kit is the individual user's responsibility. Follow all procedures to prevent injuries.
126.96.36.199. Wear rubber gloves while inspecting kits.
188.8.131.52. Inspect the M258A1 prior to use.
184.108.40.206. Inspect for holes in packets.
220.127.116.11. Check if the case/packets is deformed, or packets have deteriorated.
18.104.22.168. Verify glass ampoules in packet 2 are not crushed.
22.214.171.124. Minor cracks in case, rubber O-ring missing, or nylon strap missing do not constitute unserviceability.
4.1.10. Operational Use. When contamination is found or suspected on skin, act immediately. If chemical protective clothing is not on put on your mask and hood. Do not zip the hood. Do not pull the draw strings. Do not fasten the shoulder straps. The M258A1 kit may be used to decontaminate small equipment and the protective mask.
126.96.36.199.1. Rubber gloves must be worn unless agent is on hand.
188.8.131.52. Follow the procedures below for skin decontamination:
184.108.40.206.2. Open lid, remove packet "1".
220.127.116.11.4. Unfold pad fully, wipe skin for 1 minute, discard pad.
18.104.22.168.3. Fold packet "1" in half at solid line, tear open at notches and remove pad.
22.214.171.124.5. Remove packet "2", crush glass ampoules inside packet "2".
126.96.36.199.7. Unfold the pad fully, wipe skin for 2-3 minutes, discard pad.
188.8.131.52.6. Fold packet "2" in half, tear open at notches, remove pad letting screen fall.
184.108.40.206.Follow these procedures if you have or suspect contamination on your face:
220.127.116.11.2. Fold packet "1" in half at solid line, tear open at notches and remove pad.
18.104.22.168.1. Open lid, remove packet "1".
22.214.171.124.3. Unfold pad fully, wipe skin for 1 minute, discard pad.
126.96.36.199.5. Take a deep breadth and hold it, close your eyes, lift the mask from the chin only far enough to get your hand inside. Quickly wipe the lower part of the face and interior surfaces of the mask which contact the skin.
188.8.131.52.4. Using pad "1", wipe your hands.
184.108.40.206.6. Don mask, open eyes, and resume normal breathing.
220.127.116.11.8. Remove packet "2", crush glass ampoules inside packet "2".
18.104.22.168.7. Using the same "1" pad, wipe neck and ears.
22.214.171.124.9. Fold packet "2" in half, tear open at notches, remove pad letting screen fall.
126.96.36.199.11. Take a deep breadth and hold it, close your eyes, lift the mask from the chin only far enough to get your hand inside. Quickly wipe the lower part of the face and interior surfaces of the mask which contact the skin.
188.8.131.52.10. Unfold the pad fully, Using pad "2", wipe your hands.
184.108.40.206.12. Don mask, open eyes, and resume normal breathing.
220.127.116.11.13. Using the same "2" pad, wipe neck and ears.
WARNING
Some skin reaction (reddening, itching) may result from the decontamination process. The treated skin area should be washed with soap and water as soon as practical after use.
4.1.11. Decontamination. The carrying case is the only component that could require decontamination. If contaminated, destroy all internal components as hazardous waste. Decontaminate carrying case with another M28A1 or M291 kit. Follow procedures listed for use of the decontaminating kits.
4.1.12. Special Note. The M258A1 kit is not for training. A training kit (M58A1) is available for training, NSN 6910-01-101-1768. Refill packets are also available, NSN 6910-01-113-2434.
4.2. M291 Skin Decontaminating Kit
NSN 6850-01-276-1905
4.2.1. Purpose. The M291 Skin Decontaminating Kit provides the user capability to completely decontaminate through physical removal, absorption, and neutralization of chemical agents on the skin.
4.2.2. Technical Reference. T.O. 11D1-1-131
4.2.3. Training Reference. RTP F7
4.2.4. General Description. The M291 kit consists of 6 individual decon packets in a wallet sized carrying pouch. Each packet contains an applicator pad filled with decon powder. Each kit will do three complete skin decontaminations.
4.2.5. Wartime User. All personnel in, or deploying to, a CB threat area.
4.2.6. Operating Ranges. -50°F to 120°F.
4.2.7. Storage Ranges. -60°F to 160°F.
4.2.8. Inspection. The user must do the following inspection prior to use:
18.104.22.168. If powder is detected, inspect each packet for leaks.
22.214.171.124. Inspect kit for loose black powder. If no loose powder is present, the kit is serviceable.
126.96.36.199. Discard all leaking packets.
Note: The M291 kit is for external use only. Powder may be slightly irritating to skin or eyes. Keep powder out of eyes, cuts and wounds.
188.8.131.52. Replace bad packets with new ones. Six total packets make a complete kit.
4.2.9. Operational Use. When contamination is found on skin, act immediately. Put on your mask and hood. Do not zip the hood. Do not pull the draw strings. Do not fasten the shoulder straps. Seek overhead cover or use a poncho for protection against further contamination.
4.2.10. Skin Decontamination. Follow these procedures:
184.108.40.206. Remove applicator pad from packet.
220.127.116.11. Remove one packet, tear open at notch.
18.104.22.168. Unfold applicator pad and slip gloved hand into handle.
22.214.171.124. If gross contamination exists, two pads may be required.
126.96.36.199. Thoroughly scrub exposed skin until completely covered with black powder.
188.8.131.52. Scrub gloved hand with powder.
184.108.40.206. Discard contaminated pads as hazardous waste.
220.127.116.11. Place protective clothing on exposed skin.
18.104.22.168. Remove powder with soap and water when conditions permit.
4.2.11. Face Decontamination. If contamination is suspected on face or neck, complete procedures for removal are identified in T.O. 11D1-1-131. Contamination around face or eyes requires detailed removal procedures.
Some assistance may be required to remove the contamination. Buddy care or buddy assistance may be needed. Follow these steps:
22.214.171.124. Starting at the front of one of your ears, scrub the pad across your face to the corner of your nose. Scrub extra strokes at the corner of your nose. Then scrub across your nose, to include the tip, to the other corner of your nose. Again, scrub extra strokes at the corner of your nose. Then scrub across your face to the front of your other ear.
126.96.36.199. Hold your breath, close your eyes, grasp your mask beneath the chin, and pull the hood and mask away from your chin enough to allow one hand between the mask and your face. Hold the mask in this position while accomplishing the remaining steps.
188.8.131.52. Scrub across your cheek to the corner of your mouth. Keep your mouth closed. Make extra strokes at the corner of your mouth. Then scrub across your closed mouth to the center of your upper lip. Scrub extra strokes above your upper lip. Continue to scrub across your closed mouth to the other corner of your mouth. Again, scrub extra strokes at the corner of your mouth.
184.108.40.206. Scrub across and under your jaw to your chin, cupping the chin. At the center of your chin, scrub extra strokes. Continue to scrub across and under your jaw to the end of your jawbone.
220.127.116.11. Finish up by scrubbing across your cheek to the end of your jawbone.
18.104.22.168. Turn your hand out and quickly wipe the inside of your mask that touches your face.
22.214.171.124. Remove the second skin decon packet from its carrying pouch. At the notch, tear open quickly. Remove the applicator from its packet and discard the empty packet. Unfold the applicator pad and slip your finger(s) into the handle.
126.96.36.199. Discard the applicator pad and immediately seal, clear, and check your mask.
188.8.131.52. Without breaking the seal between your face and mask, thoroughly scrub your neck and ears until they are completely covered with black powder.
184.108.40.206. Redo your hands until they are completely covered with black powder.
220.127.116.11. Remove the black powder with soap and water when conditions permit.
18.104.22.168. Discard the applicator pad and, if you are not wearing protective gloves, put them on at this time. Fasten your hood.
4.2.10. Decontamination. Discard carrying pouch and decontaminate remaining kits with M295 or other M291 kits.
4.3. M295 Individual Equipment Decontamination Kit NSN 6850-01-357-8456
4.3.1. Purpose. The M295 Kit allows the individual to decontaminate their equipment through physical removal and absorption of chemical agents.
4.3.2. Technical Reference. Technical Manual TM-3-4230-235-10
4.3.3. Training Reference. RTP F9
4.3.4. General Description. Each M295 Kit consists of a carrying pouch containing four individual decon packets. Each packet contains a decon mitt filled with decon powder. The packet is designed to fit comfortably in the pocket of the ground crew ensemble. Each individual mitt is comprised of absorbent resin contained within a nonwoven polyester material.
4.3.5. Wartime User. All personnel in, or deploying to, a CB threat area. Contamination Control Teams (CCT) and Contamination Control Area (CCA) monitors may have additional decontamination requirements.
4.3.6. Operating Ranges. -25°F to 180°F
4.3.7. Storage Ranges. -60°F to 180°F
4.3.8. Inspection. Inspect kit for loose black decon powder. If no powder is detected, the kit is operational. If powder is detected, inspect each packet for leaks. Discard all leaking packets. A complete kit consists of 4 serviceable packets.
4.3.9. Operational Use. This kit is intended for equipment and may be slightly irritating if used on the skin. To use, follow these procedures in sequence:
22.214.171.124. Tear open packet.
126.96.36.199. Remove decontamination packet.
188.8.131.52. Remove decon mitt.
184.108.40.206. Unfold decontamination mitt.
220.127.116.11. Discard empty packet.
18.104.22.168. Grasp green (non pad) side of decontamination mitt with one gloved hand, pat the other gloved hand until completely covered with powder.
22.214.171.124. Decontaminate individual equipment by rubbing with mitt.
126.96.36.199. Insert decontaminated gloved hand into mitt, tighten wristband on glove.
188.8.131.52. Decontaminate gloved hand that was holding equipment.
184.108.40.206. If more contamination is present, use another mitt following procedures above.
220.127.116.11. Discard mitt.
18.104.22.168. All personal equipment can be decontaminated with the mitt.
4.3.10. Operational Limitations. The contaminated mitt must be destroyed as chemical hazardous waste.
4.4. M17 Decontaminating Apparatus
NSN: 4230-01-251-8702
NSN: 4230-01-346-1778 (M17 A2)
WARNING
The M17 uses a variety of fuels and produces water pressure in excess of 100psi. To prevent death, injury, fire or explosion, follow all rules established in T.O. 11D1-3-9-1.
4.4.1. Purpose. The M17 Decontamination Apparatus provides the user with a portable decontaminating capability. Decontamination at an airbase is essential to sustain operations once an airbase has been contaminated. Fixed site decontamination is not supportable or practical once chemical or biological agents are introduced on an airbase.
4.4.2. Technical Reference. T.O. 11D1-3-9-1, 11D1-3-9-2, and 11D13-9-1CL-1
4.4.3. Training Reference. RTP F8
4.4.4. General Description. The M17 decontamination apparatus is comprised of seven major component systems: engine, engine fuel system, electronic control system, air system, heater system, heater fuel system and water system. These systems provide a supply of pressurized, temperature controlled water. The apparatus weighs 360 lbs, is 40.2 inches long, 23.2 inches in width and is 33.9 inches in height.
4.4.5. Wartime User. The M17 requires special training to operate. Due to its complexity of parts, handling requirements, and special operating procedures, the M17 should be used only by personnel trained in its operation. CCT team members are the primary users of this equipment.
4.4.6. Components. The following is a list of major components: 22.214.171.124. Engine: Single cylinder, two cycle, 197 cc, 7.3 hp, air cooled. Fuel mixture: 2 cycle oil and unleaded gas, 1qt of oil to 5 gallons of gas. 126.96.36.199. Heater: Convection, jet fired, igniter plug ignition, 700,000 BTU. Runs on leaded or unleaded gasoline and will run on diesel (DF2), jet fuel (JP4), or kerosene.
4.4.7. Accessory Kit. Box weighs 143 lbs, 41.8 inches long, 20.5 inches wide, 15.4 inches in height.
188.8.131.52. Branch hose, 3 feet long with quick disconnect.
184.108.40.206. Suction hose, 33 feet long with quick disconnect.
220.127.116.11. Pressure hoses, 50 feet in length quick disconnect.
18.104.22.168. Spray wands, 3 foot single sections, trigger actuator with quick disconnect.
22.214.171.124. Shower sets (2 each), 3-section with 6 jets each, 8 feet in length with quick disconnect.
126.96.36.199. Injector, 80/20 siphon, with cam coupling.
188.8.131.52. Water tank, 1580 gallon, collapsible, self-erecting rubberizednylon, weight 70 lbs (empty) and 5.8 feet in height (full). Stored separately.
4.4.8. Power Requirements. No external power is required to operate this system. Only a source of water and fuel is needed.
4.4.9. Operating Ranges. Two operating ranges for operation:
184.108.40.206. Unusual conditions: Below 32°F, refer to section IV of T.O.
220.127.116.11. Usual conditions: Above 32°F, refer to Section III of T.O.
4.4.10. Operational Limitations. The M17 will operate in all environments; however, extra care of the M17 components must be properly maintained in weather below 32° to prevent failure. The M17 is limited only by its water and fuel supply. The unit is heavy and moving it requires at least four people.
4.4.11. Inspection. The inspection of the M17 requires Preventive Maintenance Checks and Services (PMCS). These procedures are described in detail in section II of T.O. 11D1-3-9-1, which gives user actions for before, during, and after operations. The T.O. outlines unit maintenance and specifies the semi-annual, annual, biennial, and hourly PMCS actions.
4.4.12. Decontamination. The M17 and its components can be decontaminated using spray wands. Mixtures and pressures for decontamination are identified in the T.O.
CHAPTER 5 - SPECIALIZED DETECTION EQUIPMENT
5.1. Automatic Liquid Agent Detector (ALAD)
AN/PSR-2 System and Auxiliary Alarms
NSN 6665-01-314-2086
5.1.1. Purpose. The ALAD provides the user with an automatic liquid chemical agent detector. ALADs are intended for use with existing vapor detectors.
5.1.2. Technical Reference. T.O. 11H2-22-1
5.1.3. Training Reference. RTP F10
5.1.4. General Description. The AN/PSR-2 system is a self-contained, battery powered, portable liquid chemical agent detector. It will detect 200 micron-size droplets or larger of liquid GD, VX, Mustard, or Lewisite chemical agents on the sensor within 60 seconds.
5.1.5. Components. The AN/PSR-2 Detector unit assembly consists of one detector and five sensors. The detector is 12.62 inches long, 8.5 inches
wide and weighs 9 pounds without battery. The auxiliary alarm is 15 inches long, 12 inches wide and weighs 23 pounds. The ALAD is compatible with the M42A1 Auxiliary Alarm. Refer to Army technical manual 3-665-302-34 for the care and use of the M42A1 alarm. The detector unit has the following controls and features:
18.104.22.168. Horn: gives a 75 decibel sound alarm (at 3 feet) in all directions from unit.
22.214.171.124. Sensor Pins: mate detector unit to chemical agent sensor.
126.96.36.199. Power Switch: applies AC or DC power to detector unit.
188.8.131.52. Signal Post: allows connection to external alarms with field wire.
184.108.40.206. Lamp: gives a flashing light alarm that can be seen 25 feet from unit.
220.127.116.11. Sensor Mounting Plate: allows mounting of sensor and contains sensor heater for cold weather operations.
18.104.22.168. Horn Enable/Off Switch: allows operator to enable/disable detector unit horn.
22.214.171.124. Sensor Holder Clamp: assists in correct positioning of sensor.
126.96.36.199. Lamp Enable/Off Switch: allows operator to enable/disable detector unit lamp.
188.8.131.52. Alarm/BIT Instructions: provides operator with signal codes and instructions for alarm activation and unit Built-In-Test.
5.1.6. Theory of Operation. The ALAD theory of operation is divided into five circuit groups: power, controller board, sensor, internal alarms, and external alarms.
184.108.40.206. A microprocessor controls all functions of the detector unit. The detector unit also has built-in protection from electro-magnetic pulses (EMP).
220.127.116.11. The ALAD operates on battery or AC power. A nonrechargeable BA-5588/U lithium sulfur dioxide battery provides DC power to the ALAD. It provides power for at least 30 days. A power switch controls both AC and DC power to the detector unit. When the power is set to [ON] the unit starts a self-diagnostic test.
18.104.22.168. The sensor is a one time use item. When the sensor is placed on the mounting plate, an electrical current is passed from contact to contact through the metallic paint on the grooved surface. If attached to AC power, the system will heat the sensor plate to 70 o F if needed. (This occurs when the outside temperature is less than 70 o F.) When a 200 micron droplet or more of chemical agent falls on the sensor, it causes the metallic paint in the groove to swell. When the paint swells, the resistance of the sensor changes, and the detector unit recognizes that a chemical agent is present. This sends a signal to the alarm. It detects GD, VX, Mustard, Lewisite, and simulant DEM type chemical agents. The sensor is not sensitive to most flight-line chemicals.
22.214.171.124. The unit is capable of operating with remote auxiliary alarms. Two different auxiliary alarms can be connected to the detector unit, the BZ-90/PSR-2 and the chemical agent automatic alarm unit ABCA-M42. When a chemical agent is detected it sends a signal to these alarms. The BZ-90/PSR-2, commonly referred to as the BZ-90 alarm comes with the ALAD. The ABCA-M42, commonly referred to as the M42 is compatible with the ALAD.
126.96.36.199. The system has an internal horn and lamp alarm. The horn sounds either, when chemicals are present, or when signals faults occur in the system. The lamp alarm provides continuous flashing light when an alarm signal is received from the ALAD. A low battery LED provides continuous warning light when battery voltage is low. The test push-button provides self-test to ensure the horn and lamp are working.
188.8.131.52. External alarms may be connected with field wire up to a distance of 1000 feet from the detector unit assembly. Signal posts on the system provides quick connections between the ALAD detector unit and auxiliary alarms.
5.1.7. Wartime User. The ALAD can be operated by anyone trained in the use of chemical agent detectors. NBC recon and shelter teams are the primary users.
5.1.8. Power Requirements. The ALAD will operate on both AC/DC power.
184.108.40.206. DC: Non-rechargeable lithium sulfur dioxide battery. BA5588/U
220.127.116.11. AC: 110/220 VAC, 60/50 Hz, single phase.
18.104.22.168. Battery Service Life: 30 days.
22.214.171.124. DC: Two rechargeable, sealed, lead-acid batteries, GC 1245-1.
126.96.36.199. The auxiliary alarm will only operate on DC power.
188.8.131.52. Battery Service Life: 100 to 1000 recharges.
184.108.40.206. Recharge Time: 12 to 16 hours.
5.1.9. Operating Ranges. ALAD Operation: -30 to 125°F - Storage 75 to 165°F. Auxiliary Alarm Operation: -30 to 125°F Storage -75 to 165°F
5.1.10. Sensor Disc Service Life. 30 days after removal from package if not contaminated. The Shelf life is 5 years. Expired sensor discs can be used for training. If they are not available, simulated reading can be obtained by making an electrical connection between the inner and outer posts on the ALAD.
5.1.11. Sensor Disc Operating Ranges. -30 to 125°F.
5.1.12. Sensor Disc Storage Ranges. -30 to 160°F.
5.1.13. Special Tools. No special tools are required.
5.1.14. Operational Limitations. The sensor discs are a one-time use only item. After removal from packaging, the discs are good for 30 days. The sensor must be replaced if dirt or debris is visible on the sensor surface.
5.1.15. Inspection/Use. Refer to T.O. 11H2-22-1 before inspection and use.
5.1.16. Operations and Employment. Prior to operation, the ALAD detector unit assembly must be setup. This includes an inspection of the unit, battery installation, sensor card installation, and connection to AC power.
220.127.116.11. Faulty units will indicate failure signals. Corrective actions for the following failure signals are listed in the technical order:
18.104.22.168. After you prepare the unit for operations, the Built-In-Test (BIT) will self-check the internal electronic circuitry, sensor, and battery as soon as the power switch is set turned [ON]. The lamp will light during BIT and, when the lamp goes off, all testing is complete and the unit is ready.
22.214.171.124. Prior to operation, the remote alarms must be prepared for operation. This includes an inspection of the unit, installation of the batteries, and a test of the unit.
126.96.36.199. Employment. When both the detector unit assembly and the auxiliary alarm are prepared for use, they may be deployed into the field. The detector unit should be placed on a level surface free from overhead cover. The auxiliary alarm should also be placed on a level or stable surface and can be used both outside or indoors.
| bad sensor: 2 beeps | lamp on |
|---|---|
| bad battery: 1 beep | lamp off |
5.1.17. Calibration. None required.
5.1.18. Decontamination. The ALAD system is painted with a Chemical Agent Resistant Coating (CARC). All components of the system except the sensor disc can be cleaned with standard decontaminants (M295, soap and water).
5.2. Chemical Agent Monitor (CAM)
NSN 6665-01-199-4153
WARNING RADIATION HAZARD
The CAM contains a beta radiation source. The source is a plated cylinder of 10 millicuries of Nickel-63 radiation. Do Not attempt to open the CAM.
5.2.1. Purpose. The CAM is a hand held point monitor capable of detecting and identifying nerve and mustard agent vapors, giving a rough indication of concentration within 1 minute of agent exposure. CAMs are intended for use to search out clean areas, and to identify contaminated personnel, equipment, aircraft, vehicles, buildings and terrain. CAMs will determine the effectiveness of decontamination and can be used in collective protection shelters.
5.2.2. Technical Reference. T.O. 11H2-20-1
5.2.3. Training Reference. RTP F19
5.2.4. General Description. CAMs utilize Ion Mobility Spectrometry (IMS) technology to detect GA, GB, GD, VX, HN, and L. The CAM weighs a little over three pounds with battery and is 15.5 inches in length.
5.2.5. Wartime User. The CAM can be operated by anyone trained in the use of chemical agent detectors. NBC recon, CCA, and shelter teams are the primary users.
5.2.6. Components. The basic CAM comes with the following components: carrying case assembly, CAM, carrying harness assembly, filtered nozzle package assembly, spare battery, large handle strap, small handle strap, confidence sample, spare nozzle protective cap assembly, nozzle protective cap assembly, nozzle assembly, battery, battery cap assembly and environmental cap. Available auxiliary equipment includes an optional battery used for operational check-out and training, and a buzzer to provide audible alarm when the detector reads three bars or more.
5.2.7. Power Requirements. The CAM uses one internal 6-volt lithium sulfur dioxide battery (BA-5800/U). Do Not immerse battery in water or decontamination solution, crush, or burn batteries. Do Not attempt to recharge batteries. Batteries are considered hazardous waste; dispose of IAW local hazardous waste procedures. Battery life varies with frequency of use and temperature. The following are benchmarks for temperature versus battery life:
5.2.1. Operating Ranges. -13 to 113°F.
| 113°F | (45°C) |
|---|---|
| 68°F | (20°C) |
| 32°F | (0°C) |
| -13°F | (-25°C) |
5.2.2. Storage Ranges. -67 to 158°F.
5.2.3. Operational Limitations. The CAM is a monitor, not a detector, and can become contaminated or overloaded (saturated) if not used properly. The CAM can only detect vapors at the inlet nozzle. It will not give the vapor hazard over an area from a single point.
5.2.4. Inspection. The inspection of the CAM requires Preventive Maintenance Checks and Services (PMCS). These procedures are described in detail in T.O. 11H2-20-1.
5.2.5. Decontamination. Do Not decontaminate the CAM or its accessories with the M258A1 Decontamination kits. False readings may occur and render the CAM inoperative. To decontaminate, discard the filtered nozzle standoff. Turn the CAM off. Wipe the nozzle assembly, using a cloth dampened with water only. Install the nozzle protective cap on the CAM nozzle. Turn the CAM on. The display should clear within 15 minutes. If the CAM does not clear within 15 minutes, repeat procedures. If problems still exist, turn CAM in for replacement.
5.3. M8A1 Chemical Agent Alarm
NSN 6665-01-105-5623
WARNING RADIATION HAZARD
The cell module of the M43A1 Detector contains a radioactive source: Americium-241. The cell module is potentially dangerous if broken. Do Not attempt to remove the cell or pump modules.
5.3.1. Purpose. The M8A1 Detector provides an automatic detection capability for nerve agent vapors (GA, GB, GD and VX). The M8A1 can be used at fixed sites, hand carried, carried on a backpack, or mounted on a vehicle.
5.3.2. Technical Reference. T.O. 11H2-17-1
5.3.3. Training Reference. RTP F3
5.3.4. General Description. The M8A1 alarm consists of two components: an M43A1 detector and an M42 Alarm unit. Major components are listed below separately.
5.3.5. Wartime User. The M8A1 can be operated by anyone trained in the use of chemical agent detectors. NBC recon, CCA, and shelter teams are the primary users.
5.3.6. Components. The following components make up the M8A1 system. The system provides the user the option of deciding what components are needed. They are:
188.8.131.52. M43A1 Detector: Automatically detects nerve agent vapors. It will alarm and send a signal to a connected M42 Alarm. (weight 7 pounds, length 7 inches, width 7.75 inches, height 10.75 inches)
184.108.40.206. M42 Alarm Unit: Provides a warning light and horn at a remote location (up to 400 meters away) when the M43A1 detects nerve agent vapors. (weight 4 pounds, length 8 inches, width 6 inches, height 2.25 inches)
220.127.116.11. M10A1 Power Supply: Converts power from an AC source to DC power for the M43A1 Detector. It accepts 115 or 220 VAC, 50 to 400 HZ and switches automatically to the standby battery if output drops below
18 VDC. The M10A1 attaches directly to the bottom of the M43A1 Detector. (weight 6.5 pounds, length 7.5 inches, width 6.5 inches, height 3.2 inches)
18.104.22.168. BA3517/U Battery: Supplies 36 volt DC power to M43A1 Detector weight (7.5 pounds, length 6.3 inches, width 7.7 inches, height 5 inches). Non-rechargeable
22.214.171.124. M10 Power Supply: Provides DC power to the M43A1 detector by converting 115/220 volt AC, 50-400 Hz power. (weight 18 pounds, length 12 inches, width 6 inches, height 7 inches)
126.96.36.199. M273 Maintenance Kit: Contains 10 air filters and 10 test paddles.
188.8.131.52. Probe Assembly: Contains 5 probes, 5 rubber bands, and 5 instruction cards. Enables the M43A1 detector to monitor equipment, vehicles and personnel for vapor contamination.
5.3.7. Operating Ranges. -40°F to 120°F, 3 to 99% relative humidity
5.3.8. Operational Limitations. The M8A1 is limited by both battery power life and airfield interference. Refer to T.O. 11H2-17-1 for guidance.
5.3.9. M8A1 Assembly And Operation. The M8A1, used as a fixed emplacement alarm system, can be assembled and used in any of three power configurations and with or without an M42 alarm connected. The three power configurations are:
184.108.40.206. M43A1 Detector with the M10A1 Power Supply.
220.127.116.11. M43A1 Detector with the BA3517/U Battery.
18.104.22.168. M43A1 Detector with both the BA3517/U Battery and M10A1 Power Supply.
Do not operate M43A1 detector indoors unless an outlet filter is installed. Do not operate inside moving vehicle with or without filter. Radiation exposure could occur.
WARNING.
CAUTION
To prevent damage to the electronics component, do not use power sources above 125 VAC or 230 VAC when operating the power supply.
5.3.10. Operating The M8A1 In Cold Weather. When the outside temperature reaches 20°F or below, the M8A1 must be operated in a cold weather configuration. To help accomplish this task, an M253 Winterization Kit is available. The M253 Winterization Kit provides DC power when temperature ranges from 20°F to -40°F. The kit contains two BB501/U rechargeable batteries and one M168 cable.
5.3.11. M8A1 Malfunctions. The M8A1 may malfunction. You may correct some of the common malfunctions that can include:
| M43A1 DETECTOR MALFUNCTIONS ARE: | |
|---|---|
| Flowmeter | æ Doesn't register in green band. Low airflow can be caused by a clogged filter. Make sure that the air filter plug is screwed tight, outlet cap removed, and air outlet clean. |
| Detector | æ Doesn't register in black area with battery test and reset press button depressed. This may be a problem with the power connectors. |
| Detector meter doesn't register in green band. | æ Install flowmeter and adapter in air inlet. With the detector operating, wait 5 to 60 minutes and read detector meter. If it does not read in the green band send the unit to maintenance. |
| Detector meter doesn't register in green area when temperature is below 20°F. | æ Attach the M253 Winterization Kit and test the system. |
| M42 alarm | æ Does not sound during tests or when nerve agent is detected by M43A1 detector. Check the batteries, power connections, and wires to the M43A1. |
|---|---|
| M43A1 detector doesn’t register in the black area with battery test and reset press button depressed. | æ Check the fuses and power connectors. |
5.3.12. Employment of M43A1s. M43A1 Detectors may be employed at widespread indoor and outdoor locations around the installation in a DICE 5 pattern. The M10A1 Power Supply should be used whenever possible.
5.3.13. Employment of M42s. M42 Alarms should be installed primarily in work centers (preferably ones with collective protection) to remotely monitor the M43A1s. NOTE: The M42 alarm may not be heard in high noise areas. Also, the M43A1 may falsely alert to some aftershaves and smokes.
5.3.14. Inspection/Use/Calibration/Decontamination. Due to the complexity of the M8A1 system, detailed procedures must be followed to use this system. Because of the radioactive source inside the unit, a "wipe test" must also be performed to ensure that the units are not leaking any radioactive sources. Technical Order procedures in all phases of use, maintenance, calibration and decontamination must be followed to prevent detector system failure. USAF M8A1s do not require calibration.
5.4. M90 Chemical Agent Detector
NSN 6665-01-408-5108
WARNING RADIATION HAZARD
The M90 utilizes a small sealed radioactive source, AM-241, as a part of the detection system. The unauthorized repair or disassembly of the M90 may result in Alpha radiation contamination and exposure.
5.4.1. Purpose. The M90 Detector provides the Air Force with standalone nerve and blister agent detection. The M90 will detect nerve and blister agent vapors at levels that prevent over exposure to personnel. The M90 can be networked to provide airfield chemical detection and warning, as well as a shelter monitoring device. The M90 is a multi-application instrument which is capable of operating as a point detector to provide early warning of approaching toxic chemicals or as a chemical agent monitor to identify and monitor personnel, vehicles, and equipment for contamination.
5.4.2. Technical Reference. M90 Users Manual, no technical order assigned.
5.4.3. Training Reference. RTP F4
5.4.4. General Description. The M90 uses Ion Mobility Spectrometry (IMS) to determine the presence of toxic vapors. The detector is portable or can be vehicle mounted. Weight with battery is 15 pounds. Dimensions are length 11 inches x width 4 inches x height 11 inches.
5.4.5. Wartime User. The M90 can be operated by anyone trained in the use of chemical agent detectors. NBC recon, CCA, and shelter teams are the primary users.
5.4.6. Components. The M90 does not come in a kit. Various components are available to allow different uses in the field. Following is a complete list of all components:
5.4.7. Power Requirements. The M90 is capable of being powered by several different batteries and power supplies. The batteries must be capable of providing at least 11 volts of power. Different power requirements are based on intended usage. The following list describes the various requirements:
22.214.171.124. M90-LB Lithium non-rechargeable battery, BA-5598/U; 16 hours use.
126.96.36.199. M90-NB NiCd rechargeable D-cell battery, comes standard with detector; 8 hours use.
188.8.131.52. M90-MB Magnesium non-rechargeable battery, BA-4386; 16 hours use.
184.108.40.206. M90-VP1 Vehicle power supply, AC/DC converter 10-32 volt DC.
220.127.116.11. M90-MP1 Main power supply, 115/240 volt AC, 60Hz.
18.104.22.168. M90-VP2 Vehicle power supply, 24-34 volt DC converter.
5.4.8. Battery Life. This is dependent on climatic conditions. Cold temperatures degrade battery life and decrease battery voltage. At room temperature, the NiCd battery will last about 8 hours. Operational tests show a realistic battery life of about 4-6 hours for NiCd batteries in the field.
5.4.9. Battery Recharge. The M90-BC battery charger only recharges one NiCd battery pack at a time. The battery charger requires 6 hours to charge one battery pack. The NiCd batteries will only take a charge when temperatures are between 32°F and 104°F.
5.4.10. Operating Ranges. M90 will operate in temperatures between 22°F and 131°F with 10 to 95% humidity.
5.4.11. Care and Use. The M90 has a specific set of operational procedures to make the unit ready for use. Complete details on these procedures are outlined in the "M90 Users Manual". Failure to adhere to these procedures will render this device inoperable.
5.4.12. Inspection. Refer to chapter 2 of the M90 Users Manual for complete details. Preventive maintenance checks and services include preparation for operation, starting, testing the detector, alarms, operations under unusual conditions, shutdown procedures, and troubleshooting. The operator must perform the following checks to insure proper operation of the M90 and avoid failure of alarms:
22.214.171.124. Inspect both the air inlet and outlet are open and free from blockage.
126.96.36.199. Visually inspect that a serviceable battery or power supply is connected.
188.8.131.52. Check that the internal air filter and the external pump port caps are tightly closed.
184.108.40.206. The detector sensor should be tested with the stimulant after every startup, or if in continuous operation, once a month. The testing is done with the simulant tube once startup is completed. The simulant tub contains nerve agent simulant. The simulant needs to be warmed to at least +50 F(+10 C) to react correctly. Ensure testing is conducted away from strong wind or drafts.
5.4.13. Concept of Employment. The M90 should be employed around an air base in a DICE 5 pattern for early detection and warning of chemical agent vapors.
220.127.116.11. Place M90 units no closer than 500 meters apart within the confines of the base. This placement can change due to the prevailing winds, likely attack routes, threat assessment, proximity to major lines of travel, work-area noise levels, etc.
18.104.22.168. Because it is a point source detector, every effort must be made to place a sufficient number of detectors upwind of the air base and missioncritical areas.
22.214.171.124. Place the M90 units no closer than 25 feet from any major structure to ensure maximum exposure to prevailing winds and limit interference caused by buildings.
126.96.36.199. The M90 should be at least 3 feet, but no higher than 6 feet, off the ground to ensure maximum exposure to the contaminating environment.
188.8.131.52. Be sure to avoid place the M90 around smoke, jet fuel vapors, and diesel exhaust. The M90 has shown sensitivity to these interferents and will possibly detect them as chemical agents.
5.4.14. Inclement Weather Conditions. To prevent damage to the instrument from inclement weather, place the M90 in a protective cage.
The cage should be made out of wood or sheet metal with air slots and a locking, front door.
184.108.40.206. The M90 can suffer adverse effects if operated unprotected during inclement weather conditions (e.g. constant rainfall, dust, etc.)
220.127.116.11. The top of the cage should prevent rain or falling particulates from affecting the M90's operation.
18.104.22.168. If the rain caps on the M90 are not properly positioned, water can be sucked in the inlet valve and damage the instrument.
22.214.171.124. Do not place the units in low lying areas where the alarm cannot be seen or heard. Likewise, do not place units on tops of buildings since most chemical warfare agents are heavier than air.
5.4.15. Detector Maintenance and Decontamination. Refer to chapter 3
126.96.36.199. Internal. If the internal parts have been contaminated two options are possible:
of the M90 User Manual for complete details. Topics covered include Cleaning, Decontamination (both external and internal), Internal Filter Replacement, External Filter Replacement, and Battery Replacement. The M90 CAD can be decontaminated internally and externally. Before decontaminating the detector check that all air and electric protector caps are tightly closed and the power is turned off.
188.8.131.52. Use the M90 chemical filter adapter with a charcoal filter fitted to the air inlet port, and operate until the alarm light is extinguished.
184.108.40.206. The outside casing and top panel of the detector can be decontaminated by using a decontamination solution of mild soap and water.
220.127.116.11. Use the UIP and run the decontamination option.
5.5. M22 Automatic Chemical Agent Detector Alarm
NSN: 6665-01-438-6963
WARNING RADIATION HAZARD
The sensor assembly inside the M88 detector, a sub-component of the ACADA, contains two Nickel-63 sources of radioactive material. Do Not attempt to open the M88 Detector.
5.5.1. Purpose. The M22 system will determine the presence of nerve and blister agent vapors. The system provides the user with a stand alone, automatic vapor agent detector.
5.5.2. Technical Reference. T.O. 11H2-23-1
5.5.3. Training Reference. RTP F18
5.5.4. General Description. The M88 Detector is the main piece of equipment in the M22 System. The M88 is an automatic air sampling chemical detector for G and H series agents. The M-88 draws air into a port and samples the air for nerve and blister agents. The M-88 provides both visible and audible alarms (such as the M42 alarm) when chemical agent vapors are present.
5.5.5. Wartime User. The ACADA can be operated by anyone trained in the use of chemical agent detectors. NBC recon, CCA, and shelter teams are the primary users.
5.5.6. Components.
| M88 DETECTOR | 6.5 inches in length, 7.0 inches in width, 10.75 inches in height and 10.63 pounds in weight, without battery. |
|---|---|
| Operating temperature | -22°F to 125°F |
| Storage temperature | -80°F to 160°F |
| Operating relative humidity | 5 to 99% |
| Power requirements | 24Volt DC at 0.6 amps at 20°C |
| BATTERY BOX. | 6 inches in length, 7 inches in width, 3 inches in height and 3.3 pounds in weight, with battery. |
| Operating temperature | -40°F to 125°F |
| Storage temperature | -80°F to 160°F |
| Operating relative humidity | 5 to 99% |
| Power requirements | 24 volt DC at 7.2 amps |
| BATTERY LIFE. | Approximately 15 hours at normal temp; in cold temperatures -22°F, 3-4 hours. |
|---|---|
| M42 REMOTE ALARM. | 8.8 inches in length, 6 inches in width, 6 inches in height and 3.8 pounds in weight, with battery. |
| Operating temperature | -40°F to 125°F |
| Storage temperature | -80°F to 160°F |
| Operating relative humidity | 5 to 99% |
| Power requirements | Battery, dry, 1.5 volt, BA3030/U (4 each) |
| M28 POWER SUPPLY. | 4.5 inches in length, 7 inches in width, 4.3 inches in height and 12.9 pounds in weight. NSN 6120-01-438-6960 |
| Operating temperature | -40°F to 125°F |
| Storage temperature | -67°F to 158°F |
| Operating relative humidity | 5 to 99% |
| Power requirements | 96 to 136 volt AC, or 190 to 256 volt AC, 47 to 60 Hz at 200 watts maximum. |
A confidence sample is used to determine the operational state of the M88 detector. The sample was designed to have both agent vapor modules in one device. One end is for blister agents and the other end for nerve agents. Complete procedures for use and care are identified in T.O. 11H2-23-1.
5.5.7. Operational Limitations. The M22 system is limited by both battery power life and airfield interference. Refer to T.O. 11H2-23-1 for guidance.
5.5.8. Concept of Employment. The M22 should be employed around an air base in a DICE 5 pattern for early detection and warning of chemical agent vapors.
18.104.22.168. Place M22 units no closer than 500 meters apart within the confines of the base. This placement can change due to the prevailing winds, likely attack routes, threat assessment, proximity to major lines of travel, work-area noise levels, etc.
22.214.171.124. Because it is a point source detector, every effort must be made to place a sufficient number of detectors upwind of the air base and missioncritical areas.
126.96.36.199. Place the M22 units no closer than 25 feet from any major structure to ensure maximum exposure to prevailing winds and limit interference caused by buildings.
188.8.131.52. The M22 should be at least 3 feet, but no higher than 6 feet, off the ground to ensure maximum exposure to the contaminating environment.
184.108.40.206. Be sure to avoid place the M22 around smoke, jet fuel vapors, and diesel exhaust. The M22 has shown sensitivity to these interferents and will possibly detect them as chemical agents.
5.5.9. Inspection/Use/Calibration/Decontamination. Due to the complexity of the M22 system, detailed procedures must be completed in order to use this system. Technical Order procedures in all phases of use, maintenance, calibration and decontamination must be followed to prevent detector system failure.
5.6. Biological Warfare Agent Detection
Advance Concept Technology Demonstration - Portal Shield NSN: NA
5.6.1. Purpose. Portal Shield provides the user with a biological detection system with a chemical add-on consisting of the ACADA. The system is hard-wired with comm back up to provide continuous information through a computer terminal located at the command and control centers chosen by the installation. The computer terminal indicates when an agent is detected and can identify the specific biological agent triggered upon in near real time.
5.6.2. Technical Reference. Pending
5.6.3. Training Reference. Pending
5.6.4. General Description. The Portal Shield Advanced Concept Technology Demonstration provides an interim capability for a limited number of installations until Joint Biological Point Detector System (JPBDS) are developed and fielded. The system is able to detect biological agents in 5 minutes or less, identifies the agent in 20 minutes or less and can currently identify 8 biological agents delivered with wet aerosol or dry powder dissemination systems.
5.6.5. Components. The system consists of a Global Positioning System, weather station, particle counter, CPU radio modem, optical immunoassay ticket reader, and cyclone sampler. It is fielded in a quadcon configuration with environmental control unit. It has several leave behinds most notably a decontamination unit for sensitive equipment items to include the unit itself, and hand held assays known as SWUBE's. The chemical add on is the addition of the ACADA's integrated into the system to allow both biological and chemical sampling and notification.
5.6.6. Wartime User. The wartime users of the system are those bases in Korea and South West Asia that are currently programmed to receive the systems in FY 98-99.
5.6.7. Power Requirements. Total power requirements for each quadcon unit (this includes the power to run the ECU and the UPS and sensor) is approximately 3200 watts.
5.6.8. Operating Ranges. The sensors normal operating range (without cooling) is 32-80 degrees F. The antibodies in the optical ticket reader (used for ID of the BW agents) needs to be kept at a fairly constant temperature resulting in the need for the ECU.
5.6.9. Operational Limitations. The only known limitation is the number of units available for the United States Air Force. Two bases in Korea, a limited number of sites in SWA and the potential for the addition of additional sites makes the capability useful but not available to all required sites.
5.6.10.Inspection/Use. The Portal Shield ACTD comes with a two year contractor support. At the end of those two years all maintenance and support is scheduled to revert to the bases possessing the systems. The support of the systems in the out years is expected to be substantial and requires advanced planning to ensure the capability is maintained.
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5.7. Charger CDV-750/750-5/750-6
NSN 6665-00-856-8813
5.7.1. Purpose. The charger provides the user with a portable unit designed to provide the necessary voltage to charge, illuminate, and read the IM-143 dosimeter.
5.7.2. Technical Reference. T.O. 11H4-2-12-1
5.7.3. Training Reference. RTP F11
5.7.4. General Description. The CDV-750 charger is approximately 4 inches square, 3 inches high and weighs 1.25 pounds with battery. The charger has two bulbs, one on the circuit card inside and one in the charging pedestal. The charger has one large knob (left side) that is for dosimeter adjustment and one cap (right side), that is for charging and reading the dosimeter. The CDV 750-6 (pistol grip) is also available in the field. All references in this handbook, however, will refer to the CDV 750.
5.7.5. Power Requirements. The CDV-750 charger is powered by one 1.5 volt, D-cell battery. Battery life is dependent upon use and freshness of battery.
5.7.6. Operational Use. Unscrew center screw and open the case. Install the battery, observing the correct polarity and replace lid. Remove cap on left side. Place thumb or finger nail on the charging pedestal and apply slight pressure downward; a 1.5 volt bulb should illuminate. Two procedures follow:
220.127.116.11. Charging the Dosimeter: Press it down on the charging pedestal and hold (at least 8 pounds of pressure) until the dosimeter body touches the threaded portion of the charging pedestal. Slowly move the knob left or right until the dosimeter hairline indicates zero. Remove the dosimeter, hold up to a light source, and read dosimeter. If not on zero, repeat previous steps.
18.104.22.168. Reading a Dosimeter: Depress the charging pedestal with thumb or finger nail to activate the bulb. Orient the charging end of the dosimeter on or near the pedestal, close enough to read the dosimeter. Do not apply pressure. Discharge may occur if the dosimeter is used to apply pressure, and the reading may be lost.
5.7.7. Special Tools. Refer to T.O. 11H4-2-12-1 for specific tools.
5.7.8. Wartime User. Primary users are SMT members or anyone using the IM-143 Dosimeter.
5.7.9. Preventive Maintenance (PM). Accomplish PM every 28 days when charger is in use and 180 days when charger is in storage. Documentation to support PM should accompany charger. The following procedures apply:
22.214.171.124. Check the battery and the two bulbs. Replace the spare bulb if it is missing from its holder.
126.96.36.199. Clean the battery contacts and battery terminals to remove any corrosion. Use denatured alcohol and a soft cloth, no water.
188.8.131.52. If the battery has leaked, remove the case bottom and fill with warm water. The corrosion will be loosened in a short time and can be rinsed out. Dry the case bottom, replace the battery, and check the electrical operation by charging a dosimeter.
5.7.10. Calibration. None; however, field level repair is authorized but some restrictions do apply. See T.O. 11H4-2-12-1, chapter 2 for instructions.
5.7.11. Decontamination. Wash the outside with a damp cloth.
5.7.12. CDV 750-6: The CDV 750-6 is the latest version of dosimeter charger. It's advantages over older models include: easier handling, faster loading, charging, and zeroing, and it uses no batteries. It has a pistol grip handle with rapid dosimeter loading using the short yellow trigger. Instead of battery power, this model uses a magneto to charge the dosimeter. This is done by loading a dosimeter and squeezing the black lever repeatedly until the light located near the top of the pistol grip flashes. To zero the dosimeter, the operator looks through the dosimeter at the scale and squeezes the black lever to move the hairline down to zero. The small black button is used for fine adjustment (moves the hairline upscale in small increments with every press)
5.8. Dosimeter, IM 143PD
NSN 6665-01-134-9714
5.8.1. Purpose. The dosimeter detects and measures cumulative exposure to X-ray and gamma-ray radiation. The dosimeter can be used for individual or area measurement for total radiation exposure. This survey meter is designed for large area surveying to find the extent and intensity of radioactive contamination. It can also be used for area and personnel monitoring to determine the presence and intensity of residual radiation.
5.8.2. Technical Reference. T.O. 11H4-6-1-1
5.8.3. Training Reference. RTP F11
5.8.4. General Description. The dosimeter is a sealed assembly in a metal barrel. A magnifying optical system is contained within the metal barrel for reading the image on a calibrated scale. The dimensions and weight are approximately 4.5 inches in length, .5 inches in diameter and 1.5 ounces in weight. The dosimeter has two distinct ends, one for charging and one for viewing. The charging end has a metal charging post located in the center of the barrel. A protective rubber dust cap should be mounted over the charging end to protect the charging post. The dosimeter will operate with or without the dust cap. The viewing end has a glass window and does not require a dust cap.
5.8.5. Wartime User. dosimeters are worn by anyone operating in or near radiation.
5.8.6. Power Requirements. None
5.8.7. Operation. Two phases of operation are applicable to the dosimeter, preoperational and operational:
184.108.40.206. Operational: Once charged, the dosimeter is worn in clothing (pocket), or attached to clothing (vest), for personal use. If used in a shelter, it is usually placed in occupied rooms. To read the dosimeter, a light source is required. Hold dosimeter in hand and look at a light. Rotate the dosimeter to a horizontal position to align the internal scale. Read the hairline on the scale. The reading obtained is the accumulative amount of radiation received from the time the dosimeter is charged to when it is read.
220.127.116.11. Preoperational: The dosimeter must be charged before use. To charge the dosimeter, a "charger" must be used. The standard charger for the dosimeter is the CDV-750 charger. Operation of the charger is identified in T.O. 11H4-2-12-1. Charging the dosimeter realigns the scale and clears any readings on the scale.
5.8.7. Operational Limitations. Once charged, do not subject the dosimeter to severe shock, excessive dampness or high temperatures.
5.8.8. Preventive Maintenance (PM). Charging must be done every 28 days in standby and every 14 days in operational status. If dosimeters are not maintained in operational status, leakage could occur and dosimeters may be unserviceable. Three phases of maintenance are required for the dosimeter; preventive, verification of leakage rate and calibration. Refer to T.O. 11H4-6-1-1 for complete procedures.
5.8.9. Calibration. Annually through Precision Measurement Equipment Laboratory (PMEL).
5.8.10. Decontamination. Decontamination of the dosimeter consists of washing the dosimeter in a solution of detergent and clean water. Wash thoroughly in solution but Do Not use brushes or sharp objects. Air dry and replace dust cap on charging end.
5.9. ADM 300, Multi Functional RADIAC Meter (MFR)
ADM 300, Kit B - NSN 6665-01-342-7747
ADM 300, Kit C - NSN 6665-01-320-4712
5.9.1. Purpose. The ADM-300 RADIAC meter will locate and measure low and high intensity gamma rays or detect beta particles. When used with external probes, it will locate and measure alpha, gamma, x-ray and neutron radiation, and detect the presence of beta.
5.9.2. Technical Reference. T.O. 11H2-2-31
5.9.3. Training Reference. RTP 14
5.9.4. General Description. The ADM-300 is a battery operated, self diagnostic, multiple function instrument. The ADM-300 meter has a Liquid Crystal Display (LCD), a programmable meter and is RS-232 serial computer port compatible. The meter has a internal probe and is configured to use optional external probes. The meter can be vehicle powered and mounted and has both audible and visible alarm displays. Meter weight 3 pounds, height 1.88 inches, width 4.38 inches and length 8.5 inches.
5.9.5. Wartime User. Due to the complexity and severity of nuclear radiation, training in nuclear detection, identification, and radiation hazards
is required to operate this device. NBC recon team members are the primary users.
5.9.6. Components. The ADM-300A radiological assessment kit is configured several ways to provide user-specific requirements. The following are basic pieces; refer to T.O. 11H2-2-31, chapter 5 for itemized components by kit type:
5.9.7. Power Requirements. The ADM-300A will operate on both AC/DC power. AC: 100 to 240 VAC, 50 or 60 Hz. DC: Two standard 9volt batteries, 100 hours battery life. Vehicle Power: 12-24 volts.
5.9.8. Operating Ranges.
18.104.22.168. Humidity: 0 to 95%.
22.214.171.124. Altitude operating range: Up to 15,000 feet above sea level.
126.96.36.199. Operating Temperature: -22 o F to 122 o F.
188.8.131.52. Storage Temperature: -40 o F to 140 o F.
5.9.9. Unit of Measurement and Range. The radiation range and units of measurement adjust automatically depending on the MODE selected and the probe attached. The ADM-300A detects, measures, and digitally displays levels of gamma radiation from 10 µR/h (micro roentgen per hour) to 10,000 R/h. The analog display is a bar graph which covers 10µR/h to 1,000 R/h. The Alpha and X-ray probes use a different unit of measurement than the basic meter.
184.108.40.206. Three units of measurement are available:
220.127.116.11. The survey meter will automatically provide and display the proper readings and units of measurement over its entire operating range.
5.9.10. Capabilities and Limitations. The instrument will display both a dose rate as well as an accumulated dose amount. With additional auxiliary probes, the ADM-300A has extended capability such as detecting and measuring alpha radiation. In its stand alone configuration it detects and measures gamma and detects beta radiation.
18.104.22.168. Highly Resistant. The ADM-300A operates in temperatures from -25 o to 50 o C (-14 o to 122 o F) and in humidity up to 100%. It is highly resistant to most harsh environmental conditions. For example, it is engineered to operate even after being accidentally immersed in water. NOTE. The unit will not operate under water.
22.214.171.124. Operates On Two 9 Volt Batteries. The meter primarily operates on two standard 9 volt alkaline batteries and will last about 100 hours at 25 o C (76 o F).
5.9.11. Electromagnetic Pulse. The instrument is also electromagnetic pulse (EMP) hardened and will not saturate at a dose rate of up to 100,000 R/h.
5.9.12. Principles Of Operation. The ADM-300A is microprocessorbased. This means that the internal electronics control all functions including detection, calculation, compensation, and display. The central processing unit (CPU) control both low range and high range Geiger Mueller (GM) tubes. The two GM detectors produce electrical signals when exposed to gamma rays and beta particles.
5.9.13. Normal Operating Procedures.
126.96.36.199. Turn unit on by pressing and holding the POWER ON/OFF switch for 2 seconds. The display indicates "PLEASE WAIT." The meter will conduct the programmed self-diagnostic test. The "RATE" display will appear and ambient gamma rates will be indicated.
188.8.131.52. Install batteries.
184.108.40.206. Power Off. Press and hold POWER ON/OFF for 2 seconds.
5.9.14. Modes of Operation. Press the MODE switch until the desired reading is displayed. The mode is displayed as follows:
| MODE | DISPLAY |
|---|---|
| DOSE Rate | RATE |
| Dose | DOSE |
| Dose Rate Alarm | RaAlm |
| Dose Alarm | DoAlm |
| Scaler (used for accumulation over a preset period of time) | Scaler |
| Survey (used for tracking up to 100 pre-designated monitoring points) | Survey |
5.9.15. Alarm Set Points. To see the current alarm set points, repeatedly press the MODE switch until RaAlm or DoAlm is displayed. The default point for rate alarm is 600 µR/h and the dose alarm default is 100 mR. The unit memory retains the last setting when the power is turned off. To adjust the desired RaAlm or DoAlm, use the MODE switch to select the appropriate alarm. Then use the UP ARROW to set the desired points before the display stops flashing. After selecting the desired adjustment points, reset the accumulated dose. To reset accumulated dose:
220.127.116.11. Press and hold SET switch.
18.104.22.168. Move to DOSE display (using the MODE switch).
22.214.171.124. While holding SET press UP ARROW for at least 3 seconds.
126.96.36.199. Release all switches.
"CLEAR DOSE" will be displayed.
5.9.16. Alarm Display. When the survey meter has detected radiation above the preset alarm levels, the audible and flashing visual alarms are activated. The display shows the type of alarm.
5.9.17. Gamma Surveying. To perform gamma surveys with the ADM300A, the beta window on the meter's rear panel must be closed. The survey meter will auto range to detect gamma radiation without interruption. During ground radiological reconnaissance the instrument should be at a consistent angle to the ground to assure accuracy and uniformity of readings.
5.9.18. Beta Monitoring. To monitor for beta, hold the ADM-300A in your hand or by the handle, if attached. Open the window cover and point window towards the suspected contaminated area. In the "low range" mode, the beta particles will enter the window if contamination is present. If the reading is 15 or higher with the window cover open, then Beta particles are present. Gamma reading can be observed while the window is closed.
5.9.19. External Probe Operation. Both the Alpha and Beta external probes lend themselves to convenient personnel and material contamination checks. The X-ray probe is designed to find gross contamination under cover of dust, snow etc., where alpha detectors would have no sensitivity. When the X-ray probe is attached the internal detectors and alarm set points are de-activated and the accumulation of Dose is suspended. The neutron probe is an accessory to the ADM-300A kit and is used to measure neutrons in a nuclear environment. The probe is not a standard component to the kit; it must be ordered as a separate component.
5.9.20. Preventive Maintenance. Preventive maintenance or routine checks include a visual inspection, operational check, cleaning, and storing the unit. When turned on, the ADM-300A automatically runs a diagnostic test. It will display any malfunctions if they occur. Any problems other than low batteries will be displayed as FAILURE and then the type of failure. If this occurs, turn unit off, retry unit after 30 seconds. If failure still exists, turn unit off and contact NRC or box unit and return to NRC for repair.
5.9.21. Calibration. The ADM-300A requires an annual calibration. A performance test on the instrument and probe accuracy should be accomplished prior to use and every 180 days. Accuracy verification of the meter and probes is done using a test set containing test sources and a fixture to position the test sources.
5.9.22. Repair. The ADM-300 meter is not field level repairable. The only parts to replace are the batteries. However, the various probes can be repaired. Each probe is identified in T.O.11H2-2-31 with its repair procedures. Repairs should be made only if no additional probes are available. Only personnel trained in RADIAC repair should work on this item.
5.9.23. Decontamination. Surface contamination can be decontaminated with a cloth or brush.
CHAPTER 6 - SUPPORT EQUIPMENT
6.1. M41 Protection Assessment Test System
NSN: 4240-01-365-8241
6.1.1.Purpose. Provides the user with a standard device for correctly fitting the protective masks. Mask fit procedures for the M17 series masks greatly differ from the procedures of the MCU2A/P series masks. Variations in training, procedures, and fit equipment will be eliminated, resulting in protective masks that provide proper fit and protection.
6.1.2. Technical Reference. T.O. M41 Operators Manual.
6.1.3. General Description. The M41 refers to the whole system or kit. The test instrument is called the Protection Assessment Test Instrument (PATI). The PATI is 9.5 in. x 7.5 in. x 5.5 in. and weighs 4.2 pounds. Total weight for the M41 with carrying case is 22 pounds.
6.1.4. User. Qualified operators using this equipment during NBC defense training, are the primary users.
6.1.5. Power Requirements. 115 VAC to 230 VAC or lithium-sulfur dioxide battery. Hours of operation per battery charge are 8 hours at 70°F.
6.1.6. Operating Ranges. 35 to 100°F.
6.1.7. Storage Ranges. -40 to 160°F.
6.1.8. Set-Up. Detailed procedures are explained in Chapter 2 of the Operator's Manual.
6.1.9. Operational Use. Complete the procedures in Chapter 2, Set-up before any fit testing. can be accomplished, the procedures in Chapter 2, Set-Up, must be completed. Chapter 3 of the Operator's Manual describes in detail these procedures for proper fit test.
6.1.10. Operational Limitations. Operate inside at ambient temperatures between 35 and 100°F. Inaccurate readings will result if the M41 PATS is operated in temperatures below 35°F and temperatures above 100°F. Do not smole in the immediate area and with in 30 minutes prior to the test. For valid results, the airman should not talk during the mask fit test.
6.1.11. Calibration. The PATI should be calibrated every 18 months or 500 hours of operation, whichever comes first. It is the operator's responsibility to track and maintain the usage hours of the device. Refer to Chapter 6 of the Operator's Manual for cleaning and calibration instructions.
Decontamination. Decontamination of the PATI and most of the components of the M41 system is not authorized. The carrying case can be decontaminated using the M258A1 or M295 kits. Procedures for their use are in their respective technical orders.
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6.2. NBC Contamination Marking Set
NSN 9905-01-346-4716
6.2.1. Purpose. The marking kit provides the user with a lightweight, portable, easy to use marking set to mark the presence of Nuclear, Biological, and Chemical (NBC) contamination.
6.2.2. Technical Reference. Technical Manual 3-9905-001-10
6.2.3. Training Reference. RTP F6
6.2.4. General Description. The marking set is green plastic with two carrying straps for backpack or frontal wear. The set has three individual rollers integrated in the plastic case. Basic weight with components is less than 10 pounds, length is 13.6 inches, width is 9.3 inches, and height is 3.6 inches.
6.2.5. Wartime User. All personnel involved with identification and marking of NBC hazards.
6.2.6. Components. The marking set consists of:
| Carrying container | | |
|---|---|---|
| 60 marking flags, 20 for each type of NBC hazard: | | |
| • 20 white (Nuclear) | • 20 blue (Biological) | • 20 yellow (Chemical) |
| 48 metal stakes each 11.4 inches in length. | | |
| 2 red marking crayons | | |
| 13 s eparate rolls (66 feet in length) of yellow marking ribbon | | |
6.2.7. Operating Ranges. Operates in all climatic conditions.
6.2.8. Operational Limitations. None.
6.2.9. Inspection. Inspection of this equipment is the user's responsibility. All components are expendable. Inspect the kit to ensure all required components are present.
6.2.10. Operational Use. Technical Manual 3-9905-001-10 describes general instructions for use, and how the components of the marking set work. Air Force procedures for identifying and marking NBC hazards are listed in AFMAN 32-4005, Personnel Protection and Attack Actions.
6.2.11. Decontamination. The marking set can be decontaminated with the M258A1 or M295 kit. Basic decontamination consists of wiping or washing the carrying case and the components. Hot soap and water will also remove the contamination from the surfaces. If straps become contaminated, remove and replace straps.
6.3. Multi-Man Intermittent Cooling System (MICS)
NSN: 4240-01-298-4140
6.3.1. Purpose. The MICS provides cooling to alleviate heat stress to personnel performing moderate to high intensity work such as Integrated Combat Turn-arounds (ICTs) and some Base Recovery After Attack (BRAAT) functions while wearing chemical protective clothing.
6.3.2. Technical Reference. T.O. 35EA4-7-6-1
6.3.3. Training Reference. RTP C13
6.3.4. General Description. MICS consists of two major components:
188.8.131.52. Air Distribution Unit (ADU). The ADU is an external adapter to a standard flight line ground air conditioner equipped with an eight-inch duct flange adapter. The ADU receives cool air from the air conditioner, removes CB agents through two gas particulate filters (M-48s), and distributes the air to ten outlets. Each ADU, including filters, hoses and connectors, weighs 360 pounds. Dimensions are 36 inches long x 32 inches wide x 42 inches high.
184.108.40.206. Air Cooling Vest (ACV). The ACV is a lightweight (30 oz.) nylon vest with hose attachment to distribute cool, dry air to both the front and rear of the torso. The ACV is worn over the undershirt.
6.3.5. Wartime User. Anyone performing high intensity tasks during times when heat stress conditions exceed an ambient temperature/moisture combination of 70° F with 50% relative humidity.
6.3.6. Components. The Air Distribution Unit (ADU) consists of:
6.3.7. Power Requirements. The air conditioning source and power generator will be operated and maintained by aerospace ground equipment (AGE) technicians. A standard flight line generator and any air conditioning unit producing at least 200 cfm of air, with an 8-inch duct flange adapter can operate the ADU.
6.3.8. Replacement parts. The M-48 filter is the only expendable part of the MICS.
6.3.9. Special Tools. No special tools are required to service the ADU. A common wrench set and screw drivers are the only tools required.
6.3.10. Maintenance. Three levels of maintenance exist for the ADU: Organization, Intermediate and Depot:
| Organization | Consists of servicing the ADU, removal/replacement of the M-48 filters and repair to the structure. Procedures for M-48 filter replacement are found in T.O. 35EA4-7-6-1 |
|---|---|
| Intermediate | Consists of replacement accessories, ACV and similar items. No intermediate repair to the ADU is required. |
| Depot | Consists of major component replacement to the ADU, performed by AFMC. |
6.3.11. Inspection. Air Conditioner inspection will be performed by unit personnel owning the equipment IAW technical guidance. ADUs will be performed by using personnel IAW T.O. 35EA4-7-6-1.
6.3.12. Use. Refer to T.O. 35EA4-7-6-1 for detailed instructions on use.
6.3.13. Calibration. None.
6.3.14. Decontamination. Normal decontamination procedures for AGE equipment will apply to the ADU. The ACV will be decontaminated using procedures established for the Ground Crew Ensemble (GCE).
100
6.4. AN/PSN-11 Navigation Set Global Positioning System
NSN: 5825-01-374-6643
6.4.1. Purpose. The Global Positioning System (GPS) provides the user with global positioning and siting capabilities. The AN/PSN-11 will provide data for missions such as general navigation, siting/surveying, tactical reconnaissance, close air support, engineer surveying, electronic warfare (EW) operations, and ground-based forward air control.
6.4.2. Technical Reference. T.O. 31R4-2PSN11-1
6.4.3. Training Reference. RTP H6
6.4.4. General Description. The GPS is a sealed, watertight, hand held receiver. It is less than 9.5 inches long, 4.1 inches wide, and 2.6 inches deep. It weighs 2.75 pounds with batteries.
6.4.5. Wartime User. Personnel who have been trained in its use. Primarily members of any type of reconnaissance or damage assessment teams.
6.4.6. Components. The GPS set contains 16 parts. Following are the major components:
6.4.7. Configurations. The GPS can be used:
220.127.116.11. With an external antenna; remote RA or helmet HA
18.104.22.168. By itself (internal battery and integral antenna)
22.214.171.124. With external DC power cable, or AC power adapter
126.96.36.199. Any combination of AN/PSN-11, external antenna, external power cable/adapter, or mount
188.8.131.52. With the vehicle mount
6.4.8. Power Requirements. The GPS will operate with both battery and external power. The internal power adapter is hardwired for a 110/220 volt AC power source via an external AC power adapter. The following are battery specifications and battery life estimates:
184.108.40.206. Nickel Cadmium (rechargeable), Rockwell part# 221-0134-010, >1.5 hours life
220.127.116.11. Lithium (nonrechargeable), BA-5800/U, >10 hours life
18.104.22.168. AA-alkaline (nonrechargeable), WB101, 8 each, >4.0 hours life
22.214.171.124. AA-lithium (nonrechargeable), L-91, 8 each, TBD
| Navigation set, Part # 822-0077-002 | Case nylon, Part # 021-0706-010 |
|---|---|
| Battery memory, Part # LS6 BA | Helmet antenna, Part # AU72611GPS-RW |
| Power adapter (AC to DC), Part # 218-0325-020 | External power cable assembly, Part # 4C-6196 |
| Battery holder, Part # 221-0135-020 | |
102
126.96.36.199. Lithium (nonrechargeable) (memory battery), LS6 BA, 1 year (change annually)
6.4.9. Operating Ranges. -4 to 158°F and 0 to 100% relative humidity. Elevations from -1312 to 29,856 feet at Mean Sea Level.
6.4.10. Storage Ranges. -76 to 158°F (without batteries). Elevations from -1312 to 49,213 feet.
6.4.11. Interface. The GPS is designed to interface with several types of external equipment, including:
188.8.131.52. HAVE QUICK radios
184.108.40.206. Other GPS
220.127.116.11.
SINCGARS radios
18.104.22.168. RS-422 serial port
22.214.171.124. RS-232 serial port
6.4.12. Operational Use. Due to the complexity of the GPS and its many functional capabilities, training in specific use is required. Sections 2 through 7 and 9 through 10 of T.O. 31R4-2PSN11-1 will provide detailed procedures for operation.
6.4.13. Maintenance/Inspection. Refer to chapters 1 through 3 and chapter 8 of T.O. 31R4-2PSN11-1 for complete details.
6.4.14. Decontamination. No decontamination procedures are identified in the technical order for the AN/PSN11; however, the unit is sealed and could be decontaminated. Restrict decon to surface areas of the receiver and its components. Use M258A1, M295 kits to decontaminate the equipment.
WILLIAM P. HALLIN, Lt General, USAF DCS/Installation & Logistics
THIS PAGE IS INTENTIONALLY LEFT BLANK.
103
|
Executive Order 12988 (Civil Justice Reform)
This action meets applicable standards in sections 3(a) and 3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize litigation, eliminate ambiguity, and reduce burden.
Executive Order 13045 (Protection of Children)
We have analyzed this rule under Executive Order 13045, Protection of Children from Environmental Health Risks and Safety Risks. The FHWA certifies that this proposed action would not cause any environmental risk to health or safety that might disproportionately affect children.
Executive Order 13175 (Tribal Consultation)
The FHWA has analyzed this action under Executive Order 13175 and believes that the proposed action would not have substantial direct effects on one or more Indian tribes; would not impose substantial direct compliance costs on Indian tribal governments; and would not preempt tribal laws. The proposed rulemaking addresses the weighting factor for the PM2.5 areas for use in determining the weighted population to be included in the calculations of the PM2.5 set-asides under 23 U.S.C. 149(k), and would not impose any direct compliance requirements on Indian tribal governments. Therefore, a tribal summary impact statement is not required.
Executive Order 13211 (Energy Effects)
We have analyzed this action under Executive Order 13211, Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use. We have determined that it is not a significant energy action under that order since it is not likely to have a significant adverse effect on the supply, distribution, or use of energy. Therefore, a Statement of Energy Effects is not required.
Regulation Identification Number
A regulation identification number (RIN) is assigned to each regulatory action listed in the Unified Agenda of Federal Regulations. The Regulatory Information Service Center publishes the Unified Agenda in April and October of each year. The RIN contained in the heading of this document can be used to cross reference this action with the Unified Agenda.
Issued on: July 21, 2014
Gregory G. Nadeau,
Deputy Administrator, Federal Highway Administration.
In consideration of the foregoing, the FHWA proposes to add part 790 to title 23, subchapter H, Code of Federal Regulations, to read as follows:
PART 790—CONGESTION MITIGATION AND AIR QUALITY IMPROVEMENT
Sec.
790.101 Purpose.
790.102 Applicability.
790.103 Definitions.
790.104 Weighting factor for determining weighted population.
Authority: 23 U.S.C. 149; 49 CFR 1.85.
§ 790.101 Purpose.
The purpose of this part is to establish the weighting factors, as directed by 23 U.S.C. 149(k)(1), for the calculation of weighted population to determine the 25 percent of the funds apportioned under section 23 U.S.C. 104(b)(4) for any State that has a PM2.5 nonattainment or maintenance area that must be obligated to fund projects that reduce PM2.5 emissions in such area.
§ 790.103 Applicability.
This part applies to all States that have a PM2.5 nonattainment or maintenance area.
§ 790.105 Definitions.
Unless otherwise specified in this part, the definitions in 23 U.S.C. 101(a) are applicable to this part. As used in this part:
Maintenance area means any geographic region of the United States that the Environmental Protection Agency (EPA) previously designated as a nonattainment area for one or more pollutants pursuant to the Clean Air Act Amendments of 1990 and subsequently redesignated as attainment subject to the requirement to develop a maintenance plan under section 175A of the Clean Air Act, as amended.
Criteria pollutant means any pollutant for which there is established a NAAQS at 40 CFR part 50. The transportation related criteria pollutants per 40 CFR 93.102(b) are carbon monoxide, nitrogen dioxide, ozone and particulate matter (PM10 and PM2.5).
National Ambient Air Quality Standards (NAAQS) means those standards established by the EPA pursuant to section 109 of the Clean Air Act.
Nonattainment area means any geographic region of the United States that EPA has designated as nonattainment under section 107 of the Clean Air Act for any pollutant for which a national ambient air quality standard exists.
Weighted population means the population of each county within a designated ozone, carbon monoxide (CO), and PM2.5 nonattainment and maintenance area that would be given a relative value, or weighting to reflect the severity of the pollutant classification or designation.
§ 790.107 Weighting factors for determining weighted population.
(a) For purposes of 23 U.S.C. 149(k)(1), for an ozone nonattainment and maintenance area, the weighting factors determined are as follows:
(2) Moderate nonattainment area, the weighting factor is 1.1.
(1) Marginal nonattainment area, the weighting factor is 1.0.
(3) Serious nonattainment area, the weighting factor is 1.2.
weighting
(4)
Severe nonattainment area,
the
(5) Extreme nonattainment area, the weighting factor is 1.4.
factor is 1.3.
(6) Maintenance area, the weighting factor is 1.0.
(c) For purposes of 23 U.S.C. 149(k)(1), for areas that are designated nonattainment or maintenance for ozone and carbon monoxide, the weighting factor is 1.2 multiplied by the applicable ozone factor as defined in paragraph (a) of this section.
(b) For purposes of 23 U.S.C. 149(k)(1), for a carbon monoxide nonattainment and maintenance area, the weighting factor is 1.0.
(d) For purposes of 23 U.S.C. 149(k)(1), for a PM2.5 nonattainment area, the weighting factor is 5.0. For a PM2.5 maintenance area, the weighting factor is 1.0.
(e) For purposes of 23 U.S.C. 149(k)(1), for areas that are designated nonattainment or maintenance for ozone and nonattainment for PM2.5, the weighting factor is 5.0 multiplied by the applicable ozone factor as defined in paragraph (a) of this section.
[FR Doc. 2014–17786 Filed 8–1–14; 8:45 am]
BILLING CODE 4910–22–P
DEPARTMENT OF THE TREASURY
Financial Crimes Enforcement Network
31 CFR Parts 1010, 1020, 1023, 1024, and 1026
RIN 1506–AB25
Customer Due Diligence Requirements for Financial Institutions
AGENCY: Financial Crimes Enforcement Network (FinCEN), Treasury.
ACTION:
Notice of
proposed rulemaking.
SUMMARY: The Financial Crimes Enforcement Network (FinCEN), after consulting with staff from various federal supervisory authorities, is proposing rules under the Bank Secrecy Act to clarify and strengthen customer due diligence requirements for: Banks; brokers or dealers in securities; mutual funds; and futures commission merchants and introducing brokers in commodities. The proposed rules would contain explicit customer due diligence requirements and would include a new regulatory requirement to identify beneficial owners of legal entity customers, subject to certain exemptions.
DATES: Written comments on the Notice of Proposed Rulemaking (NPRM) must be received on or before October 3, 2014.
ADDRESSES: Comments may be submitted, identified by Regulatory Identification Number (RIN) 1506– AB25, by any of the following methods:
* Mail: Policy Division, Financial Crimes Enforcement Network, P.O. Box 39, Vienna, VA 22183. Include 1506– AB25 in the body of the text. Please submit comments by one method only. All comments submitted in response to this NPRM will become a matter of public record. Therefore, you should submit only information that you wish to make publicly available.
* Federal E-rulemaking Portal: http:// www.regulations.gov. Follow the instructions for submitting comments. Include RIN 1506–AB25 in the submission. Refer to Docket Number FINCEN–2014–0001.
Inspection of comments: Comments may be inspected, between 10 a.m. and 4 p.m., in the FinCEN reading room in Vienna, VA. Persons wishing to inspect the comments submitted must request an appointment with the Disclosure Officer by telephoning (703) 905–5034 (not a toll free call). In general, FinCEN will make all comments publicly available by posting them on http:// www.regulations.gov.
FOR FURTHER INFORMATION CONTACT:
FinCEN Resource Center at 1–800–767– 2825 or 1–703–905–3591 (not a toll free number) and select option 3 for regulatory questions. Email inquiries can be sent to email@example.com. SUPPLEMENTARY INFORMATION:
I. Background
FinCEN exercises regulatory functions primarily under the Currency and Foreign Transactions Reporting Act of 1970, as amended by the USA PATRIOT Act of 2001 (PATRIOT Act) and other legislation, which legislative framework is commonly referred to as the ''Bank Secrecy Act'' (BSA). 1 The BSA authorizes the Secretary of the Treasury (Secretary) to require financial institutions to keep records and file reports that ''have a high degree of usefulness in criminal, tax, or regulatory investigations or proceedings, or in the conduct of intelligence or counterintelligence activities, including analysis, to protect against international terrorism.'' 2
FinCEN, in consultation with the staffs of the federal functional regulators and the Department of Justice, has determined that more explicit rules for covered financial institutions 6 with respect to customer due diligence (CDD) are necessary to clarify and strengthen CDD within the BSA regime. As demonstrated further below, such changes will enhance financial transparency and safeguard the financial system against illicit use. Requiring financial institutions to perform effective CDD so that they know their customers—both who they are and what transactions they conduct—is a critical aspect of combating all forms of illicit financial activity, from terrorist financing and sanctions evasion to more traditional financial crimes, including money laundering, fraud, and tax evasion. For FinCEN, the key elements of CDD include: (i) Identifying and verifying the identity of customers; (ii) identifying and verifying the identity of beneficial owners of legal entity customers (i.e., the natural persons who own or control legal entities); (iii) understanding the nature and purpose of customer relationships; and (iv)
The Secretary has delegated to the Director of FinCEN the authority to implement, administer and enforce compliance with the BSA and associated regulations. 3 FinCEN is authorized to impose anti-money laundering (AML) program requirements on financial institutions, 4 as well as to require financial institutions to maintain procedures to ensure compliance with the BSA and the regulations promulgated thereunder or to guard against money laundering. 5
1 The BSA is codified at 12 U.S.C. 1829b, 12 U.S.C. 1951–1959, 18 U.S.C. 1956, 1957, and 1960, and 31 U.S.C. 5311–5314 and 5316–5332 and notes thereto, with implementing regulations at 31 CFR chapter X. See 31 CFR 1010.100(e).
2 31 U.S.C. 5311.
3 Treasury Order 180–01 (March 24, 2003).
4 31 U.S.C. 5318(h)(2).
5 31 U.S.C. 5318(a)(2).
6 For purposes of this preamble, a ''covered financial institution'' refers to: (i) Banks; (ii) brokers or dealers in securities; (iii) mutual funds; and (iv) futures commission merchants and introducing brokers in commodities.
conducting ongoing monitoring to maintain and update customer information and to identify and report suspicious transactions. Collectively, these elements comprise the minimum standard of CDD, which FinCEN believes is fundamental to an effective AML program.
FinCEN wishes to emphasize at the outset that nothing in this proposal is intended to lower, reduce, or limit the due diligence expectations of the federal functional regulators or in any way limit their existing regulatory discretion. To clarify this point, this proposal incorporates the CDD elements on nature and purpose and ongoing monitoring into FinCEN's existing AML program requirements, which generally provide that an AML program is
Accordingly, this Notice of Proposed Rulemaking (NPRM) proposes to amend FinCEN's existing rules so that each of these pillars is explicitly referenced in a corresponding requirement within FinCEN's program rules. The first element, identifying and verifying the identity of customers, is already included in the existing regulatory requirement to have a customer identification program (CIP). Given this fact, FinCEN is addressing the need to have explicit requirements with respect to the three remaining elements via two rule changes. First, FinCEN is addressing the need to collect beneficial owner information on the natural persons behind legal entities by proposing a new separate requirement to identify and verify the beneficial owners of legal entity customers, subject to certain exemptions. Second, FinCEN is proposing to add explicit CDD requirements with respect to understanding the nature and purpose of customer relationships and conducting ongoing monitoring as components in each covered financial institution's core AML program requirements. Within this context, FinCEN is also updating its regulations to include explicit reference to all four of the pre-existing core requirements of an AML program, sometimes referred to as ''pillars,'' so that all of these requirements are visible within FinCEN's rules. As discussed in more detail below, these existing core requirements are already laid out in the BSA as minimum requirements and are substantively the same as those already included within regulations or rules issued by federal functional regulatory agencies and self-regulatory organizations (SROs), and therefore we believe they do not add to or otherwise change the covered financial institutions' existing obligations under these regulations or rules.
adequate if, among other things, the program complies with the regulation of its federal functional regulator (or, where applicable, self-regulatory organization) governing such programs. 7 In addition, the Treasury Department intends for the requirements contained in this customer due diligence and beneficial ownership proposal to be consistent with, and not to supersede, any regulations, guidance or authority of any federal banking agency, the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), or of any selfregulatory organization (SRO) relating to customer identification, including with respect to the verification of the identities of legal entity customers.
The remainder of this background section provides: (a) An overview of the importance of CDD; (b) a description of the Advance Notice of Proposed Rulemaking (ANPRM), 8 which initiated this rulemaking process and Treasury's subsequent outreach to the private sector; and (c) an overview of Treasury's efforts to enhance financial transparency more broadly.
A. Importance of Customer Due Diligence
Clarifying and strengthening CDD requirements for U.S. financial institutions, including an obligation to identify beneficial owners, advances the purposes of the BSA by:
* Enhancing the availability to law enforcement, as well as to the federal functional regulators and SROs, of beneficial ownership information of legal entity customers obtained by U.S. financial institutions, which assists law enforcement financial investigations and regulatory examinations and investigations;
* Helping financial institutions assess and mitigate risk, and comply with all
* Increasing the ability of financial institutions, law enforcement, and the intelligence community to identify the assets and accounts of terrorist organizations, money launderers, drug kingpins, weapons of mass destruction proliferators, and other national security threats, which strengthens compliance with sanctions programs designed to undercut financing and support for such persons;
7 See, e.g., 31 CFR 1020.210, which currently provides that a financial institution regulated by a Federal functional regulator that is not subject to the regulations of a self-regulatory organization shall be deemed to satisfy the requirements of 31 U.S.C. 5318(h)(1) if it implements and maintains an anti-money laundering program that complies with the regulation of its Federal functional regulator governing such programs. (emphasis added).
8 See 77 FR 13046, March 5, 2012.
existing legal requirements, including the BSA and related authorities;
* Promoting consistency in implementing and enforcing CDD regulatory expectations across and within financial sectors.
* Facilitating reporting and investigations in support of tax compliance, and advancing national commitments made to foreign counterparts in connection with the provisions commonly known as the Foreign Account Tax Compliance Act (FATCA); 9 and
i. Assisting Financial Investigations by Law Enforcement
The abuse of legal entities to disguise involvement in illicit financial activity remains a longstanding vulnerability that facilitates crime, threatens national security, and jeopardizes the integrity of the financial system. Criminals have exploited the anonymity that can be provided by legal entities to engage in a variety of financial crimes, including money laundering, corruption, fraud, terrorist financing, and sanctions evasion.
Strong CDD practices that include identifying the natural persons behind a legal entity—i.e., the beneficial owners—help defend against these abuses in a variety of ways. Armed with beneficial ownership information, financial institutions can provide law enforcement with key details about the legal structures used by suspected
There are numerous examples. Law enforcement officials have found that major drug trafficking organizations use shell companies to launder drug proceeds. 10 In 2011, a World Bank report highlighted how corrupt actors consistently abuse legal entities to conceal the proceeds of corruption, which the report estimates to aggregate to at least $40 billion per year in illicit activity. 11 Other criminals also make aggressive use of front companies, which may also conduct legitimate business activity, to disguise the deposit, withdrawal, or transfer of illicit proceeds that are intermingled with legitimate funds.
9 Hiring Incentives to Restore Employment Act of 2010, Public Law 111–147, Section 501(a).
10 Combating Transnational Organized Crime: International Money Laundering as a Threat to Our Financial System, Before the Subcomm. on Crime, Terrorism, and Homeland Security, H. Comm. on the Judiciary, 112th Cong. (February 8, 2012) (statement of Jennifer Shasky Calvery as Chief, Asset Forfeiture and Money Laundering Section, Criminal Division of the U.S. Department of Justice).
11 The Puppet Masters: How the Corrupt Use Legal Structures to Hide Stolen Assets and What to Do About It, The International Bank for Reconstruction and Development/The World Bank (2011).
criminals to conceal their illicit activity and assets. Moreover, requiring legal entities seeking access to financial institutions to disclose identifying information, such as the name, date of birth, and social security number of a natural person, will make such entities more transparent, and thus less attractive to criminals and those who assist them. Even if an illicit actor tries to thwart such transparency by providing false beneficial ownership information to a financial institution, law enforcement has advised FinCEN that such information can still be useful in demonstrating unlawful intent and in generating leads to identify additional evidence or co-conspirators.
ii. Advancing Counterterrorism and Broader National Security Interests
As noted, criminals often abuse legal entities to evade sanctions or other targeted financial measures designed to combat terrorism and other national security threats. The success of such targeted financial measures depends, in part, on the ability of financial institutions, law enforcement, and intelligence agencies to identify a target's assets and accounts. These measures are thwarted when legal entities are abused to obfuscate ownership interests. Effective CDD helps prevent such abuses by requiring the collection of critical information, including beneficial ownership information, which may be helpful in implementing sanctions or other similar measures.
iii. Improving a Financial Institution's Ability To Assess and Mitigate Risk
Express CDD requirements would also enable financial institutions to more effectively assess and mitigate risk. It is through CDD that financial institutions are able to develop risk profiles of their customers. Comprehensive risk profiles enable a financial institution to monitor accounts more effectively, and evaluate activity to determine whether it is unusual or suspicious, as required under suspicious activity reporting obligations. 12 Further, in the event that a financial institution files a suspicious activity report (SAR), information gathered through CDD enhances SARs, which in turn helps law enforcement, intelligence, national security and tax authorities investigate and pursue illicit financing activity.
iv. FacilitatingTax Compliance
Customer due diligence also facilitates tax reporting, investigations and compliance. For example,
12 See, e.g., 31 CFR 1020.320.
information held by banks and other financial institutions about the ownership of companies can be used to assist law enforcement in identifying the true owners of assets and their true tax liabilities. The United States has long been a global leader in establishing and promoting the adoption of international standards for transparency and information exchange to combat cross-border tax evasion and other financial crimes. Strengthening CDD is an important part of that effort, and it will dovetail with other efforts to create greater transparency, such as the new tax reporting provisions under the Foreign Account Tax Compliance Act (FATCA). 13 FATCA requires foreign financial institutions to identify U.S. account holders, including legal entities with substantial U.S. ownership, and to report certain information about those accounts to the Internal Revenue Service (IRS). 14 The United States has collaborated with foreign governments to enter into intergovernmental agreements that facilitate the effective and efficient implementation of these requirements. These agreements and, to a lesser extent, the applicable FATCA regulations, allow foreign financial institutions to rely on existing AML practices in a number of circumstances, including, in the case of the agreements, for purposes of determining whether certain legal entity customers have substantial owners. Pursuant to many of these agreements, the United States has committed to pursuing reciprocity with respect to collecting and reporting to the authorities of the FATCA partner information on the U.S. accounts of residents of the FATCA partner. A general requirement for U.S. financial institutions to obtain beneficial ownership information for AML purposes advances this commitment, and puts the United States in a better position to work with foreign governments to combat offshore tax evasion and other financial crimes.
v. Promoting Clear and Consistent Expectations and Practices
Customer due diligence is universally recognized as fundamental to mitigating illicit finance risk, even though not all covered financial institutions use the
13 Hiring Incentives to Restore Employment Act of 2010, Public Law 111–147, Section 501(a).
14 See generally, Internal Revenue Service, ''Regulations Relating to Information Reporting by Foreign Financial Institutions and Withholding on Certain Payments to Foreign Financial Institutions and Other Foreign Entities,'' RIN 1545–BK68 (January 28, 2013), available at http://www.irs.gov/ PUP/businesses/corporations/TD9610.pdf . For further updates on FATCA regulations, see http:// www.irs.gov/Businesses/Corporations/ForeignAccount-Tax-Compliance-Act-(FATCA).
specific term ''customer due diligence'' to describe their practices. While Treasury understands from its outreach to the private sector that financial institutions broadly accept this principle and implement CDD practices in some form under a risk-based approach, covered financial institutions have expressed disparate views about what precise activity CDD entails. At public hearings held after the comment period to the ANPRM, discussed below, financial institutions described widely divergent CDD practices, especially with respect to identifying beneficial owners outside of limited circumstances prescribed by statute. 15
Providing a consolidated and clear CDD framework would help address these issues. As part of this framework, expressly stating CDD requirements in rule or regulation with respect to (i) understanding the nature and purpose of customer relationships and (ii) conducting ongoing monitoring to maintain and update customer information and to identify and report suspicious transactions, will facilitate more consistent implementation, supervision and enforcement of these expectations. With respect to the beneficial ownership proposal, requiring all covered financial institutions to identify beneficial owners in the same manner and pursuant to the same definition also promotes consistency across the industry. Requiring covered financial institutions to operate under one clear CDD framework will promote a more
FinCEN believes that this disparity adversely affects efforts to mitigate risk and can promote an uneven playing field across and within financial sectors. Covered financial institutions have noted that unclear CDD expectations can result in inconsistent regulatory examinations, potentially causing them to devote their limited resources to managing derivative legal risk rather than fundamental illicit finance risk. Private sector representatives have also noted that inconsistent expectations can effectively discourage best practices, because covered financial institutions with robust compliance procedures may believe that they risk losing customers to other, more lax institutions. Greater consistency across the financial system could also facilitate reliance on the CDD efforts of other financial institutions.
15 See, e.g., Summary of Public Hearing: Advance Notice of Proposed Rulemaking on Customer Due Diligence (October 5, 2012), available at http:// www.fincen.gov/whatsnew/html/
20121130NYC.html (''Participants expressed varied views as to whether, how and in what circumstances, financial institutions obtain beneficial ownership information.'').
level playing field across and within financial sectors.
B. Issuance of the Advance Notice of Proposed Rulemaking and Subsequent Outreach
FinCEN formally commenced this rulemaking process in March 2012 by issuing an ANPRM that described FinCEN's potential proposal for codifying explicit CDD requirements, including customer identification, understanding the nature and purpose of accounts, ongoing monitoring, and obtaining beneficial ownership information. 16
FinCEN received approximately 90 comments, mostly from banks, credit unions, securities and derivatives firms, mutual funds, casinos, and money services businesses. In general, and as described in greater detail below, these commenters primarily raised concerns about the potential costs and practical challenges associated with a categorical requirement to obtain beneficial ownership information. They also reflected some confusion with respect to FinCEN's articulation of the other components of CDD, suggesting that FinCEN was imposing new requirements rather than explicitly codifying pre-existing obligations.
To better understand and address these concerns, Treasury held five public hearings in Washington, DC, Chicago, New York, Los Angeles and Miami. 17 At these meetings, participants expressed their views on the ANPRM and offered specific recommendations about how best to minimize the burden associated with obtaining beneficial ownership information. These
16 Two years prior to that, in March 2010, FinCEN, along with several other agencies, published Joint Guidance on Obtaining and Retaining Beneficial Ownership Information, FIN– 2010–G001 (March 5, 2010). Industry reaction to this guidance has been one reason for pursuit of the clarity entailed in making requirements with respect to CDD and beneficial ownership explicit within FinCEN's regulations.
17 Summary of Public Hearing: Advance Notice of Proposed Rulemaking on Customer Due Diligence (July 31, 2012), available at http://www.regulations. gov/#!documentDetail;D=FINCEN-2012-0001-0094; Summary of Public Hearing: Advance Notice of Proposed Rulemaking on Customer Due Diligence (September 28, 2012, available at http://www. fincen.gov/whatsnew/html/20121130CHI.html; Summary of Public Hearing: Advance Notice of Proposed Rulemaking on Customer Due Diligence (October 5, 2012), available at http://www.fincen. gov/whatsnew/html/20121130NYC.html; Summary of Public Hearing: Advance Notice of Proposed Rulemaking on Customer Due Diligence (October 29, 2012), available at http://www.fincen.gov/ whatsnew/html/20121130LA.html; Summary of Public Hearing: Advance Notice of Proposed Rulemaking on Customer Due Diligence (December 3, 2012), available at http://www.fincen.gov/ whatsnew/pdf/SummaryofHearing-MiamiDec3.pdf.
discussions were critical in the development of this proposal.
C. Treasury's Broad Strategy To Enhance Financial Transparency
Clarifying and strengthening CDD is an important component of Treasury's broader three-part strategy to enhance financial transparency. Other key elements of this strategy include: (i) Increasing the transparency of U.S. legal entities through the collection of beneficial ownership information at the time of the legal entity's formation and (ii) facilitating global implementation of international standards regarding CDD and beneficial ownership of legal entities and trusts.
This proposal thus complements the Administration's ongoing work with Congress to facilitate adoption of legislation that would require the collection of beneficial ownership information at the time that legal entities are formed in the United States. This proposal also advances Treasury's ongoing work with the Group of Twenty Finance Ministers and Central Bank Governors (G–20), the Financial Action Task Force (FATF), and other global partners, who have emphasized the importance of improving CDD practices and requiring the disclosure of beneficial ownership information at the time of company formation or transfer. Moreover, this proposal furthers the United States' Group of Eight (G–8) commitment as set forth in the United States G–8 Action Plan for Transparency of Company Ownership and Control, published on June 18, 2013. 18 This Action Plan is in line with principles agreed to by the G–8, which the White House noted ''are crucial to preventing the misuse of companies by illicit actors.'' 19 While these elements are all proceeding independently, together they establish a comprehensive approach to promoting financial transparency.
II. Scope of and Rationale for the Proposed Rule
This section describes: (i) The range of financial institutions covered by this proposal; (ii) FinCEN's continued interest in potentially extending the proposed rule to additional financial institutions in the future, and (iii) the basis for proposing explicit
18 United States G–8 Action Plan for Transparency of Company Ownership and Control, available at http://www.whitehouse.gov/the-pressoffice/2013/06/18/united-states-g-8-action-plan- transparency-company-ownership-and-control.
19 White House Fact Sheet: U.S. National Action Plan on Preventing the Misuse of Companies and Legal Arrangements (June 18, 2013), available at http://www.whitehouse.gov/the-press-office/2013/ 06/18/fact-sheet-us-national-action-planpreventing-misuse-companies-and-legal.
requirements that, in conjunction with the existing customer identification program (CIP) requirement, will create a clearer CDD framework.
In addition to input from covered financial institutions, FinCEN sought and received comments on the ANPRM from financial institutions not subject to CIP requirements, such as money services businesses, casinos, insurance companies, and other entities subject to FinCEN regulations. Based on these comments and discussions with the private sector, FinCEN believes that extending CDD requirements in the future to these, and potentially other types of financial institutions, may ultimately promote a more consistent, reliable, and effective AML regulatory structure across the financial system.
As an initial matter, this proposal covers only those financial institutions subject to a CIP requirement under FinCEN regulations. At this time, such financial institutions are: (i) Banks; (ii) brokers or dealers in securities; (iii) mutual funds; and (iv) futures commission merchants and introducing brokers in commodities. 20 FinCEN believes that initially covering only these sectors is an appropriate exercise of its discretion to engage in incremental rulemaking. These sectors represent a primary means by which individuals and businesses maintain accounts with access to the financial system. In addition, because these covered financial institutions have been subject to CIP rules, FinCEN believes that it is logical to commence implementation with those financial institutions already equipped to leverage CIP practices to the extent possible, as the proposal contemplates.
Several comments questioned the need for proposing a CDD rule that contained all four elements, when three of the four elements are already consistent with existing requirements or supervisory expectations. FinCEN believes that proposing clear CDD requirements is the most effective way of clarifying, consolidating, and harmonizing expectations and practices across all covered financial institutions. Expressly stating the requirements facilitates the goal that financial institutions, regulators, and law enforcement all operate under the same set of clearly articulated principles. The proposed CDD requirements are intended to set forth a clear framework of minimum expectations that can be broadly applied to varying risk
20 31 CFR 1020.220 (Banks); 31 CFR 1023.220 (Broker-Dealers); 31 CFR 1024.220 (Mutual Funds); 31 CFR 1026.220 (Futures Commission Merchants and Introducing Brokers in Commodities).
scenarios across multiple financial sectors and can be tailored by financial institutions to account for the risks unique to them. For this reason, and as part of a broader global agenda supported by Treasury, many other jurisdictions have already imposed requirements similar to those proposed herein. 21 These global developments promote a level playing field internationally and mitigate the threat of illicit finance presented by an increasingly interconnected financial system.
Furthermore, additional discussions with the private sector reaffirmed FinCEN's view that a beneficial ownership requirement is best understood in the context of broader due diligence conducted on customers. Beneficial ownership information is only one component of a broader profile that is necessary for financial institutions to develop when assessing a particular customer's risk. Beneficial ownership information is a means of building a more comprehensive risk profile; it is not an end in and of itself. Thus, in addition to proposing a specific requirement for the collection of the beneficial ownership information, FinCEN is also proposing amendments to its AML program rules to specifically reference the two components of CDD that were not elsewhere explicitly included in its regulations, i.e., understanding the nature and purpose of an account and conducting ongoing monitoring.
III. Elements of the Proposed Rule
A. Overview
As described briefly above, it is FinCEN's position that CDD consists, at a minimum, of four elements:
D Identifying and Verifying the Identity of Customers;
D Identifying and Verifying the Identity of Beneficial Owners of Legal Entity Customers;
D Understanding the Nature and Purpose of Customer Relationships; and
D Conducting Ongoing Monitoring to Maintain and Update Customer Information and to Identify and Report Suspicious Transactions.
Because the first element of CDD is already satisfied by existing CIP
21 For example, all European Union member states, as well as Switzerland, Singapore, Hong Kong, and other financial centers generally require financial institutions to conduct due diligence as proposed in this rulemaking, including obtaining beneficial ownership information as part of their CDD requirements. See, e.g., Third European Union Money Laundering Directive, 2005/60/EC, Article 3(6) (Oct. 26, 2005).
requirements, 22 this NPRM proposes to address the remaining three elements of CDD.
Beneficial Ownership
The second element of CDD requires financial institutions to identify and verify the beneficial owners of legal entity customers. In this NPRM, FinCEN proposes a new requirement that financial institutions identify the natural persons who are beneficial owners of legal entity customers, subject to certain exemptions. The definition of ''beneficial owner'' proposed herein requires that the person identified as a beneficial owner be a natural person (as opposed to another legal entity). A financial institution must satisfy this requirement by obtaining at the time a new account is opened a standard certification form (attached hereto as Appendix A) directly from the individual opening the new account on behalf of the legal entity customer.
Financial institutions would be required to verify the identity of beneficial owners consistent with their existing CIP practices. However, FinCEN is not proposing to require that financial institutions verify that the natural persons identified on the form are in fact the beneficial owners. In other words, the requirement focuses on verifying the identity of the beneficial owners, but does not require the verification of their status as beneficial owners. This proposed requirement states minimum standards. As will be
The term ''beneficial owner'' has been defined differently in different contexts. In the AML context, the Financial Action Task Force (FATF), the global standard setter for combating money laundering and the financing of terrorism and proliferation, defines the beneficial owner as ''the natural person(s) who ultimately owns or controls a customer and/or the person on whose behalf a transaction is being conducted. It also incorporates those persons who exercise ultimate effective control over a legal person or arrangement.'' That definition, initially adopted in 2003, has been retained in the revised FATF standards adopted in 2012. 23 FinCEN has endeavored to capture both the concept of ownership and of effective control in its proposed definition.
22 See, e.g., 31 CFR 1010.220.
23 ''International Standards on Combating Money Laundering and the Financing of Terrorism & Proliferation—The FATF Recommendations,'' February 2012, General Glossary, at 109, available at http://www.fatf-gafi.org/topics/fatf recommendations/documents/international standardsoncombatingmoneylaunderingandthe financingofterrorismproliferation-thefat frecommendations.html.
described in greater detail below, FinCEN believes that the beneficial ownership requirement is the only new requirement imposed by this rulemaking. As such, although beneficial ownership identification is but one of four requirements for a comprehensive CDD scheme, the proposed beneficial ownership rule is being proposed as a separate provision in FinCEN's regulations; other components of this rulemaking will be addressed via amendments to existing provisions, as described below.
Understanding the Nature and Purpose of Customer Relationships/Monitoring for Suspicious Activity
The NPRM also addresses the third and fourth elements of CDD by proposing amendments to the AML program rule that harmonize these elements of CDD with existing AML obligations. The third element of CDD requires financial institutions to understand the nature and purpose of customer relationships in order to develop a customer risk profile. This is a necessary and critical step in complying with the existing requirement to identify and report suspicious transactions as required under the BSA. The fourth element of CDD requires financial institutions to conduct ongoing monitoring. As with the third element, ongoing monitoring is a necessary part of maintaining and updating customer information and identifying and reporting suspicious transactions as required under the BSA.
Because these two elements are consistent with (and necessary in order to comply with) existing BSA requirements as adopted in regulations or rules issued by federal functional regulators and SROs, nothing in this proposed rule should be interpreted in a manner inconsistent with previous guidance issued by FinCEN or guidance, regulations, or supervisory expectations of the appropriate federal functional regulator or SRO with respect to these
The third and fourth elements are consistent with, and in fact necessary in order to comply with, the existing requirement to report suspicious activity, as this obligation inherently requires a financial institution to understand expected customer activity in order to develop a customer risk profile and to monitor customer activity so that it can identify transactions that appear unusual or suspicious. As such, the third and fourth elements are intended to explicitly state already existing expectations for the purpose of codifying the baseline standard of due diligence that is fundamental to an effective AML program.
elements. 24 For example, the Federal Financial Institutions Examination Council (FFIEC) 25 provided supervisory expectations for examinations related to CDD in the FFIEC BSA/AML Examination Manual. 26 FinCEN believes that, aside from the new beneficial ownership requirement, the other proposed CDD elements are consistent with the regulatory expectations of the federal functional regulators and should be interpreted accordingly. 27 Of course, as the CDD requirements proposed herein state minimum standards, existing or future guidance, regulations or supervisory expectations may provide for additional requirements or steps that should be taken to mitigate risk.
The sections below further describe each of the three CDD elements addressed in this rulemaking in detail by providing a general overview of these elements as discussed in the ANPRM, a summary of the comments received, and FinCEN's specific proposal.
B. Identifying and Verifying the Identity of Beneficial Owners of Legal Entity Customers
With respect to this element of CDD, 28 the ANPRM explored a categorical requirement for financial institutions to identify the beneficial owners of legal entity customers. Unlike the other elements of CDD, this element would impose a new regulatory obligation on financial institutions. Currently, certain financial institutions are explicitly
24 While FinCEN reserves overall compliance and enforcement authority with respect to all regulations it issues under the under the BSA, FinCEN has, by regulation, delegated authority to the federal functional regulators to examine institutions under their jurisdiction for compliance with BSA regulations, including the AML program requirements. See 31 CFR 1010.810.
25 The FFIEC is a formal interagency body empowered to prescribe uniform principles, standards, and report forms for the federal examination of financial institutions by the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the National Credit Union Administration, the Office of the Comptroller of the Currency, and the Consumer Financial Protection Bureau, and to make recommendations to promote uniformity in the supervision of financial institutions.
26 The Bank Secrecy Act Anti-Money Laundering Examination Manual, issued by the Federal Financial Institutions Examination Council (as amended, the ''BSA/AML Manual'').
27 The future status of previous guidance related to identifying beneficial owners of legal entity customers, such as the Joint Guidance on Obtaining and Retaining Beneficial Ownership Information, FIN–2010–G001 (March 5, 2010), will be addressed at the time of the issuance of a final rule.
28 For purposes of clarity, this NPRM references the elements of CDD in a different order than was used in the ANPRM; Identifying and Verifying the Identity of the Beneficial Owners of Legal Entity Customers is now listed before Understanding the Nature and Purpose of Customer Relationships.
required to take reasonable steps to identify beneficial owners in only two limited situations. 29
i. Summary of Comments
1. Private Sector Comments
While a number of private sector comments offered general support for a reasonable expansion of the beneficial ownership requirement and noted that many financial institutions already identify beneficial owners in certain circumstances beyond those explicitly required under the regulations implementing Section 312 of the PATRIOT Act, most expressed the following primary criticisms and concerns:
* An express beneficial ownership requirement should be (at least in part) risk-based to account for the wide variety of financial institutions, account types, products, and customers that comprise the financial system, and to avoid requiring financial institutions to misallocate scarce compliance resources away from high-risk customers;
* The burden and costs associated with a categorical (versus a risk-based) obligation to collect beneficial ownership information may outweigh the benefits;
* A categorical requirement should include exemptions, including for those customers currently exempt from customer identification requirements;
* Financial institutions may be unable to verify the status of a beneficial owner absent an independent source of beneficial ownership information, such as a state registry; and
* Any definition of ''beneficial owner'' should be practical and easily understood by financial institution employees and customers;
* FinCEN should consider the compliance challenges associated with specific account and relationship types, such as intermediated relationships and trusts.
2. Law Enforcement Comments
Most of the comment letters submitted by law enforcement agencies and non-governmental organizations
29 Under FinCEN regulations implementing Section 312 of the USA PATRIOT Act (Section 312), covered financial institutions that offer private banking accounts are required to take reasonable steps to identify the nominal and beneficial owners of such accounts, 31 CFR 1010.620(b)(1), and covered financial institutions that offer correspondent accounts for certain foreign financial institutions are required to take reasonable steps to obtain information from the foreign financial institution about the identity of any person with authority to direct transactions through any correspondent account that is a payable-through account, and the sources and beneficial owner of funds or other assets in the payable-through account, 31 CFR 1010.610(b)(1)(iii)(A).
also focused on the beneficial ownership element of the CDD rule. In general, these letters highlighted the following benefits that such an obligation would provide:
* Beneficial ownership information would improve financial institutions' monitoring capabilities, and put them in a position to file higher quality SARs; and
* A beneficial ownership rule would require financial institutions to retain more useful customer information, which would significantly improve law enforcement's ability to pursue new leads with respect to legal entities under investigation;
* Obtaining beneficial ownership information for U.S. legal entities would enhance the United States' ability to respond to a foreign jurisdiction's request for investigative assistance. This would assist in efforts to join with foreign counterparts in global efforts to disrupt organized crime and terrorism.
ii. Key
Issues and FinCEN
Proposals
As described above, Treasury has engaged in extensive outreach with the private sector and law enforcement agencies to better understand and address these issues. Such discussions were essential in further developing the initial proposals set forth in the ANPRM to better conform with existing practices and more comprehensively account for regulatory burden and sector-specific complexities. Key issues raised during the comment period included: The definition of ''beneficial owner'' and ''legal entity customer''; exemptions and exclusions from the definition; application of the requirement to trusts, intermediated account relationships and pooled investment vehicles; verification of beneficial owners through a standard certification; updating beneficial ownership information; and reliance on other financial institutions to satisfy the requirement. Each of these issues is described in further detail below.
1.
Definition of
''Beneficial Owner''
The ANPRM explored a definition of ''beneficial owner'' with two independent components, referred to as ''prongs.'' 30 The first prong was an
30 The ANPRM suggested the following definition of ''beneficial owner'': (1) Either: (a) Each of the individual(s) who, directly or indirectly, through any contract, arrangement, understanding, relationship, intermediary, tiered entity, or otherwise, owns more than 25 percent of the equity interests in the entity; or (b) if there is no individual who satisfies (a), then the individual who, directly or indirectly, through any contract, arrangement, understanding, relationship, intermediary, tiered entity, or otherwise, has at least as great an equity interest in the entity as any other individual, and (2) the individual with greater responsibility than
ownership prong, the purpose of which is to identify individuals with substantial equity ownership interests. The second prong was a control prong, the purpose of which was to identify individuals with actual managerial control.
FinCEN agrees that the definition of ''beneficial owner'' must be clear to employees and customers of financial institutions. To that end, and in light of the comments received, FinCEN proposes the following definition of ''beneficial owner'' of a legal entity customer, which, again, includes an ownership prong and a control prong:
Many private sector commenters stated that the definition discussed in the ANPRM was conceptually confusing and unworkable in practice. For example, some commenters questioned the feasibility of engaging in a comparative analysis of every owner for purposes of determining who ''has at least as great an equity interest in the entity as any other individual.'' A similar type of comparative analysis existed with respect to the control prong. Other commenters were uncertain as to whether an individual must satisfy both the ownership prong and the control prong to be considered a beneficial owner, or whether each prong was intended to be independently applied to identify separate individuals. Other challenges identified in the comments included, among other things: (i) Shifting ownership percentages; (ii) managerial changes; and (iii) the ability of financial institution personnel and customers to understand and respond to the definition.
Ownership Prong:
1. Each individual, if any, who, directly or indirectly, through any contract, arrangement, understanding, relationship or otherwise, owns 25 percent or more of the equity interests of a legal entity customer; and
Control Prong:
2. An individual with significant responsibility to control, manage, or direct a legal entity customer, including
(B) Any other individual who regularly performs similar functions. Each prong is intended to be an independent test. Under the ownership
(A) An executive officer or senior manager (e.g., a Chief Executive Officer, Chief Financial Officer, Chief Operating Officer, Managing Member, General Partner, President, Vice President, or Treasurer); or
any other individual for managing or directing the regular affairs of the entity.
prong (i.e., clause (1)), a financial institution must identify each individual who owns 25 percent or more of the equity interests. Accordingly, a financial institution would be required to identify no more than four individuals under this prong, and, if no one individual owns 25 percent or more of the equity interests, then the financial institution may identify no individuals under the ownership prong. Under the control prong (clause (2)), a financial institution must identify one individual. In cases where an individual is both a 25 percent owner and meets the definition for control, that same individual could be identified as a beneficial owner under both prongs.
FinCEN believes this definition provides clarity and effectiveness. In contrast to the definition suggested in the ANPRM, this definition provides greater flexibility to financial institutions and customers in responding to the control prong of the definition by permitting the identification in clause (ii) of any individual with significant managerial control, which could include a President, Chief Executive Officer or other senior executive, or any other individual acting in a similar capacity. Moreover, this definition does not require a financial institution to comparatively assess individuals to determine who has the greatest equity stake in the legal entity. The 25 percent equity ownership threshold set forth in the ownership prong of the definition sets a clear standard that can be broadly applied. At the same time, the 25 percent threshold retains the benefits of identifying key individuals with a substantial ownership interest in the legal entity.
Commenters expressed concern that identifying beneficial owners under the ownership prong would be difficult for legal entity customers that have complex legal ownership structures. FinCEN acknowledges that identifying the individuals who own, directly or indirectly, 25 percent or more of the equity interests of a legal entity may not be straightforward in every circumstance. For instances where legal entities are held by other legal entities, determining ownership may require several intermediate analytical steps. FinCEN's expectation is that a financial institution will identify the natural person or persons who exercise control of a legal entity customer through a 25% or greater ownership interest, regardless of how many corporate parents or holding companies removed the natural person is from the legal entity customer.
Consequently, the term ''equity interests'' should be interpreted broadly to apply to a variety of different legal structures and ownership situations. In short, ''equity interests'' refers to an ownership interest in a business entity. Examples of ''equity interests'' include shares or stock in a corporation, membership interests in a limited liability company, and other similar ownership interests in a legal entity. FinCEN has deliberately avoided use of more specific terms of art associated with the exercise of control through ownership, based on the preferences expressed by many members of industry, who have urged FinCEN to avoid creating a definition with complex legal terms that front-line employees at financial institutions, and the individuals opening accounts on behalf of legal entity customers, might have difficulty understanding and applying.
Moreover, the phrase ''directly or indirectly'' in the ownership prong of the definition is intended to make clear that where a legal entity customer is owned by (or controlled through) one or more other legal entities, the proposed rule requires customers to look through those other legal entities to determine which natural persons own 25 percent or more of the equity interests of the legal entity customer. FinCEN recognizes that identifying such individuals may be challenging where the legal entity customer has a complex legal structure with multiple levels of ownership, but FinCEN does not expect financial institutions—or customers—to undergo complex and exhaustive analysis to determine with legal certainty whether an individual is a beneficial owner under the definition. Instead, FinCEN expects financial institutions to be able to rely generally on the representations of the customer when answering the financial institution's questions about the individual persons behind the legal entity, including whether someone identified as a beneficial owner is in fact a beneficial owner under this definition. FinCEN believes that this approach provides greater flexibility to financial institutions and customers in complying with the proposed beneficial ownership requirement. In addition, by using the term ''directly or indirectly,'' FinCEN does not intend for financial institutions to assess under this prong whether individuals are acting in concert with one another to collectively own 25 percent of more of the legal entity where each of them has an independent contributing stake; FinCEN is concerned, however, with the use of de facto or de jure nominees to give a single individual an effective ownership stake of 25 percent or more. In this instance as well, however, FinCEN expects financial institutions to be able to rely generally on the representations of the customer when answering the financial institution's questions about the individual persons behind the legal entity.
Commenters also sought clarity as to how this beneficial ownership requirement would affect the application of FinCEN regulations implementing Section 312 of the USA PATRIOT Act. The proposed requirement would apply to all legal entity customers, including legal entities that open a foreign private banking account that meets the definition in § 1010.605(m). However, the new requirements would not apply to the beneficial owner of funds or assets in a payable-through account of the type described in § 1010.610(b)(1)(iii), since the owner of such funds or assets does not have an account relationship with the covered financial institution. In such instances, compliance with the information requirements included in § 1010.610(b)(1)(iii) will suffice, and the particulars of this new requirement,
FinCEN has learned through its outreach that some financial institutions may already identify beneficial owners using a lower ownership threshold, such as 10 percent. FinCEN reiterates that the proposed CDD requirements, including the beneficial ownership requirement, are intended to set forth minimum due diligence expectations. Accordingly, a financial institution may determine, based on its own assessment of risk, that a lower percentage threshold, such as 10 percent, is warranted. A financial institution may also identify other individuals that technically fall outside the proposed definition of ''beneficial owner,'' but may be relevant to mitigate risk. For example, as noted above, a financial institution may be aware of a situation in which multiple individuals with independent holdings may act in concert with each other to structure their ownership interest to avoid the 25 percent threshold. A financial institution may also be aware of an individual who effectively controls a legal entity customer through a substantial debt position. While these individuals do not fall within the proposed definition of ''beneficial owner,'' the proposed rule is not intended to preclude a financial institution from identifying them, and verifying their identity, when it deems it appropriate to do so.
such as use of a certification form with respect to the beneficial owner of funds or assets in a payable-through account, would not apply.
2. Definition of Legal Entity Customer
While the ANPRM sought comment on whether certain legal entity customers should be exempt from the beneficial ownership requirement, it did not include a discussion of the scope of the definition of legal entity customer, which is also relevant to the notion of the exemptions. FinCEN proposes to define legal entity customers to include corporations, limited liability companies, partnerships or other similar business entities (whether formed under the laws of a state or of the United States or a foreign jurisdiction), that open a new account after the implementing date of the regulation. FinCEN would interpret this to include all entities that are formed by a filing with the Secretary of State (or similar office), as well as general partnerships and unincorporated nonprofit associations. It does not include trusts other than those that might be created through a filing with a state (e.g., statutory business trusts).
3. Exemptions and Exclusion From the Beneficial Ownership Requirement
Many commenters strongly recommended that, at a minimum, any customer exempt from identification under the CIP rules should also be exempt from the beneficial ownership requirement. The commenters noted that a contrary approach would effectively nullify the CIP exemption since a financial institution would be unable to identify a beneficial owner without first identifying the customer. Many commenters recommended that other customers should also be exempt if they are well-regulated or otherwise present a low money laundering risk. The proposed rule incorporates a number of these suggestions by exempting all types of entities that are exempt from CIP, as well as allowing for other specific exemptions.
a. Customers Exempt From CIP
FinCEN proposes to exempt from the beneficial ownership requirement those types of entities that are exempt from the customer identification requirements under the CIP rules. 31
31 Although we propose to include the types of entities exempted from the CIP requirements, the exemption proposed for this rule would not cover all the entities included in the exemption from the CIP requirements. This is because FinCEN does not propose to include an exemption for legal entities with existing accounts that open new accounts after the implementation date of the rule. The inclusion
Those types of entities include, but are not limited to, financial institutions regulated by a federal functional regulator (i.e., federally regulated banks, brokers or dealers in securities, mutual funds, futures commission merchants and introducing brokers in commodities), publicly held companies traded on certain U.S. stock exchanges, domestic government agencies and instrumentalities and certain legal entities that exercise governmental authority. 32 These exemptions are incorporated into the proposed beneficial ownership requirement by excluding these entities from the definition of ''legal entity customer,'' which corresponds to how these entities are exempted from CIP (i.e., by excluding them from the definition of ''customer''). 33 Consequently, the definition of ''legal entity customer'' for purposes of the beneficial ownership requirement excludes all the same types of entities as the definition of ''customer'' for purposes of the CIP rules, including exclusions based on guidance issued by FinCEN and the federal functional regulators with regard to the applicability of the CIP rules. For example, where previous guidance has clarified who a ''customer'' is in a particular relationship, that same analysis would generally apply in determining whether an entity is a ''legal entity customer'' for purposes of the proposed beneficial ownership requirement. 34
of such an exemption would parallel the exemption in the CIP requirements per the definition of ''customer.'' See, e.g. 31 CFR 1020.100(c)(2)(iii) and 1023.100(d)(2)(iii). However, FinCEN believes that such an approach would not serve the purposes of the present rule. In situations where a legal entity is opening an account in addition to a previously existing account, the new requirement will apply. If the pre-existing account pre-dates the implementation date of the rule, the financial institution will need to obtain the certification form. If the pre-existing account was established after the implementation date, it may be reasonable for a financial institution to rely on the certification obtained when opening the first account in some circumstances. In other circumstances, collection of an additional certificate may be necessary. The likelihood of change in beneficial ownership since the time of the previous account opening would be a key factor in a financial institution's approach to the requirement.
32
See, e.g., 31 CFR1020.100(c)(2)(i).
33 See, e.g., 31 CFR 1020.100(c)(2)(ii).
34 See, e.g., FinCEN Guidance, FIN–2007–G001, Application of the Customer Identification Program Rule to Futures Commission Merchants Operating as Executing and Clearing Brokers in Give-Up Arrangements (April 20, 2007), available at http:// www.fincen.gov/statutes_regs/guidance/html/cftc_ fincen_guidance.html; FinCEN Guidance, FIN– 2006–G004, Frequently Asked Question Regarding Customer Identification Programs for Futures Commission Merchants and Introducing Brokers (31 CFR 103.123 (February 14, 2006)), available at http://www.fincen.gov/statutes_regs/guidance/ html/futures_omnibus_account_qa_final.html;
b. Additional Exemptions for Certain Legal Entity Customers
In addition to incorporating exemptions applicable to the CIP rules, and consistent with various suggestions provided in the comment letters, FinCEN proposes that the following entities also be exempt from the beneficial ownership requirement when opening a new account because their beneficial ownership information is generally available from other credible sources:
* Any majority-owned domestic subsidiary of any entity whose securities are listed on a U.S. stock exchange;
* An issuer of a class of securities registered under Section 12 of the Securities Exchange Act of 1934 or that is required to file reports under Section 15(d) of that Act;
* An investment company, as defined in Section 3 of the Investment Company Act of 1940, that is registered with the SEC under that Act;
* An exchange or clearing agency, as defined in Section 3 of the Securities Exchange Act of 1934, that is registered under Section 6 or 17A of that Act;
* An investment adviser, as defined in Section 202(a)(11) of the Investment Advisers Act of 1940, that is registered with the SEC under that Act;
* Any other entity registered with the Securities and Exchange Commission under the Securities and Exchange Act of 1934.
* A public accounting firm registered under section 102 of the Sarbanes-Oxley Act; and
* A registered entity, commodity pool operator, commodity trading advisor, retail foreign exchange dealer, swap dealer, or major swap participant, each as defined in section 1a of the Commodity Exchange Act, that is registered with the CFTC;
* A charity or nonprofit entity that is described in Sections 501(c), 527, or 4947(a)(1) of the Internal Revenue Code of 1986, that has not been denied tax exempt status, and that is required to and has filed the most recently required annual information return with the Internal Revenue Service.
FinCEN notes that exempting these entities from the beneficial ownership
Interagency Interpretive Guidance on Customer Identification Program Requirements under Section 326 of the USA PATRIOT Act at Question 9 (April 28, 2005), available at http://www.fincen.gov/ statutes_regs/guidance/html/faqsfinalciprule.html; Guidance from the Staffs of the Department of the Treasury and the U.S. Securities and Exchange Commission, Question and Answer Regarding the Broker-Dealer Customer Identification Program Rule (31 CFR 103.122) (October 1, 2003), available at http://www.fincen.gov/statutes_regs/guidance/ html/20031001.html.
requirement does not necessarily imply that they all present a low risk of money laundering or terrorist financing. For example, a charity may present a high risk of terrorist financing and therefore require additional due diligence. However, charities are exempt because the legal structure of a charity as a tax exempt organization does not create a beneficial ownership interest in the sense discussed above. Rather the primary interests created by a charitable structure include donors, board oversight and management, employees, and beneficiaries. Under such a structure, board oversight is akin to ownership, and management is akin to control. In order to obtain and maintain such a legal structure under the tax code the charity must report and annually update its donors, board and management to the Internal Revenue Service. Such reports must be publicly available. 35
c. Existing and New Customers
FinCEN also sought comment on whether and how a beneficial ownership requirement should apply to customers of financial institutions where such relationships have been established prior to the implementation date of this rule. Financial institutions noted that a requirement to ''look back'' to obtain beneficial ownership information from existing customers would be a substantial burden. FinCEN proposes that the beneficial ownership requirement will apply only with respect to legal entity customers that open new accounts going forward from the date of implementation. Thus, the definition of ''legal entity customer'' is limited to legal entities that open a new account after the implementation date. Although FinCEN is not proposing a prescriptive rule requiring financial institutions to look back and obtain beneficial ownership information for pre-existing accounts, we are aware that, as a matter of practice, financial institutions may also consider identifying beneficial owners of existing customers when updating customer information on a risk basis, as discussed more fully below. 36
4. Trusts
Several comments described potential challenges in applying a beneficial
35 See Public Disclosure and Availability of Exempt Organizations Returns and Applications: Documents Subject to Public Disclosure, available at http://www.irs.gov/Charities-&-Non-Profits/ Public-Disclosure-and-Availability-of-ExemptOrganizations-Returns-and-Applications:Documents-Subject-to-Public-Disclosure.
36 See the discussion in Section III.d of this notice, entitled ''Ongoing Monitoring.''
ownership requirement to a customer that is a trust. There are many types of trusts. While a small proportion may fall within the scope of the proposed definition of legal entity customer (e.g., statutory trusts), most will not. Unlike the legal entity customers that are subject to the proposed beneficial ownership requirement (corporations, limited liability companies, etc.), a trust is generally a contractual arrangement between the person who provides the funds and specifies the trust terms (i.e., the settlor or grantor) and the person with control over the funds (i.e., the trustee) for the benefit of those who benefit from the trust (i.e., the beneficiaries). This arrangement does not generally require the approval by or other action of a state to become effective. FinCEN notes that in order to engage in the business of acting as a fiduciary it is necessary for a trust company to be federally- or statechartered. As the comments noted, identifying a ''beneficial owner'' among the parties to such an arrangement for AML purposes, based on the proposed definition of beneficial owner, would not be practical. At this point, FinCEN is choosing not to impose this requirement. In this context we note that, although the trust is defined in the CIP rules as the financial institution's customer, the signatory on the account will necessarily be the trustee, who is required by law to control the trust assets (including financial institution accounts) and to know the beneficiaries (by name or class) and act in their best interest. Therefore, in the context of an investigation, law enforcement would be able to obtain from the financial institution a point of contact required by law to have information about relevant individuals associated with the trust.
The decision not to propose specific requirements in the context of trusts does not mean, however, that FinCEN necessarily considers trusts to pose a reduced money laundering or terrorist financing risk relative to the business entities included within the definition of ''legal entity customer.'' Through its outreach, FinCEN learned that, in addition to identifying and verifying the identity of the trust for purposes of CIP, financial institutions generally also identify and verify the identity of the trustee, who would necessarily have to open the account for the trust. In addition, guidance for banks provides that ''in certain circumstances involving revocable trusts, the bank may need to gather information about the settlor, grantor, trustee, or other persons with the authority to direct the trustee, and who thus have authority or control over the account, in order to establish the true identity of the customer.'' 37 In other words, given the variety of possible trust arrangements and the number of persons who may have roles in them, financial institutions are already taking a risk-based approach to collecting information with respect to various persons for the purpose of knowing their customer. FinCEN expects financial institutions to continue these practices as part of their overall efforts to safeguard against money laundering and terrorist financing, and will consider additional rulemaking or guidance to strengthen or clarify this expectation.
5. Intermediated Account Relationships and Pooled Investment Vehicles
The ANPRM sought comment on whether and how a beneficial ownership requirement should be applied to accounts held by intermediaries on behalf of third parties. An intermediary generally refers to a customer that maintains an account for the primary benefit of others, such as the intermediary's own underlying clients. For example, certain correspondent banking relationships may involve intermediation whereby the respondent bank of a correspondent bank acts on behalf of its own clients. Intermediation is also very common in the securities and derivatives industries. For example, a broker-dealer may establish omnibus accounts for a financial intermediary (such as an investment adviser) that, in turn, establishes sub-accounts for the intermediary's clients, whose information may or may not be disclosed to the broker-dealer. An issue raised in the comments, especially those from the securities and derivatives industries, is whether a financial institution would be required to identify the intermediary's own underlying clients or their beneficial owners. This issue is distinct from whether a financial institution must identify the beneficial owners of the intermediary (i.e., the direct customer), which would be the case unless the intermediary is exempt under one of the specific exemptions described above.
Commenters cautioned that a requirement to identify an intermediary's underlying clients or their beneficial owners could have significant detrimental consequences to the efficiency of the U.S. financial markets, because it would require financial institutions to modify longstanding practices. They suggested that, consistent with existing CIP
37 FFIEC BSA Exam/AML Manual at 286–87.
guidance related to certain intermediated relationships, a beneficial ownership requirement should apply only with respect to a financial institution's immediate customer, the intermediary, and not the intermediary's underlying clients.
Existing FinCEN guidance related to CIP practices is applicable in determining a financial institution's beneficial ownership obligations in these circumstances. For example, a broker-dealer that appropriately maintains an omnibus account for an intermediary, under the conditions set forth in the 2003 Omnibus Guidance for Broker-Dealers, 39 may treat the intermediary, and not the underlying clients, as its legal entity customer for purposes of the beneficial ownership requirement. 40 Pursuant to a clearing
FinCEN is concerned about the illicit finance risks posed by underlying clients of intermediary customers because of the lack of insight a financial institution has into those clients and their activities. However, FinCEN recognizes that this risk may be more effectively managed through other means. These would include proper customer due diligence conducted by financial institutions on their direct customers who serve as intermediaries, and appropriate regulation of the intermediaries themselves. 38 Therefore, for purposes of the beneficial ownership requirement, if an intermediary is the customer, and the financial institution has no CIP obligation with respect to the intermediary's underlying clients pursuant to existing guidance, a financial institution should treat the intermediary, and not the intermediary's underlying clients, as its legal entity customer.
38 FinCEN recognizes that some such intermediary entities are already subject to BSA requirements, while others or not. FinCEN continues to consider which additional entities may need to be brought within the scope of the FinCEN's regulations.
39 Guidance from the Staffs of the Department of the Treasury and the U.S. Securities and Exchange Commission, Question and Answer Regarding the Broker-Dealer Customer Identification Program Rule (31 CFR 103.122) (October 1, 2003), available at http://www.fincen.gov/statutes_regs/guidance/ html/20031001.html.
40 See also Guidance from the Staffs of the Department of the Treasury and the U.S. Commodity Futures Trading Commission, Frequently Asked Question regarding Customer Identification Programs for Futures Commission Merchants and Introducing Brokers (31 CFR 103.123), available at http://www.fincen.gov/ statutes_regs/guidance/html/futures_omnibus_ account_qa_final.html; FinCEN Guidance, FIN– 2006–G009, Application of the Regulations Requiring Special Due Diligence Programs for Certain Foreign Accounts to the Securities and Futures Industries (May 10, 2006), available at http://www.fincen.gov/statutes_regs/guidance/ html/312securities_futures_guidance.html. FinCEN
agreement that allocates functions in the manner described in the 2008 No- Action Position Respecting BrokerDealers Operating Under Fully Disclosed Clearing Agreements According to Certain Functional Allocations, 41 only the introducing firm would be obligated to obtain beneficial ownership information of the customers introduced to the clearing firm. Similarly, based on guidance issued to the futures industry in the context of give-up arrangements, because the clearing broker, and not the executing broker, has a formal relationship with its customer, only the clearing broker would be responsible for obtaining beneficial ownership information regarding the underlying customer. 42
Notwithstanding the foregoing, consistent with other elements of CDD, a financial institution's AML program should contain risk-based policies, procedures, and controls for assessing the money laundering risk posed by underlying clients of a financial intermediary, for monitoring and mitigating that risk, and for detecting and reporting suspicious activity. While a financial intermediary's underlying clients may not be subject to the beneficial ownership requirement, a financial institution would nonetheless be obligated to monitor for and report suspicious activity associated with intermediated accounts, including activity related to underlying clients. FinCEN understands that this is consistent with current industry practice. As multiple comments noted, securities and derivatives firms generally monitor activity in intermediated accounts and follow up on an event-driven basis, with such follow-up potentially including asking questions about the underlying owners of assets after detection of possible suspicious activity. 43 Such practice is also consistent with the third and fourth elements of the CDD requirements
also notes that in such circumstances, the intermediary itself may be exempt from the beneficial ownership requirement if it satisfies one of the specific exemptions.
41 FinCEN Guidance, FIN–2008–G002, Customer Identification Program Rule No-Action Position Respecting Broker-Dealers Operating Under Fully Disclosed Clearing Agreements According to Certain Functional Allocations (March 4, 2008), available at http://www.fincen.gov/statutes_regs/ guidance/html/fin-2008-g002.html.
42 FinCEN Guidance, FIN–2007–G001, Application of the Customer Identification Program Rule to Future Commission Merchants Operating as Executing and Clearing Brokers in Give-Up Arrangements (April 20, 2007), available at http:// www.fincen.gov/statutes_regs/guidance/html/cftc_ fincen_guidance.html.
43 See, e.g., letter from SIFMA dated June 8, 2012 at 7, available at http://www.sifma.org/issues/ item.aspx?id=8589938990.
described below. FinCEN thus expects financial institutions to continue engaging in this practice.
FinCEN is considering whether nonexempt pooled investment vehicles that are operated or advised by financial institutions that are proposed to be exempt, should also be exempt from this requirement. Additionally, in the event that such institutions are not exempt, FinCEN is considering whether covered financial institutions should only be required to identify beneficial owners of such non-exempt pooled investment vehicles 45 under the control prong of the ''beneficial owner'' definition, as opposed to both the ownership prong and control prong, in order to alleviate the operational and logistical difficulties that would be associated with complying with the ownership prong. FinCEN is also considering whether such an approach, if adopted, may best be addressed through inclusion of such vehicles within the scope of the rule with subsequent guidance or a specific exemption or exception from the application of the ownership prong of the requirement. FinCEN believes this
Several comments, particularly from the securities and futures industries, also highlighted the potential challenges associated with identifying beneficial owners of non-exempt pooled investment vehicles, such as hedge funds, whose ownership structure may continuously fluctuate. 44 The comments noted that identifying beneficial owners of these entities based on a percentage ownership threshold may create unreasonable operational challenges for the purpose of obtaining information that may only be accurate for a limited period of time.
44 For purposes of this discussion, a ''non-exempt pooled investment vehicle'' means (i) any company that would be an investment company as defined in Section 3(a) of the Investment Company Act of 1940, but for the exclusion provided by either Section 3(c)(1) or Section 3(c)(7) of that Act; or (ii) any commodity pool under section 1a(10) of the Commodity Exchange Act (CEA) that is operated by a commodity pool operator registered with the CFTC under Section 4m of the CEA.
45 See, e.g., Securities Industry and Financial Markets Association (SIFMA) Anti-Money Laundering and Financial Crimes Committee, AntiMoney Laundering Suggested Due Diligence Practices for Hedge Funds (2009), available at http://www.sifma.org/uploadedfiles/issues/legal,_ compliance_and_administration/anti-money_ laundering_compliance/issues_anti- money%20laundering_suggested%20due%20 diligence%20practices%20for%20hedge%20 funds.pdf; Securities Industry Association AntiMoney Laundering Committee, Suggested Practices for Customer Identification Programs, § 3.9, available at http://www.sifma.org/uploadedfiles/ issues/legal,_compliance_and_administration/antimoney_laundering_compliance/issues_anti- money%20laundering_suggested%20practices %20for%20customer%20identification %20programs.pdf.
approach may sufficiently balance benefit with burden given the unique ownership structure of pooled investment vehicles.
6. Verification of Beneficial Owners
a. Standard Certification Form
At the public hearings, participants discussed the efficacy of having a certification form that would standardize collection of beneficial ownership information and permit reliance on the information provided. FinCEN believes that providing such a form would promote consistent practices and regulatory expectations, significantly reduce compliance burden, and preserve the benefits of obtaining the information. A standard form would also promote a uniform customer experience across U.S. financial sectors. This was of particular concern to representatives from financial institutions with practices that exceed existing regulatory requirements, which noted that they often lose customers to institutions with less rigorous standards.
Accordingly, FinCEN proposes that a financial institution must satisfy the requirement to identify beneficial owners by obtaining, at the time a new account is opened, the standard certification form attached hereto as Appendix A. To promote consistent customer expectations and understanding, the form in Appendix A plainly describes the beneficial ownership requirement and the information sought from the individual opening the account on behalf of the legal entity customer. To facilitate reliance by financial institutions, the form also requires the individual opening the account on behalf of the legal entity customer to certify that the information provided on the form is true and accurate to the best of his or her knowledge. This certification is also helpful for law enforcement purposes in demonstrating unlawful intent in the event the individual completing the form knowingly provides false information.
b. Verification of Beneficial Owners
The ANPRM sought comment on whether and how financial institutions could verify beneficial ownership information provided by customers. As described in the ANPRM, verification could have two meanings. One meaning would require verifying the identity of an individual identified as a beneficial owner (i.e., to verify the existence of the identified beneficial owner by collecting, for example, a driver's license or other similar identification document). The second possible meaning would require financial institutions to verify that an individual identified as a beneficial owner is in fact a beneficial owner (i.e., to verify the status of an individual as a beneficial owner).
In light of these considerations, FinCEN is not proposing to require that financial institutions verify the status of a beneficial owner. Financial institutions may rely on the beneficial ownership information provided by the customer on the standard certification form. FinCEN believes this addresses a key concern raised by the private sector about the burden and costs associated with a beneficial ownership requirement.
Many comments cautioned that a requirement to verify the status of a beneficial owner would be prohibitively costly and impracticable in many circumstances. They recommended that financial institutions be permitted to rely on information provided by the customer. With respect to verifying the identity of a beneficial owner, participants at the public hearings generally acknowledged that this would be a manageable task so long as the verification procedures are comparable to current CIP requirements. Many participants further agreed that verification of identity would substantially improve the credibility of the beneficial ownership information collected. In addition, law enforcement has indicated that verification of identity would also facilitate investigations, even if the verified individual is not the true beneficial owner because of the ability to locate and investigate that person.
For verifying the identity of a beneficial owner, FinCEN proposes that financial institutions verify the identity using existing risk-based CIP practices. As such, the proposed rule provides that a financial institution must implement risk-based procedures to verify the identity of each beneficial owner according to procedures that comply with the CIP requirements to verify the identity of customers that are natural persons. Therefore, a financial institution may verify the identity of a beneficial owner using documentary or non-documentary methods, as it deems appropriate under its procedures for verifying the identity of customers that are natural persons. These procedures should enable the financial institution to form a reasonable belief that it knows the true identity of the beneficial owner of each legal entity customer. A financial institution must also include procedures for responding to circumstances in which it cannot form a reasonable belief that it knows the true identity of the beneficial owner, as described under the CIP rules. Because these practices are already wellestablished and understood at covered financial institutions, FinCEN expects that these institutions will leverage existing compliance procedures.
7. Updating Beneficial Ownership Information
Many financial institutions sought clarity as to whether they would be required to update or refresh periodically the beneficial ownership information obtained under this rule. FinCEN is not proposing such a requirement but notes that, as a general matter, a financial institution should keep CDD information, including beneficial ownership information, as current as possible and update as appropriate on a risk-basis. For example, a financial institution may determine that updating beneficial ownership information is appropriate after a customer has been identified as engaging in suspicious activity or exhibits other red flags, which FinCEN believes is generally consistent with existing practice for updating other customer information.
Factors that may be relevant in considering whether and when to update beneficial ownership information could include the type of business engaged in by the legal entity customer, changes in business operations or management of which the financial institution becomes aware, indications of possible misuse of a shell company in the account history, or changes in address or signatories on the account. As some financial institutions currently update CIP information at periodic intervals based on risk or when updating other customer information as part of routine account maintenance, financial institutions may consider updating beneficial ownership information on a similar basis. Each financial institution's policies and procedures should be based on its assessment of risk and tailored to, among other things, its customer base and products and services offered. In addition, financial institutions should update beneficial ownership information in connection with ongoing monitoring, as described below in the Section III.d ''Ongoing Monitoring.''
8. Reliance
Some comments requested that FinCEN extend the reliance provisions in the CIP rules to the beneficial ownership requirement. In general, a financial institution may rely upon another financial institution to conduct
CIP with respect to shared customers, provided that: (i) Such reliance is reasonable; (ii) the other financial institution is subject to an AML program rule and is regulated by a federal functional regulator, and (iii) the other financial institution enters into a contract and provides annual certifications regarding its AML program and CIP requirements. 46 Similarly, FinCEN proposes to permit such reliance for purposes of complying with the beneficial ownership requirement, including obtaining the certification form required under the proposed rule. Existing guidance with respect to whether a financial institution can rely on another financial institution to conduct CIP with respect to shared customers also would apply for the purposes of complying with the beneficial ownership requirement. 47 As was the case with the CIP rules, a covered financial institution will not be held responsible for the failure of the relied-upon financial institution to adequately fulfill the covered financial institution's beneficial ownership responsibilities, provided it can establish that its reliance was reasonable and that it has obtained the requisite contracts and certifications.
C. Understanding the Nature and Purpose of Customer Relationships
The third element of CDD requires financial institutions to understand the nature and purpose of customer relationships in order to develop a customer risk profile. 48 Many comments questioned whether such information is helpful for detecting suspicious activity, and expressed concern that financial institutions would be required to demonstrate compliance by formalizing this element in their policies and procedures. They suggest that it should not become a required question that must be asked of each customer during the account opening process, so long as it is understood by the financial institution.
FinCEN understands that it is industry practice to gain an understanding of a customer in order to assess the risk associated with that customer to help inform when the customer's activity might be considered ''suspicious.'' FinCEN does not intend
46 See, e.g., 31 CFR 1020.220(a)(6).
47 See, e.g., CFTC letter No. 05–05 (March 14, 2005) (FCMs and IBs are permitted to rely on CTAs to conduct CIP in certain circumstances).
48 The ANPRM characterized this third element as ''understand[ing] the nature and purpose of the account and expected activity associated with the account for the purpose of assessing the risk and identifying and reporting suspicious activity.'' 77 FR 13050.
for this element to necessarily require modifications to existing practice or customer onboarding procedures, and does not expect financial institutions to ask each customer for a statement as to the nature and purpose of the relationship or to collect information not already collected pursuant to existing requirements. Rather, the amendment to the AML program rule that incorporates this element is intended to clarify existing expectations for financial institutions to understand the relationship for purposes of identifying transactions in which the customer would not normally be expected to engage. Identifying such transactions is a critical and necessary aspect of complying with the existing requirement to report suspicious activity and maintain an effective AML program.
FinCEN believes that in some circumstances an understanding of the nature and purpose of a customer relationship can also be developed by inherent or self-evident information about the product or customer type, or basic information about the customer. FinCEN recognizes that inherent information about a customer relationship, such as the type of customer, the type of account opened, or the service or product offered, may be
FinCEN intends for this amendment to be consistent with existing rules and related guidance. For example, the requirement for financial institutions to report suspicious activity requires that they file a report on a transaction that, among other things, has ''no business or apparent lawful purpose or is not the sort in which the particular customer would normally be expected to engage.'' 49 In the context of depository institutions, it is well understood that ''a bank should obtain information at account opening sufficient to develop an understanding of normal and expected activity for the customer's occupation or business operations.'' 50 This is also true in other contexts. 51 FinCEN intends for this proposed CDD element to be consistent with these types of expectations.
49 31 CFR 1020.320(a)(2)(iii); see also §§ 1023.320(a)(2)(iii), 1024.320(a)(2)(iii), and 1026.320(a)(2)(iii).
50 BSA/AML Manual at *64.
51 See, e.g., CFTC Regulation 1.37(a)(1) and NFA Compliance Rule 2–30 which require futures commission merchants and introducing brokers to obtain certain information from individuals and other unsophisticated customers during the onboarding process and to verify annually whether the information continues to be materially accurate. Although these requirements are intended to address the inherent risks of trading futures and the need for adequate risk disclosure, this information could be relevant for understanding the nature and purpose of such customer relationships.
sufficient to understand the nature and purpose of the relationship. Obtaining basic information about the customer, such as annual income, net worth, domicile, or principal occupation or business, may similarly be relevant depending on the facts and circumstances. 52 In addition, longstanding customers of a financial institution may have a robust history of activity that could also be highly relevant in understanding future expected activity for purposes of detecting aberrations. At the same time, FinCEN recognizes that certain financial institutions, such as securities and futures firms, often maintain accounts in which expected activity can vary significantly over time based on numerous factors, and that prior transaction history or information obtained from the client upon account opening may not be a reliable indicator of future conduct. Each case depends on the facts and circumstances unique to the financial institution and its customers.
Accordingly, FinCEN believes that financial institutions should already be satisfying this element by complying with the requirement to report suspicious activity, as this element is an essential step in the process of identifying such activity. In addition, because this is a necessary step to identifying and reporting suspicious activities, which obligation applies to all ''transactions . . . conducted or attempted by, at or through'' the covered financial institution, its scope should not be limited to ''customers'' for purposes of the CIP rules, but rather should extend more broadly to encompass all accounts established by the institution. 53
D. Ongoing Monitoring
The fourth element of CDD requires financial institutions to conduct ongoing monitoring for the purpose of maintaining and updating customer information and identifying and reporting suspicious activity. 54 As with
52 The BSA/AML Manual also notes that an understanding of normal and expected activity for the customer's occupation or business operations may be ''based on account type or customer classification.'' BSA/AML Manual at 64.
53 See, e.g., 31 CFR 1020.100(a) and (c), which note that the definitions, and exemptions, for account and customer apply in the context of CIP. Within the context of CDD, ''customer relationship'' is a broader term, not subject to the exemptions referenced in definitions used for CIP.
54 By comparison, the ANPRM suggested that ''consistent with its suspicious activity reporting requirements, covered financial institutions shall establish and maintain appropriate policies, procedures, and processes for conducting on-going monitoring of all customer relationships, and
the third element, FinCEN intends for this element to be consistent with a financial institution's current suspicious activity reporting 55 and AML program requirements. A financial institution required to have an AML program must, among other things, develop internal policies, procedures and controls to assure compliance with the BSA, 56 including the SAR requirements. As a practical matter, compliance with these obligations implicitly requires financial institutions to conduct ongoing monitoring. The BSA/AML Manual notes that the internal controls of a bank's AML Program should ''provide sufficient controls and monitoring systems for timely detection and reporting of suspicious activity.'' 57 Similarly, under rules promulgated by the Financial Industry Regulatory Authority (FINRA), a broker-dealer's AML program shall include policies and procedures that can be reasonably expected to detect and cause the reporting of transactions required under 31 U.S.C. 5318(g) and the implementing regulations thereunder. 58 Codifying these supervisory and regulatory expectations as explicit requirements within FinCEN's AML program requirements is necessary to make clear that the minimum standards of CDD include ongoing monitoring of all transactions by, at, or through the financial institution.
Some commenters expressed confusion as to whether this fourth element would impose a categorical requirement to periodically update, or ''refresh,'' customer information that was obtained during the account opening process, including beneficial ownership information. This element does not impose such a categorical requirement. Rather, the requirement
additional CDD as appropriate based on such monitoring for the purpose of the identification and reporting of suspicious activity.'' 77 FR 13053.
55 Under the suspicious activity reporting rules, a financial institution must report, among other things, a transaction that: (i) Involves funds derived from illegal activity or is conducted to hide or disguise funds or assets derived from illegal activity as part of a plan to violate or evade any federal law or regulation or to avoid any federal transaction reporting requirement; (ii) is designed to evade any requirements of the BSA or its implementing regulations; or (iii) has no business or apparent lawful purpose or is not the sort in which the particular customer would normally be expected to engage, and the financial institution knows of no reasonable explanation for the transaction after examining the available facts, including the background and possible purpose of the transaction. 31 CFR 1020.320(a)(2)(i)–(iii); 31 CFR 1023.320(a)(2)(i)–(iii); 31 CFR 1024.320(a)(2)(i)–(iii); 31 CFR 1026.320(a)(2)(i)–(iii).
56 See, e.g., 31 U.S.C. 5318(h)(1); 12 U.S.C. 1818(s)(1); 31 CFR 1020.210.
57 BSA/AML Manual at 33–34. 58 FINRA Rule 3310.
that the financial institution ''conduct ongoing monitoring to maintain and update customer information'' means that, when in the course of monitoring the financial institution becomes aware of information relevant to assessing the risk posed by a customer, it is expected to update the customer's relevant information accordingly. 59 FinCEN understands that industry practice generally involves using activity data to inform what types of transactions might be considered ''normal'' or ''suspicious.'' Furthermore, FinCEN understands that information that might result from monitoring could be relevant to the assessment of risk posed by a particular customer. The proposed requirement to update a customer's profile as a result of ongoing monitoring (including obtaining beneficial ownership information for existing customers on a risk basis), is different and distinct from a categorical requirement to update or refresh the information received from the customer at the outset of the account relationship at prescribed periods, as was noted in the discussion of existing customers set forth in Section III.b of this proposal.
Because financial institutions are already implicitly required to engage in ongoing monitoring, FinCEN expects that financial institutions would satisfy the fourth element of CDD by continuing their current monitoring practices, consistent with existing guidance and regulatory expectations. 60 FinCEN reiterates that all elements of CDD discussed in this proposal are minimum standards and should not be interpreted or construed as lowering, reducing or limiting the expectations established by the appropriate federal functional regulator. Finally, as noted above with respect to the obligation to understand the nature and purpose of customer relationships, monitoring is also a necessary element of detecting and reporting suspicious activities, and as such must apply not only to ''customers'' for purposes of the CIP rules, but more broadly to all account relationships maintained by the covered financial institution.
59 See, e.g., BSA/AML Manual at 64 (''CDD processes should include periodic risk-based monitoring of the customer relationship to determine whether there are substantive changes to the original CDD information (e.g., change in employment or business operations).'').
60 See, e.g., BSA/AML Manual at 67–85 (''Suspicious Activity Reporting—Overview''); NFA's Interpretive Notice accompanying NFA Compliance Rule 2–9 (FCMs and IBs must train appropriate staff to monitor cash activity and trading activity in order to detect unusual transactions).
E. Rule Timing and Effective Date
Financial institutions have requested sufficient time to implement any new CDD requirements. Specifically, to manage costs, financial institutions requested sufficient time to incorporate these requirements into cyclical updates of their systems and processes. FinCEN believes that the two CDD requirements set forth in this proposal will not in fact require covered financial institutions to perform any additional activities or operations, although it may necessitate revisions to written policies and procedures. FinCEN also recognizes that financial institutions will be required to modify existing customer onboarding processes to incorporate the beneficial ownership requirement, and therefore proposes an effective date of one year from the date the final rule is issued.
IV. Section-by-Section Analysis
A. Beneficial Ownership Information Collection
Section 1010.230 Beneficial Ownership Requirements for Legal Entity Customers
Section 1010.230(a) General. This section sets forth the general requirement for covered financial institutions to identify the beneficial owners of each legal entity customer (as defined).
Section 1010.230(b) Identification and Verification. In order to identify the beneficial owner, a covered financial institution must obtain a certification from the individual opening the account on behalf of the legal entity customer (at the time of account opening) in the form of Appendix A. The form requires the individual opening the account on behalf of the legal entity customer to identify the beneficial owner(s) of the legal entity customer by providing the beneficial owner's name, date of birth, address and social security number (for U.S. persons). 61 This information is consistent with the information required under the CIP rules for identifying customers that are natural persons. The form also requires the individual opening the account on behalf of the legal entity customer to certify, to the best of his or her knowledge, that the information provided on the form is complete and correct. Obtaining a signed and completed form from the individual opening the account on behalf of the legal entity customer shall satisfy the requirement to identify the
61 For foreign persons, the form requires a passport number and country of issuance, or other similar identification number.
beneficial owners under Section 1010.230(a).
Section 1010.230(c) Beneficial Owner. As more fully described above, the proposed definition of ''beneficial owner'' includes two independent prongs: An ownership prong (clause (1)) and a control prong (clause (2)). A covered financial institution must identify each individual under the ownership prong (i.e., each individual who owns 25 percent or more of the equity interests), in addition to one individual for the control prong (i.e., any individual with significant managerial control). If no individual owns 25 percent or more of the equity interests, then the financial institution may identify a beneficial owner under the control prong only. If appropriate, the same individual(s) may be identified under both criteria.
This section also requires financial institutions to verify the identity of the individuals identified as beneficial owners on the certification form. The procedures for verification are to be identical to the procedures applicable to an individual opening an account under the existing CIP rules. Accordingly, the financial institution must verify a beneficial owner's identity using the information provided on the certification form (name, date of birth, address, and social security number (for U.S. persons), etc.), according to the same documentary and nondocumentary methods the financial institution may use in connection with its customer identification program (to the extent applicable to customers that are individuals), within a reasonable time after the account is opened. A financial institution must also include procedures for responding to circumstances in which it cannot form a reasonable belief that it knows the true identity of the beneficial owner, as described under the CIP rules. 62
Section 1010.230(d) Legal Entity Customer. For purposes of the beneficial ownership requirement described under this Section, the proposed rule defines ''legal entity customer'' to mean a corporation, limited liability company, partnership or similar business entity (whether formed under the laws of a state or of the United States or a foreign jurisdiction), that opens a new account. The reference to ''new account'' makes
62 See, e.g., 31 CFR 1020.220(a)(2)(iii). Such procedures must address (a) when it should not open an account; (b) the terms under which the customer may use the account while the institution attempts to verify the identity of the beneficial owner; (c) when the institution should close the account, after attempts to verify the beneficial owner's identity have failed; and (d) when it should file a SAR.
clear that the obligation to identify beneficial owners under Section 1010.230 applies to legal entity customers opening new accounts after the date of rule's implementation, and not retrospectively. Previously issued guidance that clarifies who a customer is under certain circumstances shall be instructive to the extent applicable to the proposed beneficial ownership requirement. 63
Section 1010.230(e) Covered financial Institution. This term has the meaning set forth in 31 CFR 1010.605(e)(1), which defines the term for purposes of the regulations implementing Sect 312 of the PATRIOT Act.
Section 1010.230(f) Retention of Records. A financial institution must have procedures for maintaining a record of all information obtained in connection with identifying and verifying the beneficial owners under 1010.230(b). These procedures must include retaining the beneficial ownership certification form, and any other related identifying information collected, for a period of five years after the date the account is closed. It must also retain in its records, for a period of five years after such record is made, a description of (i) every document relied on for verification, (ii) any nondocumentary methods and results of measures undertaken for verification, and (iii) the resolution of any substantive discrepancies discovered in verifying the identification information. The proposed rule leverages off of industry familiarity with the recordkeeping requirements relative to identifying and verifying the identity of individual customers under the CIP rules, and proposes an identical recordkeeping standard here. This is with the understanding that identical standards will help relieve implementation burden with respect to the new requirement.
Section 1010.230(g) Reliance on Another Financial Institution. The proposed rule permits reliance on another financial institution under the same conditions set forth in the applicable CIP rules. 64
63 See, e.g., Interagency Interpretive Guidance on Customer Identification Program Requirements under Section 326 of the USA PATRIOT Act at Question 9 (April 28, 2005), available at http:// www.fincen.gov/statutes_regs/guidance/html/ faqsfinalciprule.html; Guidance from the Staffs of the Department of the Treasury and the U.S. Securities and Exchange Commission, Question and Answer Regarding the Broker-Dealer Customer Identification Program Rule (31 CFR 103.122) (October 1, 2003), available at http:// www.fincen.gov/statutes_regs/guidance/html/ 20031001.html.
64 See, e.g., 31 CFR 1020.220(a)(6).
B. Amendments to AML Program Requirements
Overview
FinCEN's existing AML program requirements applicable to each type of covered financial institution are being amended to ensure alignment between existing AML requirements and CDD minimum standards. As described in Section III above, CDD consists of four fundamental components. The first component, customer identification, is already sufficiently included in the existing Customer Identification Program requirements issued jointly by FinCEN and its regulatory colleagues. The second component, identification of the beneficial ownership of legal entity customers, is proposed as a separate rule in 31 CFR 1010.230, as outlined above. The third and fourth components of CDD—understanding the nature and purpose of an account and ongoing monitoring—which have been understood as necessary facets of other regulatory requirements, are now being explicitly included in applicable AML program rules, as described in more detail below. Covered financial institutions are expected to apply these procedures on a risk-based approach with respect to the breadth of their account relationships, consistent with their obligation to identify and report suspicious activities.
Nothing in this proposal is intended to lower, reduce, or limit the due diligence expectations of the federal functional regulators or in any way limit their existing regulatory discretion. To clarify this point, this proposal incorporates the CDD elements on
FinCEN is incorporating these CDD procedures into the AML program requirements to make clear that CDD is a core element of a financial institution's policies and procedures to guard against money laundering. Furthermore, incorporating these CDD requirements into the AML program requirements, which require the AML program to also comply with the regulation of its federal functional regulator governing such programs, makes clear that a financial institution's procedures with respect to these requirements are subject to examination and enforcement by the appropriate federal functional regulator or selfregulatory organization in a manner consistent with current supervisory authorities and expectations. As such, this proposed rule is not intended to limit the federal functional regulators' supervisory role or, where applicable, its ability to oversee an SRO's effective examination and enforcement of BSA compliance.
nature and purpose and ongoing monitoring into FinCEN's existing AML program requirements, which generally provide that an AML program is adequate if, among other things, the program complies with the regulation of its federal functional regulator (or, where applicable, self-regulatory organization) governing such programs. 65 In addition, the Treasury Department intends for the requirements contained in this customer due diligence and beneficial ownership proposal to be consistent with, and not to supersede, any regulations, guidance or authority of any federal banking agency, the SEC, the CFTC, or of any SRO relating to customer identification, including with respect to the verification of the identities of legal entity customers.
The FinCEN AML Program rules (for banks, securities broker-dealers, mutual funds, and futures commission merchants and introducing brokers in commodities) are also being amended to ensure that FinCEN's regulations explicitly include the existing core requirements that are currently included within the AML program rules issued by the federal functional regulators or their appointed self-regulatory organizations (SROs). These existing core pillars, referenced in 31 U.S.C. 5318(h) as ''minimum'' requirements, include: (i) The development of internal policies, procedures and controls; (ii) the designation of a compliance officer; (iii) an ongoing employee training program; and (iv) an independent audit program to test functions. While there are slight differences in the wording of the regulatory requirements across the rules applicable to each industry, FinCEN considers them to all be the same in practice at their core. FinCEN sees utility for industry in having these rules clearly spelled out in FinCEN's own regulations and believes that there is further utility in making these rules more uniform, particularly given the number of industry actors that have constituent components subject to multiple rules. FinCEN also acknowledges, however, that the core requirements set forth by SROs, as approved by the federal functional regulator supervising them, sometimes include details deemed warranted with
65 See, e.g., 31 CFR 1020.210, which currently provides: ''A financial institution regulated by a Federal functional regulator that is not subject to the regulations of a self-regulatory organization shall be deemed to satisfy the requirements of 31 U.S.C. 5318(h)(1) if it implements and maintains an anti-money laundering program that complies with
. . . the regulation of its Federal functional regulator governing such programs.'' (emphasis added).
respect to the SROs' oversight of those industries. While such detail may not be included in FinCEN's rules, FinCEN and the supervising regulator have coordinated in the past to ensure that such rules are consistent with the purposes of the BSA. There is no intent in this rulemaking to undermine the nuances that currently exist with respect to those rules, and they can be followed in tandem with rules set forth here.
Section 1020.210 Anti-Money Laundering Program Requirements for Financial Institutions Regulated by a Federal Functional Regulator, Including Banks, Savings Associations and Credit Unions
FinCEN is rewriting its existing AML program rule to include the existing core provisions already included in regulations issued by the relevant banking agencies and adding to these core provisions a fifth pillar that includes the components of CDD pertaining to understanding the nature and purpose of customer relationships and ongoing monitoring, as discussed above.
Section 1023.210 Anti-Money Laundering Program Requirements for Brokers or Dealers in Securities
FinCEN is rewriting its AML program rule for brokers or dealers in securities to the include the existing core requirements already applicable to the industry and adding to these core provisions a new pillar that includes the components of CDD pertaining to understanding the nature and purpose of customer relationships and ongoing monitoring, as discussed above.
FinCEN notes that its proposed AML program rule for brokers or dealers differs from the current program rule issued by FINRA. This is chiefly because FINRA has included as a pillar within its AML program rule a requirement with respect to suspicious activity reporting. This is different from the rules issued with respect to other sectors where the SAR requirement has been treated separately. FinCEN is not proposing to incorporate, as FINRA has done, a SAR reporting requirement as a separate pillar, as the existing standalone SAR rule within FinCEN's regulations is sufficient. However, the decision to not include this within the pillars of the FinCEN rule is not meant to affect its treatment within the FINRA rule. FinCEN sees no practical difference in effect as a result of this difference and is proposing its amendments to the FinCEN AML program rule for brokers or dealers in securities in a manner that is consistent with its other AML program rules. FinCEN will continue to engage with the SEC and FINRA to determine whether there is a need for, and how, the FinCEN and FINRA provisions might be made more consistent with respect to this particular structural difference in the regulations.
Section 1024.210 Anti-Money Laundering Program Requirements for Mutual Funds
FinCEN is maintaining its existing AML program rule for mutual funds with the addition to the core requirements of a fifth pillar that includes the components of CDD pertaining to understanding the nature and purpose of customer relationships and ongoing monitoring, as discussed above.
Section 1026.210 Anti-Money Laundering Program Requirements for Futures Commission Merchants and Introducing Brokers in Commodities
FinCEN is rewriting its AML program rule for futures commission merchants and introducing brokers to include the existing core requirements already applicable to the industry and adding to these core provisions a fifth pillar that includes the components of CDD pertaining to understanding the nature and purpose of customer relationships and ongoing monitoring, as discussed above.
V. Request for Comments
FinCEN invites comments on all aspects of the NPRM, and specifically seeks comments on the following issues:
Definition of Beneficial Owner
FinCEN seeks general comments on the proposed definition of beneficial owner, including the inclusion of two prongs, and whether each prong is sufficiently clear.
FinCEN seeks comment specifically on whether the term ''equity interests'' in the ownership prong of the proposed beneficial ownership definition will be sufficiently understood and clear to financial institutions and customers.
Definition of Legal Entity Customer
FinCEN seeks comment on the proposed definition of legal entity customer, and in particular whether it provides adequate clarity.
Existing Accounts
FinCEN seeks comment as to whether FinCEN should extend the proposed requirement on covered financial insitutions to collect beneficial ownership information so that it would apply retroactively with respect to legal
entity accounts established before the implementation date of a final rule as well as comment on the potential costs of such an expansion of the rule.
Proposed Exemptions From the Beneficial Ownership Rule
FinCEN seeks comment on the proposed exemptions from the definition of ''legal entity customer,'' including whether the exemptions are appropriate, whether other exemptions should be included, and if so, what exemptions.
Intermediated Accounts
FinCEN seeks comment on whether the proposed treatment of intermediated accounts in general is sufficiently clear to address any issues that may be expected to arise.
Pooled Investment Vehicles
FinCEN seeks comment specifically on whether pooled investment vehicles that are not proposed to be exempt from the beneficial ownership requirement but are operated or advised by financial institutions that are proposed to be exempt, should also be exempt from the beneficial ownership requirement, and if not, whether covered financial institutions should be required to identify beneficial owners of such nonexempt pooled investment vehicles under only the control prong of the ''beneficial owner'' definition, as opposed to both the ownership prong and control prong.
Trusts
FinCEN seeks comment on procedures used by financial institutions to collect and record information on trusts during their CDD process and whether that information is readily searchable and retrievable and accessible to law enforcement. FinCEN seeks comment from law enforcement regarding the accessibility of information regarding trusts when sought from financial institutions and the value of such information.
Certification Form
FinCEN seeks comment on the proposed certification form and the practical ability of financial institutions to incorporate the form into their account opening processes. Further, while FinCEN believes that requiring all legal entity customers to complete the same form is useful in promoting clarity and consistency across the financial industry, FinCEN seeks comment on whether financial institutions should be permitted to obtain the same information that the form requires (including the certification from the individual opening the account on behalf of the legal entity customer) through other means, such as an automated electronic account opening process.
Verification of Beneficial Owners
FinCEN seeks comment on whether requiring financial institutions to utilize existing CIP procedures for verification of the identity of beneficial owners is sufficiently clear and is an appropriate and efficient means for achieving this objective.
Updating of Beneficial Ownership Information
FinCEN seeks comment as to whether setting a mandated timeframe for the updating of beneficial ownership information would result in better information being available on beneficial ownership than relying on financial institutions to update the information in due course, consistent with the risk-based approach.
Recordkeeping Requirements
FinCEN seeks comment as to whether requiring recordkeeping procedures identical to those required with respect to CIP recordkeeping requirements is a sufficiently clear and efficient standard in the context of beneficial ownership verification information collection.
Understanding the Nature and Purpose of Customer Relationships and Ongoing Monitoring
FinCEN seeks comment on whether the proposed requirements regarding understanding the nature and purpose of customer relationships and ongoing monitoring are sufficiently clear. In this regard, should FinCEN define any of the terms used in those proposed requirements to clarify that such requirements apply broadly to all account relationships maintained by covered financial institutions? Should FinCEN define the term ''customer risk profile,'' or is this term sufficiently understood by covered financial institutions? FinCEN also seeks comment from industry as to whether there are any covered financial institutions that have been able to meet the existing AML program requirements and SAR requirements without understanding the nature and purpose of customer relationships and conducting ongoing monitoring.
Proposed Amendments to the AML Program Rules
FinCEN seeks industry comment as to whether industry feels that it is necessary for the language of each AML program pillar requirement to be identical across FinCEN's rules; and, whether there is a need for FinCEN's rules and those of its sister organizations to be identical, notwithstanding FinCEN's belief that the core pillars are essentially the same across various industries despite any differences in legacy regulatory text. Based on industry feedback, FinCEN will weigh the benefits of possibly finalizing the program rules so that currently existing wording differences with respect to each pillar may be reduced.
Effective Date of the Rule
FinCEN seeks comment on whether the proposed effective date of one year from the date of the issuance of the final rule is sufficient to enable financial institutions to work any necessary changes into their systems or procedures in tandem with other cyclical updates, and thereby enable financial institutions to reduce implementation costs.
VI. Regulatory Analysis
A. Executive Orders 13563 and 12866
Executive Orders 13563 and 12866 direct agencies to assess costs and benefits of available regulatory alternatives and, if regulation is necessary, to select regulatory approaches that maximize net benefits (including potential economic, environmental, public health and safety effects, distributive impacts, and equity). Executive Order 13563 emphasizes the importance of quantifying both costs and benefits, of reducing costs, of harmonizing rules, and of promoting flexibility. This rule has been designated a ''significant regulatory action'' although not economically significant, under section 3(f) of Executive Order 12866. Accordingly, the rule has been reviewed by the Office of Management and Budget.
FinCEN has determined that the primary cost for covered financial institutions associated with the proposed rule results from the requirement that they obtain from their non-exempt legal entity customers a certification identifying their beneficial owners. FinCEN has not been able to obtain from any source an estimate of the total number of accounts opened annually for legal entities by covered financial institutions. Based on outreach and discussions with major financial service companies, FinCEN believes that there are approximately eight million such accounts opened annually by covered financial institutions. Based on the total number of covered financial
institutions, 66 this would result in each covered financial institution opening approximately 368 such accounts per year, or 1.5 per day. 67 Estimating an average time for a covered financial institution to receive the certification and verify the information of 20 minutes and an average cost of $20 per hour, this results in a cost of approximately $54 million. 68
FinCEN believes that with the clarity of a regulatory definition and a clear requirement to collect beneficial ownership in specific situations, industry understanding of beneficial ownership and the collection of beneficial ownership information will increase, and that the increased availability of such information to law enforcement will enhance government efforts to identify and address illicit actors operating in the financial system through legal entities. FinCEN requests comment on the benefits, and any estimates of costs savings, associated with a requirement to collect beneficial ownership information, including any
Estimating the amount of illicit funds flow facilitated through legal entities used to mask beneficial ownership would be difficult. 69 However, the benefit of the rule will be greater clarity with respect to a regulatory definition of beneficial ownership and a greater percentage of situations in which this information will be collected, as appropriate, by the covered financial institutions, and, therefore, available to law enforcement. Based on a survey conducted in 2008, FinCEN determined that perhaps as little as one third of its private sector constituents felt that they had a clear understanding of the term beneficial ownership and that significant percentages varying across industries did not collect information on beneficial ownership consistently. Since the issuance of that survey, further engagement with industry via the issuance of interagency guidance 70 and FinCEN's ANPRM provided opportunities for greater common understanding of the issues, but questions remain.
66 See ''Paperwork Reduction Act (PRA),'' ''Estimated Number of Respondents,'' infra note 81.
67 FinCEN also believes that the largest covered financial institutions likely open far more such accounts per day than the smaller institutions.
68 See PRA, ''Estimated Reporting Burden,'' infra. This includes the cost of one hour per covered financial institution to develop new beneficial ownership procedures.
69 For one general discussion of the difficulty of deriving estimates of money laundering activity in narcotrafficking and other transactional criminal activity, see ''Estimating Illicit Financial Flows Resulting from Drug Trafficking and Other Transnational Organized Crimes,'' United Nations Office on Drugs and Crime (October 2011).
70 See footnote 15.
economic or statistical data or thirdparty/independent research.
Regulatory Flexibility Act
When an agency issues a rule proposal, the Regulatory Flexibility Act (RFA) requires the agency to either provide an Initial Regulatory Flexibility Analysis or, in lieu of preparing an analysis, to certify that the proposed rule is not expected to have a significant economic impact on a substantial number of small entities. 71
This proposed rulemaking will apply to all federally regulated depository institutions and trust companies, and all brokers or dealers in securities, mutual funds, and futures commission merchants and introducing brokers, as each is defined in the BSA. Based upon current data, for the purposes of the RFA, there are approximately 5470 small federally regulated banks (comprising 80% of the total number of banks); 72 47 small federally regulated trust companies (comprising 72% of the total); 73 4,325 small federally regulated credit unions (comprising 66% of the total), 74 871 small brokers or dealers in securities (comprising 17% of the total); 75 116 small mutual funds (comprising 7% of the total); 76 no small futures commission merchants; 77 and
Estimate of the number of small entities to which the proposed rule will apply:
71 5 U.S.C. 601–612.
72 The Small Business Administration (''SBA'') defines a depository institution other than a credit union as a small business if it has assets of $500 million or less. Based on publicly available information as of December 31, 2013 there are 6,821 federally regulated depository institutions (other than credit unions) of which approximately 5,470, or 80% are categorized as small businesses.
73 The SBA defines a trust company as a small business if it has assets of $35.5 million or less. Based on publicly available information as of September 30, 2013, there are 65 federally regulated trust companies, of which 47, or 72%, are categorized as small businesses.
74 The NCUA defines small credit unions as those having under $50 million in assets. As of December 31, 2013, there were 6,554 federally regulated credit unions.
75 With regard to the definition of small entity as it applies to broker dealers in securities and mutual funds, FinCEN is using the SEC's definitions found at 17 CFR 240.0–10(c), and 17 CFR 270.0–10, respectively. Of the 5,100 brokers or dealers in securities, 871 or 17% are categorized as a small business.
76 Of the 1,660 open-end mutual funds, 116 or 7% are categorized as a small business.
77 The CFTC has determined that futures commission merchants are not small entities for purposes of the RFA, and, thus, the requirements of the RFA do not apply to them. The CFTC's determination was based, in part, upon the obligation of futures commission merchants to meet the minimum financial requirements established by the CFTC to enhance the protection of customers' segregated funds and protect the financial condition of futures commission merchants generally. Small introducing brokers in commodities are defined by
1,186 small introducing brokers (comprising 95% of the total). Because the proposed rule would apply to all of these financial institutions, FinCEN concludes that the proposed rule will apply to a substantial number of small entities.
Although FinCEN has only limited available information to assess the average number of beneficial owners of legal entity customers for which accounts may be established after the effective date of the rule, FinCEN notes that the maximum number is five, and believes that it is reasonable to assume that the great majority of such customers who establish accounts at small institutions are more likely to have simpler ownership structures that will result in one or two beneficial owners. In addition, since all covered financial institutions have been subject to CIP rules for more than ten years, and the proposal utilizes CIP rule procedures, small institutions will be able to leverage these procedures in complying with this requirement. As a result, FinCEN believes that it is reasonable to estimate that it will require, on average, 20 minutes to perform the beneficial ownership identification, verification and recordkeeping requirements in the proposal. Furthermore, FinCEN has anecdotal evidence that in general, the customers of small institutions are primarily individuals and that they do not frequently establish accounts for
Description of the projected reporting, recordkeeping, and other requirements of the proposed rule: This proposed rulemaking imposes on all covered financial institutions (including those that are small entities) a new requirement to identify and to verify the identity of the beneficial owners of their legal entity customers. The proposed rule would require that this be accomplished by obtaining and maintaining a certification from each legal entity customer that opens a new account. The certification will contain identifying information regarding each listed beneficial owner. The financial institution will also be required to verify such identity by documentary or nondocumentary methods and to maintain in its records for five years a description of (i) any document relied on for verification, (ii) any non-documentary methods and results of measures undertaken, and (iii) the resolution of any substantive discrepancies discovered in verifying the identification information.
the SBA as those having less than $7 million in gross receipts annually. Of the 1,249 introducing brokers in commodities, 1,186 or 95% are categorized as a small business.
legal entities, which would also reduce the impact of the proposed requirement on small entities. 78 However, because statistical data does not exist regarding either the average number of beneficial owners of legal entity customers of small institutions or how many such accounts they establish in any time period, FinCEN is seeking comment on these questions.
Finally, the proposed rule would require each covered financial institution to amend its AML program to include the new requirement contained in the proposal, to train its employees regarding the new requirement, and to update its data systems to include the beneficial ownership information. FinCEN understands from its outreach that in general, most covered financial institutions, including those that are small entities, periodically update their AML programs, conduct AML training, and upgrade their IT systems. FinCEN also understands that most small institutions outsource their IT requirements and so would acquire the required updated program from a vendor. FinCEN intends to extend the implementation date for the proposed rule for one year from issuance for the purpose of enabling financial institutions to integrate these new program, training and data collection requirements into their cyclical updates with minimal additional cost.
The proposed rule would also require that covered financial institutions include in their AML programs, customer due diligence procedures, including understanding the nature and purpose of customer relationships and conducting ongoing monitoring of these relationships. Because these requirements are already a part of existing AML and SAR practices, they will not impose any new obligations, and therefore will have no economic impact, on any small entities.
Consideration of Significant Alternatives: The proposed rule would apply to all covered financial institutions. FinCEN has determined that identifying the beneficial owner of a financial institution's legal entity customers and verifying that identity is a necessary part of an effective AML program. FinCEN has not identified any alternative means for obtaining this information, other than imposing this as
78 FinCEN notes that, while its estimate of the aggregate burden on industry resulting from the beneficial ownership requirement is based on an average of 1.5 legal entity accounts per day for each institution (see ''Executive Orders 13563 and 12866'' supra), it understands from its outreach that large institutions likely open hundreds or even thousands such accounts per day, while small institutions likely open, on average, far fewer than 1.5 such accounts per day.
a requirement for opening new legal entity accounts for all covered financial institutions. Were FinCEN to exempt small entities from this requirement, those entities would be potentially more subject to abuse by money launderers and other financial criminals.
Questions for comment: Please provide comment on any or all of the provisions of the proposed rule with regard to their economic impact on small entities (including costs and benefits), and what less burdensome alternatives, if any, FinCEN should consider. In particular, FinCEN is seeking comment on the economic burden associated with the proposed beneficial ownership requirement, including the number of new accounts opened for legal entities by small covered financial institutions and the estimated time that would be required to comply with the proposed requirements for the identification and verification of the beneficial owners of such new legal entity customers, as well as the costs associated with the program updates and necessary training and IT system modifications.
Certification: The additional burden proposed by the rule would be a requirement to maintain an AML program that includes collection and verification of beneficial owner information. It would also require financial institutions, large and small, to update their AML programs, train relevant employees, and modify data collection systems. As discussed above, FinCEN estimates that the impact from this requirement would not be significant. Accordingly, FinCEN certifies that the proposed rule would not have a significant economic impact on a substantial number of small entities.
B. Paperwork Reduction Act
The new recordkeeping requirement contained in this proposed rule (31 CFR 1010.230) is being submitted to the Office of Management and Budget (OMB) for review in accordance with the Paperwork Reduction Act of 1995 (PRA), 44 U.S.C. 3501 et seq., which imposes certain requirements on Federal agencies in connection with their conducting or sponsoring any collection of information as defined by the PRA. Under the PRA, an agency may not conduct or sponsor, and an individual is not required to respond to, a collection of information unless it displays a valid OMB control number. Comments concerning the estimated burden and other questions should be sent to the Desk Officer for the Department of Treasury, Office of Information and Regulatory Affairs,
Office of Management and Budget, Paperwork Reduction Project (1506), Washington, DC 20503 with a copy to FinCEN by mail. Comments may also be submitted by email to oira_submission@ omb.eop.gov. Please submit comments by one method only. Comments are welcome and must be received by October 3, 2014.
Type of Review: Initial review of the proposed information collection elements of the ''Certification of Beneficial Owner(s)'' in support of the beneficial ownership requirements for financial institutions. 80
In summary, the proposed rule would require covered financial institutions to maintain records of the information used to identify and verify the identity of the names of the beneficial owners of legal entity customers. 79
Affected Public: Businesses or other for-profit and not-for-profit entities, and certain financial institutions.
a. Develop and maintain beneficial ownership identification procedures: 1 hour. 81
OMB Control Number: 1506–00XX. Frequency: As required. Estimated Reporting Burden:
b. Customer identification, verification, and review and recordkeeping of the ''Certification of Beneficial Owner(s)'': 20 minutes per financial institution.
Estimated Total Annual Responses: 8,081,250. 83
Estimated Number of Respondents: 21,550. 82
Estimated Recordkeeping and Reporting Burden: 2,715,300 hours. 84
The numbers presented assume that the number of account openings in 2013 is representative for an average yearly
79 This requirement applies to accounts established for legal entities. A legal entity generally includes a corporation, limited liability company, partnership, or any other similar business entity formed in the United States or a foreign country.
80 A copy of the proposed certification, which would be required by 31 CFR 1010.230, appears at the end of this notice.
81 A burden of one hour to develop the initial procedures is recognized. Once developed, an annual burden of twenty minutes is recognized for maintenance.
82 This includes depository institutions (13,375), trust companies (65), broker-dealers in securities (5,100), future commission merchants (101), introducing brokers in commodities (1,249), and open-end mutual funds (1,660), each as defined under the BSA. These figures represent the total number of entities that would be subject to the proposed requirements in this notice.
83 Based on initial research, each covered financial institution will open, on average, 1.5 new legal entity accounts per business day. There are 250 business days per year.
84 8,081,250 × 20 minutes per account established ÷ 60 minutes per hour = 2,693,750 hours plus development time of 21,550 hours for a total of 2,715,300 hours the first year.
establishment of accounts for new legal entities. Records are required to be retained pursuant to the beneficial ownership requirement for five years.
Request for Comments:
Comments submitted in response to this notice will be summarized and/or included in the request for OMB approval. All comments will become a matter of public record.
Comments are invited on: (i) Whether the collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (ii) the accuracy of the agency's estimate of the burden of the collection of information; (iii) ways to enhance the quality, utility, and clarity of the information to be collected; (iv) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology; (v) the reasonableness of the estimated number of new annual account openings for legal entities; and (vi) estimates of capital or start-up costs and costs of operation, maintenance, and purchase of services to provide information.
C. Unfunded Mandates Act of 1995 Statement
Section 202 of the Unfunded Mandates Reform Act of 1995, Public Law 104–4 (Unfunded Mandates Act) requires that an agency prepare a budgetary impact statement before promulgating a rule that includes a Federal mandate that may result in expenditure by state, local, and tribal governments, in the aggregate, or by the private sector, of $100 million or more in any one year. If a budgetary impact statement is required, section 205 of the Unfunded Mandates Act also requires an agency to identify and consider a reasonable number of regulatory alternatives before promulgating a rule. FinCEN has determined that this proposed rule will not result in expenditures by state, local, and tribal governments, or by the private sector, of $100 million or more. Accordingly, FinCEN has not prepared a budgetary impact statement or specifically addressed the regulatory alternatives considered.
List of Subjects in 31 CFR Parts 1010, 1020, 1023, 1024, and 1026
Administrative practice and procedure, Banks, Banking, Brokers, Currency, Federal home loan banks, Foreign banking, Foreign currencies, Gambling, Investigations, Mortgages,
Penalties, Reporting and recordkeeping requirements, Securities, Terrorism.
Authority and Issuance
For the reasons set forth in the preamble, Chapter X of Title 31 of the Code of Federal Regulations is proposed to be amended as follows:
PART 1010—GENERAL PROVISIONS
■ 1. The authority citation for part 1010 continues to read as follows:
Authority: 12 U.S.C. 1829b and 1951– 1959; 31 U.S.C. 5311–5314 and 5316–5332; title III, sec. 314 Pub. L. 107–56, 115 Stat. 307.
■ 2. Add § 1010.230 in subpart B to read as follows:
§ 1010.230 Beneficial ownership requirements for legal entity customers.
(a) In general. Covered financial institutions are required to establish and maintain written procedures that are reasonably designed to identify and verify beneficial owners of legal entity customers.
(1) Identify the beneficial owner(s) of each legal entity customer, unless otherwise exempt pursuant to paragraph (d) of this section. To identify the beneficial owner(s), a covered financial institution must obtain at the time a new account is opened a certification in the form of Appendix A of this section from the individual opening the account on behalf of the legal entity customer; and
(b) Identification and verification. With respect to legal entity customers, the covered financial institution's customer due diligence procedures should enable the institution to:
(2) Verify the identity of each beneficial owner identified to the covered financial institution, according to risk-based procedures to the extent reasonable and practicable. At a minimum, these procedures must be identical to the covered financial institution's Customer Identification Program procedures required for verifying the identity of customers that are individuals under § 1020.220(a)(2) of this chapter (for banks); § 1023.220(a)(2) of this chapter (for brokers or dealers in securities); § 1024.220(a)(2) of this chapter (for mutual funds); or § 1026.220(a)(2) of this chapter (for futures commission merchants or introducing brokers in commodities).
(1) Each individual, if any, who, directly or indirectly, through any contract, arrangement, understanding, relationship or otherwise, owns 25% or
(c) Beneficial owner. For purposes of this section, Beneficial Owner means each of the following:
more of the equity interests of a legal entity customer;
(i) An executive officer or senior manager (e.g., a Chief Executive Officer, Chief Financial Officer, Chief Operating Officer, Managing Member, General Partner, President, Vice President, or Treasurer); or
(2) A single individual with significant responsibility to control, manage, or direct a legal entity customer, including
(ii) Any other individual who regularly performs similar functions.
Note to paragraph (c): The number of individuals that satisfy the definition of ''beneficial owner,'' and therefore must be identified and verified pursuant to this section, may vary. Under paragraph (c)(1) of this section, depending on the factual circumstances, up to four individuals may need to be identified. Under paragraph (c)(2) of this section, only one individual must be identified. It is possible that in some circumstances the same person or persons might be identified pursuant to paragraphs (c)(1) and (2) of this section. A covered financial institution may also identify additional individuals as part of its customer due diligence if it deems appropriate on the basis of risk.
(d) Legal entity customer. For the purposes of this section,
(2) Legal entity customer does not include:
(1) Legal entity customer means: A corporation, limited liability company, partnership or other similar business entity (whether formed under the laws of a state or of the United States or a foreign jurisdiction) that opens a new account.
(i) A financial institution regulated by a Federal functional regulator or a bank regulated by a State bank regulator;
(iii) An issuer of a class of securities registered under section 12 of the Securities Exchange Act of 1934 or that is required to file reports under section 15(d) of that Act;
(ii) A person described in § 1020.315(b)(2) through (5) of this chapter;
(iv) An investment company, as defined in section 3 of the Investment Company Act of 1940, that is registered with the Securities and Exchange Commission under that Act;
(vi) An exchange or clearing agency, as defined in section 3 of the Securities Exchange Act of 1934, that is registered under section 6 or 17A of the Securities Exchange Act of that Act;
(v) An investment adviser, as defined in section 202(a)(11) of the Investment Advisers Act of 1940, that is registered with the Securities and Exchange Commission under that Act;
(vii) Any other entity registered with the Securities and Exchange
Commission under the Securities Exchange Act of 1934;
(ix) A public accounting firm registered under section 102 of the Sarbanes-Oxley Act; and
(viii) A registered entity, commodity pool operator, commodity trading advisor, retail foreign exchange dealer, swap dealer, or major swap participant, each as defined in section 1a of the Commodity Exchange Act, that is registered with the Commodity Futures Trading Commission;
(x) A charity or nonprofit entity that is described in sections 501(c), 527, or 4947(a)(1) of the Internal Revenue Code of 1986, has not been denied tax exempt status, and is required to and has filed the most recently due annual information return with the Internal Revenue Service.
(f) Recordkeeping. A covered financial institution must establish procedures for making and maintaining a record of all information obtained under the procedures implementing paragraph (b) of this section.
(e) Covered financial institution. For the purposes of this section, covered financial institution has the meaning set forth in § 1010.605(e)(1).
(1) Required records. At a minimum the record must include:
(ii) For verification, a description of any document relied on (noting the type, any identification number, place of issuance and; if any, date of issuance and expiration), of any non- documentary methods and the results of any measures undertaken, and of the resolution of each substantive discrepancy.
(i) For identification, the certification form described in paragraph (b) of this section, and any other identifying information obtained by the covered financial institution; and
(2) Retention of records. A covered financial institution must retain the records made under paragraph (f)(1)(i)
of this section for five years after the date the account is closed, and the records made under paragraph (f)(1)(ii) of this section for five years after the record is made.
(1) Such reliance is reasonable under the circumstances;
(g) Reliance on another financial institution. A covered financial institution may rely on the performance by another financial institution (including an affiliate) of the requirements of this section with respect to any legal entity customer of the covered financial institution that is opening, or has opened, an account or has established a similar business relationship with the other financial institution to provide or engage in services, dealings, or other financial transactions, provided that:
(2) The other financial institution is subject to a rule implementing 31 U.S.C. 5318(h) and is regulated by a Federal functional regulator; and
(3) The other financial institution enters into a contract requiring it to certify annually to the covered financial institution that it has implemented its anti-money laundering program, and that it will perform (or its agent will perform) the specified requirements of the covered financial institution's procedures to comply with the requirements of this section.
APPENDIX A—CERTIFICATION REGARDING BENEFICIAL OWNERS OF LEGAL ENTITY CUSTOMERS I. GENERAL INSTRUCTIONS
What is this form?
To help the government fight financial crime, federal regulation requires certain financial institutions to obtain, verify, and record information about the beneficial owners of legal entity customers. Legal entities can be abused to disguise involvement in terrorist financing, money laundering, tax evasion, corruption, fraud, and other financial crimes. Requiring the disclosure of key individuals who ultimately own or control a legal entity (i.e., the beneficial owners) helps law enforcement investigate and prosecute these crimes.
Who has to complete this form?
This form must be completed by the person opening a new account on behalf of a legal entity with any of the following U.S. financial institutions: (i) A bank or credit union; (ii) a broker or dealer in securities; (iii) a mutual fund; (iv) a futures commission merchant; or (v) an introducing broker in commodities.
For the purposes of this form, a legal entity includes a corporation, limited liability company, partnership, and any other similar business entity formed in the United States or a foreign country.
What information do I have to provide?
This form requires you to provide the name, address, date of birth and social security number (or passport number or other similar information, in the case of foreign persons) for the following individuals (i.e., the beneficial owners):
(i) Each individual, if any, who owns, directly or indirectly, 25 percent or more of the equity interests of the legal entity customer (e.g., each natural person that owns 25 percent or more of the shares of a corporation); and
(ii) An individual with significant responsibility for managing the legal entity customer (e.g., a Chief Executive Officer, Chief Financial Officer, Chief Operating Officer, Managing Member, General Partner, President, Vice President or Treasurer).
The financial institution may also ask to see a copy of a driver's license or other identifying document for each beneficial owner listed on this form. BILLING CODE 4810–02–P
BILLING CODE
Name
481o-02-C
II. CERTIFICATION OF BENEFICIAL OWNER(S)
Persons opening an account on behalf of a legal entity must provide the following information:
a. Name of Person Opening Account:
b. Name o.fLegal Entity for Which the Account is Being Opened:
c. The following information for each individual, if any, who, directly or indirectly, through any contract, arrangement, understanding, relationship or otherwise, owns 25 percent or more of the equity interests of the legal entity listed above:
(If no individual meets this definition, please write "Not Applicable.")
Date ofBirth
Address
For US. Persons:
For Foreign
Social Security
Number
Persons:
Passport Number and
Country of Issuance, or other similar
identification number
1
d. The following information for one individual with significant responsibility.for managing the legal entity listed above, such as:
* An executive officer or senior manager (e.g., Chief Executive Officer, Chief Financial Officer, Chief Operating Officer, Managing Member, General Partner, President, Vice President, Treasurer); or
* Any other individual who regularly performs similar jimctions.
(If appropriate, an individual listed under section (c) above may also be listed in this section (d)).
I, (name of person opening account), hereby certify, to the best of my knowledge, that the information provided above is complete and correct.
Date:
Signature:----------------------
_
In lieu of a passport number, foreign persons may also provide an alien identification card number, or number and country of issuance of any other government-issued document evidencing nationality or residence and bearing a photograph or similar safeguard.
PART 1020—RULES FOR BANKS
■ 3. The authority citation for part 1020 continues to read as follows:
Authority: 12 U.S.C. 1829b and 1951– 1959; 31 U.S.C. 5311–5314 and 5316–5332; title III, sec. 314 Pub. L. 107–56, 115 Stat. 307.
■ 4. Revise § 1020.210 in subpart B to read as follows:
§ 1020.210 Anti-money laundering program requirements for financial institutions regulated only by a Federal functional regulator, including banks, savings associations, and credit unions.
A financial institution regulated by a Federal functional regulator that is not subject to the regulations of a selfregulatory organization shall be deemed to satisfy the requirements of 31 U.S.C. 5318(h)(1) if the financial institution implements and maintains an antimoney laundering program that:
(b) Includes, at a minimum:
(a) Complies with the requirements of §§ 1010.610 and 1010.620 of this chapter;
(1) A system of internal controls to assure ongoing compliance;
(3) Designation of an individual or individuals responsible for coordinating and monitoring day-to-day compliance;
(2) Independent testing for compliance to be conducted by bank personnel or by an outside party;
(4) Training for appropriate personnel; and
(i) Understanding the nature and purpose of customer relationships for the purpose of developing a customer risk profile; and
(5) Appropriate risk-based procedures for conducting ongoing customer due diligence, to include, but not be limited to:
(ii) Conducting ongoing monitoring to maintain and update customer information and to identify and report suspicious transactions; and
(c) Complies with the regulation of its Federal functional regulator governing such programs.
PART 1023—RULES FOR BROKERS OR DEALERS IN SECURITIES
■
continues
5. The authority citation
for part 1023
to read as follows:
Authority: 12 U.S.C. 1829b and 1951– 1959; 31 U.S.C. 5311–5314 and 5316–5332; title III, sec. 314 Pub. L. 107–56, 115 Stat. 307.
■ 6. Revise § 1023.210 in subpart B to read as follows:
§ 1023.210 Anti-money laundering program requirements for brokers or dealers in securities.
A broker or dealer in securities shall be deemed to satisfy the requirements of
31 U.S.C. 5318(h)(1) if the broker-dealer implements and maintains a written anti-money laundering program approved by senior management that:
(b) Includes, at a minimum:
(a) Complies with the requirements of §§ 1010.610 and 1010.620 of this chapter and any applicable regulation of its Federal functional regulator governing the establishment and implementation of anti-money laundering programs;
(1) The establishment and implementation of policies, procedures, and internal controls reasonably designed to achieve compliance with the applicable provisions of the Bank Secrecy Act and the implementing regulations thereunder;
(3) Designation of an individual or individuals responsible for implementing and monitoring the operations and internal controls of the program;
(2) Independent testing for compliance to be conducted by the broker-dealer's personnel or by a qualified outside party;
(4) Ongoing training for appropriate persons; and
(i) Understanding the nature and purpose of customer relationships for the purpose of developing a customer risk profile; and
(5) Appropriate risk-based procedures for conducting ongoing customer due diligence, to include, but not be limited to:
(ii) Conducting ongoing monitoring to maintain and update customer information and to identify and report suspicious transactions; and
(c) Complies with the rules, regulations, or requirements of its selfregulatory organization governing such programs; provided that the rules, regulations, or requirements of the selfregulatory organization governing such programs have been made effective under the Securities Exchange Act of 1934 by the appropriate Federal functional regulator in consultation with FinCEN.
PART 1024—RULES FOR MUTUAL FUNDS
■ 7. The authority citation for part 1024 continues to read as follows:
Authority: 12 U.S.C. 1829b and 1951– 1959; 31 U.S.C. 5311–5314 and 5316–5332; title III, sec. 314 Pub. L. 107–56, 115 Stat. 307.
■ 8. Revise § 1024.210 in subpart B to read as follows:
§ 1024.210 Anti-money laundering program requirements for mutual funds.
(a) Effective July 24, 2002, each mutual fund shall develop and
implement a written anti-money laundering program reasonably designed to prevent the mutual fund from being used for money laundering or the financing of terrorist activities and to achieve and monitor compliance with the applicable requirements of the Bank Secrecy Act (31 U.S.C. 5311, et seq.), and the implementing regulations promulgated thereunder by the Department of the Treasury. Each mutual fund's anti-money laundering program must be approved in writing by its board of directors or trustees. A mutual fund shall make its anti-money laundering program available for inspection by the U.S. Securities and Exchange Commission.
(b) The anti-money laundering program shall at a minimum:
(1) Establish and implement policies, procedures, and internal controls reasonably designed to prevent the mutual fund from being used for money laundering or the financing of terrorist activities and to achieve compliance with the applicable provisions of the Bank Secrecy Act and implementing regulations thereunder;
(2) Provide for independent testing for compliance to be conducted by the mutual fund's personnel or by a qualified outside party;
(3) Designate a person or persons responsible for implementing and monitoring the operations and internal controls of the program;
(4) Provide ongoing training for appropriate personnel; and
(5) Implement appropriate risk-based procedures for conducting ongoing customer due diligence, to include, but not be limited to:
(i) Understanding the nature and purpose of customer relationships for the purpose of developing a customer risk profile; and
(ii) conducting ongoing monitoring to maintain and update customer information and to identify and report suspicious transactions.
PART 1026—RULES FOR FUTURES COMMISSION MERCHANTS AND INTRODUCING BROKERS IN COMMODITIES
■ 9. The authority citation for part 1026 continues to read as follows:
Authority: 12 U.S.C. 1829b and 1951– 1959; 31 U.S.C. 5311–5314 and 5316–5332; title III, sec. 314 Pub. L. 107–56, 115 Stat. 307.
■ 10. Revise § 1026.210 in subpart B to read as follows:
§ 1026.210 Anti-money laundering program requirements for futures commission merchants and introducing brokers in commodities.
A futures commission merchant and an introducing broker in commodities shall be deemed to satisfy the requirements of 31 U.S.C. 5318(h)(1) if the futures commission merchant or introducing broker in commodities implements and maintains a written anti-money laundering program approved by senior management that:
(b) Includes, at a minimum:
(a) Complies with the requirements of §§ 1010.610 and 1010.620 of this chapter and any applicable regulation of its Federal functional regulator governing the establishment and implementation of anti-money laundering programs;
(1) The establishment and implementation of policies, procedures, and internal controls reasonably designed to prevent the financial institution from being used for money laundering or the financing of terrorist activities and to achieve compliance with the applicable provisions of the Bank Secrecy Act and the implementing regulations thereunder;
(3) Designation of an individual or individuals responsible for implementing and monitoring the operations and internal controls of the program;
(2) Independent testing for compliance to be conducted by the futures commission merchant or introducing broker in commodities' personnel or by a qualified outside party;
(4) Ongoing training for appropriate persons;
(i) Understanding the nature and purpose of customer relationships for the purpose of developing a customer risk profile; and
(5) Appropriate risk-based procedures for conducting ongoing customer due diligence, to include, but not be limited to:
(ii) Conducting ongoing monitoring to maintain and update customer information and to identify and report suspicious transactions; and
(c) Complies with the rules, regulations, or requirements of its selfregulatory organization governing such programs; provided that the rules, regulations, or requirements of the selfregulatory organization governing such programs have been made effective
under the Commodity Exchange Act by the appropriate Federal functional regulator in consultation with FinCEN.
Dated: July 23, 2014.
Jennifer Shasky Calvery,
Director, Financial Crimes Enforcement Network.
[FR Doc. 2014–18036 Filed 7–31–14; 11:15 am]
BILLING CODE 4810–02–P
ENVIRONMENTAL PROTECTION AGENCY
40 CFR Parts 52 and 70
[EPA–R07–OAR–2014–0468; FRL–9914–51– Region 7]
Approval and Promulgation of Implementation Plans; State of Nebraska; Fine Particulate Matter New Source Review Requirements.
AGENCY: Environmental Protection
Agency (EPA).
ACTION: Proposed rule.
SUMMARY: The Environmental Protection Agency (EPA) proposes to approve the State Implementation Plan (SIP) revision submitted by the State of Nebraska. This proposed action will amend the SIP to include revisions to Nebraska's Air Quality Regulations ''Definitions'', ''Construction Permits— When Required'', and ''Prevention of Significant Deterioration of Air Quality'' to make the state regulations consistent with the Federal regulations for the fine Particulate Matter (PM2.5) Prevention of Significant Deterioration (PSD) program. This proposed revision will amend the state minor source construction permitting program including the addition of a minor source permitting threshold for PM2.5. These revisions are necessary to properly manage the increment requirements (maximum allowable deterioration to the air quality) of the PSD program and assure continued attainment with the PM2.5 National Ambient Air Quality Standards (NAAQS). This proposed action also recognizes the state's request to not include, into the SIP, provisions relating to Significant Impact Levels (SILs) and Significant Monitoring Concentrations (SMCs). These provisions were vacated and remanded by the U.S. Court of Appeals for the District of Columbia on January 22, 2013.
DATES: Comments on this proposed action must be received in writing by September 3, 2014.
ADDRESSES: Submit your comments, identified by Docket ID No. EPA–R07– OAR–2014–0468, by mail to Greg Crable, Environmental Protection Agency, Air Planning and Development Branch, 11201 Renner Boulevard, Lenexa, Kansas 66219. Comments may also be submitted electronically or through hand delivery/courier by following the detailed instructions in the ADDRESSES section of the direct final rule located in the rules section of this Federal Register.
FOR FURTHER INFORMATION CONTACT: Greg Crable, Environmental Protection Agency, Air Planning and Development Branch, 11201 Renner Boulevard, Lenexa, Kansas 66219 at (913) 551– 7391, or by email at crable.gregory@ epa.gov.
SUPPLEMENTARY INFORMATION: In the final rules section of the Federal Register, EPA is approving the state's SIP revision as a direct final rule without prior proposal because the Agency views this as a noncontroversial revision amendment and anticipates no relevant adverse comments to this action. A detailed rationale for the approval is set forth in the direct final rule. If no relevant adverse comments are received in response to this action, no further activity is contemplated in relation to this action. If EPA receives relevant adverse comments, the direct final rule will be withdrawn and all public comments received will be addressed in a subsequent final rule based on this proposed action. EPA will not institute a second comment period on this action. Any parties interested in commenting on this action should do so at this time. Please note that if EPA receives adverse comment on part of this rule and if that part can be severed from the remainder of the rule, EPA may adopt as final those parts of the rule that are not the subject of an adverse comment. For additional information, see the direct final rule which is located in the rules section of this Federal Register.
Dated: July 21, 2014.
Mike Brincks,
Acting Regional Administrator, Region 7. [FR Doc. 2014–18249 Filed 8–1–14; 8:45 am] BILLING CODE 6560–50–P
|
Department of Medicine Faculty Papers
Thomas Jefferson University Jefferson Digital Commons
Department of Medicine
3-22-2016
Conversion to eslicarbazepine acetate monotherapy: A pooled analysis of 2 phase III studies.
Michael R Sperling
Thomas Jefferson University, Philadelphia, PA, United States, email@example.com
Jacqueline French
New York University, Comprehensive Epilepsy Center, New York, NY, United States
Mercedes P Jacobson
Department of Neurology, Temple University, School of Medicine, Philadelphia, PA, United States
Ladislav Pazdera
Vestra Clinics s.r.o., Rychnov nad Kneznou, Czech Republic
Mallory Gough
FireKite, Macclesfield, United Kingdom
See next page for additional authors
Let us know how access to this document benef ts you
i
Follow this and additional works at: https://jdc.jefferson.edu/medfp
Part of the Other Medical Specialties Commons
Recommended Citation
Sperling, Michael R; French, Jacqueline; Jacobson, Mercedes P; Pazdera, Ladislav; Gough, Mallory; Cheng, Hailong; Grinnell, Todd; and Blum, David, "Conversion to eslicarbazepine acetate monotherapy: A pooled analysis of 2 phase III studies." (2016). Department of Medicine Faculty Papers. Paper 153.
https://jdc.jefferson.edu/medfp/153
This Article is brought to you for free and open access by the Jefferson Digital Commons. The Jefferson Digital Commons is a service of Thomas Jefferson University's Center for Teaching and Learning (CTL). The Commons is a showcase for Jefferson books and journals, peer-reviewed scholarly publications, unique historical collections from the University archives, and teaching tools. The Jefferson Digital Commons allows researchers and interested readers anywhere in the world to learn about and keep up to date with Jefferson scholarship. This article has been accepted for inclusion in Department of Medicine Faculty Papers by an authorized administrator of the Jefferson Digital Commons. For more information, please contact: firstname.lastname@example.org.
Authors
Michael R Sperling, Jacqueline French, Mercedes P Jacobson, Ladislav Pazdera, Mallory Gough, Hailong Cheng, Todd Grinnell, and David Blum
Michael R. Sperling, MD Jacqueline French, MD Mercedes P. Jacobson, MD On behalf of the Study
Ladislav Pazdera, MD Mallory Gough, PhD Hailong Cheng, PhD Todd Grinnell, AB David Blum, MD 045 and 046 Investigators
Correspondence to Dr. Sperling: email@example.com
Supplemental data at Neurology.org
Conversion to eslicarbazepine acetate monotherapy
A pooled analysis of 2 phase III studies
ABSTRACT
Objective: To assess the efficacy and safety of eslicarbazepine acetate (ESL) monotherapy.
Methods: This post hoc pooled analysis of 2 randomized double-blind studies (093-045 and -046) included adults with partial-onset seizures medically uncontrolled by 1 or 2 antiepileptic drugs (AEDs). Following the baseline period (8 weeks), eligible patients were randomized 2:1 to receive ESL 1,600 mg or 1,200 mg once daily for 18 weeks; the primary endpoint was study exit by meeting predefined exit criteria (signifying worsening seizure control). In each study, treatment was considered effective if the upper 95% confidence limit for exit rate was lower than the historical control threshold (65.3%).
Results: Pooled exit rates were as follows: ESL 1,600 mg 5 20.6% (95% confidence interval: 15.6%–26.8%); ESL 1,200 mg 5 30.8% (23.0%–40.5%). Use of 2 baseline AEDs or rescue medication, US location, epilepsy duration $20 years, and higher maximum baseline seizure frequency were associated with higher exit risks. Median percent reductions in standardized seizure frequency between baseline and the 18-week double-blind period were as follows: ESL 1,600 mg 5 43.2%; ESL 1,200 mg 5 35.7%; baseline carbamazepine use was associated with smaller reductions. Safety profiles were similar between ESL doses.
Conclusions: Exit rates for ESL monotherapy (1,600 mg and 1,200 mg once daily) were lower than the historical control threshold, irrespective of baseline AED use and region, with no additional safety concerns identified. Clinical factors and location clearly influence treatment responses in conversion-to-monotherapy trials.
Classification of evidence: This pooled analysis provides Class IV evidence that for adults with medically uncontrolled partial-onset seizures, ESL monotherapy is well tolerated and effective.
Neurology
®
2016;86:1095–1102
GLOSSARY
AE 5 adverse event; AED 5 antiepileptic drug; CI 5 confidence interval; ESL 5 eslicarbazepine acetate; ITT 5 intent-totreat; KM 5 Kaplan–Meier; MADRS 5 Montgomery–Åsberg Depression Rating Scale; POS 5 partial-onset seizure; QOLIE31 5 31-item Quality of Life in Epilepsy; SAE 5 serious adverse event; SSF 5 standardized seizure frequency; TEAE 5 treatment-emergent adverse event; UCL 5 upper 95% confidence limit.
Antiepileptic drug (AED) monotherapy for epilepsy compares favorably with polypharmacy, often with fewer side effects and fewer drug–drug interactions. 1,2 There is a need for effective and well-tolerated AEDs for use in the monotherapy setting.
Eslicarbazepine acetate (ESL) (Aptiom; Sunovion Pharmaceuticals Inc., Marlborough, MA) is a once-daily oral AED, approved by the US Food and Drug Administration for the treatment of partial-onset seizures (POS) as monotherapy or adjunctive therapy, and by Health Canada as adjunctive therapy of POS in patients with epilepsy who are not satisfactorily controlled with conventional therapy. ESL (Zebinix; BIAL – Portela & C a ., S.A., S. Mamede do Coronado,
From Thomas Jefferson University (M.R.S.), Philadelphia, PA; New York University Comprehensive Epilepsy Center (J.F.), New York, NY; Department of Neurology (M.P.J.), Temple University School of Medicine, Philadelphia, PA; Vestra Clinics s.r.o. (L.P.), Rychnov nad Kneznou, Czech Republic; FireKite (M.G.), Macclesfield, UK; and Sunovion Pharmaceuticals Inc. (H.C., T.G., D.B), Marlborough, MA.
The study 045 and 046 coinvestigators are listed on theNeurology
®
Web site at Neurology.org.
Go to Neurology.org for full disclosures. Funding information and disclosures deemed relevant by the authors, if any, are provided at the end of the article. The Article Processing Charge was paid by Sunovion Pharmaceuticals Inc.
This is an open access article distributed under the terms of the Creative Commons Attribution-NonCommercial-NoDerivatives License 4.0 (CC BY-NC-ND), which permits downloading and sharing the work provided it is properly cited. The work cannot be changed in any way or used commercially.
© 2016 American Academy of Neurology
1095
1096
Portugal) is approved by the European Medicines Agency as adjunctive therapy of POS in adults. Eslicarbazepine, the active metabolite of ESL, is thought to inhibit sodium currents by stabilizing the inactivated state of voltagegated sodium channels. 3
The results of 2 ESL monotherapy studies (093-045 and 093-046) have been reported previously. 4,5 ESL monotherapy (1,600 mg and 1,200 mg once daily) was found to be effective (superior to a historical control) and well tolerated. A combined analysis of these studies allowed a more thorough evaluation of ESL monotherapy; pooling data from identically designed studies provides greater statistical power for the assessment of treatment effects in patient subgroups of interest. This analysis evaluates the relationships between various factors (including geographic region, number and type of baseline AEDs, benzodiazepine use, and presence of secondarily generalized seizures) and the efficacy and safety of ESL monotherapy.
METHODS The study design (including inclusion and exclusion criteria, exit criteria, and randomization technique) and statistical methods (including sample size determination) were identical for both studies. 4,5
Classification of evidence. The primary research question was whether the rate of study exit (by meeting predefined exit criteria signifying worsening seizure control) for patients taking ESL (1,600 mg or 1,200 mg) was lower than the historical control threshold. This pooled analysis provides Class IV evidence that for adults with medically uncontrolled POS, ESL monotherapy is well tolerated and effective.
Standard protocol approvals, registrations, and patient consents. The 2 studies (093-046 [NCT01091662] and 093045 [NCT00866775], both registered at ClinicalTrials.gov) were conducted between 2009 and 2013 at sites in the United States, Canada, Bulgaria, Serbia, the Ukraine, and the Czech Republic, in accordance with the principles of the Declaration of Helsinki, the International Conference on Harmonisation guidelines, and all national, state, and local laws of the pertinent regulatory authorities. Approval was received from the relevant independent ethics committees/institutional review boards, and all patients provided informed consent.
Patients. Patients aged 16 to 70 years with a diagnosis of localization-related (focal) epilepsy (defined by the International League Against Epilepsy, 1981) 6 and a history of POS were eligible for study participation if they satisfied the following criteria: no confounding factors (e.g., psychogenic nonepileptic spells, syncope, progressive structural abnormality); documented EEG recording consistent with POS; $4 POS during the 8 weeks before screening, with no seizure-free period $4 weeks; treatment with stable doses of 1 or 2 AEDs in the 4 weeks before screening (if receiving 2 AEDs at screening, only 1 could be a sodium channel blocker [i.e., phenytoin, carbamazepine, oxcarbazepine, or lamotrigine] and only 1 could be in the upper dose range [greater than approximately two-thirds of its defined daily dose] 7 ); and no additional/potential health complications (elderly patients [65 – 70 years] only).
Study design. After an 8-week baseline period, eligible patients were randomized 2:1 to receive oral ESL (1,600- or 1,200-mg tablets once daily), and began the 18-week, double-blind treatment period (2-week ESL titration, 6-week AED conversion [concomitant AEDs withdrawn], 10-week ESL monotherapy). Eligible patients then had the option to enter an open-label extension study (long-term data will be published separately); alternatively, patients entered a 1-week dosetapering period and left the study (figure e-1 on the Neurology ® Web site at Neurology.org).
Individual patient data from the double-blind phases of the 2 trials (045 and 046) were pooled and analyzed.
Assessments. Primary endpoint. Seizure data were obtained using seizure diaries, completed daily by the patients or their caregivers throughout the study. The primary efficacy endpoint was study exit by meeting $1 of 5 prospectively defined exit criteria (signifying worsening seizure control), between the start of the AED conversion period and the end of the monotherapy period.
Secondary endpoints. The key secondary efficacy endpoint was the percentage of patients who achieved seizure freedom throughout the 10-week monotherapy period. Other prospectively specified secondary efficacy endpoints included change in standardized seizure frequency (SSF) (per 28 days) between baseline and the 18-week double-blind treatment period; responder rate (proportion of patients with $50% reduction in SSF vs baseline); change in 31-item Quality of Life in Epilepsy (QOLIE-31) total scores; change in Montgomery–Åsberg Depression Rating Scale (MADRS) scores; and completion rates (proportions of patients completing the 18-week treatment and 10-week monotherapy periods).
Safety and tolerability. Investigators recorded adverse events (AEs) at each clinic visit. AEs were coded using the Medical Dictionary for Regulatory Activities, version 13.1. Treatmentemergent AEs (TEAEs) were defined as AEs that occurred on or after the first dose of study drug. Serious AEs (SAEs) were reported separately; classification of AEs as "serious" was at the judgment of the investigators. Summary statistics for TEAEs were calculated for each study period (titration, AED conversion, and ESL monotherapy periods).
Statistical analyses. Both studies used a historical control comparator, as proposed by French et al. 8 The historical control exit rate was determined from the placebo/pseudo-placebo groups of 8 historical conversion-to-monotherapy trials. The lower bound of the 95% prediction interval of the overall exit rate (i.e., 65.3% at 112 days) 9 was used as the exit threshold for a scenario involving a single study. Similarly to the individual studies, pooled cumulative exit rates and 95% confidence intervals (CIs) at 112 days were estimated using Kaplan–Meier (KM) methodology for each ESL treatment group. Methods for censoring and patient reassignment have been previously reported. 4,5
Exit rates and 95% CIs were estimated for patient subgroups defined by baseline AED use (those AEDs used by $15% of patients) and region (US vs non-US). Effects of subgroup factors were also evaluated separately, using a Cox proportional hazards regression model.
A worst-case scenario analysis was conducted to evaluate the potential confounding effect of benzodiazepine use: patients who took benzodiazepine derivatives during the AED conversion
Neurology 86 March 22, 2016
Table 1 Selected demographics and baseline clinical characteristics for the pooled efficacy population (US and non-US subgroups)
Abbreviations: AED 5 antiepileptic drug; BMI 5 body mass index; US 5 United States. Percentages are calculated based on the number of patients with available data in the efficacy population in each subgroup.
b n 5 210.
a An AED was considered to be used at baseline if it was started at any time before the first dose of study drug and continued into the titration period.
c n 5 120.
period, after the first dose of study medication, were considered to have met the study exit criteria at the time of use. The relationship between QOLIE-31 overall score and reduction in SSF from baseline was evaluated via Pearson correlation.
All statistical procedures were performed using SAS version 9.2 (SAS Institute, Cary, NC). All statistical tests were 2-sided.
Study populations. The pooled intent-to-treat (ITT) population comprised all randomized patients in the 2 trials who received $1 dose of study drug. The ITT population was used to evaluate patient disposition, baseline demographics and characteristics of the overall population, and safety outcomes. Efficacy analyses and comparisons of baseline demographics and characteristics between US and non-US patients used the pooled efficacy population (i.e., all ITT patients who entered the AED conversion period).
RESULTS Patients. The ITT population comprised 365 patients (ESL 1,600 mg, n 5 242; ESL 1,200 mg, n 5 123; figure e-2). Baseline demographic and clinical characteristics were generally well balanced between dose groups (table e-1) and comparable to those of the historical control comparator group (Jacobson et al., 5 2015 [table S2]).
The efficacy population comprised 332 patients (ESL 1,600 mg, n 5 218; ESL 1,200 mg, n 5 114; US, n 5 211; non-US, n 5 121). There were some notable differences in demographics and clinical characteristics between the US and non-US subgroups (table 1). The US subgroup had a longer median duration of illness, more levetiracetam use, and less valproic acid and lamotrigine use, as well as higher proportions of obese individuals, and black, Asian, and Hispanic patients, than the non-US subgroup. Compared with the non-US subgroup, the US subgroup also had higher maximum 2- and 28-day seizure rates and more benzodiazepine use during the baseline period.
Efficacy. Primary endpoint. In the individual studies (045 and 046), the upper 95% confidence limits (UCLs) of exit rates for both ESL doses were lower than the historical control threshold (65.3%), indicating drug efficacy. 4,5 The pooled KM-estimated exit rates at 112 days were 20.6% (95% CI: 15.6%–26.8%) for ESL 1,600 mg and 30.8% (23.0%–40.5%) for ESL 1,200 mg (figure 1).
Secondary analyses of the primary endpoint. US vs non-US patients. The KM-estimated exit rates for the US subgroup were greater than those for the non-US subgroup (figure 2A). Cox proportional hazard regression analysis confirmed that US patients were significantly more likely to exit the study (p , 0.001; figure 2C). The time to exit for US patients exhibited a dose-response relationship; the rate was lower with ESL 1,600 mg vs 1,200 mg. For US patients taking 2 baseline AEDs, or with secondarily generalized seizures before or during the baseline period, the difference in exit rates between dose groups was particularly marked. For all 4 subgroups (US and non-US patients taking ESL 1,600 and 1,200 mg), the UCLs of the exit rates were lower than the 65.3% historical control threshold.
Baseline AEDs. KM-estimated exit rates were also calculated for subgroups defined by baseline AED use (for AEDs taken by $15% of patients; figure 2B). Use of carbamazepine (n 5 91), lamotrigine (n 5 49), levetiracetam (n 5 82), and valproic acid (n 5 66) at baseline did not have statistically significant effects on risk of exit (figure 2C).
Overall, 31.0% of patients were taking 2 AEDs during the baseline period. The exit risk was significantly higher for patients taking 2 baseline AEDs (vs 1; figure 2C). In addition, exit risk was
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Figure 1 Kaplan–Meier analysis of exit rates (efficacy population): Pooled population (A) and individual studies and pooled population (B)
significantly lower for patients taking phenytoin at baseline (vs those not taking phenytoin; p 5 0.049), although the sample size was small (only 30 patients were taking baseline phenytoin).
seizure rate (maximum consecutive 2-day rate), for those who used vagal nerve stimulation during baseline, and for those who used rescue medication (figure 2C).
Benzodiazepine use. Patients who used benzodiazepines had a higher risk of study exit (figure 2C). Approximately 7.8% of patients had not used benzodiazepines before randomization but used them during the 18-week treatment period. In a sensitivity analysis of the primary endpoint, in which patients who used benzodiazepines after the start of the AED conversion period, but not before the first dose of study medication, were deemed to have met the exit criteria, the UCLs of exit rates for both ESL dose groups were also lower than the 65.3% historical control threshold (1,600 mg 5 24.2% [95% CI: 18.9%–30.8%]; 1,200 mg 5 32.6% [24.6%–42.4%]).
Disease characteristics. Exit risk was also found to be higher for patients with a duration of epilepsy $20 years, for patients with a higher baseline
Secondary endpoints. The proportion of patients who achieved seizure freedom during the entire 10-week monotherapy period was similar for the 2 ESL dose groups (ESL 1,600 mg 5 8.7% [95% CI: 5.3%– 13.3%]; ESL 1,200 mg 5 7.9% [CI: 3.7%–14.5%]).
Seizure frequency was calculated as SSF per 28 days. The median percent reduction from baseline in SSF for the 18-week treatment period was 43.2% with ESL 1,600 mg and 35.7% with ESL 1,200 mg (figure 3); for the 10-week monotherapy period, the median percent reduction was 46.3% and 47.1% with ESL 1,600 mg and 1,200 mg, respectively. Responder rates (proportion of patients with $50% reduction in SSF) during the 18-week treatment period were 42.7% for ESL 1,600 mg and 36.0% for ESL 1,200 mg. Reductions in seizure frequency occurred in patients taking different AEDs at
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Figure 2
Subgroup analyses of exit rates (pooled efficacy population): Influence of geographic region on exit rate (US vs non-US regions) (A), of baseline AED use (AEDs used by ‡15% of patients) on exit rate (B), and of patient characteristics on risk of study exit (pooled efficacy population) (C)
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2016 American Academy of Neurology. Unauthorized reproduction of this article is prohibited.
Median percentage reduction in standardized seizure frequency overall and by baseline AED
Median percentage reduction in standardized seizure frequency (seizures per 28 days; between baseline and the 18-week treatment period) overall and by baseline AED (for AEDs used by $15% of patients during baseline; efficacy population). AED 5 antiepileptic drug; CBZ 5 carbamazepine; ESL 5 eslicarbazepine acetate; LEV 5 levetiracetam; LTG 5 lamotrigine; VPA 5 valproic acid.
baseline, but the magnitude of reduction was less for patients who were taking carbamazepine at baseline than for those who were not (figure 3).
1,200 mg (calculated for the 267 patients who had MADRS scores for both periods).
For patients who continued into the monotherapy period, overall QOLIE-31 scores increased between baseline and the end of the monotherapy period (ESL 1,600 mg, 5.7-point median increase; ESL 1,200 mg, 3.3 point median increase; calculated for the 252 patients who had QOLIE-31 scores for both the baseline and monotherapy periods). Of note, there was a statistically significant correlation (p 5 0.001) between reduction in SSF from baseline and the increase in overall QOLIE-31 score. Similarly, MADRS total scores decreased by a median of 1 point with ESL 1,600 mg and were unchanged with ESL
Table 2 Incidence of TEAEs a during different treatment periods (pooled ITT population)
Abbreviations: ESL 5 eslicarbazepine acetate; ITT 5 intent-to-treat; TEAE 5 treatmentemergent adverse event.
a Occurring in $5% of patients in both dose groups.
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Completion rates for the 18-week treatment period were 71.6% (95% CI: 65.1%–77.4%) for ESL 1,600 mg and 61.4% (51.8%–70.4%) for ESL 1,200 mg. For the 10-week monotherapy period, completion rates were 86.2% (95% CI: 80.3%– 90.9%) for ESL 1,600 mg and 75.3% (65.2%– 83.6%) for ESL 1,200 mg.
Safety. TEAEs reported for $5% of patients during each treatment period are shown in table 2. Headache, dizziness, somnolence, and fatigue were the most frequently reported TEAEs. There was no clear relationship between incidence of these TEAEs and ESL dose. Depression was reported in 2.5% and 0.8% of patients taking ESL 1,600 mg and 1,200 mg, respectively, and "suicidal ideation" in 2 patients (1.6%) taking ESL 1,200 mg. Serum sodium #125 mEq/L was recorded in 7 patients taking ESL 1,600 mg (2.9%) and 5 patients taking ESL 1,200 mg (4.1%). TEAEs led to discontinuation in 15.3% and 8.1% of patients taking ESL 1,600 mg and 1,200 mg, respectively. Events leading to discontinuation included hyponatremia (1.4%), skin and subcutaneous tissue disorders (ESL 1,600 mg, 2.9%; ESL 1,200 mg, 0.8%), and drug rash with eosinophilia and systemic symptoms (ESL 1,600 mg, 1 patient).
During the 18-week treatment period, SAEs occurred in 21 patients (5.8% overall: ESL 1,600 mg, 6.6%; ESL 1,200 mg, 4.1%). The most frequent SAEs were hyponatremia (ESL 1,600 mg, 1.2% [3 patients]; ESL 1,200 mg, 0%), complex partial seizures (0.8% [2 patients]; 0%), and partial seizures with secondary generalization (0.4% [1 patient]; 0.8%
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[1 patient]). There were no cases of second- or thirddegree atrioventricular block; cardiac SAEs were reported in 2 patients taking ESL 1,200 mg (1.6%): 1 had cardiogenic shock and 1 had atrial flutter (before the first ESL dose). There was 1 death in study 045 (ESL 1,200-mg treatment arm), caused by multiple injuries due to a car accident of unknown cause, and 1 pretreatment seizure-related death in study 046 (during the baseline period).
DISCUSSION The findings of this analysis extend those of the individual ESL monotherapy studies (045 and 046). 4,5 The pooled analysis provides more precise estimates of the overall treatment effect and higher statistical power to examine the effects of subgroup factors.
Factors statistically associated with higher exit risk (failed transition to ESL monotherapy) are shown in figure 2C; as several of these factors are often indicators of more severe epilepsy, the greater propensity for exit is not surprising. In future studies (and perhaps clinical practice), when transitioning to ESL monotherapy, it may be beneficial to use a longer tapering schedule to reduce the risk of seizure exacerbation in individuals with risk factors. In addition, patients from the United States were significantly more likely to exit the studies. A lamotrigine XR monotherapy trial also found that KM-estimated exit rates were higher in US vs non-US patients. 9 In contrast, a lacosamide study found a lower exit rate in North American patients vs patients from other regions. 10 The observed difference in exit rates may be related to differences between regions in clinical practice, patient characteristics, or placebo-response rate, as well as economic or cultural influences. For example, the use of newer-generation AEDs was more prevalent among US patients. As US patients had longer duration of illness and more frequent seizures than non-US patients, they may have had more severe epilepsy and so were at greater risk of study exit.
Although the exit rate was numerically higher for patients who were taking carbamazepine at baseline vs those taking other AEDs, the UCLs for both ESL dose groups were below the 65.3% threshold. Similarly, patients who converted from carbamazepine to monotherapy with other AEDs (pregabalin, valproate, topiramate, felbamate, oxcarbazepine, tiagabine, or rufinamide) had an increased hazard rate for study exit (8.0%). 8 Hence, the above finding may not be attributable to any similarities between carbamazepine and ESL, but could be related to the withdrawal of carbamazepine. In the current study, patients who converted from carbamazepine also had less marked reductions in seizure frequency than those who converted from other commonly used background AEDs; the reason for this remains unclear.
The appropriate use of a historical control comparator is based on the concept that there are no substantive differences in population characteristics between the current studies and the historical control, or that any population differences do not affect exit rates. It is of note that the CIs for the ESL 1,200 mg exit rate did not overlap between studies 045 and 046, suggesting that the study population influenced exit rates in these trials. However, exit rates for both dose groups in these studies were lower than the rate for the historical control.
Patients were diagnosed using the 1981 version of the International League Against Epilepsy classification. 6 Although more recent versions exist, 11 the 1981 classification was used to ensure consistency with other AED trials. As the 1981 guidelines are still used frequently in clinical practice, we are confident that the population remains relevant to today's patients.
The safety profiles of ESL 1,600 mg and 1,200 mg were similar and there were no incidences of sudden unexpected death in epilepsy during ESL therapy. No new safety findings of concern were identified in this pooled analysis.
Exit rates for patients taking ESL (1,600 mg and 1,200 mg once daily) monotherapy were lower than the historical control threshold, irrespective of baseline AED use and region, and ESL was well tolerated. The potential effects of clinical and demographic factors on patient outcomes should be taken into consideration when designing future monotherapy studies. Further evaluation of the effect of baseline AED use on treatment response is also needed, given the difference in outcomes between patients who were taking baseline phenytoin and carbamazepine in this analysis.
AUTHOR CONTRIBUTIONS
M. Sperling was involved in the acquisition, analysis, and interpretation of data, and in drafting and revising the manuscript for content. J. French was involved in the development of the study concept/design, and in drafting and revising the manuscript for content. M. Jacobson was involved in the acquisition, analysis, and interpretation of data, and in drafting and revising the manuscript for content. L. Pazdera was involved in the development of the study concept/design, in the acquisition, analysis, and interpretation of data, and in drafting and revising the manuscript for content. M. Gough was involved in drafting and revising the manuscript for content. H. Cheng was involved in the development of the study concept/design, in the acquisition, analysis, statistical analysis, and interpretation of data, and in drafting and revising the manuscript for content. T. Grinnell was involved in the development of the study concept/design, in the analysis and interpretation of data, and in drafting and revising the manuscript for content. D. Blum was involved in the development of the study concept/design, in obtaining funding, in the study supervision/coordination, in the acquisition, analysis, and interpretation of data, and in drafting and revising the manuscript for content.
ACKNOWLEDGMENT
The authors thank Rebecca Thair of FireKite, an Ashfield company, for assistance with editing the manuscript for nonintellectual content.
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2016 American Academy of Neurology. Unauthorized reproduction of this article is prohibited.
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STUDY FUNDING
The study was funded by Sunovion Pharmaceuticals Inc.
DISCLOSURE
M. Sperling has received consultancy honoraria for UCB Pharma, honorarium from Wiley for serving as associate editor for Epilepsia 2013– 2014, and has been the editor-in-chief of Epilepsia from 2014 to present (no honorarium). M. Sperling has also received funding as site principal investigator from Sunovion Pharmaceuticals Inc., UCB Pharma, SK Life Sciences, Eisai, Lundbeck, Acorda, Upsher-Smith, Medtronics, Brain Sentinel, Visualase, and GlaxoSmithKline, for research contracted and paid to Thomas Jefferson University, and has received federal funding from NIH and the Defense Advanced Research Projects Agency. J. French has consulted for Acorda, Anavex, Brabant Pharma, BioPharm Solutions, Eisai, GlaxoSmithKline, GW Pharma, Impax, Johnson & Johnson, Marinus, Neusentis, Novartis, Pfizer, Sage, Sunovion Pharmaceuticals Inc., SK Life Sciences, Supernus, Takeda, UCB Pharma, Upsher-Smith, Ultragenyx, Vertex, Zogenix, and Zynerba. All consulting was on behalf of the Epilepsy Study Consortium, and fees are paid to the consortium; New York University receives salary support from the consortium. J. French has also received grants and research support from Acorda, Alexza, LCGH, Eisai, Lundbeck, Pfizer, SK Life Sciences, UCB Pharma, Upsher-Smith, Vertex, NINDS, and the Epilepsy Foundation. M. Jacobson has received honoraria from Sunovion Pharmaceuticals Inc., and research support from Lundbeck, Sunovion Pharmaceuticals Inc., Sage Therapeutics, and Marinus. L. Pazdera is an employee of Vestra Clinics and has received research support from Sunovion Pharmaceuticals Inc. M. Gough is an employee of FireKite, and was funded by Sunovion Pharmaceuticals Inc. to provide medical writing support. H. Cheng is an employee of Sunovion Pharmaceuticals Inc. T. Grinnell is an employee of Sunovion Pharmaceuticals Inc. D. Blum is an employee of Sunovion Pharmaceuticals Inc. Go to Neurology.org for full disclosures.
Received August 7, 2015. Accepted in final form December 3, 2015.
REFERENCES
1. Perucca E. Designing clinical trials to assess antiepileptic drugs as monotherapy. CNS Drugs 2008;22:917–938.
3. Hebeisen S, Pires N, Loureiro AI, et al. Eslicarbazepine and the enhancement of slow inactivation of voltage-gated sodium channels: a comparison with carbamazepine, oxcarbazepine and lacosamide. Neuropharmacology 2015;89:122–135.
4. Sperling MR, Harvey J, Grinnell T, Cheng H, Blum D; 045 Study Team. Efficacy and safety of conversion to monotherapy with eslicarbazepine acetate in adults with uncontrolled partial-onset seizures: a randomized historical-control phase III study based in North America. Epilepsia 2015;56:546–555.
5. Jacobson MP, Pazdera L, Bhatia P, et al. Efficacy and safety of conversion to monotherapy with eslicarbazepine acetate in adults with uncontrolled partial-onset seizures: a historical-control phase III study. BMC Neurol 2015;15:46.
6. Commission on Classification and Terminology of the International League Against Epilepsy (ILAE). Proposal for revised clinical and electroencephalographic classification of epileptic seizures. Epilepsia 1981;22:489–501.
7. WHO Collaborating Centre for Drug Statistics Methodology. ATC/DDD index. Available at: http://www.whocc. no/atc_ddd_index/. Accessed October 23, 2015.
8. French JA, Wang S, Warnock B, Temkin N. Historical control monotherapy design in the treatment of epilepsy. Epilepsia 2010;51:1936–1943.
9. U.S. Food and Drug Administration. Ling X. Lamictal ® XR™ (lamotrigine) historical-controlled trial: Peripheral and Central Nervous System Drugs Advisory Committee Meeting 2011. Available at: http://www.fda.gov/downloads/ advisorycommittees/committeesmeetingmaterials/drugs/ peripheralandcentralnervoussystemdrugsadvisorycommittee/ ucm247490.pdf. Accessed October 23, 2015.
10. Wechsler RT, Li G, French J, et al. Conversion to lacosamide monotherapy in the treatment of focal epilepsy: results from a historical-controlled, multicenter, doubleblind study. Epilepsia 2014;55:1088–1099.
2. Perucca E, Tomson T. The pharmacological treatment of epilepsy in adults. Lancet Neurol 2011;10:446–456.
11. Fisher RS, Acevedo C, Arzimanoglou A, et al. A practical clinical definition of epilepsy. Epilepsia 2014;55: 475–482.
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Neurology 86 March 22, 2016
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Medina County Policy Manual
| Policy: Discipline | | Section: Work Rules | Number: 7.025 |
|---|---|---|---|
| Issued: 09/17/07 | Reviewed/Revised: | | Page #: 1 of 12 |
ORC 124.34
I Overview
A. County employees are responsible for performing their jobs in a competent, professional manner and for conducting themselves at all times in a way that advances the goals of the County and increases public confidence in County government. This requires County employees to refrain from behavior which might be harmful to the County's interests, or which violates or conflicts with County, state, or federal policies, practices, and/or procedures.
B. Employees are responsible for following any rules, regulations, or directives established by the individual Appointing Authority, whether written or unwritten.
C. Supervisors are to follow an established system of progressive discipline when correcting job behavior.
1. Prior to starting progressive discipline, where at the earliest stages where unsatisfactory performance or inappropriate behavior is found, supervisors are to meet with the employee to initiate non-punitive counseling with the objective of mentoring or coaching the staff member concerning the issue at hand (refer to Section II, E, 1.- Counseling). The elements of this meeting are to be documented in an anecdotal record and kept by the department, if needed, for future reference. The anecdotal record is not to be placed in the employee's personnel file in Human Resources.
2. Where formal progressive disciplinary action is taken, it shall be issued in a timely manner, documented on the Disciplinary/Counseling Report (DCR) found in the appendix, and dealt with objectively; taking into account the nature of the violation, the employee's record of discipline and the employee's record of past performance and conduct.
D. Although this policy provides standard penalties for specific offenses the examples of specific offenses given in any grouping are not all-inclusive, and merely serve as a guide. The violations provided in this policy do not prevent the application of a greater or less severe reprimand for a given infraction when circumstances warrant. In instances where a reprimand deviates from the recommended standard reprimand, the reason for deviation should be noted.
| Policy: Discipline | | Section: Work Rules |
|---|---|---|
| Issued: 09/17/07 | Reviewed/Revised: | |
II Progressive Discipline
A. Disciplinary action will normally begin at the lowest step in the progressive discipline process, but may be advanced dependent upon the seriousness of the performance issue or offense. Prior to formal discipline, expectations for the staff member should be clearly identified in writing (refer to Section III E. 1. - COUNSELING).
B. Progressive discipline provides a fair, consistent method of addressing unsatisfactory performance or inappropriate behavior. Its use is not intended as punishment but, rather, as a behavior modification tool with which to encourage the employee to meet the standards set by the appointing authority. Progressive discipline is established as a guide for management to use in administering discipline in a uniform manner. It is not a limitation upon the statutory rights stated in the Ohio Revised Code.
C. Employees may be reduced in pay or position, suspended, fined, terminated, or otherwise disciplined for, among other reasons, incompetency, inefficiency, dishonesty, drunkenness, immoral conduct, insubordination, discourteous treatment of the public, neglect of duty, violation of departmental/agency regulations, conviction of a "felony" as defined in ORC 124.34, or any other failure of good behavior or for any other act of misfeasance, malfeasance, or nonfeasance in office.
1. For the purpose of disciplinary action, a "fine" shall mean when vacation time is deducted from the employee's balance as a form of discipline.
2. The only form of a "fine" that may be applied to an employee who is exempt from the minimum wage and overtime provisions of the Fair Labor Standards Act is the loss of accrued vacation time.
D. The Board of County Commissioners retains the right to treat each infraction upon its individual merits without establishing any precedent for the treatment of future disciplinary actions.
E. Progressive Disciplinary Steps
1. COUNSELING
a. At the earliest stages of unacceptable performance or behavior the immediate supervisor is to initiate non-punitive counseling with the objective of mentoring or coaching the staff member concerning the issue.
b. The immediate supervisor will meet with the staff member and affirm their expectations regarding the unacceptable performance or behavior and discuss the performance deficit or behavioral concern.
c. The immediate supervisor will provide a timeline and resources for improvement, unless the issue is misconduct, which must cease immediately.
d. The immediate supervisor will create an anecdotal record of this counseling session and retain it in a departmental file for future reference, which must include a statement to the effect that failure to improve may lead to further discipline, up to and including removal.
2. VERBAL WARNING (WRITTEN)
a. This title is undoubtedly a misnomer when in fact conventional wisdom stipulates a written record must be made to memorialize the first step of the disciplinary process. This is the least severe step taken and serves as an "alert mechanism" to establish more satisfactory performance or behavior is required. The department director, or designate, is authorized to issue a verbal warning.
b. This disciplinary meeting is to be held in the privacy of an office or away from the eyes and ears of other staff and, ideally, include another management staff member to serve as witness and note taker. A written account of this meeting shall be made on the Disciplinary/Counseling Report (DCR).
c. A well written verbal warning should include a clear description of the action(s) which lead to its issuance, the correct behavior expected, date(s) of occurrence(s), previous counseling(s) received (from records kept by the department), reference to the fact that this disciplinary action constitutes a verbal warning and a statement that continued unsatisfactory performance or conduct will result in more severe disciplinary action, up to and including removal.
i. The employee will be asked to sign the disciplinary form to verify presentation of the verbal warning; not for the purpose of agreeing with its content. Should the employee refuse to sign, the witness will write "Employee refused to sign", sign and date.
ii. The original disciplinary form is to be forwarded to Human Resources for inclusion in the employee's personnel file. Copies are to be given to the employee and one retained by the department.
3. There are no appeal rights to a verbal warning.
3. WRITTEN WARNING
a. This continues the formal disciplinary process whereby the employee is again notified in writing of the continuation of unsatisfactory conduct or performance.
b. A written account shall be made on the DCR and a meeting is to be conducted as described in sections 2. b. and c. above.
c. The department director or designate has the authority to issue a written warning. Before doing so it is advisable to consult with the Director of Human Resources who may assist in assuring fairness and consistency of discipline is being provided across departmental lines and in developing language which is fair, clear, and accurate.
d. There are no appeal rights to a written warning.
4. SUSPENSION– LESS THAN TWENTY-FOUR WORK HOURS
a. Suspensions of any duration must first be approved by the Director of Human Resources.
b. In the case of an employee required to be paid overtime compensation, suspensions of less than twenty-four work hours or a fine of less than twenty-four hours' pay shall be served with a copy of the order of the fine, or suspension stating the reasons for the action. ORC 124.34(B)
c. The department may require an employee who is suspended to report to work to serve the suspension. An employee serving a suspension in this manner shall continue to be compensated at the employee's regular rate of pay for hours worked. Such disciplinary action shall be recorded in the employee's personnel file in the same manner as other disciplinary actions and has the same effect as a suspension without pay for the purpose of recording disciplinary actions.
| Policy: Discipline | | Section: Work Rules |
|---|---|---|
| Issued: 09/17/07 | Reviewed/Revised: | |
d. When a workplace situation necessitates the immediate removal of an employee from the work site, the employee may be immediately placed on paid administrative leave by the supervisor pending further disposition of his or her case and directed to report back to the supervisor within two (2) working days of the incident. In such cases the director shall then meet with the Director of Human Resources no later than the next business day to inform the Director of the situation which lead to the employee's paid administrative leave.
e. After meeting with the Director Human Resources, the department director will complete the DCR. This will assist in fully documenting the alleged reasons for the proposed disciplinary action, the specific policies or procedures that may have been violated, as well as preparing for the predisciplinary hearing.
f. A pre-disciplinary conference shall be held prior to imposing a suspension of any duration (refer to Section III).
g. Suspensions of less than twenty-four (24) work hours or fines of less than twenty-four hours' pay are not appealable to the State Personnel Board of Review or to the appointing authority. ORC 124.34(B)
5. SUSPENSION– UP TO 30 DAYS
a. In cases where, in the judgment of the department, the violation of a work rule or performance issue warrants more than a 3-day suspension but not removal, a suspension of up to 30-days may be imposed. Step 4 suspensions shall first be approved by the Director of Human Resources.
b. Suspensions shall follow the same procedures as in part 4. above (SUSPENSION– 1-3 DAYS).
c. A pre-disciplinary conference shall be held prior to imposing a suspension of any duration (refer to Section III).
d. Suspensions of greater than twenty-four (24) work hours or fines of more than twenty-four hours' pay are appealable to the State Personnel Board of Review or to the appointing authority. ORC 124.34(B).
| Policy: Discipline | | Section: Work Rules |
|---|---|---|
| Issued: 09/17/07 | Reviewed/Revised: | |
6. WORKING SUSPENSION
a. The department "…may require an employee who is suspended to report to work to serve the suspension. An employee serving a suspension in this manner shall continue to be compensated at the employee's regular rate of pay for hours worked. The disciplinary action shall be recorded in the employee's personnel file in the same manner as other disciplinary actions and has the same effect as a suspension without pay for the purpose of recording disciplinary actions." ORC 124.34(A)
7. REMOVAL
a. Removal may be necessary due to unacceptable or flagrant personal conduct, unsatisfactory work performance, or failure to observe County rules and regulations. This action may only be taken after consultation with the Director of Human Resources.
b. Removals follow the procedures in part 4. above (SUSPENSION– 1-3 DAYS).
c. A pre-disciplinary conference shall be held prior to imposing a removal (refer to Section III).
III Pre-discipline Hearing
A. An employee shall be given a pre-disciplinary hearing prior to invoking a suspension or removal. The employee is entitled to a written notice of the charges, an explanation of the employer's evidence and an opportunity to present their side of the story.
B. When disciplinary action is initiated where suspension or removal is recommended, a written notice of this pre-disciplinary hearing shall be given to the employee who is the subject of the pending discipline. Written notice shall include a statement of the charges, recommended disciplinary action, the opportunity to have an attorney or another employee present to serve as their representative, a summary of the evidence being brought against the employee and the date, time and place of the hearing. The written notice shall either be hand delivered to the employee or sent by certified mail. A template of such notice can be found in the appendix.
C. This hearing shall be scheduled no earlier than three work days (72 hours) following giving notice to the employee. Absent any extenuating circumstances, the employee's failure to appear at the hearing will result waiver of their right to this hearing. The employee may also voluntarily waive this hearing by completing the Pre-Disciplinary Form, found in the appendix. The employee and witness(es) employed by the County will be paid for the time spent at the hearing, if the hearing is conducted during their assigned work hours.
D. An impartial representative shall be appointed by the County Administrator or his designate as the hearing officer who is neutral and detached and has not been involved in the incident or investigation giving rise to the discipline.
E. The employee, or their representative, may make a written request for continuance of up to forty-eight (48) hours.
Such continuance shall not be unreasonably requested nor denied. A continuance may be longer than forty-eight (48) hours if mutually agreed by the parties.
F. Tape recording or the attendance of a court recorder shall not be permitted.
G. The Department shall first present the reasons for the proposed disciplinary action. The employee may, but is not required to, give testimony
H. After having considered all evidence and testimony presented at the hearing, the hearing officer shall, within five (5) work days of the conclusion of the hearing, submit a written recommendation to the County Administrator, department director and employee involved. The written recommendation shall be hand delivered to the employee or sent by certified U.S. mail.
I. The department director shall accept, reject or modify the recommendation(s) and notify the employee within three (3) business days following receipt of the hearing officer's recommendation for final disposition of the charges.
IV Force and Effect of Disciplines
A. All verbal and written reprimands shall cease to have force and effect after twelve (12) months from their date of issuance if there is no other discipline imposed during that period.
B. Suspensions of three or fewer days shall cease to have force and effect from their date of issuance after twenty-four (24) months if there is no other discipline imposed during that period.
| Policy: Discipline | | Section: Work Rules |
|---|---|---|
| Issued: 09/17/07 | Reviewed/Revised: | |
C. Suspensions of more than three days shall cease to have force and effect from their date of issuance after forty-eight (48) months if there is no other discipline imposed during that period.
D. Disciplinary actions that no longer have force and effect shall not be used to determine any subsequent disciplinary action against the employee unless they are needed to show a pattern of adverse or untruthful behavior on his/her part. All disciplinary actions shall be permanently retained in the employee's personnel file.
V Grounds for Disciplinary Action
A. The examples of Group I, II, and III Offenses, set forth below, are characteristic of those offenses which have been judged to be of such a nature as to warrant the level of discipline established for each group.
The categories are not intended to be all inclusive. They merely serve as general guidelines for the issuance of consistent, uniform discipline. The Board of County Commissioners retains the right to treat each infraction upon its individual merits without establishing any precedent for the treatment of future disciplinary actions.
B. Category I Offenses may be defined as those infractions which are of a relatively minor nature and which cause only a minimal disruption to the organization in terms of a slight decrease in organizational productivity, efficiency, and/or morale. Group I Offenses, if left undisciplined by proper authority, will usually cause only a temporary or minor impact unless such acts are compounded over time.
C. Category II Offenses may be defined as those infractions which are of a more serious nature than the Group I Offenses and which, in turn, cause a more serious and longer lasting disruption to the organization in terms of decreased organizational productivity, efficiency, and/or morale. Group II Offenses, if left undisciplined by proper authority, can cause a serious and longer lasting minor impact than the Group I Offenses.
D. Category III Offenses may be defined as those infractions which are of a very serious or possibly a criminal nature, and which cause a critical disruption to the organization in terms of decreased productivity, efficiency, and/or morale. Group III Offenses, if left undisciplined by proper authority, may cause long lasting and serious impact.
Category I Offense
First Offense
Verbal Warning (Documented)
Second Offense Written Warning
Third Offense One (1) to thirty (30) day suspension or fine
Fourth Offense Removal
* Abuse of sick leave or using sick leave for unauthorized purposes;
* Undocumented use of sick leave;
* Failure to provide prompt, courteous service to the public;
* Failing to notify supervision of tardiness or absence not been previously approved;
* Taking unauthorized or extended meal breaks or other breaks;
* Failure to commence duties at the beginning of the work period;
* Leaving work prior to the end of the shift without prior authorization;
* Preparing to leave work without prior authorization before lunch, official break or quitting time;
* Changing work schedule without prior consent;
* Working overtime without prior authorization;
* Working while eating lunch at work station;
* Loafing, loitering, or failing to perform work in a prompt and efficient manner;
* Reading material during regular work hours not job-related or authorized;
* Conducting non-work related business on County time, e.g. sports pools, selling products;
* Performing private work on department/agency time;
* Solicitation on department/agency premises without authorization;
* Failing to follow instructions or procedures;
* Unsatisfactory work or failure to maintain required standard of performance;
* Failure to perform a job assignment;
* Failing to sign time sheet or to punch time card;
* Carelessness in signing in or out;
* Smoking in County owned vehicles;
* Smoking in non-designated areas and at non-designated times
* Creating or contributing to unsanitary or unsafe conditions;
* Distracting others, unnecessary shouting or demonstrations, or otherwise causing disruption;
* Malicious mischief, horseplay, wrestling, or other undesirable conduct;
* Failure to cooperate with other employees as required by job duties;
* Failure to exercise reasonable care in the use of department property or equipment;
* Use or possession of another employee's equipment without authorization;
* Neglect or carelessness of official safety rules, or disregard of common safety practices;
* Unauthorized political activity;
* Failure to observe department rules;
* Failure to report an accident, injury, or equipment damage;
* Unauthorized use of County telephone for other than business purposes;
* Use of or disruption from personal cell phone on County time;
* Excessive garnishments;
* Failure to adhere to departmental rules regarding personal grooming, appearance, dress code;
* Unauthorized distribution or posting of written or printed matter of any description on department/agency premises;
* Unauthorized removal, or changing of notices or signs from bulletin boards;
* Failure to attend a mandatory meeting;
Category II Offenses
First Offense
Up to thirty (30) days suspension or fine
Second Offense Removal
* Sleeping on duty;
* Leaving a continuous operation without authorization prior to the end of the shift or prior to proper relief;
* Personal use of County equipment or property;
* Use of County telephone for personal long distance calls without reimbursement to County;
* Failing to report for overtime after being scheduled to work overtime or refusing to work mandatory overtime when assigned;
* Use of threatening, abusive or intimidating language, or profanity toward supervisors, coworkers, or clients;
* Coercing or interfering with supervisors, co-workers, or clients;
* Verbal abuse directed at a co-worker, supervisor, or the public;
* Using another employee's confidential computer identification code without authorization or giving another's code to anyone to use;
* Conduct violating morality or common decency;
* Unauthorized use of department/agency property or equipment;
* Making or publishing of false, vicious, or malicious statements concerning employees, supervisors, the department/agency, the County, or its operations;
* Gambling during working hours or on County property;
* Unauthorized presence on department/agency property;
* Lying to co-workers or supervisors;
* Revealing confidential information to families, friends, or other unauthorized persons;
* Refusal to work with or provide services to a disabled individual or an individual known or suspected to have a contagious disease;
* Obligating the County or department/agency for any expense, service, or performance without authorization;
Category III Offenses
First offense
Removal
* Falsification of County records in manual or automated systems;
* Misuse or removal of department/agency records or information without prior authorization;
* Using alcoholic beverages on County property, or using alcoholic beverages while engaged in County business;
* Deliberate destruction in any manner of County or department/agency property, tools, equipment, or the property of employees;
* Intentionally destroying County records without prior written authorization from the County Record Retention Committee;
* Hostile conduct aimed at a protected group that includes offensive epithets, slurs, words or comments, cartoons, and drawings or any written or electronic media;
* Reporting to work intoxicated or under the influence of drugs;
* Giving false testimony during a complaint or grievance investigation or hearing;
* Soliciting or accepting a gratuity or bribe from anyone conducting business with the County or seeking to do business with the County;
* Refusal or failure to submit to a drug test as required;
* Failing an alcohol or drug test in violation of the County's Fitness for Duty Policy;
* Manufacturing, using, selling, distributing, or transporting of a controlled substance or illicit drugs on County time or County property;
* Possession of a firearm, explosives, or other dangerous weapons on County premises or while engaged in County business on County time without proper authorization;
* Performing an act which constitutes a felony under the laws of the United States, the State of Ohio or the jurisdiction in which the act was committed;
* Disregarding safety or security regulations that result in serious physical harm or major property loss or damage;
* Failing to report to work for three consecutive scheduled work days without notification and without prior approval;
* Making an unwelcome, uninvited sexual advance or request for a sexual favor, especially of a subordinate, a vendor or a customer, and/or touching someone else if it is unwelcome and uninvited.
* Engaging in a pattern of behavior which creates a sexually hostile, intimidating, or offensive work environment. Examples of prohibited behavior include displaying sexually offensive posters, photographs, signs, or objects, calling co-workers affectionate or demeaning names, commenting on their bodies or touching them without cause, invitation or consent;
* Committing any other act, or failing to act, which constitutes gross incompetence, inefficiency, dishonesty, neglect of duty, immoral conduct, insubordination, discourteous treatment of the public, failure of good behavior, misfeasance, malfeasance, or nonfeasance (OCR 124.34);
* Being convicted of a felony within the meaning of R.C. 124.34, even if prior discipline has been issued for the underlying conduct.
* Wanton or willful neglect in the performance of assigned duties or in the care, use, or custody of any County or department/agency property or equipment;
* Signing or altering other employee's time cards, or unauthorized altering of own time card;
* Falsifying testimony when accident or complaints are being investigated; falsifying or assisting in falsifying or destroying any department/agency records, including work performance reports;
* Giving false information or withholding pertinent information in an employment application or process;
* Making false claims or misrepresentation in an attempt to obtain any Employer-provided benefit;
* Theft or concealment of department/agency property or of other employees;
* Fighting, striking, physically assaulting or attempting to injure other employees, supervisors, other persons, or the public;
* Knowingly concealing a communicable disease which may endanger other employees;
| Policy: Discipline | | Section: Work Rules | Number: 7.025 |
|---|---|---|---|
| Issued: 09/17/07 | Reviewed/Revised: | | Page #: 12 of 12 |
* Dishonesty or any dishonest action. Some examples of what is meant by "dishonesty" or "dishonest action" are: theft; pilfering; opening desks assigned to other employees without authorization; theft and pilfering through lunch boxes, tool kits, or other property of the department/agency or other employees without authorization; making false statements to secure an excused absence or to justify an absence or tardiness; making or causing to be made inaccurate or false reports concerning any absence from work. The foregoing are examples only and do not limit the terms "dishonest" or "dishonest action";
* Insubordination by refusing to perform assigned work to comply with written or verbal instruction of the supervisors and/or Appointing Authority.
* Sleeping on the job and such action creates a life threatening situation for a co-worker and/or member of the general public;
Medina County Commissioners
DISCIPLINARY/COUNSELING REPORT
Name: ______________________
Dept.: _____________________ Date: _______
Time of Meeting: ________________
AM PM
ACTION:
Counseling Verbal Warning Written Warning Suspension: _____ # Days Termination
List date(s) of previous counseling or disciplinary action(s) and attach copies of previous actions which this report is based upon:
___________________________________________________________________________________
DESCRIPTION OF ISSUE (Attach additional comments if more space is required):
___________________________________________________________________________________ ___________________________________________________________________________________ ___________________________________________________________________________________ ___________________________________________________________________________________ ___________________________________________________________________________________ ___________________________________________________________________________________ ___________________________________________________________________________________ ___________________________________________________________________________________
Further violation of Medina County policies will result in additional disciplinary action up to and including removal. By signing below you acknowledge you have received this notice.
Employee: _______________________________________________ Date: __________
Supervisor: ______________________________________________ Date: __________
Witness: ________________________________________________ Date: __________
Copy Distribution:
1. Human Resources
2. Department file
3. Employee
Month Date, Year
(Indicate method of delivery)
Sent by Regular and Certified Mail
------------------------
Hand Delivered to Employee
Employee Name 1123 Anywhere Drive Old Towne, Ohio 12345
Dear ___________________;
This letter shall serve as notification that your director has recommended to the Medina County Board of Commissioners that you (select one) receive a ______ day suspension without pay | be removed for __________________________________.
In accordance with the Personnel Handbook, you will be afforded a pre-disciplinary conference to present information about the facts underlying the proposed discipline. This conference has been scheduled for _________________ (day & date) at ____________ (time) to be conducted in ____________________ (location).
At this conference you may present oral or written statements about the facts underlying the proposed discipline. Additionally, you may have an attorney or another employee present to serve as your representative during this meeting. You may present a witness or witnesses to offer testimony on your behalf. All witnesses are expected to be truthful in their statements and failure to do so may encumber these proceedings.
I will take the information presented under advisement and consideration and, following the conference, submit my written decision to you and your director within five (5) workdays. Moreover, and absent extenuating circumstances, your failure to attend will result in waiver of said conference. You also have the right to waive this conference by completing and returning the attached form to me no later than 4:30 p.m., on __________ (month date, year – usually 24 hours prior to date of hearing).
If you have any questions regarding this process, please feel free to contact me at _____________________ (phone number of hearing officer). Sincerely,
_______________________
Hearing Officer
cc: File
Medina County Commissioners
PRE-DISCIPLINARY CONFERENCE WAIVER
I hereby waive my right to the pre-disciplinary conference which had been scheduled for _________________________________. I have been advised of my right to the conference and it is my free act and deed to waive this right.
_________________________________
__________________
Employee Signature
Date
_________________________________
__________________
Witness
Date
|
Site-based Hoisting Devices Operating Over a Public Road Application
Under Section 68, Local Government Act 1993 and Section 138, Roads Act 1993
About this form
This application form must be used when applying to undertake hoisting activity and/or operation on, over or above a public road (roadway and / or footway) using, for example, the following types of site-based hoisting equipment:
- Site-installed cranes - including any part of a crane that slews or luffs over a public road
- Personnel and materials hoists
- Mast climbing work platforms and suspended scaffold (swinging stages)
-
Building maintenance unit (BMU)
Notes: For hoisting activity using mobile devices use the Mobile Hoisting Devices Operating from a Road/Footway Application form.
To renew a permit for site-based hoisting devices use the Site-based Hoisting Devices Operating Over a Public Road Renewal Application form
How to complete this form
1. Ensure that all fields have been filled out correctly before submitting the application.
2. All documentation as listed in the Applicant Checklist (Part 7) must be submitted. Failure to provide the required information may result in the application not being accepted and/or delay processing.
Part 1: Type of application
Please tick one of the following options:
New Amendment to existing permit
Permit numberB/
Part 2: Site details
Street number
Street name
Suburb name
Building name (if known)
Lot number
DP/SP
Part 3: Applicant details (crane or equipment hire company, property owner, builder/contractor)
Applicant's address
Business or Company name
Family name
Given name/s
Title
Postal address (if different from above)
Email address
Business phone number
Site contact number
Site contact name
Part 4: Public Liability Insurance
Name of insurance provider:
To
Cover: From
Part 5: Type of equipment to be used (please tick the appropriate box)
Crane
Suspended scaffold (swinging stage)
Mast-climbing work platform
Materials hoist
Personnel hoist
Other
Please specify type of device:
Application fee: $373.00
Building maintenance unit (BMU)
Part 6: Hoisting activity details
Location (street name or building frontage/s) from which hoisting will take place: b.
Please give a brief description of the hoisting activity and equipment to be used (equipment name / type, size and other relevant information - see also Part 7): a.
Expected completion (date):
Commencement (date):
Period of hoisting activity: f.
Type/s of material/equipment/personnel to be hoisted: e.
Roads over which any part of the hoisting device will operate including slewing, luffing and wind vaning. d.
Length (m) of road or building frontage over which hoisting will take place c.
:
Please provide the approval reference number:
Yes
No
Will hoisting activity be undertaken from an approved works zone on the roadway? g.
Please provide the Permit number: B/
Yes
No
Has an approval (Permit) for a Type B hoarding adjoining the hoisting/works zone been approved? h.
Will the hoisting device (on-site crane) be mounted or fixed to a concrete footing? i.
Yes
No
Yes
No
If yes, has a construction certificate been obtained for the footing?
Please provide the certificate reference number here:
Please provide the accredited certifier's name here:
The City requires public liability insurance of at least $20 million. The applicant must be named in the Policy as the insured person/ company. A copy of the current Public Liability Insurance Certificate must be supplied with the application.
Part 6: Hoisting activity details... continued
Council requires a copy of the approval letter.
For cranes which will intrude into prescribed airspace, has approval been granted under the Airports (Protection of Airspace) Regulations 1996 by the Department of Infrastructure and Regional Development? j.
No
Yes
Please provide a reference number of the approval:
Have you attached a copy to this application?
No
Yes
k. Are you planning to install cantilevered materials landing platforms on the building facade in association with any crane hoisting activity where the platforms will overhang the road reservation (roadway and/or footway)?
No
Yes
If yes, you will need to seek and obtain a separate approval under the Roads Act 1993 and Local Government Act 1993 using a Temporary Structures Application form.
You will need to obtain your own access agreement with each affected landowner over which the device will operate or swing. Council does not play a role in obtaining these agreements affecting private land. You should commence this process early in the site establishment stages to ensure that there are no delays in commencing the proposed hoisting activity. Note: In issuing an approval to hoist over a public road Council has no statutory obligation to ensure that access agreements with private landowners have been obtained.
Yes
No
Will any part of the hoisting device lift, swing, vane, luff or slew over private land or Council land other than roads? l.
Part 7: Applicant checklist
A site plan to a scale of 1:100 (smaller scale permitted for large sites) showing the location of the hoisting equipment on the site or on the building, the area on the roadway from which material will be hoisted over and where a crane is proposed, a drawing showing the slewing and/or luffing radius over roadways and surrounding properties.
Drawings and details (plan, elevation sections etc.).
The following information has been provided to enable the application to be processed:
For a building maintenance unit, photographs of the device.
Where crane intrusions will occur into the Sydney Airport airspace zones, evidence of approval from the Department of Infrastructure and Regional Development must be provided.
A copy of the applicant's current Public Liability Insurance Policy with a minimum cover of $20 million indemnifying the City of Sydney Council.
Where a hoisting device is mounted/fixed to a concrete footing, a copy of the construction certificate approval for the footing and anchorage connections including structural design certification (see note 2).
Equipment specifications and details. Note: After installation of the device, a certificate from an appropriately qualified person issued under Section 93 of the Local Government Act 1993 (see note 2) must be provided.
Where proposing to undertake hoisting activity in the vicinity of street trees, particularly near tree canopies, Council will require a report from a qualified arborist reporting on the condition of the trees and any recommendations regarding required trimming and/or tree maintenance and periodic inspections to be undertaken throughout the duration of the hoisting activity.
Applicant's name (please print)
Applicant's Signature
Date
I declare that all information in the application and checklist is to the best of my knowledge, true and correct and the data is not corrupted or does not contain any viruses. Each plan and document is supplied as a PDF file no larger than 300MB and is named in accordance with the Building Certification digital file requirements, available on the City of Sydney website. I understand that information provided may be publicly available.
Part 8: ApplicaDeclaration
Information relating to hoisting activity and public safety
The approval of hoisting activity over a public road (roadway and/or footway) is regulated through the Local Government Act 1993 and the Roads Act 1993 including associated Regulations. Any approval granted for this activity does not endorse or approve the design or structural adequacy of a hoisting device, system or operation for the purposes of satisfying a person's responsibilities under the Work Health and Safety Act 2011 and regulations including the provisions of Clauses 34, 35, 54, 55 and 235 of the Work Health and Safety Regulation 2011 (see below)
The Work Health and Safety Regulation 2017
Clause 34: Duty to identify hazards
A duty holder, in managing risks to health and safety must identify reasonably foreseeable hazards that could give rise to risks to health and safety.
Clause 35: Managing risks to health and safety
A duty holder, in managing risks to health and safety must:
a) eliminate risks to health and safety so far as is reasonably practicable, and
b) if it is not reasonably practicable to eliminate risks to health and safety - minimise those risks so far as is reasonably practicable.
Clause 54: Management of risk of falling objects
A person conducting a business or undertaking at a workplace must manage, in accordance with Part 3.1 risks to health and safety associated with an object falling on a person if the falling object is reasonably likely to injure the person. Note: WHS Act - section 19 (see clause 9).
Clause 55: Minimising risk associated with falling objects
1) This clause applies if it is not reasonably practicable to eliminate the risk referred to in clause 54.
2) The person conducting the business or undertaking at a workplace must minimise the risk of an object falling on a person by providing adequate protection against the risk in accordance with this clause. Maximum penalty: (a) in the case of an individual - $6,000 or (b) in the case of a body corporate - $30,000.
3) The person provides adequate protection against the risk if the person provides and maintains a safe system of work including:
a) preventing an object from falling freely, so far as is reasonably practicable, or
b) if it is not reasonably practicable to prevent an object from falling freely - providing, so far as is reasonably practicable, a system to arrest the fall of a falling object.
Examples:
1) Providing a secure barrier:
2) Providing a safe means of raising and lowering objects:
Clause 235: Major inspection of registered mobile cranes and tower cranes
1) This clause applies to the person with management or control of a registered mobile crane or tower crane at a workplace.
2) The person must ensure that the maintenance, inspection and, if necessary, testing of the crane is carried out by a competent person.
Maximum penalty:
a) in the case of an individual - $3,600 or
b) in the case of a body corporate - $18,000.
Information relating to hoisting activity and public safety... continued
3) The person must ensure that the crane is inspected:
a) at the end of the design life recommended by the manufacturer for the crane, or
b) if there is no manufacturer's recommendations in accordance with the recommendations of a competent person, or
c) if it is not reasonably practicable to comply with paragraph (a) or (b), every 10 years from the date that the crane was commissioned or first registered, whichever occurred first.
Maximum penalty:
a) in the case of an individual - $3,600, or
b) in the case of a body corporate - 18,000.
4) In this clause , a competent person is a person who:
a) either:
(i) has the skills, qualifications, competence and experience to inspect the plant, and
(ii) is registered under a law that provides for the registration of professional engineers, or
b) is determined by the regulator to be a competent person.
5) The regulation may, on the application of a person, make a determination in relation to the person for the purposes of subclause (4) (b) if the regulator considers that exceptional circumstances exist.
Lodgement Details
You can lodge the completed application by:
EMAIL:
email@example.com
Email the completed form and supporting documents. If your files are over 25MB please email the completed form only and we will contact you for the supporting documents and required fees.
WHAT NOW:
For further information regarding your application please contact us by:
TELEPHONE: (02) 9265 9333
WEBSITE: www.cityofsydney.nsw.gov.au
Privacy & Personal Information Protection Notice
Purpose of collection:
This information is being collected for the purpose of assessing and determining applications for the operation of hoisting devices over a public road in the Council area (Council Land) as required under Section 68/94 of the Local Government Act 1993 and Section 138/139 of the Roads Act 1993.
Intended recipients: Supply:
City of Sydney employees. Any approved contractors required to provide this service.
The supply of this information is required by law. If you are unwilling to provide this information, the City of Sydney may be unable to provide access to City of Sydney services.
Access/Correction:
Please contact Customer Service on 02 9265 9333 or at firstname.lastname@example.org to access or correct your personal information.
Storage:
The City Planning, Development and Transport Unit at the City of Sydney, located at 456 Kent Street, Sydney NSW 2000, is collecting this information and the City of Sydney will store it securely.
Other uses:
The City of Sydney will use your personal information for the purpose for which it was collected and may use it as is necessary for the exercise of other functions.
For further details on how the City of Sydney manages personal information, please refer to our Privacy Management Plan (https:// www.cityofsydney.nsw.gov.au/policies/privacy-management-plan).
Notes for completing the Site-based Hoisting Devices Operating Over a Public Road Application
Note 1
Digital File requirements
- All plans and documents, including the application form must be submitted in digital format.
- Each group of plan types, e.g. site plan, floor plans, sections, elevations and documents must be supplied as separate PDF files, not larger than 300MB in size and be named in accordance with the Building Certification digital file requirements, available on the City of Sydney website.
- Digital files must be virus free.
As all information provided may be publicly available, personal information including credit card details must NOT be emailed to council.
Note 2
Section 93 Certification by qualified persons (Local Government Act 1993)
(1) A council or the Minister may be satisfied that:
(a) a particular design, material, process or product complies with a criterion for approval, or
(b) an activity has been carried out in compliance with an approval, by relying on a certificate to that effect from an appropriately qualified person.
(2) A certificate relating to a particular design, material, process or product must specify the particular criterion with which the design, material, process or product complies.
(3) The council or the Minister must rely on such a certificate if it is from an appropriately qualified person and is furnished by a public authority.
NOTE: Sections 92 and 93 specify circumstances in which a council does not have to form an independent judgement about some aspect of an activity for which approval is being sought, but may rely on an accreditation or certification of a competent person.
A component, process or design relating to an activity may be accredited in accordance with the procedure set out in Division 5 of this Part.
Section 732 exempts a council, councillor or employee of a council from liability that would otherwise be incurred as a consequence of relying on an accreditation or certification.
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101 BASICS SERIES DEVICENET Cutler-Hammer. 1 DEVICENET Welcome to Module 26, which is about DeviceNet™, a communication protocol that allows individual devices (starters, photoelectric sensors, scanners, etc.) to communicate with the network controller. DeviceNet users may choose either
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101 BASICS SERIES FUNDAMENTALS OF ELECTRICAL DISTRIBUTION Cutler-Hammer. 1 FUNDAMENTALS OF ELECTRICAL DISTRIBUTION ... Like the other modules in this series, this one presents small, manageable sections of new material followed by a series of questions about that material. Study the
101 BASICS SERIES FUNDAMENTALS OF ELECTRICAL DISTRIBUTION 101 BASICS SERIES POWER MANAGEMENT Cutler-Hammer. 1 POWER MANAGEMENT Welcome to Module 15, which discusses the importance of Power Management. Power Management is important to our customers because it 1) Saves money, 2) Helps them produce a quality product, 3) Protects equipment and personnel while
There is a growing need in both industrial and academic research to obtain accurate quantitative results from continuous wave (CW) electron paramagnetic resonance (EPR) experiments. This book describes various sample-related, instrument-related and softwarerelated aspects of obtaining quantitative results from EPR expe- ments. Some speci?c items to be discussed include: selection of a reference standard, resonator considerations (Q, B ,B ), power saturation, sample position- 1 m ing, and ?nally, the blending of all the factors together to provide a calculation model for obtaining an accurate spin concentration of a sample. This book might, at ?rst glance, appear to be a step back from some of the more advanced pulsed methods discussed in recent EPR texts, but actually quantitative "routine CW EPR" is a challenging technique, and requires a thorough understa- ing of the spectrometer and the spin system. Quantitation of CW EPR can be subdivided into two main categories: (1) intensity and (2) magnetic ?eld/mic- wave frequency measurement. Intensity is important for spin counting. Both re- tive intensity quantitation of EPR samples and their absolute spin concentration of samples are often of interest. This information is important for kinetics, mechanism elucidation, and commercial applications where EPR serves as a detection system for free radicals produced in an industrial process. It is also important for the study of magnetic properties. Magnetic ?eld/microwave frequency is important for g and nuclear hyper?ne coupling measurements that re?ect the electronic structure of the radicals or metal ions.
This work has been selected by scholars as being culturally important, and is part of the knowledge base of civilization as we know it. This work was reproduced from the original artifact, and remains as true to the original work as possible. Therefore, you will see the original copyright references, library stamps (as most of these works have been housed in our most important libraries around the world), and other notations in the work. This work is in the public domain in the United States of America, and possibly other nations. Within the United States, you may freely copy and distribute this work, as no entity (individual or corporate) has a copyright on the body of the work. As a reproduction of a historical artifact, this work may contain missing or blurred pages, poor pictures, errant marks, etc. Scholars believe, and we concur, that this work is important enough to be preserved, reproduced, and made generally available to the public. We appreciate your support of the preservation process, and thank you for being an important part of keeping this knowledge alive and relevant.
Welcome to a world where there is no darkness. A world of awe, delight, fun, love, humour and adventure but one day darkness comes along saying dark is good because In order for the light to shine so brightly, the darkness must be present. Follow the adventure as light and dark battle it out. Will the earth ever be the same again?
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When her 1912 story collection, Mrs. Spring Fragrance, was rescued from obscurity in the 1990s, scholars were quick to celebrate Sui Sin Far as a pioneering chronicler of Asian American Chinatowns. Newly discovered works, however, reveal that Edith Eaton (1865‒1914) published on a wide variety of subjects ‒ and under numerous pseudonyms ‒ in Canada and Jamaica for a decade before she began writing Chinatown fiction signed "Sui Sin Far" for US magazines. Born in England to a Chinese mother and a British father, and raised in Montreal, Edith Eaton is a complex transnational writer whose expanded oeuvre demands reconsideration. Becoming Sui Sin Far collects and contextualizes seventy of Eaton's early works, most of which have not been republished since they first appeared in turn-of-the-century periodicals. These works of fiction and journalism, in diverse styles and from a variety of perspectives, document Eaton's early career as a short story writer, "stunt-girl" journalist, ethnographer, political commentator, and travel writer. Showcasing her playful humour, savage wit, and deep sympathy, the texts included in this volume assert a significant place for Eaton in North American literary history. Mary Chapman's introduction provides an insightful and readable overview of Eaton's transnational career.
The volume also includes an expanded bibliography that lists over two hundred and sixty works attributed to Eaton, a detailed biographical timeline, and a newly discovered interview with Eaton from the year in which she first adopted the orientalist pseudonym for which she is best known. Becoming Sui Sin Far significantly expands our understanding of the themes and topics that defined Eaton's oeuvre and will interest scholars and students of Canadian, American, Asian North American, and ethnic literatures and history.
Excerpts from diaries, letters, newspaper stories, color photographs, and interviews with survivors of the shipwrecked Titanic and their relatives highlight the role and treatment of women and children in the tragedy. 15,000 first printing.
The fundamental mathematical tools needed to understand machine learning include linear algebra, analytic geometry, matrix decompositions, vector calculus, optimization, probability and statistics. These topics are traditionally taught in disparate courses, making it hard for data science or computer science students, or professionals, to efficiently learn the mathematics. This self-contained textbook bridges the gap between mathematical and machine learning texts, introducing the mathematical concepts with a minimum of prerequisites. It uses these concepts to derive four central machine learning methods: linear regression, principal component analysis, Gaussian mixture models and support vector machines. For students and others with a mathematical background, these derivations provide a starting point to machine learning texts. For those learning the mathematics for the first time, the methods help build intuition and practical experience with applying
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Working Bakhtin's Body
A Dialogue on Critical Qualitative Research in Education
Aaron M. Kuntz and Ryan Evely Gildersleeve
(Each author contributed equally to the work presented herein. We have elected an egalitarian authorship rotation across our multiple research products. Coordinating author: Aaron M. Kuntz.)
Abstract In this article we critically examine the use of embodiment in education research and illustrate how analyses of embodiment within education reframe persistent educational problems in productive, actionable ways. We juxtapose embodied analyses with traditional analyses of speech by interrogating Bakhtin's notions of the body and dialogue, each of which departs from dominant modes of analysis in education research. We purposefully read Bakhtinian notions of the grotesque through a Deleuzian frame of the body as force, as always in excess of representation. We approach the knowledge-construction process in dialogue, situating our work around Bakhtin within Bakhtin's work itself. Through problematizing traditional dialectical and body-less notions of education research we illustrate how educational problems and research practices seeking to understand embodiment might be reframed and reconceptualized, through a dialogic process between the two authors. Cumulatively, we hope that our dialogue will promote understanding of how bodies matter in education research through dialogic knowledge construction.
The unfinished and open body…is not separated from the world by clearly defined boundaries; it is blended with the world, with objects. It is cosmic.
—Mikhail Bakhtin, Rabelais and His World, pp. 26–27
The eternal truth of the event is grasped only if the event is also inscribed in the flesh.
—Gilles Deleuze, The Logic of Sense, p. 161
AK: This all calls to mind a line in our QI dialogue (Gildersleeve & Kuntz, 2011) where you talked about migrant students knowing elements of educational reality "in their bodies." How might recognition of the grotesque provide access to elements of embodied experience/place/
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knowing that otherwise might go unrealized? How might embodied dialogues change how we view what it means to connect, to interconnect, to affect one another?
RG: I think many of these embodied knowings require us to honor the experiences of participants in ways we might not be used to. For example, I remember one ethnographic encounter with three migrant students in the Imperial Valley of California—right along the border with Mexico. Well, one of the students, Renaldo, recently began working under-the-table at a gymnastics studio (he's undocumented). He brought all of us over there to play around a bit. Now, I'm no gymnast. And I'm at least 10 years older than these students. So, there was a sense of fear and a necessity of trust when it came to playing around. But I really wanted to, because it was clearly an important piece of this student's negotiation of identities. I, and the other two students, gave into our trust rather than our fears and allowed Renaldo to assist us in flipping over the uneven bars, bouncing on the balance beam, and just plain jumping into (and climbing out of) a huge pool of sponges. I needed Renaldo's help—his hands on me—to accomplish any of this. And in coming to know Renaldo's hands on me, I also came to know more of how he engages in this activity, which helped make a whole lot more sense of how it matters in his negotiations of identity.
AK: How so?
RG: Well, getting back to your question, I suppose it was the grotesque forming in that contact zone of Renaldo's hands on my body. His touch was firm and authoritative, yet flexible and comforting to me. I had a new, and corporeal, understanding of how important his job at the gym had become to him. I also could recognize, and know in my body, new expertise that Renaldo had developed. Whereas before, all I knew was that he really enjoyed being a cheerleader while in high school, and that he liked the tumbling that he got to do as part of the squad. But back to the grotesque—in that moment, neither of our bodies are contained, but rather, drawing from and citing multiple other texts in order to make sense of our surroundings—to become part of the gymnasium and have the gymnasium part of us. My experience draws from and cites experiences of his corporeal presence, and vice-versa.
AK: I really appreciate this example, but I think it might be more complex than what you're allowing. Specifically, I think the term corporeal might reify a dichotomy between the mind and the body that the grotesque just doesn't support. Remember, the grotesque offers us an understanding of body as unfinished and resisting permanence—acting from its emplacement, to
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borrow from Rose (2002). So, I don't disagree with any of your analysis, but I think the bodies you speak of were constituted with the gymnasium and both you and Renaldo were citing or referencing selves (bodies) that had been constituted through other emplacements.
RG: Well, then I think you just hit on another piece of the puzzle from your original questions. Recognizing the grotesque assists us in analyzing the spatial subjectivities that we engage in and that influence our understandings. What do you think?
AK: When Bakhtin discusses the grotesque body he emphasizes its magnified interaction with its immediate material surroundings. That is, when the body is literally magnified it might be seen as more porous than not, more interactive with surrounding environments. Magnified skin shows pores that secrete oil and sweat even as they take in air, perhaps even becoming clogged with microscopic particles of dust and the like. This grotesque body resists static definition—the lines that demarcate the boundaries of the body are no longer distinct. Our grotesque bodies merge with the world in which we live. It is only when we allow ourselves to be understood from a distanced perspective that we return to rigid definition; our bodily lines returning to artificially separate ourselves from our material contexts.
RG: So in the moment that Renaldo's hands were placed on my body, could we argue that our selves were constituted by our emplacements in/outside of the gymnasium separately and together, simultaneously? I mean, in one citation, I'm a queer dude who used to be totally hot and the envy of men gay, straight or anything else. In fact, that was largely how Renaldo "read" me when we first met and began our critical (ethnographic) engagement together five years ago. But now I'm more handsome than hot, and men envy me for the enjoyment I derive from my marriage rather than my sexual exploits. While, in another citation, I'm the guy that's been available—even eager—to listen to Renaldo whenever he wanted to share something about school, friends, girls, family, or whatever—someone that he trusted and knew wouldn't judge him. And these are only two of the citations going on—two that I can readily identify because there are social scripts available to name them.
AK: Yes, there is an element of the erotic within the grotesque. Bakhtin points to the grotesque as a means, I think, for recognizing the transgressive—the body cannot be contained, it does not easily adhere to the normative requirements of constraint, control, and containment. Here, too, we find parallels with the
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erotic—in education we rarely recognize our bodies (certainly we rarely recognize the grotesque body), and we shy away from the erotic. The same might be said for educational inquiry. There is a fear here, I think, for what might become of such things—our grotesqueness, our erotic connections—if they exceed our capacity to know them, to control or contain them. Certainly social critics such as bell hooks (1994) have pointed to the political potential of the erotic in education. Here, the erotic has a connective function, bridging the confected divide between knowing and doing and, through such bridging, becomes a mechanism for social justice. Similarly, as you've noted in your encounter with Renaldo, your bodies intersect and boundaries blur. Similarly, your readings (even renderings) of the encounter might intersect and blur. Your encounter is grotesque and erotic, in the Bakhtinian sense, I suppose. The question becomes how we learn to recognize or even interpret such encounters. All too often within the realm of inquiry, we sterilize such encounters and default to interpretations based on some linguistic interpretation of 'data.'
RG: But I digress. These historical citations become magnified in the moment that Renaldo helps me move my body over and between the uneven bars. When his hands are placed on my back, my legs, well, we each constitute new bodies in that moment, transmitting knowledge through the magnification of our connection within the gymnasium—a space that permitted this intimacy by demanding it for my safety. I mean, in that moment, his hands are part of my backside. My body's movement is an extension of his expertise. Yet, only from an acceptable distancing can I articulate the learning that took place, for my part.
AK: This "acceptable distancing" is, I think interesting. In one sense you might claim a need to remove yourself from the experience in order to best understand it—to extend out, away from the porous interactions that are your encounters. "Making sense" might thus be some move away from the grotesque, a shift to distancing in order to enable some element of articulation. And I wonder what is lost in such distancing endeavors, what are the consequences of such actions? I ask this primarily because I don't yet know how to move in the other direction, how to engage in critical inquiry that doesn't distance, that dwells in
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the grotesque, that articulates through (within) the mess of the local, the mess of the grotesque. Brian Massumi (2002) would, I suppose, point to the work of Deleuze and his subsequent emphasis on affect, as well as the lines of flight that extend out of affective responses.
AK: What is interesting, I think, about this magnified/distanced perspective is that the proper distance must be maintained in order to continue our constructed separation from the "outside" world. This is to say, if we magnify the body we see its "grotesque" interaction and lack of differentiation from the material world. If we zoom too far out, we lose our individualness, becoming understood as an element of "population," another statistic, as it were (Foucault comments on this in relation to biopower, I believe).
RG: Yes (re: Foucault), but I believe Foucault's notions of biopower are more closely aligned with his ideas around governmentality and the production of particular kinds of bodies that can only operate in particular kinds of ways. For example, black bodies in the United States have been produced through social institutions such as legislatures, judiciaries, and education, to more easily find ways into prisons than colleges and universities. 1 Foucault's interest lie more in the material production of bodies from institutions than in the interaction of bodies and material environment, I believe.
AK: Absolutely. Yet Foucault's notion of biopower and governmentality never fully leave behind the material—bodies are both materially situated and discursively known. So, Foucault offers the notion of biopower, a concept which brings together concepts of discipline and biopolitics, both individualizing and massifying respectively. 2 This relates to your earlier conception, I think, of Renaldo's hands on you as you negotiate the uneven bars. This moment calls forth both individualizing and massifying narratives. And those narratives never fully absent our bodies, even though our analyses most often pass over our bodily selves. Foucault then, for example, discusses notions of "state racism" that extend out of biopower formations. Here, bodies are read in terms of populations, which might be manipulated to produce affects on the level of both the individual and population. What happens to the grotesque body in such a scenario? The individual becomes subsumed to population, a series of state strategies that read bodies/populations according to economic determinations of logic and structure.
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RG: And, dare I suggest, the role of critical inquiry could be to carnivalize such state readings? Through, perhaps, recognition and privileging of the grotesque body? Let's come back to this thought. I want to hear more about working through our bodies and dialogue.
AK: In any event, there thus exists an ongoing tension in order to maintain our separate-ness from the material world—we must read ourselves from the proper distance in order to allow for conceptions of the closed self, the contained subject. Bakhtin's grotesque body, obviously, doesn't allow for such a tension; it disrupts the strategies of not-too-far but not-too-close distancing that we have relied on for some time now. There is nothing "neat" or tidy about the body, nor its interaction with the material world. Bakhtin takes the time to interpret the literature of Rabelais, I think, because his characters are so large and magnified that they lose a degree of distinction—even a distinction unto themselves. Not sure if this makes sense, but when you zoom in on the skin, as I mentioned above, you might see it as orifice-like, the skin acting (even looking) like the nostril or the ear. This body is never finished in definition. It only becomes defined through our adherence to Cartesian duality.
RG: So, in a very real sense, our bodies are interlocutors to our experiences of realities. If we forgive ourselves in failing the Cartesian imperative to designate boundaries, might we be able to find new expressions of knowledge? Not to hammer on my gymnastics example, but in zooming in on my in-process-of-becoming body as Renaldo's hands changed shape with my back, we came to know each other in a new unified-yet-unstable truth; we came to know each other as inter-reliant, physically.
AK: So what might this have to do with inquiry? I wonder about our adherence to that not-too-close-but-not-too-far sense of distancing. The amount of energy we put into discerning complete subjectivities, static selves closed off from static environments. There's something almost sterile about it all. When (or how) do we allow the grotesque into our inquiry? What might the grotesque make possible? In short, what are we to do with Bakhtin's body? We can't ignore it, I suppose…
RG: No. You're right. But for me, the trickiest of it all becomes how to describe Bakhtinian bodies? How to indulge in the unified-yet-unstable momentary truth when examining the world via the grotesque? And to be clear, when I deploy the term "unified," by no means do I mean absolute or complete. Rather, unified only in the sense that some kinds of truth have come
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together and generated a new not-fully-whole understanding that is significant to change how we might engage with the social world in our immediate environment as well as in our distanced notions of self.
AK: Unification as intersection perhaps? As productive? I think Bakhtinian bodies resist traditional representations in our research (at least 'traditional' in the sense of positivism and the like). There's a tension, I think, in striving for analysis/representation that does more than simply point to excess and the silencing thereof. How to represent something indeterminately? Maybe this is where we return to dialogue-as-strategy.
RG: I like unification as intersection, and the call to dialogue-asstrategy. Our own dialogues allow us to repair and reframe and recontextualize as our bodies expand and fill spaces differently—as we are emplaced across new subjectivities. If I practice patience as the Buddha teaches, I can concentrate on the moves and turns of dialogue. For, even as Renaldo placed his hands on me in the gymnasium, we continued to talk, but our talk was given different meaning by our corpus. And I think I could only produce my understanding of the gymnasium's significance to Renaldo's life when I allowed myself to read these components (place, bodies, speech) in the grotesque—amalgamated as a giant zoom lens onto our mutually-produced space. But all the while in dialogue with one another and a gazillion others: dialogues before, during, together, and separate from one another, as texts.
AK: Dialogue is forever indeterminate. It also relies on notions of change (working for change even as one is open to change). Yet how does dialogue make possible the grotesque? In our earlier dialogic work I pointed to metaphor as (forever) incompletely representing that which it is designed to replace (a metaphor can never fully be the experience it points to, otherwise it would simply take on the name of that experience). Perhaps the grotesque body and dialogue-as-inquiry intersect at the level of affect…
RG: I know you're pushing me to bring in Deleuze, but here is where I think we must attend to Bakhtin's notions of the carnival and the carnivalesque. As he described in his treatment of Rabelais, the carnival inverts the dominant hierarchy through jokes and satire and comic treatment of the serious. If we make the grotesque body a representation of the world as a carnival then—that is, if we understand it in terms of the carnivalesque, couldn't that expose the absurdities of our
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normative logic around everyday activity? Such as how we generally mystify and demonize the erotic that you mentioned? From the carnivalesque perspective (if that is a possibility), we could see how ridiculous it can be (not must be), to assign the erotic a (Cartesian) connotation? Rather, if understood in carnival, the citations of the erotic can be made known and unknown in perpetuity, allowing us to explore their meanings without fixing them, because each meaning can be made into satire, exposing more of our latent and ridiculous assumptions. But am I treading too closely to nihilism?
AK: I don't think so (in terms of becoming nihilistic). I do wonder if we might take seriously the carnival aspects of critical inquiry (and I do recognize the apparent discord of taking seriously the carnival). This might stem from critical analyses that attend to what happens when we follow normative logic structures or rationalities all the way through; that is, extend such rationalities beyond their moment-ofarticulation. When critical inquiry does this, traditional logic structures fall apart—they become carnivalesque. Thus we might laugh at positivism's fixation on cause-and-effect thinking even as we abhor the fetishization of the economy via neoliberalism.
RG: Alright, so in my erotic carnival with Renaldo's assistance in the gym, and our two friends playing around us, our grotesque bodies infinitely transforming in dialogue with one another and one another's histories and the history of the gym and the histories of undocumented students in education, our unification-atintersection affords me … what?
AK: I don't know … what did you learn?
RG: I'm thinking through "how to analyse" what I've learned. Or how to show it, I suppose. Renaldo's the expert in the moment that he assists me over the uneven bars. But we achieve the feat by our porous grotesqueness satirizing the world outside the gym—a world where I'm a White middle-class professor and Renaldo is an undocumented Latino student struggling to access and persist through higher education. In the moment of our unification-via-intersection, we constitute an awareness of the ridiculousness of the structures that produce our experiences outside the gym (yet forever and always informing our experience inside the gym).
AK: In a sense, we zoom in on the pores of the logic and dwell in its secretions. It's grotesque on multiple levels, though we might hope it is
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productively grotesque. The question then becomes what do we do with these grotesque rationalities? Out of such space, can we contrive alternative logic structures, perhaps a new logic of sense (oops, there's Deleuze again). Bakhtin would have us engage with normative logic structures through madness, I suppose.
RG: I suppose …
The purposes of this article are to critically examine embodiment in education research and illustrate how analyses of embodiment in education might reframe persistent educational problems in productive, actionable ways. We conceive of educational problems broadly, such as educational opportunity for historically marginalized communities, faculty equity concerns in tertiary education, and the generation of knowledge (regimes) in educational settings, assuming that at some level(s) of analysis, bodies are at stake in such persistent concerns within education. We juxtapose interpretations of embodiment with those of speech, by interrogating Bakhtin's notions of the body and dialogue, each of which departs from dominant modes of analysis in education research. Further, we extend Bakhtinian perspectives of the body through Deleuze's (1990) interest in the affective capacities of bodies, the dynamic intersection of bodies within an event. Perhaps oddly, we encounter Bakhtin through Deleuze, making possible a layered engagement with the body; a 'working' of the body that does not seem possible through traditional approaches to scholarship—it requires an indeterminate and performative approach that we find in dialogue. In short, our approach foregrounds understandings of the body as event, as opposed to representation; a focus on what bodies 'do' rather than what bodies 'are.' Bakhtin's grotesque body is one in process, a doing, that resists mere representations and is always in excess of representational acts.
As both the outcome of a dialogic process and an example of that process-inaction, we aim through this article to create an open space for discussions regarding inquiry and embodiment, one that exists without closure or analytic end. 3 Far too often, inquiry manages the body through a distancing mechanism, one that moves away, not through, sense. In response, we hope dialogic interrogations of the grotesque might make available productive spaces for new knowledges and new ways of coming to know. As such, we hope readers gain insight into the productive possibilities of engaging with bodies as lived, and the critical sense-making necessary for such work. In this way, inquiry itself might be lived, not distanced through commonsensical technologies of documentation or otherwise marking bodily experiences in education.
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It remains important to note the contemporary context in which our inquiry into embodiment, the grotesque, and qualitative research seeks to intervene. As has been examined elsewhere (c.f. Couldry, 2010; Lather, 2007), our contemporary time is driven by the normalizing discourses of neoliberalism and its attendant values of hyper-individualism, economically determinant cultural frames, and audit culture. Such 'dangerous discourses' (Lincoln & Cannella, 2004) privilege evidence-based ways of knowing, laying claim to the primacy of the closed and complete individual subject. This logic structure has gained status in educational research, resulting in a vast cottage-industry related to the development of methodological 'best practices' and 'gold standards.' In this article we seek to intervene in such discourses through a strategic emphasis on the fluid body, the becoming subject, and dialogically performative modes of inquiry.
Traditionally, critical educational researchers have relied on dialectical frames (Hegel, 1977) through which to develop, actualize, and interpret their studies, relying heavily on speech acts for units of analysis (Gildersleeve & Kuntz, 2011). Dialectical frames assume there can be a single compromised position from which to assert truth. The dialectical—through its over-emphasis on speech-acts—also foregrounds the representational at the expense of the material. Consequently, educational research at all levels remains dominated by, for example, developmental models of student learning, individual identity construction according to specified timelines and "known" subjectivities (i.e. tenure, on the tenure-track, tenured), and a sense of educational progression that is rendered outside its material effects. These analyses seek a cogent, uniformed alternative to dehumanizing educational processes, yet continue to perpetuate hegemonic structures through their very adherence to logics of the singular, synthesis, and assumed developmental progression. Most often, such scholars fail to address the implications of their very approach to knowledge development, the consequences of the singular narrative, for example, or the inherent limitations of representing the body as closed or fully contained.
More recently, postmodern educational scholars have been influenced by the "performative turn" in cultural studies and have cast a critical eye upon how such dialectical frames overshadow other embodied analyses. As Denzin (2010) argues, "We have simply moved to performance-sensitive ways of knowing, writing and acting, we have moved away from text-centered forms of representation. We are in a different paradigm—pluralistic, performative, political" (p. 37). The performative places an emphasis on doing, as well as the event and, as such, disrupts normative representations of the body, casting the body out of the finitude of body-as-object and towards the possibility of body-as-event. As a consequence, the body-as-event
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resists full representation; not a thing, the body becomes a doing. We seek to understand how turning from the dialectical to the dialogic might afford researchers a more layered, dynamic, and nuanced investigation into processes of learning, particularly through engagements that refuse to absent the body from educational discourse. The dialogic assumes all texts, spoken and embodied, always draw from and contribute to meaning-making available from pluralistic combinations of understanding, such as literary, social, aesthetic, and scientific texts (Bakhtin, 1981; 1986).
For the purposes of our text, we approach the knowledge-construction process in dialogue, situating our work around Bakhtin within Bakhtin's work itself. We problematize traditional dialectical and body-less notions of education research and illustrate how educational concerns and research practices seeking to understand embodiment might be reframed and reconceptualized, through a dialogic process between the two authors. This process relies on a recursive practice of question, response, re-mediation, and repair (in no particular order and illustrated above). To be clear, we work through questions of embodiment and dialogue by illustrating our own dialogue about the body within Bakhtin's work on dialogue. Cumulatively, we hope that our article will promote understanding of how embodiment matters in education research through dialogic knowledge construction.
Within educational inquiry, there remains an all-too-easy and commonsensical refusal of event-full bodies (what bodies do) in favor of representational bodies (what bodies are), an emphasis that draws from Foucault's conception of individuation: "Certain bodies, certain gestures, certain discourse, certain desires, come to be identified and constituted as individuals" (Foucault, 1980, p. 98). Often, this hyper emphasis on representation at the expense of the event is highlighted in the intricate procedures of educational research. We observe—recognize—bodies, gestures, and desires and interpolate them into particularly normalized individuals. We produce a vast array of methods and techniques all aimed at making such individuals visible, knowable to the researcher and reader. To think outside such normative representations requires an alteration to the very logics that undergird such traditional approaches to inquiry. It requires a Bakhtinian shift to the madness of the carnival, a Deleuzian embrace of schizophrenic vision. Both alterations in being—whether they be Bakhtinian or Deleuzian in nature—require an emphasis on the interactive, dialogic event. Indeed, it is through the performative nature of dialogue that new insight might develop, lines of flight newly recognized, mapped, and de-territorialized towards productive ends.
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Theoretical Framework, or Why Bother Bakhtin?
As educators, our interest in Bakhtin departs from the dominant critical engagement with his work. A great deal of Bakhtinian studies in education research obsesses over literacy and language (see for example, Ball & Freedman, 2004). Often these projects seek to inform various critical pedagogies (see, for example, Norton & Toohey, 2004). Bakhtinian studies in education privilege Bakhtin (or Bakhtin-related) concepts of dialogism, authoritative discourse, internally persuasive discourse, and intertextuality, particularly from text and language-driven interests (Matusov, 2007). As illustrated above, our effort here strategically targets Bakhtin's body, namely the grotesque bodies that populate the carnival. Our commitment in this dialogue is to theorizing embodiment as a useful—indeed incumbent—analytic in the critical inquiry of education.
One key element that Bakhtin (1984b) offers notions of embodiment is his work on the grotesque, most notably seen in his commentary on the literary author Rabelais. As Bakhtin writes, "The grotesque body is a body in the act of becoming. It is never finished, never completed; it is continually built, created…. The logic of the grotesque ignores the closed, smooth, and impenetrable surface of the body" (p. 317). In this way, Bakhtin's explication of the grotesque offers an alternative rendering to the body as container. Often, Modernist representations of the body emphasize its containment as well as its distinction from the mind (a la Cartesian duality), and independence from the environment. In this sense, elements of 'culture' emphasize containing or otherwise hiding the body's excesses and maintaining the body as distinct from the natural environment. In Bakhtin's reading, however, the body is never fully contained, never containable. The grotesque body overspills, ontologically. Our fluidity and trans-mingling in porous ways constitutes our being.
It is here that our reading of Bakhtin's body borrows from Deleuze: we read the inability of bodies to be fully contained not to extend from its endlessly proliferating state—its representational excess—but rather the body always extends beyond representational limits, in excess of representation. As such, the body can never be fully represented, yet must be considered as in-process, an event. As Budgeon (2003) notes, "Bodies then can be thought not as objects, upon which culture writes meanings, but as events that are continually in the process of becoming—as multiplicities that are never just found but are made and remade." (p. 50). The ongoing production of bodies-as-multiplicity situates "the body" forever on the periphery, what Deleuze (1990) described as both "an extremely mobile empty place" and "an occupant without a place" (p. 41; original emphasis). Turning to Alice in Wonderland, Deleuze gives
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expression to this infinite absence/excess through the example of Alice's discovery of the "empty shelf." Deleuze's interpretation of Carroll's text is worth quoting at length:
"The most provoking of all" (oddest: the most incomplete, the most disjoined) was that "whenever Alice looked hard at any shelf, to make out exactly what it had on it, that particular shelf was always quite empty, though the others round it were crowded as full as they could hold." How things disappear here, says she finally in a plaintive tone, after having spent about a minute in a vain pursuit of a "large bright thing that looked sometimes like a doll and sometimes like a work-box, and was always in the shelf next above one she was looking at." (p. 41; original emphasis)
The intersection of lack (here the empty shelf) with excess (the overcrowded, always on the periphery shelf) presents the limitations of representation— representations are never complete, never able to fully capture what they seek to contain; they always lack full expression even as they exceed our efforts at representation. This playful contradiction is demonstrated in conceptualizations of the body as always in the act of becoming; never fully contained and always in excess of the representations that seek its full definition. Similarly, the grotesque body dissolves assumed representational boundaries between bodies as well as those very distinctions that denote bodies themselves. Here, Deleuze's event dwells in Bakhtinian notions of the grotesque.
The grotesque emphasizes the interconnection of the body with place—bodies merge with their surroundings, emptying into and pulling from the places in which they are immersed. As Deborah Rose (2002) notes, Bakhtin's interpretation of the body is one that resists permanence even as it is emplaced: "The emplaced ecological self is permeable: place penetrates the body, and the body slips into place" (p. 312). In this sense, the previously atomized notion of the self is expanded—we are not entirely separate from our surroundings, neither discursively nor materially. Our sweat mixes with our clothes, we odor our surroundings. This notion of 'emplacement' is more fluid than sanitized separations of self-other or self-environment. Thus, Bakhtin embraces the grotesque as it centers and highlights the permeability of the body, as well as the inability of cultural norms to adequately contain or fully distinguish the self. We are forever in-relation, penetrating and penetrated; we conspire in the truest sense of the term (to breathe together).
Bakhtin's emphasis on permeable encounters of emplaced bodies is echoed in Deleuze's (1990) assertion of the dynamic interconnected and embodied nature of affect. As Deleuze notes, "Only bodies penetrate each other" (p. 64). As a consequence,
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educational researchers who absent the body or simplistically represent bodies as distinct and contained overlook important affective interactions—encounters that are more than representational, never fully representable, yet remain inscribed on the very flesh of our becoming.
We might pause here to ask what, then, must the inquirer do to engage responsibly with the body in educational research? How might inquiry practices engage with the complexity of embodied events? Affective encounters? What happens when bodies come together in all their grotesque incompleteness? Though such questions can never be fully resolved and inquiry strategies must be locally-situated, we offer the promise of dialogic encounters that resist attempts to claim unified or singular meaning. To this end, we turn next to the productive role of dialogue as a means of inquiry.
Bakhtin's dialogism notes that all voice is multiple-voiced and dynamically situated within history and culture (Dimitriadis & Kamberelis, 2006). Dialogue does not assume permanence or a unified truth to the human endeavor. Dialogue, in this sense opposes monologue—a speech act that holds unified authority. Bakhtinian dialogism has been appropriated by critical educators as foundational to some pedagogies of resistance (Gutiérrez, Rymes, & Larson, 1995; Kamberelis, 2001; Skidmore, 2000) and to inform more critical notions of cognition and learning across a variety of subjects (Lemke, 1990; Lensmire, 1997; Rockwell, 2000). However, most of the work in education remains focused on Bakhtin's contributions to spoken and written text, as if speech acts are divorced from the bodies producing them.
Recognizing the permeable body (the grotesque self) allows for an even more fluid notion of dialogue; dialogue as event. One enters dialogues in places—dialogues are emplaced as much as bodies. Dialogues take place in time and place and this emplacement is both frightening and empowering; refusing isolation, revealing vulnerability, and expanding notions of the self and self-interest (Rose, 2002). Further, Bakhtin's notion of dialogue is of fully embodied (and emplaced) interaction:
To live means to participate in dialogue: to ask questions, to heed, respond, to agree, and so forth. In this dialogue a person contributes wholly and throughout his whole life: with his eyes, lips, hands, soul, spirit, with his whole body and deeds. He invests his entire self in discourse, and this discourse enters into the dialogic fabric of human life, into the world symposium. (Bakhtin, 1984b, p. 293)
Dialogue is fully participatory, a giving over of the self to the immediacy of the event. In addition, dialogue is more than linguistic and, as such, requires more
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from the inquirer than a fixation on coding words from an interview transcript or other overly simplistic presentations of our encounters "in the field." In short, dialogue is performative.
Obviously, Bakhtin's notion of dialogic participation is invested with embodied meaning—"eyes, lips, hands" intermingle with "soul, spirit" made manifest in the "whole body and deeds." Thus, we might critique even contemporary notions of dialogue as they refuse to acknowledge the grotesque, the many ways in which we resist easy sanitation of our bodies.
Finally, notice the embodied language Bakhtin uses to describe the development of an idea:
The idea lives not in one person's isolated individual consciousness—if it remains there only it degenerates and dies. The idea begins to live, to take shape, to develop, to find and renew its verbal expression, to give birth to new ideas, only when it enters into genuine dialogic relationships with other ideas, with the ideas of others. (1984b, pp. 87–88)
Through relationships we grow; dialogic convergence.
Unfortunately, this dialogic conception of "the idea" is rarely recognized in educational discourse—rarer still are instances of educational inquiry that privilege dialogic knowledge building both in content and methodological approach. This is to say that, traditionally, educational research has resisted performative ways of knowing and coming to know. This remains particularly evident when considering the body in educational inquiry.
Exceptions include Cheville's (2006) efforts to incorporate social and spatial semiotics into deeper understanding of how "the human body might be a formative influence on meaning and mind" (p. 29). Drawing on work with college athletes and deep theoretical conceptualization, Cheville argues "a semiotic conception of embodiment bridges cultural and natural planes of activity and welcomes cross-disciplinary questions at the intersections of life, learning, and health" (p. 34). Although, somewhat dismissive of the material qualities of bodies, Cheville points to a need for embodiment to be more deeply theorized for education research, especially as concerned with learning.
Duncum and Springgay (2007) reviewed representations of the body and embodiment in visual arts education, tracing a history of bodies across classical, contemporary, critical, and popular contexts. Through their genealogical analysis and drawing on experiences with youth in visual arts education, Duncumm and Springgay ultimately reject modernist notions of a body that is closed and confined
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to its material shape. Rather, they argue for analyses of the "extreme and the excessive body" (p. 1153): bodies with inherent instability and struggling to contain abjective effluence—the absence of a final desired outcome (Kristeva, 1982). Duncumm and Springgay put forth that the body's 'limits' are not conditions of contamination, violence, or abuse, but a way of knowledge construction that resists structures of domination, systems of codification, and control ….The body is the means by which we produce ourselves, so it becomes crucial that analyses … in education include an understanding of extreme bodies. (pp. 1153–1154)
Duncumma and Springgay, as well as Cheville, still retain some remnants of an autonomous experience of embodiment, and we are uncertain to what extent any autonomy might be afforded between mind-body-culture/society or learningspeaking-practicing/performing. Yet, these examples remain exceptional from the dominant operations in critical education research.
In many ways, education is all about the managing of bodies—the disciplining of bodies to remain still, to be rendered silent and non-disruptive. As such, through a performative dialogue we advocate for an understanding of embodiment as an event and the body as situated within an affective series of endless relationships. As Probyn (2004) notes, quoting Deleuze (1992),
The body here is not a monolithic entity, it is composed of an infinite number of particles, continually arranged and re-arranged in relations of speed and slowness. Crucially, 'a body affects other bodies, or is affected by other bodies; it is this capacity for affecting and being affected that also defines a body in its individuality.' (p.37)
Bodies as capacities, as endlessly relational affective systems, disrupt the traditional assertion of the body as representable. This is body as force—not producing an excess of representation, but rather the body as in excess of traditional representational processes (Massumi, 2002). Thus, the specter of the body-as-force presents a methodological quandary for the intrepid methodologist—how does one communicate the relational event of bodies coming together to conjoin meaning through traditional mechanisms of inquiry? As an alternative, we turn to the performative promise of dialogue.
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Methods, or Modes of Inquiry
In their collective work, hooks and West (1991) offered personal dialogues as an illustration of their analytical process and meaning-making. We follow this tradition as they asserted, "Dialogue speaks more intimately to people's lived realities" (p. 2), and add that dialogue allows us the opportunity to map our analyses in a manner congruent with the theoretical and conceptual framework that critical postmodern theorizations of the body promote.
Our text, excerpted above, operates as a dialogue between the two authors, both in representation but also in its sourcing of understandings from other texts. These texts include formally cited research as well as our collective knowledge from our respective research projects, participants, and daily lives. Each acts upon another, changing what each can mean or be in any given context. Importantly, we hope our texts make contact with readers' texts, each informing the other. In this way, our dialogue seeks to promote a living understanding of embodiment in education research.
In accordance with Bakhtin's notions of dialogue and dialogic process, we have not sought a dialectic understanding of the body. That is, we strive to work against Hegel's (1984) notions that ideologies can be merged in synthesis to create a new compromised tension or understanding. Rather, we engaged in a dialogue that can help achieve, as Bakhtin notes "a deepening with the help of other meanings … deepening through expansion of the remote context" (1986, p. 160). We present our dialogue asynchronously so as to exacerbate our resistance to synthesis and our commitment to a constant rebuilding of understanding—the infinite interpretations available to any symbolic system, according to Bakhtin (1986). Our asynchronous representation—outside of a discrete chronology, but operating from a tenuously chronological endeavor—underscores our commitment to dialogic contact, wherein texts live in contact with other texts, joining these texts to our dialogue. To be clear, we resist the authoritative word.
Evidentiary Sources
Specifically, our dialogue blurs the boundaries between two elements of Bakhtinian interaction: external dialogue (between two people) and internal dialogue (between earlier and later selves). We represent this incessant interplay through the use of indention, wherein one author might respond to his own earlier comments even
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as he responds to the other author's developing interjections. We use two primary evidentiary sources for our dialogue: reflections on our own research projects struggling with embodied analyses and the scholarly literature on embodiment, with an unapologetic privileging of Bakhtin's writings about the body and dialogue. In many respects, our dialogue is an asynchronous chronology of our coming to know the body in Bakhtin's dialogic imagination. One author has incorporated notions of the body and dialogue (Kuntz, 2009) in order to explain how faculty activists in higher education navigate the professoriate. Another author has struggled productively with embodied methods of representation within his ethnographic engagement with Mexican migrant students around educational equity and opportunity (Gildersleeve, 2010). These reflections, as represented in our dialogue, demonstrate and make relational the difficulties and rewards of privileging embodied analyses when traditional methodologies do not recognize or advocate for such a perspective.
Enduring Questions and Future Considerations
Our dialogic engagement of Bakhtin's body leads to two primary lines of enduring questions and future considerations related to embodiment and critical qualitative research in education. First, we suggest that embodied analyses support a more complex contextual understanding of educational problems, but want to probe deeper into how we can communicate embodied understandings to key stakeholders in education. How can current educational infrastructures be transformed to account for matters of the body? Perhaps our dialogue might also cause us to ask the question differently—in what ways are particularly sanitized bodies accounted for and what are the consequences of that accounting? Second, we suggest that embodied analyses afford the opportunity to reframe persistent educational dilemmas in newly productive frameworks. Clearly related, these two lines of thought provoke substantive questions about the contemporary dialectical dominance in educational research. How do students' subjectivities get taken up across bodies in school? How do educators move through embodied spaces of education (e.g., college-going) in pluralistic ways that support democratic participation for all students? How can communities empower themselves to re-center their experiences across educational contexts, via the workings of bodily negotiation?
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Educational Significance
Scholars have already recognized that changes in the economic, cultural, and social organizations of the post- Cold War era have reorganized the meanings of work, civic, and private life in ways difficult to understand from simple and fixed notions of sociality (New London Group, 1996; Apple, 2006). Educational scholars need to push for embodied analyses. Yet, more than simply inserting the body into our educational analyses, we need to do so in a way that disrupts or intervenes within the very rationalities that govern normative (traditionally Cartesian) meaning-making. Like Blackmon and Venn's (2010) work on affect, we seek to "foreground the question of what do we mean when we invoke, examine and enact the body" (p.8). This simultaneous doubling—asking for embodied analyses even as we question what logics pervade or make possible such treatment of the body—is perhaps where Bakhtinian and Deleuzian approaches meet, conspire, and make possible new ways of living in our world.
For Bakhtin (1984b), this is to engage in madness, "because madness makes men look at the world with different eyes, not dimmed by 'normal,' this is commonplace ideas and judgments" (p. 39). For Deleuze (1990), this is to engage in schizophrenic being. Through the grotesque, "commonplace ideas and judgments" are degraded, brought down to earth, and that degradation is endlessly productive: "it is always conceiving" (Bakhtin, 1984b, p. 21). Thus, we might ask what such madness makes possible, how degradation—the bringing to the earth of the commonsensical—alters our processes of critical inquiry. What new methodological possibilities emerge with an emphasis on the grotesque body? Through this article we present dialogue as a necessarily incomplete yet productive engagement with the impact of the body on inquiry. Through dialogue, meaning loses its fixity and we are able to engage in a carnival-like degradation of our conservatively neoliberal times. We hope others take up our dialogue, granting new dimensions to the possibilities of the grotesque in educational research.
Notes
1. See Kim, Losen, & Hewitt (2010) about the school-to-prison pipeline.
2. See Foucault (2003) and Clough (2009).
3. We would like to thank Mirka Koro-Ljundberg, an early reader of this article, for her commentary on these specific points.
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About the Authors
Aaron M. Kuntz is Assistant Professor of Qualitative Research Methods at the University of Alabama. His research interests include critical geography, academic citizenship and activism, materialist methodologies and critical inquiry. Contact information: University of Alabama, Box 870231, Tuscaloosa, AL 35487; 205-348-5675; email@example.com.
Ryan Evely Gildersleeve strives to be a social scient<art>ist while playing the role of Associate Professor at the University of Texas Arlington. His research focuses on educational opportunity and critical inquiry. He is the author of Fracturing Opportunity: Mexican Migrant Students and College-going Literacy (Peter Lang Publishers). He is a graduate of Occidental College.
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INFLUENCE OF ADDING GARLIC AND THYME AND THEIR COMBINATION ON IMMUNE RESPONSE AND SOME BLOOD PARAMETERS IN BROILER
aYasser Jamal Jameel, bAli Ridha Abed, cFateh Oudah Al-Shimmary a&bDepartment of Public Health, College of Veterinary Medicine, University of Kerbala, Kerbala, Iraq cDepartment of Pathology, College of Veterinary Medicine, University of Kerbala, Kerbala, Iraq
ABSTRACT
The World Health Organization estimated that 80% of the earth's inhabitants rely on tradition medicine for their primary health care needs and most of this therapy involves the use of plants (especially herbs). Plant and spices as single compounds or as mixed preparations can play a role in supporting both performance and health status of the animal. The aim of the present study is evaluate of the potential of supplementing broiler's diets with garlic (powder) and Thyme (powder) and mixture of garlic and thyme as feed additive on the immune response against NDV and some blood traits of broilers. 200 day-old broiler chicks (Ross 308) were divided into four treated groups (50 chicks per group) with two replicate per each group (25 chicks per replicate). Dietary treatment included (T1) basal diet only (control group), (T2) fed basal diet with 1% thyme, (T3) fed basal diet with 1% garlic, and (T4) fed basal diet with mixture 1% thyme and 1% garlic. The experiment was extended to 35 days. Traits included in this study were ELIZA antibody titer against ND virus of 15 th , and 30 th day old chicks, RBCs, WBCs, PCV, and Hb. Results revealed that that ELISA antibody titers, total WBCs, total RBCs, PCV, and Hb were increased significantly (p≤0.05) in T4 (chicks fed basal diet suppl emented with 1% thyme and 1% garlic) and T3 (chicks fed basal diet supplemented with 1% garlic) then T2 (chicks fed basal diet supplemented with 1% thyme) respectively as compared with control group at 15 th and 30 th day-old chicks. In conclusion, the results confirmed that supplementing broilers diet with mixture of 1% thyme plus 1% garlic significantly enhanced immune response and blood profile of broiler. These results could be due to interaction between dietary inclusion and synergistic effect of two plants thyme and garlic.
KEYWORDS: Thyme, Garlic, Immune system, Blood parameters, Performance, Broilers, Feed additives.
INTRODUCTION
A number of feed additives including antibiotics have been widely employed in the poultry industry for several decades. A manipulation of gut function and microbial habitat of domestic animal with feed additives has been recognized as an important tool for improving growth performance and feed efficiency (Collington et al., 1990). Volatile oil from thyme (Thymus vulgaris) thymol and carvacrol, a major component isolated from essential oil of the thyme was assessed for antibacterial and antiviral activity as inhibitors of microbial growth (Dorman and Deans, 2000; Najafi and Torki, 2010). Garlic (Allium sativum) is a medicinal herb for prevention and treatment of many diseases (Adibmoradi et al., 2006). It has an antibiotic productive performance when added as a food supplementary in broiler diets, stimulate the immune system, causes quantitative changes of blood leukocytes, enhances digestion, used as growth promoter, increasing body gain, feed intake and feed efficiency (Onibi et al., 2009). Uses of antimicrobial compounds produced by microorganisms have been used in animal rations as growth promoters for many years (Church and Pond, 1988; Barragry and Powers, 1994). Antibiotics affect birds' gut microflora (Botsoglou et al., 2002) and they have been used widely to prevent infections and poultry diseases for the improvement of meat and egg production. However, use of antibiotics is restricted due to drug resistance in bacteria, drug residue in carcass and also alteration of natural gut microflora (CAFA, 1997). Thus, use of antibiotics growth promoters is restricted in many countries around the world (Thakar et al ., 2004). Removing these kinds of growth promoters from broilers' diet result in low growth performance, and less resistance against diseases. Therefore, using other alternatives is being concerned. Several compounds like, enzymes, organic acids, probiotics, prebiotics and phytogenic are used to improve the performance (Patterson and Barkholder, 2003). Recently, aromatic plants, and their associated essential oils or extracts are being concerned as potentially growth promoters. Garlic ( Allium sativum ) has been used as a spice and a native medicine since long ago (Rivlin, 2001). Bioactive components of garlic like sulfur containing compounds (Alliin, Diallylsulfides and Allicin) may be responsible for some specific characteristics of this plant (Amagase, 2001). It has been indicated that these compounds have antibacterial, antifungal, antiparasite, antiviral, antioxidant, antithrombotic, ant cancerous and vasodilator characteristics. Garlic powder as a natural growth promoter can be a potential alternative for common artificial growth promoters like antibiotics and in this respect, it can improve performance and carcass characteristics in broiler chickens (Demir et al ., 2003; Lewis et al ., 2003). Plant extracts and spices as single compounds or as mixed preparations can play a role in
supporting both performance and health status of the animal (Janssen, 1989; Horton et al., 1991; Bakhiet and Adam, 1995; Skrabka Blotnicka et al., 1997; Gill, 2000; Manzanilla et al., 2001). Beneficial effects of herbal extracts or active substances in animal nutrition may include the stimulation of appetite and feed intake, the improvement of endogenous digestive enzyme secretion, activation of immune response and antibacterial, antiviral, antioxidant and antihelminthic actions. The objective of this study was to compare the effects of two commercial plant powders as alternative to antibiotic on immune system, and some blood factors in broiler chickens.
MATERIALS & METHODS
Two hundred day-old unsexed broilers chicks (Ross-308) were bought from a commercial hatchery and were divided randomly and equally into four treated groups (50 chicks per group) with two replicate per each group (25 chicks per replicate). Dietary treatment included (T1)
basal diet only (control group), (T2) fed basal diet with 1% thyme, (T3) fed basal diet with 1% garlic, and (T4) fed basal diet with mixture 1% thyme and 1% garlic. An experiment carried out for 35 days. Traits involved in this study were antibody titer against ND virus of 15 th , 23 th and 32 th day old chicks, RBCs, WBCs, PCV, and Hb.
Rearing program
Experimental design
The chicks were management according to (Aviagen, 2009). Feed and water were provided ad libitum. Two types of diets (starter and finisher) were used over the period of experiment (35 days) (Tables 1). Chicks were vaccinated against Newcastle disease (ND) (B1 strain) and infectious bronchitis at the first day of age by spray. While, all others vaccines were administrated with drinking water which includes ND (Lasota strain) at age 10 days, Gumboro (IBD2) at age 14 days, ND (Lasota strain) at age 20 days and ND (Lasota strain) at age 30 days. Vitamin C was added at the rate of 1gm/liter for 3 days after each vaccination and for duration of 3 days.
TABLE 1: Composition of experimental diets (starter and finisher) according to (NRC)
* Premix produced in Jordan (VAPCO®) which contains: vit A 8000000 IU; vit D3 1500000 IU; vit E 1000 IU; vit K3 2000 mg; vit B1 500 mg; vit B2 500 mg; vit B6 200 mg; vit B12 8 mg; ca pantothenate 400 mg; nicotinamide 6000 mg; folic acid 50 mg; methionine 13 mg; lysine 61 mg; aspartic acid 92 mg; glutamic acid 166 mg; cysteine 1 mg; valine 40 mg; tyrosine 9 mg; glycine 382 mg; arginine 117 mg; leucine 48 mg; phenylalanine 40 mg; Mn sulphate 0.40 gm; zinc sulphate 0.15 gm; iron sulphate 0.50 gm; copper sulphate 0.04 gm; cobalt chloride 0.01 gm.
Estimation of blood parameters
Statistical analysis
Estimation of antibody titer by ELIZA
At day 15 th , and 30 th of age, blood samples from five birds in each replicate randomly were collected from the bronchial vein in a test tube with EDTA anticoagulant. Hematological parameters such as RBCs, WBCs, PCV, Hb, together were determined by routine methods as previously described (Al-Daraji, 2008).
Data generated from experiment was carried out in a complete randomized design (Steel and Torrie, 1980). These data were subjected to ANOVA according to general linear model procedure of SPSS software (SPSS, 2001). The significant differences among means were determined by Duncan's multiple range tests with p ≤ 0.05 level of significance.
On day 35 th of age, blood samples were collected from five birds in each replicate from the bronchial vein in a test tube without anticoagulant. The blood allowed to clot and centrifuged for 10 minutes at 3000 rpm to obtain on serum which stored in deep freeze (-20) until analysis (AlDaraji, 2008). Serum was performed according to the manufacturer's instructions listed in the Proflok ELISA Kit (Synbiotics–USA), which is a rapid serological test for the detection of antibody in chicken serum samples.
RESULTS & DISCUSSION
The effect of supplementation ration with thyme and garlic on antibody titers against ND virus at 15 th and 30 th day-old chicks was presented in (Table 2). Result revealed that antibody titers were increased significantly (p≤0.05), in T4 (chicks fed basal diet supplemented with 1% thyme and 1% garlic) and T3 (chicks fed basal diet supplemented with 1% garlic) then T2 (chicks fed basal diet supplemented with 1% thyme)
respectively as compared with control group at 15 th and 30 th day-old chicks.
TABLE 2: Mean ± standard errors for antibody titers against Newcastle disease of birds during the experimental period
Treatment T1
T2
T3
T4
Means with different letters in the same row differed significantly (P <0.05)
The effect of supplementation ration with thyme and garlic on some blood parameters were presented in (Table 3) and result revealed that RBCs, PCV, Hb, and WBCs were increased significantly (p≤0.05), in T4 (chicks fed basal diet supplemented with 1% thyme and 1% garlic) and T3 (chicks fed basal diet supplemented with 1% garlic) then T2 (chicks fed basal diet supplemented with 1% thyme) respectively as compared with control group.
TABLE 2: Effect of ration supplementation with different levels of fish oil on RBCs, WBCs, PCV and Hb
Means with different letters in the same row differed significantly (P <0.05)
Thymol and carvacrol from (thyme) and allicin from (garlic) are active material in these plants, which are considered as appetizer and stimulating of digestion, in addition to their antimicrobial activity against intestinal bacteria resulting of enhancing health status and growth. Improvement titer of antibody against ND viruses could be due to their relationship between ND vaccine and immunomodulator feed additive (medicinal plant) or present of active ingredients in thyme and garlic. Thymol, carvacrol, allicin could have positive effects on performance and growth of broilers also antibacterial, anticoccidial, antifungal, and antioxidant effects. These growth promoter feed additives relieve the host animal from immune defense during stress and critical situations also arise the intestinal availability for absorption of nutrients and assist the animal to grow better. So that the highest antibody titers were seen significantly (p≤0.05) in T4 (chicks fed basal diet supplemented with 1% thyme and 1% garlic) as compared with other groups at 15 th and 30 th day-old chicks may be due to interaction between dietary inclusion and synergistic effect of two plants thyme and garlic. Josling, (2001) reported that garlic mobilized immune system and empowers the defense ability of the body against infectious organisms. Our results were in agreement with some studies (Jameel, 2008; Al-Kassie and Jameel, 2009; Windisch et al., 2008; Najafi and Torki, 2010; Mansoub and Nezhady, 2011) who reported that these plants improving health status and performance of broiler, in addition to improve antibody titer against ND virus. Garlic has been used for about 50 years as antibiotic growth promoters and to enhance growth performance in poultry (Dibner and Richards, 2005; Demir et al., 2008). Garlic is well known as a spice and herbal medicine for the prevention and treatment of a variety of diseases ranging from infections to heart diseases, antimicrobial activity, anticancer, antioxidant, immunomodulatory, anti-inflammatory, hypoglycemic and cardiovascular- protecting effects (Reuter et al., 1996, Adibmoradi et al., 2006, Javandel , 2008). Garlic stimulates the NK cells (Burger et al ., 1993) and it increases the alkaline-phosphatase enzyme activity (Platel et al ., 2004).
The hematological values obtained in this study indicated that the means of total red blood cells, packed cells volume, total white blood cells and Hb were significantly higher (p≤0.05) in T4 (chicks fed basal diet supplemented with 1% thyme and 1% garlic) then T3 and T2 as compared with control group. These differences could be attribute to interaction between dietary inclusion and synergistic effect of two plants thyme and garlic. Our results were consistent with several researches (Jameel, 2008; Al-Kassie and Jameel, 2009; Al-Kassie, 2009) which reported that using thyme and cinnamon in broilers diet, was significantly increased RBC, HCT, Hb and WBC values as compared with the control group. On the other hand, results of the present study was disagreement with Elagib et al., (2013) who reported that no significant effect (P>0.05) was detected on total red blood cells, packed cells volume, total white blood cells and the differential count of white blood cells including neutrophile, eosinophile, monocytes and lymphocytes. In conclusion, the results suggest that supplementing broilers diet with mixture of 1% thyme plus 1% garlic could enhance the immune response and blood profile of broilers. These effects may be due to interaction between dietary inclusion and synergistic effect of two plants thyme and garlic.
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Al-Daraji, H. J., Hayani, W. K. And Hassani, A. S. (2008) Avian hematology. The Iraqi Ministry of Higher Education and Scientific Research. University of Baghdad. Collage of Agriculture.(In Arabic).
Al-Kassie G.A. (2009) Influence of two plant extracts derived from thyme and cinnamon on broiler performance. Pak. Vet. J. 29(4): 169- 173.
Al-Kassie, G. A. and Jameel, Y. J. (2009) The Effect of Adding Thyme vulgaris and Cinnamomun zeylanicum on production performance and some blood traits in broiler chicken. The Iraqi journal of veterinary medicine. Volume 33, Issue 2, P: 84-90.
Amagase, H., Petesch, B.L., Matsuura, H., Kasuga, S., Itakura, Y. (2001) Intake of garlic and its bioactive components. J. Nutr. 131 (S3), 955S–962S.
Aviagen (2009) Ross broiler management manual. Technical transfer and service teams. USA, pp: 1-112.
Bakhiet, A. O. and Adam, S. E. I. (1995) Therapeutic Utility, Constituents and Toxicity of Some Medicinal Plants: A Review. Veter Human Toxicol., 37: 255-258.
Barragry, T.B., Powers, T. (1994) Veterinary Drug Therapy. Lea and Febiger, Philadelphia, PA, USA.
Botsoglou, N. A., Florou-Paneri, P., Christaki, E., Fletouris, D. J. and Spais, A. B. (2002) Effect of dietary oregano essential oil on performance of chickens and on iron-induced lipid oxidation of breast, thigh and abdominal fat tissues. Br. Poult. Sci. 43:223–230.
Burger, R. A., Warren, R. P., Lawson, L. D. and Hughes, B G. (1993) Enhancement of in vitro human immune function by Allium sativum L. (garlic) Fractions. International Journal of Pharmacognosy 31: 69–74.
CAFA (Commission on Antimicrobial Feed Additives), (1997) Antimicrobial feed additives. Swedish Official Government Reports 1997:132. Ministry of Agriculture, Stockholm, Sweden.
Church, D.C., Pond, W.G. (1988) Basic Animal Nutrition and Feeding, 3rd ed. Wiley, New York, NY, USA. S. Chen, B. Mulgrew, and P. M. Grant, "A clustering technique for digital communications channel equalization using radial basis function networks," IEEE Trans. Neural Networks, vol. 4, pp. 570–578, July 1993.
Collington, G. K., Park, D. S. and Armstrong, D. G. (1990) The Influence of Inclusion of Both an Antibiotic and a Probiotic in the Diet on the Development of Digestive Enzyme Activity in the Pig. Br. J. Nutr., 64: 59– 70.
Demir, E., Kilinc, K., Yildirim, Y., Dincer, F., Eseceli, H. (2008) Comparative effects of mint, sage, thyme and flavomycin in wheat based broiler diets. Archiva Zootechnica 11; 3, 54-63.
http://www.ibna.ro/arhiva/AZ%2011-4/AZ%2011-4% 2006%20Demir.pdf.
Demir, E., Sarica, S., Ozcan, M.A., and Suicmez, M. (2003) The use of natural feed additives as alternatives for an antibiotic growth promoter in broiler diets. Br. J. Poultry Sci. 44:S44 S45.
Dibner, J.J., Richards, J.D. (2005) Antibiotic growth promoters in agriculture: History and mode of action. Poult. Sci., 84; 634-643.
Dorman, H. J. D. and Deans, S. G. (2000) Antimicrobial Agents from Plants: Antimicrobial Activity of Plant Volatile Oils. J. Appl. Microbiol., 88: 308-316.
Elagib H. A. A., El-Amin W. I. A., Elamin K. M. and Malik H. E. E. (2013) Effect of Dietary Garlic (Allium sativum) Supplementation as Feed Additive on Broiler Performance and Blood Profile. J Anim Sci Adv 2013, 3(2): 58-64.
Gill, C. (2000) Botanical Feed Additives. Feed. Int., April 14-17.
Horton, G. M. J., Fennell, M. J. and Prasad, B. M. (1991) Effect of Dietary Garlic (Allium sativum) on Performance, Carcass Composition and Blood Chemistry Changes in Broiler Chickens. Can. J. Anim. Sci., 71:939-942.
Jameel, Y. J. (2008) The Effect of Adding Thyme vulgaris and Cinnamomum zeylanicum on production performance and some blood traits in broiler chicken. M.Sc. Thesis in science of public health. College of Veterinary Medicine. University of Baghdad. Iraq.
Janssen, A. M. (1989) Antimicrobial Activities of Essential Oils: A Pharmacognostical Study. Dissertation, Rijksuniversiteit t e Leiden.
Javandel, F., Navidshad, B., Seifdavati, J., Pourrahimi, G.H., Baniyaghoub, S. (2008) The favorite dosage of garlic meal as a feed additive in broiler chickens ratios. Pak J Biol Sci. 11(13):1746-1749. http://docsdrive. com/pdfs/ansinet/pjbs/2008/1746-1749.pdf.
Josling, P. (2001) Preventing the common cold with a garlic supplement: a double-blind placebo-controlled survey. Adv. Ther., 18: 189-193. PMID: 11697022.
Lewis, M. R., Rose, S.P., Mackenzie, A.M., Tucker, L.A. (2003) Effects of dietary inclusion of plant extracts on the growth performance of male broiler chickens. Brit. Poult. Sci. 44 (Suppl. 1), S43–S44.
Mansoub, N. H. and Nezhady, M.A. (2011) Effect of garlic, thyme and yogurt compared to antibiotics on performance, immunity and some blood parameters of broiler chickens. Indian Journal of Animal Sciences 81 (12): 1197–1200, December 2011.
Manzanilla, E. G., Baucells, F., Kamel, C., Morales, J., Perez, J. F. and Gasa, J. (2001) Effects of Plant Extracts on the Performance and Lower Gut Microflora of Early Weaned Piglets. J. Anim. Sci., Suppl., 1: 473. (Abstract).
Najafi, P. and Torki, M. (2010) Performance, Blood Metabolites and Immunocompetaence of Broiler Chicks Fed Diets Included Essential Oil of Medicinal Herbs. Journal of Animal and Veterinary Advances 9: 1164-1168. DOI 10.3923 javaa. 2010.1164.1168.
National Research Council (NRC) (1994) Nutrient requirements of poultry. 9th ed. National Academy Press. Washington. D. C. USA.
Onibi, E.G., Adebisi, E.O., Fajemisin, N.A., Adetunji, V.A. (2009) Response of broiler chickens in terms of performance and meat quality to garlic (Allium sativum) supplementation. African Journal of Agricultural Research 4(5):511-517.
Patterson, T.A. and Barkholder, K.M. (2003) Application of prebiotics and probiotics in poultry production, J. Poultry Sci. 82: 627-637.
Platel, K. and Srinivasan, K. (2004) Stimulant action of spices. A myth or reality. Indian Journal of Medicinal Research 119: 167–79.
Reuter, H. D., Koch, H. P., Lawson, L.D. (1996) Therapeutic Effects and Applications of Garlic and its Preparations. In: Garlic: The Science and Therapeutic Application of Allium sativum L. and Related Species, Koch, H.P. and L.D. Lawson (Eds.). Williams and Wilkins, Baltimore, MD., pp: 135-213.
Rivlin, R.S. (2001) Historical perspective on the use of garlic. J. Nutr. 131 (3S), 951S–954S.
Skrabka-Blotnicka, T., Rosin'ski, A., Przysie-Zzna, E., Woloszyn, J. and Elminowska-Wenda, G. (1997) Effect of Dietary Formulation Supplemented with Herbal Mixture on Goose Breast Muscle Quality. Report I. The Effect on the Chemical Composition. Archiv fu¨r Geflu¨gelkunde, 61(3): 135-138.
Statistical Packages for the Social Sciences (SPSS) (2001) Statistical software for windows version 11.Microsoft. Chicago. I. L. USA.
Steel, R. G. D. and Torrie, J. H. (1980) Principle and procedures of statistics.2 nd ed. McGraw-Hill Book Co. Inc. New York. USA, pp: 183-193.
Thakar, N. M., Chairmam, D.M., McElroy, A.R., Novak, C.L., Link, R.L. (2004) Pharmacological screening of some medicinal plants as antimicrobial and feed additives. Msc Thesis. Department of Animal Science. Virginia Polytechnic Institute and State University, Blacksburg, Virgina USA. 73P.
Windisch, W., Schedle, K., Plitzner, C., and kroismayr, A. (2008) Use of phytogenic products as feed additives for swin and poultry. J. Anim, Sci., 86: 140-148.
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PARISH BULLETIN
Saint Andrew Catholic Community Week of April 18, 2021
Office Hours:
8:00 AM - 12..... 1 - 5:00 PM Monday - Thursday
Confessions by appointment only
(Please make arrangements through the parish office)
Website:standrewbc.org Email: firstname.lastname@example.org
Boulder City, Nevada 89005-3202
1399 San Felipe Drive,
Phone: 702-293-7500
DECREE
Updated
Dispensation from the obligation to attend Sunday Mass
has been extended by Bishop George Leo Thomas
through April 25, 2021
"While we recognize that many are eager to return to Mass in our churches, it remains important for those who are elderly and otherwise at risk to refrain from returning to public Liturgies until it is manifestly safe to do so. For all the faithful, especially those who are sick, at high risk of becoming sick, and their caregivers, the obligation to attend Sunday Mass is hereby dispensed."
To Watch LiveStream
This Sunday at 8 AM Sunday Mass on our Youtube Channel Click Here
Act of Spiritual Communion
We are a Eucharistic people, and as Catholic Christians our Eucharistic celebrations represent "the source and summit" of our life as a community. Sadly, not all of us are able to gather physically for Mass, but we want to stay connected spiritually.
Here is an Act of Spiritual Communion for you to pray as we join in "Unity" at St. Andrew's LiveStream Mass at 8 AM on our Youtube Channel:
My Jesus, I believe that you are present in the Blessed Sacrament. I love you above all things and I desire you in my soul. Since I cannot now receive you sacramentally, come spiritually into my heart. As though you were already there, I embrace you and unite myself wholly to you; do not let me ever be separated from you. Amen.
Adapted from St. Alphonsus Maria de' Ligouri
Calendar & Mass Intentions
April 18, 2021 - 3rd Sunday of Easter
8: 00 AM Mass: + Kevin Wheaton
10:00 AM Mass: People of the Parish
12:00 PM: Celebrant's Intention
Monday, April 19, 2021
10 AM Memorial Mass: Betty Lou Miller
Tuesday, April 20, 2021
Wednesday, April 21, 2021
Private Mass: +Jerry Biggs
Thursday, April 22, 2021
Private Mass: + Robert Rogan
Friday, April 23, 2021
Saturday, April 24, 2021
* Link to Sunday Mass on YouTube is also available on our website: standrewbc.org
Calendar & Mass Intentions
April 25, 2021 - 3rd Sunday of Easter
8: 00 AM Mass: People of the Parish
10:00 AM Mass: + Richard Hawley
12:00 PM: Celebrant's Intention
Monday, April 26, 2021
Tuesday, April 27, 2021
Wednesday, April 28, 2021
Private Mass: +Jameson Christopher Novotny
Thursday, April 29, 2021
Private Mass: + Frank Nally
Friday, April 30, 2021
Saturday, May 1, 2021
* Link to Sunday Mass on YouTube is also available on our website: standrewbc.org
Pray for
Norman Raupe Dominick Ricciardi Leilani & Roland LeClerec Anna Clark (Vibanco) Brenna O'Callaghan & family Randy & Laura Mykisen and Li'l Rod Cindy Mykisen all those listed on our online PRAYER SITE list ( www.standrewbc.org and select the PRAY FOR US tab), all deployed military serving our country, all the people who are ill and whose fears prevent them from seeing a doctor, for peace and an end to violence in our country, and for the repose of the souls of all your friends or loved ones who have recently passed away.
HAPPY BIRTHDAY!
We remember in prayer all those who are celebrating their birthdays this month of April, especially: Fr. Toan Lai (April 5th),
Fr. Joe Annese (April 21st) and Fr. Ron Zanoni (April 25th).
May the Lord bless you and keep you, let his face shine upon you and be gracious to you, and look upon you kindly and give you peace.
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Prayers for those affected by COVID-19
Continue to pray each day for all those with COVID-19 and the doctors, nurses, and workers who provide them care, and those suffering from the economic impact the pandemic. We especially pray for a successful rollout of potential vaccines to fight COVID-19.
Words to those feeling lost or depressed
Walk with the Lord when your heart needs company. Take His hand when you feel all alone. Turn to Him when you need someone to lean on. He is the only one you can always rely on. Scripture reflection from Jenifer Tuggle
Prayers for crime victims and their perpetrators
We ask for help and support for victims who suffer as a result of a crime against them (stolen or damaged property, abuse, etc.), and for the perpetrators that they will stop and seek professional help.
Prayers for life
That each of us may be the Lord's prophets by speaking up for vulnerable people - both born and unborn - who cannot speak for themselves.
Year of St. Joseph
Pope Francis' Prayer
Hail, Guardian of the Redeemer, Spouse of the Blessed Virgin Mary. To you God entrusted his only Son; in you Mary placed her trust; with you Christ became man.
Blessed Joseph, to us too, show yourself a father and guide us in the path of life. Obtain for us grace, mercy, and courage, and defend us from every evil. Amen.
PRAYER FOR THE NATION
Almighty God, You have given us this good land for our heritage. We humbly ask You that we may always prove ourselves a people mindful of Your favor and glad to do Your will. Bless our land with honorable endeavor, sound learning and pure manners.
Save us from violence, discord, and confusion,
from pride and arrogance, and from every evil way.
Defend our liberties and fashion into one united people the multitude
brought here out of many nations and tongues.
Endow with the Spirit of wisdom those to whom in Your Name we entrust the authority of government, that there may be justice
and peace at home, and that through obedience to Your Law we may show forth Your praise among the nations on earth.
In time of prosperity fill our hearts with thankfulness, and in the day of trouble do not allow our trust in You to fail.
Amen.
--by Thomas Jefferson, taken from "Prayers for Today,"
MONTH OF APRIL: CHILD ABUSE AWARENESS
Prayer for Healing Victims of Child Abuse
God of endless love, ever caring, ever strong, always present, always just: You gave your only Son to save us by the blood of his cross. Gentle Jesus, shepherd of peace, join to your own suffering the pain of all who have been hurt in body, mind, and spirit by those who betrayed the trust placed in them. Hear the cries of our brothers and sisters who have been gravely harmed, and the cries of those who love them. Soothe their restless hearts with hope, steady their shaken spirits with faith. Grant them justice for their cause, enlightened by your truth. Holy Spirit, comforter of hearts, heal your people's wounds and transform brokenness into wholeness. Grant us the courage and wisdom, humility and grace, to act with justice. Breathe wisdom into our prayers and labors. Grant that all harmed by abuse may find peace in justice. We ask this through Christ, our Lord. Amen. The USCCB's Secretariat of Child and You
Nevadans for the Common Good Community Virtual Event THIS Sunday, April 18, 2021 2 PM
St. Andrew is one of the founding members of Nevadans for the Common Good (NCG). NCG is an organization that works for justice for all Nevadans. Many of you have participated in our large assemblies or past efforts. NCG can be a way to work for justice as we solve systemic problems which affect many in our community.
Join us for an afternoon of conversation with your Boulder City Neighbors. To receive a link to Sunday's zoom call, you will need to pre-register by clicking:
https://zoom.us/meeting/register/tJEtcu6prTMiHdSdIYVeHmxB2LsS871JMa2N
If you have any questions, you may reach out to:
Mary Ralph at email@example.com or Jenifer Jefferies at firstname.lastname@example.org
We hope to see many St. Andrew faces on the zoom call this Sunday at 2 PM.
To learn more about NCG visit the website http://www.nevadansforthecommongood.org/
Easter Peace be with you, St. Andrew Nevadans for the Common Good.
PARISH REGISTRATION
If you are new and haven't completed a registration form, you are invited to register at the parish office during office hours Monday - Thursday or by downloading and completing the registration form below. We are especially interested in learning about our new parishioners and helping them find ways to become involved in and connected to the parish. We are happy to provide you with additional information about our parish and ministries.
Click Here for the Parish Registration Form. Please complete
both pages of the form and return to the parish office via email, drop it in the collection basket, or mail it.
Special Thank-you!
Thank-you for whomever found my "purple stone necklace and cross" and placed in our "lost and found" basket in the parish hall. I usually wear this necklace during Lent and I couldn't find it to wear this year. It has been two years since it has not been in my possession. It really has sentimental value to me, and I'm very glad and thankful to have it back. Rosalie Coniglio
We INVITE you to continue to peruse the bulletin -- new information continues to be added, along with the protocols, procedures, or events that have been in effect throughout the COVID-19 pandemic. This repetition of pertinent information allows you to have ready access to the information each week.
Scripture Readings - April 18, 2021
Sunday: Acts 3: 13-15, 17-19/Psalm 4: 2, 4, 7-8, 9/1 John 2: 1-5a/Luke 24: 35-48
Monday: Acts 6: 8-15/Psalm 119: 23-24, 26-27, 29-30/John 6: 22-29
Tuesday: Acts 7: 51—8: 1a/Psalm 31: 3cd-4, 6 and 7b and 8a, 17 and 21ab/John 6: 30-35
Wednesday: Acts 8: 1b-8/Psalm 66: 1-3a, 4-5, 6-7a/John 6: 35-40
Thursday: Acts 8: 26-40/Psalm 66: 8-9, 16-17, 20/John 6: 44-51
Friday: Acts 9: 1-20/Psalm 117: 1bc, 2/John 6: 52-59
Saturday: Acts 9: 31-42/Psalm 116: 12-13, 14-15, 16-17/John 6: 60-69
Sunday: Acts 4: 8-12/Psalm 118: 1, 8-9, 21-23, 26, 28, 29/1 John 3: 1-2/John 10: 11-18
Pope Francis' GOSPEL REFLECTION Third Sunday of Easter Luke 24: 35-48
Dear Brothers and Sisters,
At the center of this Third Sunday of Easter there is the encounter with the Risen One experienced by his disciples, all together. This is evidenced especially by the Gospel which introduces us once again to the Upper Room, where Jesus manifests himself to the Apostles, addressing this greeting to them: "Peace be with you" (Lk 24:36). It is the greeting of the Risen Christ, who gives us peace: "Peace be with you!". It is a matter of both inner peace and the peace that is established in interpersonal relationships. The episode recounted by Luke the Evangelist rests heavily on the realism of the Resurrection. Jesus is not a spirit. Indeed, it is not about an apparition of Jesus' spirit, but of his real presence with his risen body.
Jesus realizes that the Apostles are unsettled in seeing him, that they are bewildered because the reality of the Resurrection is inconceivable to them. They believe they are seeing a spirit; but the Risen Jesus is not a spirit; he is a man with body and soul. This is why, in order to convince them, he says to them: "Look at my hands and my feet" — he shows them his wounds — "that it is I myself; Touch me and see, because a ghost does not have flesh and bones as you see I have" (verse 39). And since this did not seem enough to overcome the disciples' disbelief — the Gospel says something interesting: they were still incredulous for joy and were amazed. They had within this joy that prevented them from believing it. Jesus, in order to convince them, asks them: "Have you anything here to eat?" (verse. 41). They gave him a piece of baked fish; Jesus takes and eats it in front of them, in order to convince them.
Jesus' insistence on the reality of his Resurrection illuminates the Christian perspective of the body: the body is not an obstacle nor a prison of the soul. The body is created by God, and mankind is not complete if there is no union of body and soul. Jesus, who has triumphed over death and risen in body and soul, helps us to understand that we must have a positive idea of our body. It can become an occasion or instrument of sin, but sin is not provoked by the body, but rather by our moral weakness. The body is a wondrous gift from God, intended, in union with the soul, to express in fullness the image and likeness of Him. Therefore, we are called to have great respect and care for our body and that of others.
Any offense or wound or violence to the body of our neighbor is an affront to God the Creator! My thoughts go, in particular, to the children, the women, the elderly who are physically abused. In the flesh of these people we find the Body of Christ. Christ wounded, mocked, slandered, humiliated, scourged, crucified…. Jesus taught us love. A love that, in his Resurrection, is demonstrated to be more powerful than sin and death, and seeks to redeem all those who experience in their own body the slavery of our time.
In a world where too often self-importance prevails over the weakest and materialism stifles the spirit, today's Gospel passage calls us to be people capable of looking deeply, full of wonder and great joy at having encountered the Risen Lord. It calls us to be people who know how to welcome and appreciate the novelty of life that He sows in history, in order to direct it toward new heavens and the new land. May we be sustained in this journey by the Virgin Mary, to whose maternal intercession we entrust ourselves with faith.
Offertory July 2020 - March 2021
Actual: $305, 529.16
Budget: $278, 660.00
Surplus: $16, 869.16
Parking Lot*
Total Donations: $119,049.15
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NEW PROCEDURE FOR 2020 DONATION LETTERS
Will you need a letter of your 2020 donations? Letters will be sent to parishioners by request ONLY each Monday beginning January 11, 2021. Please let us know by contacting the office or placing a note in the offertory basket. Thank-you. Cindy Blatchford, Bookkeeper
$$$$$$$$$$$$$$$$$$$$$$$
UPCOMING Special Collection:
Catholic Home Missions appeal and Black and Indian Missions NEXT Sunday, April 25, 2021
Your support helps these mission dioceses form vibrant faith communities and strengthens the Church at home. Monies are used for a wide range of pastoral services including evangelization, religious education, and maintenance of mission parishes, the training of seminarians and lay ministers, and ministry with ethnic groups.
CSA
Catholic Stewardship Appeal (CSA) 2021 "Strengthening One Another in the Faith" is now in progress. You should have received your pledge card in the mail. This year the Catholic Stewardship Appeal will strengthen the faith of our brothers and sisters in the following ways: Vocations - 22% of CSA goal, Continuing Education of Clergy 20% of CSA goal, Faith Formation 19% of CSA goal, Pastoral Outreach - 19% of CSA goal, Campus Ministry - 9% of CSA Goal, and Catholic Education - 11% of CSA Goal.
Please send your CSA pledge cards directly to the diocese using the envelope addressed to The Roman Catholic Bishop of Las Vegas, Catholic Stewardship Appeal, P.O. Box 26239, Las Vegas NV 89126-0239. Our name St. Andrew #12 is on the card which will credit your contribution to our parish. Our 2021 goal for St. Andrew is $54, 438.00. Once we have reached this goal, all funds raised above and beyond that goal are rebated back to the parish 100%.
Parish of St. Andrew Strengthening One Another in Faith
The total amount pledged and received as of March 28, 2021 is $35,465.00 with cash received $24,835.00 from 69 families.
Thank-you for your generosity and support! It still not too late to make a pledge or a contribution.
CSA Video Message from Bishop Thomas Click Here
Breaking Open the Word (BOTW)
BOTW will be on Wednesday, April 21, 2021 at 9 AM using Zoom through an email invite on your computer or mobile device. If you signed-up or participated in previous Zoom Meetings, you will be sent on Monday afternoon the link to join this week's session. If you would like to join Breaking Open the Word and this is your first time, you will need to contact the parish office by email at email@example.com or 702-293-7500 for the link. We still have space available!
Mark Your Calendar! BLOOD MOBILE at St. Andrew:
NEXT Sunday, April 25, 2021 at 8:30 AM - 12: 30 PM
Schedule Your Appointment to GIVE BLOOD at www.bloodhero.com and enter code: STANDREWBC or
Contact Vitalant at 877-258-4825
All donors MUST bring/wear a mask or face covering while donating! All donors who have a successful donation will receive a
COVID-19 antibody test with their donation.
Emergency Aid Collection
Please do not bring to the Parish Hall See newly Updated Pantry Hours
Emergency Aid (600 Nevada Highway, Boulder City) accepts non-perishable food donations.
Pantry Doors open at 8:30 AM and close at 11:45 AM: Monday, Tuesday, Thursday, Friday
(Food pantry is NOT open on Sunday, Wednesday or Saturday)
Christian Center Church Pantry
571 Adams Blvd, Boulder City, NV 89005
Tuesdays 6 pm – 7 pm
Sundays 12 pm – 1 pm
If you cannot get your donations to a pantry, please contact Jenifer Jefferies at 702-809-6209 text/call, or Email: firstname.lastname@example.org. If you would like to make a monetary donation make checks payable to the Christian Center Church and write "food pantry" in memo field.
Reaching Out - Going the extra mile
to brighten the lives of those in the nursing homes and to remind them of Christ's love for them.
We are always looking for adults, teens, and children who would like to write cards or make their own cards, pictures, and drawings for the residents at our nursing homes. Even if you are not artistically talented, the residents appreciate all of them very much. If interested, please contact Linda Lysakowski at email@example.com or 702-5801448 and she will see that they get distributed to the nursing homes or facilities that are allowing mail to be delivered or sent.
April 13, 2021
Dear Sisters and Brothers in Christ,
There are two bills in the Nevada legislature which would make doctor prescribed suicide legal in our state. Although there are differences in SB 105 and AB 351 each provides that if a patient has been diagnosed with a medical condition which may be terminal within six months, the treating physician is required to inform the patient that they may request their doctor to prescribe suicide pills.
In states such as Oregon and California, which have enacted doctor prescribed suicide, some medical insurance companies have refused to approve medical procedures requested by physicians, and have instead informed the treating physician that the insurance company will only approve prescribing the suicide pills. What will the insurance companies do next? Will the insurance companies deny treatment to people with medical conditions, or disabilities, which would be fatal without expensive medical procedures, and, instead, only offer to pay for the suicide pills? Will the elderly be denied potential lifesaving treatments, and be offered the choice to take a deadly poison, so they "won't" be a burden on their family? Stated differently, will the "right to die", turn into a "duty to die"?
What impact would these bills have on young people struggling with emotional issues and considering suicide. What about persons battling depression or suffering from traumatic brain injury? What is the message to our veterans, who are dealing with post-traumatic stress disorder? Do SB 105 and AB 351 send our veterans the message that suicide is an acceptable alternative? In Oregon, the total suicide rate has increased by more than twice the national suicide rate since physician assisted suicide was passed.
The proponents of SB 105 and AB 351 view these laws as progress. We believe that legalizing physician assisted suicide in Nevada will lead to the same issues which now plague Oregon and California.
We ask for your help in making our legislators understand the Church's position on physicians assisted suicide. Please make your opposition on SB 105 and AB 351 clear to Nevada Legislators by following the instructions in the attachments.
Please also call your Senator and Assemblyperson and leave a message that you oppose SB 105 and AB 351. Thank you.
URGENT STATEMENT
Nevada Catholic Conference 2805 Mountain Street Carson City Nevada 89703 (775) 222-0027 nvcatholicconference @gmail.com
In Christ,
Bishop Randolph R. Calvo......................................... Diocese of Reno.........................................................
Bishop George Leo Thomas, Ph.D.... Diocese of Las Vegas
We are pleased to inform you SB 105 failed in committee in Nevada and is no longer a threat. With your assistance, we can stop this advance on human dignity.
Share You Opinion on Legislative Bills
QR Code:
Use the QR code image above "Urgent Statement" to take you straight to the Opinions Page at the Nevada Legislature:
⦁ On the Select Bill, click or enter: AB351
⦁ In the Your Opinion on the Bill, select Against
⦁ You may make comments in the Your Comments on the Bill
⦁ Fill in the Your Information section.
Via Internet:
-OR-
⦁ Go to: https://www.leq.state.nv.us/Session/81st2021/
⦁ Scroll down to Share Your Opinion on Legislative Bills
⦁ On the Select Bill, click or enter: AB351
⦁ Scroll down to the Your Opinion of the Bill and click on Against
⦁ Fill in the Your Information section.
Follow the same procedure with SB105.
Call the Legislature:
From Southern Nevada-
* 702-486-2626
Tell the person who answers that you would like to register your opinions regarding AB351 and SB105.
The staff person will take your information and register your positions.
AROUND THE DIOCESE
Peter and the Starcatcher
Presented by Bishop Gorman High School's Gaels Theatre Guild
Jim
3
April 27, 28, and 29, 2021
House of the Performing Arts
PLAYBILL:
Tony-winning Peter and the Starcatcher upends the century-old story of how an orphan comes to be The Boy Who Would Not Grow Up (a.k.a. Peter Pan). From marauding pirates and jungle tyrants to unwilling comrades and unlikely heroes, Peter and the Starcatcher playfully explores the depths of greed and despair... and the bonds of friendship, duty and love. Peter and the Starcatcher uses ingenious stagecraft and the limitless possibilities of imagination to bring the story to life.
CATCH IT: 6:00 pm on: April 27, 28, 29
Limited seating, State mandated social distancing in effect.
First live performance since 2019
Bishop Gorman High School – Jim3 House of Performing Arts
LOCATION:
-OR..................................5959 South Hualapai Way - Las Vegas, NV 8914
TICKETS:
8
Available now at www.bishopgorman.org/
arts
For group rates or questions contact Gaels Theatre Guild Box Office
..................................at (702) 476-4175.
-------------------------------------------
St. Andrew Catholic Community 1399 San Felipe Drive Boulder City, Nevada 89005 702-293-7500
Parish Staff
Fr. Ron Zanoni, Pastor firstname.lastname@example.org
Deacon Tim O'Callaghan, Parish Life Coordinator
email@example.com
Mary Biggs, O.P., Parish Secretary (office)
firstname.lastname@example.org
Jenifer Jefferies, Religious Education Director
email@example.com
Nancy Porter, Music Director
firstname.lastname@example.org
Cindy Blatchford, Bookkeeper
email@example.com
Kevin Smith, Maintenance Director firstname.lastname@example.org
|
PROPOSAL FOR A CEPS TASK FORCE ON
EU TRANSPORT POLICY – INNOVATION, INTEGRATION AND 21ST CENTURY INFRASTRUCTURE
Chair:
A.N. (Arie) Bleijenberg, Manager of Business Unit Mobility and Logistics, TNO Netherlands
Rapporteurs:
Christian Egenhofer, Senior Research Fellow, CEPS Arno Behrens, Head of Energy & Research Fellow, CEPS
First meeting: 17 January 2011 (from 10:30h-17h:00)
Second meeting: March 2011
Third meeting: May 2011
Meeting venue: Centre for European Policy Studies (CEPS) Place du Congrès 1, 1000 Brussels
For regularly updated information about this CEPS Task Force, please visit http://www.ceps.eu/taskforce/transport-and-climate-change
1. Introduction
The transport sector is a strategic sector, which is fundamental to all economic activity. Transport costs are an input factor for all products. Transport also constitutes an important component of the European economy. The sector contributes some 7% of GDP and more than 5% of total employment in the EU. Transport connections and networks are also cornerstones of European integration.
Progressive European integration, notably via successive waves of enlargement, has lead to a substantial increase in transport volumes in recent years 1 . These developments have lead to an increasing recognition of the negative sideeffects of mass transport in Europe, including deterioration of infrastructure, misuse of land, congestion, air and noise pollution, increasing oil import dependency, injuries and deaths, as well as substantial amounts of GHG emissions.
European transport GHG emissions keep rising quickly and with transport emissions accounting for almost a quarter of total GHG emissions, control and ultimately reduction of them will be a precondition for the new EU climate change strategy that remains in tatters post-Copenhagen. More importantly, decarbonisation of the transport sector is essential for the low carbon technology race that is unfolding. In the new post-Copenhagen world, the 'global narrative' on climate change has shifted from "reducing emissions" to "developing future green technologies" to stay upfront in the future race for global technological leadership. The development of new and green technologies is generally seen as the key for future global competitiveness. Transport is essential for this.
Whilst there has been good progress in some areas, especially further liberalisation of all modes, a better safety record or the strengthening of passenger rights, EU transport policy has failed to deliver on a number of accounts 2 , notably:
1 On average, passenger transport increased by 1.7% annually since 1995 – mainly driven by air and road transport – while freight transport increased by 2.7% over the same period – primarily my road and sea transport. 2
2009 Communication on CTP; Evaluation of the Common Transport Policy (CTP) of the EU from 2000 to 2008 and analysis of the evolution and structure of the
* A shift towards low GHG emissions modes and reversing the decline of rail,
* Decoupling of freight transport growth from economic growth,
* Ensuring full marginal cost pricing including externalities, and
* Adequate infrastructure funding and development
While in some areas lack of progress is associated with reluctance of member states to contribute their part or simply to implement, in others strategic orientations will need to be questioned. Overall, an assessment of the EU transport policy calls for a new strategic direction ensuring the development and financing of infrastructure changes based on a shared understanding of the kind of products and services the European transport system will need to offer to guarantee sustainable and demand-responsive services. This will require political choices and new instruments most likely going beyond a mere adaptation to existing EU policies. The discussions around the forthcoming European Commission White Paper is the forum to engage in this debate.
2. EU Transport Challenges
As recognised by the European Commission in its 2009 Communication "A sustainable future for transport", the 2001 White Paper on Common Transport Policy is outdated and cannot tackle the challenges and opportunities for the transport sector in the long term. While the list of challenges is long and has been described in various Commission documents, four principal questions stand out. Some of them are old but must be seen in a new light after the evaluation of the last decade of transport policy and emerging new challenges. Others are new and relate to the new challenges such as decarbonisation and resulting technological revolution that the sector faces.
European transport sector in the context of the long-term development of the CTP, prepared by Steer Davies Gleave for the European Commission, DirectorateGeneral Energy and Transport, Final Report, August 2009
2.1. Restructuring of the supply side through sound transport pricing
Transport creates emissions, congestion and noise and imposes very significant costs on society. It is essential that prices paid by transport users fully reflect the true costs, including external costs (emissions, noise, congestion, infrastructure etc.) in order to give the right price signal and level the playing field between the various transport modes. This is one way to provide transport users with a clear incentive to shift towards less polluting modes, provided it is accompanied by other measures intended to create more demand elasticity and price sensitivity. This in return will affect investment in infrastructure.
Work on internalisation of external costs from transport has started in earnest as early as 1995 with a European Commission Green Paper, leading to the 1998 White Paper "Fair Payment for Infrastructure Use", which recommended marginal social cost pricing for transport infrastructure use aimed at improving the overall efficiency network usage and reducing congestion.
However, progress towards an approach to infrastructure pricing principles in framework legislation has been slow For example, today the negotiation of the new Eurovignette Directive is blocked in the Council of the EU, despite a clear support from the European Parliament at its first reading, whereas the review of the Directive on taxation of energy products has been discussed in the College of the European Commission on June 23, 2010.
A rational transport pricing system will be at the heart of EU transport policy, especially to allow for competition within and between modes but also to make available funds for much needed infrastructure investment. It is often forgotten that the way investments are financed and charged will impact the final price structure passed to consumers. Therefore scrutinising not only the apparent price structure but rather the whole chain costs and what actors are facing these will determine the effectiveness of economic instruments aimed at establishing a level playing field between transport modes and at ensuring sufficient investment in sustainable transport infrastructure.
2.2. EU-level infrastructure development and finance
On the EU level, the Trans-European Network (TEN-T) is the main instrument dealing with infrastructure, a policy defined in 1996. It is widely recognised as no longer adapted to current and future challenges because of growing mobility needs, urban development, scarcity of fossil fuels, climate change and environmental protection.
TEN-T policy is not driven by genuine EU objectives, resulting from a lack of funding and sovereign responsibility by the member states in infrastructure planning (subsidiarity), who use first EU Structural Funds for financing highways, thus increasing GHG emissions from passenger road transport. This has not been reversed despite the attempt to boost TEN-T development through the EU economic recovery plan. The way TEN-T projects have been designed so far (network layer + priority projects) does neither integrate the different transport modes nor does it provide for an optimal functioning of transport elements (infrastructures, nodes, ICT applications, network services, operational and administrative procedures), which should work in combination in order to promote comodality, modal shift and an efficient and effective organisation of the whole transport system. Moreover, TEN-T policy is not driven by climate change mitigation and adaptation objectives. This comes on top of a largely absent transport pricing system, further undermining the steering of infrastructure investment and depriving member states and the EU of vital funding (see above).
2.3 Revitalising railways
The opening of the transport market is one of the main objectives of the Common Transport Policy and a key element of the rail revitalisation strategy through the adoption of three "railway packages". To date, freight and international passenger transport are fully liberalised; the degree of liberalisation of domestic passenger transport differs widely according to member states.
The case for EU liberalisation has been based on standard economic and EU-treaty arguments such as optimised cross border services, quality and service differentiation, the elimination of redundancies, generally more
efficient allocation of capital and the believe that liberalisation of cross-border services will lead to (cross-border) competition. Exposure to competition would increase overall rail efficiency through innovation in management, outsourcing, cost-consciousness, customerresponsiveness and generally, less rent-seeking inherent in monopolies. Higher efficiency would also contribute to ironing out differences between transport modes, eventually leading to a relative rebalancing of prices between transport systems.
Specifics of the railways, e.g. suitability of liberalisation or complementarity with other transports modes has been catered for by different arrangements according to the nature of the market segment (competition for the market versus competition in the market). EU legislation also establishes exemptions to intramodal competition to introduce the possibility to deliver Public Services Obligations contracts to ensure that the less profitable routes or services will be delivered.
A key element of railway liberalisation is the removal of legal and technical barriers, to increase interoperability (urgently pursued by the European Railway Agency). Another one is the very important development costs for tracks 3 , making the network an essential facility. With 90% of railways costs linked to infrastructure costs, the ability to incentivise an effective use and management of transport system depends on the appropriate elaboration of pricing conditions.
In practice, liberalisation is too recent to assess in details its effectiveness. Like in the energy sector, unbundling may reintroduce coordination costs whereas the economies of scope, legal features and interdependencies can make the case for tight coordination within the sector. As for energy, an association, Rail Net, has been set up to coordinate European Rail Infrastructure Managers and Allocation Bodies, in order to harmonise conditions of access to the network. However, this is a far stretch from being a supranational regulatory body to push for further harmonisation and transparency of network pricing and access, despite the attempt to establish a pan-European vision as regards infrastructure investment and development, in particular through the TEN-T
3 Estimated between 6 and 10 M€ for 1km of track, according to countries and topographical conditions.
policy. A redefinition of markets and access at pan-European level is indeed an essential element towards sustainable transport systems and should be supported by EU instruments.
2.4 A new transport policy spurring innovation (with focus on road transport)
While the EU Common Transport Policy has "assisted social and economic cohesion and promoted competitiveness of European industry, therefore contributing significantly to the Lisbon Agenda for Growth and Jobs" (European Commission, 2009), there has been little progress in designing an integrated response to rising GHG emissions, security of energy supply issues and the transport sector's innovation challenge arising both from ever increasing GHG emissions and quest for technological innovation in the sector.
a) The emissions challenge
Transport accounts for close to a quarter of total GHG emissions and more than a quarter of total CO2 emissions in the EU-27. Transport emissions (excluding international bunker fuels) increased by 28% between 1990 and 2007, with the annual rate of increase going up from 0.97 % between 2005 and 2006 to 1.29 % between 2006 and 2007. This compares with a reduction of 5 % in emissions across all sectors as compared to 1990 levels (reduction of 11 % from the non-transport sectors) 4 . While most EU Member States continue to increase their emissions, a few have shown a decrease of emissions from 2006 to 2007.
Transport is one of the largest energy consuming sectors, accounting for 34% of EU final energy consumption. Most of the energy used is imported.
In the long term, energy consumption and greenhouse gas emissions are projected to increase significantly up to 2050. Road freight in the EU is forecast to increase by about 60% between 2005 and 2050, and long-distance road freight (trips longer than 150 km) to more than double. Car travel is forecast to increase by about 40% to 70% until 2050. Projections for rail passenger transport differ significantly, ranging from 30% to double, between 2005
4 In this context, freight and passenger road transport account for 71% of total CO2 transport emissions, against 15.,3% for navigation, 12.2% for civil aviation (domestic flights), and 0.6% for railway.
and 2050, whereas growth in rail freight ranges from 25% to treble current levels.
b) The innovation challenge
So far, EU Policies have targeted specific areas but in a fragmented manner 5 . Typically they have been designed as short term policies added for example on top of the Climate and Energy package or sectoral EU policies. The focus was particularly put on technological improvements 6 and demand side and traffic management measures, including through pricing and economic/fiscal instruments 7 , which sometimes conflict with each other because they respond to different policy objectives. Alternative fuels, in particular biofuels, are now promoted through the Renewable Energy Directive on the condition that sustainability criteria can be met, though still raising high concerns with regard to possible impacts on indirect land use change inside and outside the EU.
If each modal policy has proved to have some relative potential to reduce GHG emissions in each of the targeted areas, each was very much developed in isolation from the others, thus not maximising the combined potential that could be gained through a fully integrated approach. And the increase of GHG emissions from transport has occurred despite the fact that fleets have generally improved their energy efficiency for the last two decades because of the marketing of heavier and more consuming vehicles combined with an increase of use (speed) and transport volumes (km/vehicle and number of vehicles/inhabitant).
Still, the transport-related elements of energy and climate change policy represent a step in the right direction but fall significantly short of an integrated strategy leading to a low-carbon transport sector. This raises the question on whether to draw up a 'transport and climate change package' comparable to 2009 energy and climate change package to give answers to fundamental strategic questions about what a
5 Adopted: Fuel Quality Directive, CO2 Cars, bio-fuels in renewable energy; Proposed: CO2 from vans, competitive rail freight transport.
7 E.g. internalisation of external costs, taxation of energy products, inclusion of aviation in EU ETS, deployment of Intelligent Transport Services etc.
6 E.g. energy efficiency of vehicles, clean road vehicles, fuel quality including carbon reduction requirements
sustainable EU transport system would look like and how it can be achieved.
This includes the review of numerous policies at EU or Member State level such as taxation, infrastructure, land-use planning, or many integration issues (e.g. road transport infrastructure and electricity grids etc).
R&D and demonstration initially will be at the heart of these efforts. But technology push alone will not be enough to bring down side measures, including infrastructure pricing, internalising the full environmental and social costs together with better data and information will be crucial in influencing consumers' behaviour and responding to customers' needs.
emissions. For example, demand Ultimately, a fully integrated long-term strategy should aim at better maximising cobenefits from sustainable transport (security of energy supply, road safety, air quality, noise, territorial cohesion, traffic management, prevention of congestion etc.) and develop synergies with other EU policies and legislation, also to reduce transport related social costs including environmental costs. Most important will be the development and deployment of future technologies that will not only keep the EU's economy competitive (founded on low-carbon transport services) but also allow technology providers to successfully compete in the global market place for future technologies.
3. Proposed Issues
Recent evaluations have identified a number of concrete issues that the new EU transport policy will have to address. They include, for example:
* modular vs. inter-modal approaches and how to integrate them into a consistent strategy
* the role of technology support versus regulation or taxation to reduce CO2 emissions in surface transport
* the real scope for changing demand patterns - in passenger and in freight
* the contribution of standard and highspeed passenger rail
* financing infrastructure and public services
* inter-modality within and between urban areas
* drivers of decarbonisation (taxes, charges or emissions trading?)
* Trans-European Networks (TEN-T)
* the role of the EU or the role for internal EU market.
These and others are potential issues for the Task Force to discuss, depending on the preferences of its members.
Irrespectively, CEPS proposes to focus also on the following four principal issues:
1) The potential need (and scope) for a hard GHG emissions target in transport at sector, mode or economy level
A transport policy without headline objective will fail to give direction as it will try to achieve too many objectives at the same time. This has been acknowledged by the Climate and Energy Package that implicitly set the GHG objective as headline target, yet ensures that other objectives such as security of supply, competitiveness are not jeopardised.
This has been achieved by testing the effects of the GHG target on the other objectives. This is not the same as pursuing three objectives simultaneously. One can make a case that the GHG reduction target indeed is the headline objective for transport given the importance for EU climate change objectives, the race for innovation, the drive to resource efficiency as well as the need for infrastructure development. Indeed, a long-term target can give a clear signal to sectors and will, over time, benefit low-carbon modes. Yet, whether a European low-carbon transport strategy requires a GHG target remains a highly controversial issue.
2) The link between efficient pricing and infrastructure finance
As has been argued throughout this report, transport pricing (e.g. energy, CO2, congestion, health, local pollution etc.) is a precondition to unlock the efficiency gains from competition and drive integration (i.e. inter-modality) within and between the modes. More importantly, transport pricing will generate desperately needed revenues to upgrade and build new transport infrastructure. Ultimately, Europe will only be able to develop its transport infrastructure if users/consumers pay for the full cost of it, irrespective if provided privately of by governments. The experiences of the TEN-T tells us that without some 'meaningful' EU role in both planning and financing EU infrastructure will remain dominated by national interests, lacking interoperability and thereby intra and inter-modal competition. It will also continue to be deficient in solidarity, miss an efficient (i.e. EU-wide) pricing system and therefore remains unable to meet the needs of Europe's transport sector during the transformation phase. Past attempts by the European Commission have not achieved the objective of full-cost pricing across the EU but remain a patchwork of initiatives, mainly as a result of member states' reluctance to "cede too much power to the EU" as it was seen. Can the EU envisage success without a dedicated EU fund for sustainable transport infrastructure? If not, by which means can "transformational" infrastructure for the new technologies (e.g. battery charging stations, smart grid, hydrogen infrastructure) be built and financed?
3) Customer responsiveness as a precondition for success
The previous questions have all dealt with supply side measures - without doubt a crucial aspect, but not the only one. EU transport policy will only meet economic, environmental and innovation objectives, if transport services meet users' and customers' needs. Even if attention has been given, there have been no or only insufficient indicators to evaluate customer responsiveness. As a side effect, such indicators would increase buy-in by technology developers and providers. To fully integrate customers' perspectives into policy making, the EU could strive to develop a set of indicators for each mode against which a service can be evaluated. Such indicators would at the same time provide for guidance for service providers and transparency for customers. An example of a set of indicators in the rail freight sector could be i) always available rolling stock, ii) flexible train configurations, iii) availability of integrated mobility hubs, iv) tracking system available to customer etc. Indicators for all other modes could be developed.
4) The transformation of fossil fuel based road passenger and freight transport: how quick and with what tools?
EU policies for decarbonisation are already in place concerning the improvement of fleet efficiency, the promotion of biofuels or hydrogen. Yet, it appears that the possible
contribution of electric/hybrid and hydrogen vehicles to this objective is still unclear and diversely appreciated among Member States and stakeholders, and that the strategies to maximize this contribution need clarification. At the same time, what is at stake is the future of the European car industry, but also the synergy between this evolution and the correlative changes to occur in the power sector, both in terms of production and grid services. Finally, the possibility to develop a sustainable and widely accepted biofuels – or more remote, a hydrogen – option depends on internal factors (second and third generation, criteria for international supply) but also on the share of demand that can be covered by alternative fuels. Finally, an integrated longterm strategy should aim at co-benefits from sustainable transport (security of energy supply, road safety, air quality, noise, territorial cohesion, traffic management, prevention of congestion etc.) and develop synergies with other EU policies and legislation, also to reduce transport related social costs, including environmental costs. It will be key to develop tools for a strategic coordination between EU policies that interact with the EU transport policy. Such a strategy is still absent.
4. CEPS Task Force Objectives
Although it will be up to CEPS Task Force's to agree on the final agenda, we propose to concentrate on a number of key issues and explore practical solutions to them. Generally, the Task Force is meant to
* Assess the ongoing EU policy discussions
* Share knowledge between different key stakeholders and create a broad network of interested stakeholders;
* Provide input ahead of the White Paper publication (through an Interim Report)
* Work out a set of concrete recommendations to be presented to EU and member state policy-makers.
An initial short Interim Report to focus on a small number of strategic issues will be published ahead of the European Commission's White Paper.
5. Format
The Task Force constitutes a unique forum of representatives from the European Commission (DG Transport and Mobility, Climate Action, Energy, Budget, Research etc.), European Parliament, member states, business and industry, International Organisations, NGOs, transport experts and other stakeholders to facilitate an in-depth discussion and provide background research.
The new CEPS Task Force will meet three times between January and May 2011 (a possible fourth meeting could be added if required).
It will be chaired by A.N. (Arie) Bleijenberg, Manager of Business Unit Mobility and Logistics, TNO Netherlands. Rapporteurs will be Christian Egenhofer, Senior Research Fellow and Arno Behrens, Research Fellow of CEPS.
At the end of the Task Force, CEPS will publish and circulate among EU and member state policy circles policy recommendations together with a CEPS Task Force Report, which will also be formally published in the CEPS Task Force Report publication series. 8 This report will be based on discussions in the meetings supplemented by research carried out by the rapporteurs. The Draft Task Force Report will be circulated before the third meeting (in spring 2011) to be discussed and approved by the Task Force.
An initial short Interim Report to focus on a small number of strategic issues will be published ahead of the European Commission's White Paper.
6. Indicative agenda
An indicative agend of the first meeting is provided in APPENDIX 2.
7. Conditions for participation
The CEPS Task Force is primarily designed for CEPS Corporate Members but participation
8 For further information, please visit www.ceps.eu or contact Christian Egenhofer at
Christian.egenhofer@ceps;eu .
is open to non-members as well, albeit at a higher fee.
The fee covers participation in all workshops, documentation, lunches and three copies of all reports produced. Upon request by participants, CEPS will mail additional copies of the final CEPS Task Force Report to persons identified by participants.
Participation fees:
€ 1.000 for CEPS Corporate Members 9 € 7.000 for non-members
For further information, see APPENDICES 1 and 2. A registration form is provided in APPENDIX 3 at the end of this prospectus.
9 Regarding information on CEPS Corporate Membership, please contact Staffan Jerneck, Deputy Director and Director for Corporate Relations (email@example.com) at +32 2 229 3910 or +32 475 903 924.
APPENDIX 1. WHY A CEPS TASK FORCE AND HOW DOES IT WORK?
The CEPS Task Force's main objective will be to involve the CEPS constituency in the crucial EU policy processes relating to decarbonisation of the EU transport sector, the upcoming White Paper on Transport and its follow‐up. This involves i) informing about policy formulation in the EU and its member states, as well as ii) regular feed‐in from the CEPS Task Force into the relevant policy processes of the European Commission, the European Parliament and member states.
In practical terms, the CEPS Task Force will be based on three full‐day multi‐stakeholder workshops designed to create an informal but structured dialogue on the future of the European transport sector. The Task Force will constitute a unique forum of representatives from the European Commission (DG Transport and Mobility, Climate Action, Energy, Budget, Research etc.), Members of the European Parliament, officials from member states, representatives of international organisations, business and industry, NGOs and other stakeholders to facilitate an in‐depth discussion and provide background research.
At the end of the Task Force, CEPS will publish and circulate among EU and member state policy circles policy recommendations together with a CEPS Task Force Report, which will also be formally published in the CEPS Task Force Report publication series. This report will be based on discussions in the meetings supplemented by research carried out by the rapporteurs.
The new CEPS Task Force on EU Transport Policy - Innovation, Integration and 21st Century Infrastructure will meet three times between January and May 2011. Chairman will be A.N. (Arie) Bleijenberg, Manager of Business Unit Mobility and Logistics, TNO Netherlands. Rapporteurs will be Christian Egenhofer, Senior Research Fellow and Arno Behrens, Research Fellow of CEPS.
APPENDIX 2. DRAFT AGENDA FIRST MEETING
First meeting of the CEPS Task Force on
EU Transport Policy – Innovation, Integration and 21 st Century Infrastructure
17 January 2011
Draft Agenda
Session I: Critical Issues for EU Transport Policy
The objective of this session is to briefly introduce the new CEPS Task Force on Transport (objectives, scope, timelines etc.) and to identify critical issues that EU transport policy faces and how the Task Force could address them.
10 CEPS will present an Issues Paper outlining key issues. The document will be circulated a week before the meeting and will also be available for download on the Task Force's website before the meeting. The task force website is: http://www.ceps.eu/taskforce/transport-and-climate-change
11 Approx. 10 minutes each
Session II: EUlevel infrastructure development and finance
This session will address the EU's role in infrastructure development and investment. A distinction will be made between "traditional" EU infrastructure issues such as missing links and "transformational" infrastructure, e.g. the need to develop new lowcarbon infrastructures.
REGISTRATION FORM CEPS Task Force on EU Transport Policy – Innovation, Integration and
21 st Century Infrastructure
Person attending the meetings
Salutation:
First name:
Last name:
Job title:
E-mail:
Telephone:
Company
Company name:
Postal address:
Postcode
City
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Contact Person:
E-mail:
Telephone:
Billing information
Tax register number (VAT for Europe):
Your reference, Customer Purchase Order No. or Cost Code N:
Department:
Postal address:
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An optimum greedy algorithm for choosing minimal set of conflicting constraints in the point sequencing problem
Florent LAUNAY: firstname.lastname@example.org
Debasis MITRA: email@example.com
Tr#: CS-2002-16
Abstract:
In this work, we first have proposed a technique to define the "causes" of inconsistency on an online point based reasoning constraint network. Second, we introduce an algorithm that proposes the user a minimal set of relations to remove when inconsistencies are detected. We have developed and implemented a battery of algorithms for the purpose of this type of reasoning. Some useful theorems and properties are defined for proving the 'minimal' aspect of the algorithm. Finally, we found that our investigation was a polynomially solvable sub problem of the vertex cover problem.
Key Words: Temporal reasoning, Interactive constraint satisfaction problem, Consistency restoration
1 - Introduction
A constraint satisfaction problem (CSP) has typically three objectives. (1) It tries to detect if a problem instance is satisfiable or not, (2) in case the problem instance is satisfiable, it wants to find a solution, or all (or more than one) solutions, and (3) in case there exists some objective function associated to the problem, it tries to find a optimal or sub-optimal solution (constraint optimization problem). Any CSP algorithm would stop after detecting "inconsistency" in a problem instance, depending on the expected level of consistency e.g., the (arc consistency, the k-consistency for integer k>=1, or global-consistency, etc.). However, in a practical situation it is somewhat frustrating for a user, and such a user would often like to know why the input is wrong/inconsistent. Works in the CSP literature have rarely addressed that issue.
One of the reasons researchers avoided addressing the issue of detecting any "cause" for inconsistency is the ambiguity in identifying such a cause. For example, for a set of comparable objects a, b, and c, the information a<b, b<c, and c<a, is inconsistent (Figure 1). There is no preferred constraint here that could be identified as the cause for inconsistency, any one of them could be declared as being responsible. However, if we have {a<b, b<c, b<d, d<e, e<a, c<a}, then the constraint a<b becomes a clear choice as the culprit (Figure 2). In this work, we have started an investigation on such issues of detecting the "reason" behind inconsistency. We have launched our research with a simple domain of point-based temporal reasoning that is tractable and is well understood in the literature. The objective here is to detect a minimal set of constraints that should be eliminated in order to restore consistency in an otherwise inconsistent problem instance. Also, our work picks up the problem of incremental reasoning (online problem) that is more applicable in real life situations, where information is gradually added to a database.
c
Figure 2
We expect our work on identifying the responsible set of constraints causing inconsistency in a problem instance will be very useful in the diagnosis area, for quite obvious reasons. Adding such a capability would enhance the user-friendliness of any CSP system and thus, enhance its usage.
In the next section we introduce the problem of online interactive reasoning scheme with qualitative constraints between time-points. The algorithms for solving this problem are described in the subsequent section. That section also introduces our approach in defining the "causes" for inconsistency and an algorithm to find it. Following this is an example using our algorithm before turning to some useful theorem and properties used for the next section: the proof of the algorithm. A following section discusses the significance of this work in a more general framework than the incremental problem primarily addressed here and mentions our future directions. We have discussed some related works after that, and then concluded the paper.
2 - Incremental Point-based Reasoning
Point-based temporal reasoning constitutes the simplest form of spatio-temporal reasoning (Vilain and Kautz, 1986). The scheme has three basic relations {<, >, =} and the corresponding relational algebra is comprised of its power set that is closed under the traditional reasoning operators like composition, inverse, set union, and set intersection. Some recent works have shown interests in the point-based reasoning in one dimension with its incremental version (Mitra et al, 1999). In an incremental CSP a new object (a time-point) is inserted into a set of objects already committed in a space (a time-line), i.e., the new point is inserted within a sequence of points, satisfying the binary constraints between the new point and the old ones. The problem could be viewed as a database entry, where a consistency checking needs to be first performed before committing the entry operation.
a
e
Mitra et al (1999) have found some interesting results in the point-based incremental reasoning problem. They have observed that a satisfiable region for a new point within a sequence of points would be either a null set of regions (inconsistent) or a contiguous region (an interval) possibly excluding some old points within the interval. They have utilized this property to devise an efficient algorithm for preprocessing before finding the actual valid regions for the new point satisfying the binary constraints.
In this work we have attempted to attack the problem of finding the "cause" behind inconsistency when the latter is detected and have developed an algorithm for the purpose. We have adopted Mitra et al's algorithm and extended for the purpose of first detecting the inconsistency in an incremental problem instance. The following is Mitra et al's algorithm.
Algorithm 1D (Mitra et al, 1999): Scan the sequence of existing points from left to right on the time-line and their relationship/constraints with respect to the "new" node that is to be inserted (within the sequence, satisfying those constraints). Keep a status variable that keeps track of whether the left end (of the list of valid regions for the new point, or as it is called, the "box") has been found, or an equality relation (new = xi) has been found, or the right boundary has been found. The "box" is found when the constraint from the new point to the current point xi changes from >, or >= to < or <=, for i running over all the old points. The inequality (<>) and the tautology (< = >) are ignored in this scan. A singleton equality relation is a hard constraint, making the box converge to that old point. After a "box" is found, if any constraint demands the new point to be outside the "box," then an inconsistency would be detected, otherwise with a second scan over the "box" the algorithm would elicit the exact set of valid regions checking if the old points within the box themselves are valid regions or not. For example, a set of valid region may be {[x5, x5], [x5, x6], [x6, x7], [x7, x7], [x7, x8]}, indicating that the new point may be assigned anywhere on the box [x5, x8) except on the points x6 and x8.
On detection of inconsistency we run a second algorithm to find the conflict set between the constraints. In the next section we describe those issues.
3 - Detecting Constraints Causing Inconsistency
Many sets of constraints together could cause inconsistency, such that removal (or fixing) the constraints in this set would make the system consistent. We call this problem the "consistency restoration" problem and such a set of constraints as the "responsible set." It is quite inconceivable that all the provided constraints need to be removed/fixed to solve the "consistency restoration" problem. Actually this assertion could be easily proved. A related question here is then which particular set we chose as a solution to the problem, and subsequently report to the user. Our proposal is that we choose a responsible set that is of minimal cardinality out of all possible responsible sets. We call such a minimal cardinalityresponsible set as the "minimal set" or MinSet. Of course, there could be more than one such minimal set with equal cardinality values, but we would like to find any one of them.
Definition 1: The degree of conflict of a given constraint in a CSP is the number of other constraints that it conflicts with.
If a system contains n constraints, then the degree of conflict for any constraint will be at most n-1, since a relation cannot conflict with itself, and at least 0.
Example 1: Let S be a set of constraints S = {c1, c2, c3, c4, c5, c6}.
c3
Here, the degree of conflict for c1 is zero, since c1 does not conflict with any other constraint. The degree of conflict for c2 is three, for c3, c4 and c6 each it is one, and for c5 it is two. Removing relation c2 and one of the relations between c5 and c4 would be enough to make the system consistent. Hence, {c2, c4} and {c2, c5} are both MinSets here, whereas {c6, c5, c3} is another responsible set that is not a MinSet.
The following algorithm finds the conflict set for constraints and the corresponding degree of conflict for each constraint.
```
Algorithm GenerateConflictSet (list of constraints between 'new' and the point-sequence) ConflictSet = null; For i =1 to N do DegreeOfConflict[i] = 0; // N number of points in the sequence
```
```
For each constraint ci from i =1 to N do // for a relation (new ci xi) for each constraint cj from j = i+1 to N do if (ci is "<", or "<=", or "=") and (cj is ">", or ">=", or "=") then ConflictSet = ConflictSet U {(ci, cj)}; DegreeOfConflict[i]++; DegreeOfConflict[j]++; end if;
```
End Algorithm.
This is obviously an O(N^2) algorithm.
The problem of finding a minimal set of constraints removal/fixing of which would restore consistency in a system (constraint network) is solved by the following greedy algorithm.
```
Algorithm FindMinset (ConflictSet, DegreeOfConflict) Minset = empty; // set of minimal nodes to be removed AggregateDegreeOfConflict = Sum over ConflictSet [DegreeOfConflict]; While AggregateDegreeOfConflict =/= 0 do // O(N) Let c = a constraint with the maximum DegreeofConflict; // O(N log N) Minset = Minset U {c}; for each element (c, ci) in ConflictSet do // O(N) ConflictSet = ConflictSet - (c,ci); DegreeOfConflict[c] = DegreeOfConflict[c] -1; DegreeOfConflict[ci] = DegreeOfConflict[ci] -1; AggregateDegreeOfConflict = AggregateDegreeOfConflict -2; end for; end while; return Minset; End Algorithm.
```
As shown with comments in the algorithm, O (N 2 log N) is the asymptotic time complexity. The problem has a flavor of the well known "vertex cover" problem, and hence a polynomial algorithm is unlikely to be a complete algorithm in general (subject to P =/= NP). However, at least in the point-sequencing problem it could be easily shown that a graph generated over the conflict set (with nodes being the constraints and edges being the conflicting constraints) is a bipartite graph (see properties section). The vertex cover problem is tractable over bipartite graph and the above algorithm is a complete one in this situation. We will show this pattern in one of the following sections.
4 - Implementation
All the three algorithms mentioned here have been implemented with a graphical user interface to the software. It displays the valid regions (if consistent) on the time-line with the existing point-sequence, and allows the user to commit the new point on one of the valid regions interactively. Then it goes to the next iteration for accepting the next new point. In case of detecting inconsistency it runs the third algorithm FindMinset and dumps the Minset for any possible corrective action by the user.
For the sake of our investigation, we developed a program implementing both algorithms described above. A graphical interface allows the user to add points in an online fashion, and at each new point, the system reacts giving the user the informationabout consistency.
The interface shows the time line basis and a set of buttons allowing the user to Add a new point, load a pre-computed example, or reset the current database.
In case of inconsistency, the program suggests the user a minimal set of relations to remove from the previous query in order to make the system consistent.
At each stage, if the system is consistent the program tells the user what is the valid set to insert the new point and highlights this set on the time line base.
5 - Notations
S = set of all relations making the system inconsistent
n = number of relations in S
Ri = Relation with index I. Typically, 1 < i < n
I = a set of minimal relation to remove in order to make the system consistent
m = degree of inconsistency of relation Ri
i
∑ m i (S) = Sum of all degree of inconsistency of the set S
∑ m
i
(I)
= Sum of all degree of inconsistency of the set I (each m whenever Ri is added to I )
N= number of pairs of relations conflicting with each other in a set S
Ri * Rj = Relation Ri conflicts with relation Rj.
Given a set of relations generating inconsistency S = { R1, R2, …, Rn}. Let's suppose n is the number of relations conflicting with each others.
1) R
1
* R
i
2) R
….
j
k
n) R
n-1
* R
n
*Each one of these relations has its own degree of inconsistency.
i
*If n = 0, ∑ m (S) = 0, then the relation is consistent.
*Each relation R in the set conflicts with at least one other relation in the set. The number of relation this relation R conflicts with defines the 'degree of inconsistency' of a given relation. Thus, that number will be at most n-1, since a relation cannot conflict with itself, and will be at least one.
6 - Some Theorems and properties
Property 1:
Considering a set S = {R1, .. ,Rn} where Ri is a relation making a system inconsistent, and m i is the degree of inconsistency of Ri (as defined above). Then the number of conflicting pairs is
(∑ m i (S) will always be an even number, since inconsistent relations are exists by pairs )
Proof:
Every time a relation appears in a pair of conflicting relation, both relations have their inconsistency degree increased by one, hence the sum of all inconsistency degree is twice the number of conflicting pairs. (Trivial proof)
Property 2:
If
i
* R
∑ m (I) >= N, the system is consistent
i
(I) is set
With m i (I) being the inconsistency degree of relation Ri when it is added to the set I, and N being the number of initial conflicting pairs in S.
Note that ∑ m i (I) = N is a sufficient condition for the system to be consistent. Moreover, in our algorithm, ∑ m i (I) will never be greater than N, since the goal of our investigation is to find a minimal set of conflicting relations.
Proof:
Removing a relation Ri will also remove exactly one instance of each relation that previously conflicted with Ri. So, the sum of inconsistency degree of S will be lowered by 2*m i. Recall that when ∑ m i (S) reaches 0, the system is consistent. So, if i i i i
2* ∑ m (I) = ∑ m (S), the system is consistent; ∑ m (I) = ∑ m (S)/2 =N
Lemma 1:
From properties 1 and 2, we can conclude that if
∑m
i
(I) >= ∑m
i
(S)/2, the system is consistent
Inversely, if ∑m i (I) < ∑m i (S)/2, then the system is not consistent.
From this point onward in the paper, we will handle inconsistencies caused by equalities as a different case.
Property 3:
The set S is a bipartite graph. Therefore, it can be divided into two sub graphs such that:
S is a bipartite graph with two partitions S
1
and S
2
Where no node of Sk is connected with another node of Sk.
Proof:
Whenever an element is added to S, it is conflicting with another element in S. let us call these two elements V1 and V2. Then, either:
V1 (> or >=) V2 OR V1 (< or <=) V2. According to their relation with each other, V1 and V2 will be stored in their respective bipartite sub graph.
Property 4:
If either |S
1
| = 0 or |S
2
| = 0, then both |S
1
| = 0 and |S
2
| = 0, therefore the system is consistent.
Similarly, |S1| or |S2| = 0 is a sufficient condition for |S| = 0
Proof:
If S1 or S2 is empty, then the graph S is totally disconnected and no conflicting constraint remains, hence |S| = 0.
Property 5:
The element with the highest number of edges of each bipartite sub graph is connected with all elements of the other sub graph.
Proof:
The element with highest inconsistency degree in each sub graph is on the right most position for the element of the '>' partition (none can be greater) and on the left most position for the '<' partition (none can be smaller).
Theorem 1:
The set of edges of each element in one sub graph is the subset of all the set of edges of each element with degree equal or greater than this element.
Proof:
From property 5, we know that all elements in one sub graph S1 are connected with the element with the highest number of adjacent edge of the other sub graph S2. Therefore, any set of edges of any element in S2 with a degree smaller or equal to the highest one in S2 will be a subset of the set of edges of the element with highest degree.
If we now remove this element from S2 (highest number of adjacent edges), the second element with highest number of adjacent edges in S2 becomes the one with highest number of adjacent edges. Thus, all other set of edges of all other relations will be subsets of the set of edges of the 'new' relation with highest number of edges. This can be applied until there remains only one element in the sub graph. Inversely, all set of edges of any elements in S1 with degree less than or equal to the element with highest inconsistency degree is a subset of the set of edges of the element with highest inconsistency degree.
Property 6:
Each time a relation is chosen by Algorithm 1, it has a number of adjacent edges of exactly: Max (|S1|,| S2|)
Proof:
The element with the highest number of adjacent edges is the element in the smaller sub graph and is connected with all elements of the bigger sub graph.
Adding equality
Property 7:
In order to add equality, keeping the properties of a bipartite graph, we split equality as if it was two different conflicts in the bipartite graph as well as 2 different points on the same line. In other words, for (new = xi) we replace it with (new <= xi1) and (new >= xi2) where xi1 and xi2 are the two names for the same point xi2. The two constraints go to two different partitions of the conflict graph. Each equality relation is composed of two sub relations: <= and >=. Each sub point will be stored in its respective sub graph. Therefore, all relation can be thought in terms of two partitions: "<"and">". The "<"partition includes the following relations: {<, <=, and the <= part of the equality}. The ">"partition includes the following relations: {>, >=, and the >= part of the equality}.
If the two partitions of every = relations are thought as an element of one of the two sub graphs formed by the bipartite graph, then all properties hold for all the relations, including equality.
Recall that <=> never creates inconsistency, and since multiple point assignment is not allowed (xi = xnew and xi > xnew is not allowed), <> neither will create inconsistency.
Property 8:
The maximum sufficient number of elements to remove to make the system consistent is <= Min (|S1|, |S2|)
Proof:
At most, removing the entire smallest set will remove inconsistency (bipartite graph)
Lemma 8:
Algorithm 1 finishes with a set |I| <= Min (|S1|, |S2|)
Proof:
From property 6, we know that each time algorithm 1 chooses a relation, it is the one conflicting with Smax = Max(|S1|, |S2|). Then Algorithm 1 chooses a relation in Smin = Min(|S1|, |S2|). After each step, exactly one relation is removed from Smin, and some relation(s) may be removed from Smax. Then, either Smax becomes less than Smin, in which case the next element to be picked up will be in Smax, or Smin still the minimal set, and the next element will be picked up in it. At most, Smin still all along the minimal set, and will be totally removed by successive choices of algorithm 1.
Property 9:
This is not a strong or correct proof, but this fact has to be mentioned since it could become a crucial issue to prove algorithm FindMinSet in the future.
Two different sets I1a and I1b found with algorithm 1 have the same minimal cardinality for a given input:
The goal is to obtain min |I| by removing Max (S1, S2) at each stage until the number of connecting edges reaches 0. Two sets found with algorithm 1 will not necessarily have the same set of elements. If at any stage, a tie occurs between two elements in Max (S1, S2), or if |S1| = |S2|, then the algorithm has the choice among several elements to remove. Let us consider these two cases separately.
First, if two elements are tied in Max(S1, S2): R1 and R2 (R1, R2 e Si), then both elements will be picked up by the algorithm in any order.
Second, if at any stage |S1| = |S2|, R1 is element max in S1, and R2 is element max in S2. removing R1 will possibly make |S1| < |S2|, then at the next stage, R2 will be picked up. Otherwise, it could make |S1| > |S2|, meaning that removing R1 removed also at least 2 elements in S2. Then the next element to be picked up will be in S2.
7 - An example running the algorithm FindMinSet
Consider the set S = {R1, R2, R3, R4, R5} with the following rule of conflict (note that it contains 7 pairs, so ∑ m i (S) will be 14):
R1 * R2
R1 * R3
R1 * R4
R1 * R5
R2 * R4
R2 * R5
R3 * R4
Then, the corresponding inconsistency degree <Ri> will be:
<R1> = 4 <R2> = 3 <R3> = 2 <R4> = 3 <R5> = 2
Our algorithm chooses R1 and adds it to the set I, ∑ m i (I) = 4, and the corresponding inconsistency degree <Ri> becomes:
<R2> = 2 <R3> = 1 <R4> = 2 <R5> = 1
Now, we can either add R2 or R4 to I since they have the same inconsistency degree. Lets choose R4. Now ∑ m i (I) = 4 + 2 = 6, we then obtain:
<R2> = 1 <R5> = 1
We now can remove either R2 or R5 since, once again, they have the same degree of inconsistency (choose R2).
∑m i (I) = 6 + 1 = 7 which is equal to the original number of pairs. The system is now consistent and a minimal set I = {R1, R4, R2} is now found.
8 - Proof of the algorithm FindMinSet
Last Update of the proof :(11/19/03)
Proof direction 1:
*Consistent:
When the algorithm finishes, n = 0 and S is empty. When S is empty, every inconsistent relation have been removed, consequently, the system becomes consistent.
*
Minimal:
Assumption:
There exist a minimal set of relations I2 within an inconsistent system to remove to regain consistency, which contains less elements than I1.
The set of constraints to remove from an inconsistent system found by Algorithm 1 is not unique. In fact, Algorithm 1 proposes one of theses set if it exists. The choice of this set depends on the ordering of the variables as algorithm one picks the first occurrence of maximal conflict based cardinality within the set of all inconsistent relations. Hence, according to the constraint ordering, Algorithm 1 may find different sets with same cardinality (minimal). Let us call the set of all different sets possibly found by Algorithm 1: GI = {I1a, I1b, I1c, ...}
No proper subset of any set found by Algo 1 can make the system consistent; hence, I2 is not a proper subset of I1i for any i (1 ≤ i ≤ | GI |).
S1, and S2 are the sets held by the two subset of the bipartite set before the algorithms run. (original bipartite sets)
s1, and s2 are the sets held by the two subset of the bipartite set while the algorithms are running. (dynamic bipartite sets)
Proof:
At one time, |s1| ≠ |s2| and Algo1 will pick the element with highest inconsistency degree, but I2 will not in order to have a different set from I1. Since the element picked by Algo1 is connected with all elements of the other set of the bipartite graph, Algo2 MUST pick all elements of this last set MAX(s1, s2) (ie, the set with the highest number of elements). But from property 8, removing MIN(s1, s2) is enough to have the bipartite graph totally disconnected. Therefore, the previous assumption is false, leading the proof to a contradiction.
9 –Interval Algebra
Discussion about ORD-Horn cases:
Search for inconsistency and for minimal set to remove to get consistency back can be done in polynomial time when the set of constraints being involved belong to the class of ORD-Horn relations.
ORD-Horn algebra is the maximal tractable subset of Allen algebra containing all 13 basic relations. It can always be expressed in a conjunctive normal form where each literal contains at most one relation of the type <= or =, and any number of relations of type /=.
Relation with Allen's algorithm
(A new proof of Tractability for ORD-Horn Relations, Ligozat)
Important clauses about ORD-Horn cases:
1. A constraint network with labels in the ORD-Horn class is consistent if and only if it is path consistent.
2. The class of ORD-Horn relations is the maximal sub-class of Allen's algebra containing the atomic relations, closed by non-empty intersection, conversion and composition, which is tractable.
3. The class of ORD-Horn relations is defined as the set of relations that can be represented by Horn clauses involving beginning and end points.
Simple application of interval algebra problems:
While investigating on a crime that has been committed, inspector Harry gets the following facts from the three witnesses (A, B and C) that were present during the scene:
* A left when C arrived
* B arrived and left before C arrived
* B left after A arrived, and before A left.
Inspector Harry knows that one and only one of the witnesses lies and committed the crime.
Just before giving up, a new witness (D) appears and tells inspector Harry the following facts:
*
B left when D arrived
*
D arrived before A arrived, and left before A left
*
D left when C arrived.
This simple problem can be solved intuitively, but may lead to major errors when solving larger problems. The algorithms presented at the end of this section however would easily solve this kind of problems, and of course much larger problems, by minimizing the number of relations to be taken apart.
Relation between Point and Interval algebra:
Do point algebra algorithms can be applied to interval relations?
This may be the case when dealing with ORD-Horn relations as far as Interval algebra is concerned. However, the problem of finding consistency for interval algebra is obviously more complex than for point algebra since interval has 13 basic relations against 5 for point algebra. The extra set of relations comes from the fact that the constraints not only deals with a unique discrete point, but with a starting point and an ending point. Some algorithms are already under investigation to serve the purpose of finding consistency, and restoring consistency in case of inconsistency. We will introduce some of them in this report, but first, we need to define interval reasoning, and to build up some graphical conventions to illustrate the different examples we will use.
The set of all possible relations for interval relation is defined as follows (Ligozat, A New Proof of Tractability for ORD-Horn Relations).
Among the 13 atomic relations, six are of dimension 2:
eq (equal)
ex B eq A
*
n order to illustrate the resulting relation of two constrained intervals, we will use some symbols for which an explanation is required:
: Required Starting point : Required Ending point : Forbidden Start/End point
Example one (non ORD-Horn case)
* D mi, o C
* •
D si, f, d A
D b, m, s B
A starts along with B
1 is the required starting point
2 is a forbidden region for either starting or ending point (it is comprised between
_and O)
3 is a forbidden region for either starting or ending point
4 is a required region for ending point
I
Example two (non ORD-Horn case)
* D s, o, f A
* •
D m, d, s B
D f, d, o C
Blocks 1 and 3 doesn't support each others at all (no variable satisfying any constraint in 1 can satisfy any constraint in 3), same remark for blocks 2 and 3. => The system is inconsistent
Set of possible
solutions
In the next example, we just changed a constraint form the previous block 3 in order to restore consistency
Example three (non ORD-Horn case)
*
* D m, d, s B
Example four (ORD-Horn case)
* D o, s, d A
* •
D b, m, o B
D si, mi, oi C
A
Algorithm Interval-Consistency
*
Split every multiple constraint into unary constraint, and store them in their respective blocks.
*
Merge Blocks 2 by 2 by reducing every possible 2 constraint in each block. Prune every constraint that does not have at least one support in the other block. If a block becomes empty at any time, then the system is not consistent.
```
Nb: If for some constraint x _ Block 1, y _ Block 2, z, _ Block 3, … C1x _ C2y _ C3z _ … ≠ Ø, then the system is consistent. Otherwise, the system is inconsistent.
```
* The last resulting block is the set of all possible solutions.
```
FUNCTION interval-Consistency (setOfComposedCstreWithNew) : Blocks BEGIN consistent <- true; Blocks[] <- createBlocks (setOfComposedCstreWithNew); WHILE (sizeOfBlocks > 1 & consistent) DO Blocks [last-1] <- mergeBlocks (Blocks [last], Blocks [last-1]); consistent <- (Blocks [last-1] = null); Blocks [] <- Blocks [] - Blocks [last]; //Just remove the last Block END return Blocks [1]; //Set of solution if consistent, null otherwise END
```
```
PROCEDURE createBlocks (setOfComposedCstreWithNew) : []Blocks i = 0; WHILE ( setOfComposedCstreWithNew != NULL) DO ComposedConstraint <- any composed constraint from setOfComposedCstreWithNew; Blocks [i+1] <- decompose (ComposedConstraint); setOfComposedCstreWithNew = setOfComposedCstreWithNew – ComposedConstraint; END return Blocks[]; END
```
```
PROCEDURE mergeBlocks (Block_A, Block_B) : Blocks Block_C <- null; FOR all unary constraint c_A in Block_A DO c_C <- null FOR all unary constraint c_B in Block_B DO IF compatible (c_A, c_B) DO // or IF (c_A _ c_B ≠ null) c_C <- c_A _ c_B; Block_C <- Block_C U c_C; END END END return Block_C; END
```
```
PROCEDURE decompose (ComposedConstraint) : Blocks Blocks_R <- null; FOR c[k] <- each constraint in ComposedConstraint DO Blocks_R <- Blocks_R U c[k]; END return Blocks_R; END
```
Algorithm build-conflict-set:
Many directions could be investigated to build a conflict set when inconsistency is detected. This will facilitate the regain of consistency for such systems, either by removing the (most) culprit constraints, or by suggesting the smallest changes to do to some constraints to restore consistency.
In a first approach of the discovery of these algorithms, we will only focus on ORD-Horn cases that are proved solvable in polynomial time. We will here explore two of them, even though none of them may be best. This is a first approach of the subject and may be subject to major changes (12/03/2003).
Proposition 1: (detecting inconsistent unary relation)
*
Mark every unary relation within each Block each time it does not get support from a whole block.
* •
Get the minimal mark value within each Block and store it in MinConflictValue.
Remove all constraint of the Block which has highest MinConflictValue until the system is consistent
* For each empty block, set (try?) a unary constraint that satisfies all other Blocks.
Proposition 2: (detecting inconsistent Blocks)
* Check two by two and mark every block that does not support each other.
*
Run the algorithm FindMinset on the set of blocks in order to find the most culprit(s) blocks.
* Remove the culprit(s) block(s), or suggest a (some) consistent block(s).
Proposition 1 would require an algorithm. Although proposition 2 wouldn't, or some minor changes from the point based algorithm FindMinSet, the first solution seems to be more flexible (when dealing with non ORD Horn-cases).
Partial Constraint Satisfaction
Our work seems to go the opposite direction from "Partial Constraint Satisfaction" Eugene C. Freuder and Richard J. Wallace, Artificial intelligence 58 (1992) 21 – 70. In this work, the authors try to solve inconsistent problems by finding a partial solution from the original problem by satisfying the maximum number of constraints. As far as we are concerned, we try to minimize the number of relations to remove to get back to consistency, which seems more convenient when dealing with incremental problem (we know that 'up to this point', the system is consistent)
Future works
In future works, we hope to find some tractable cases for general Interval problems, including non ORD-Horn cases. The applications for such algorithm are various and may apply to such diverse domains as plan scheduling, travel itinerary setting, time decision making…
Some examples performed with the algorithm submitted to the flairs workshop 04
Consistent ORD Horn, non-pointizable case: Existing set of intervals:
A
B
N d,eq,o~ A
N1 ≤ N2, N1 ≠ N2, A1 ≤ A2, A1 ≠ A2, A1 ≤ N1, N1 ≤ A2, N1 ≠ A2, (N1 ≠ A1 V N2 ≤ A2) (N1 ≠ A1 V A2 ≤ N2)
N m,o,d~,eq B
N1 ≤ N2, N1 ≠ N2,
B1 ≤ B2, B1 ≠ B2,
N1 ≤ B1,
B1 ≤ N2,
(N1 ≠ B1 V N2 ≤ B2), (N1 ≠ B1 V B2 ≤ N2), (N2 ≠ B2 V N1 ≤ B1)
(N2 ≠ B2 V B1 ≤ N1)
From the existing intervals, we know that:
B1 ≤ A1, B1 ≠ A1
B2 ≤ A1, B2 ≠ A1
B2 ≤ A2, B2 ≠ A2
Now, let us choose the lowest dimension relations from the disjunction cited above. The set of point relations then becomes:
N1 ≤ N2, N1 ≠ N2,
A1 ≤ A2, A1 ≠ A2,
A1 ≤ N1, N1 ≤ A2, N1 ≠ A2,
N1 ≠ A1,
N1 ≤ N2, N1 ≠ N2,
B1 ≤ B2, B1 ≠ B2,
N1 ≤ B1,
B1 ≤ N2,
N1 ≠ B1,
N2 ≠ B2
Next step consists in finding the 'boxes' for starting point and ending point individually.
* Grouping all relations for the starting point related to some old points:
A1 ≤ N1, N1 ≤ A2, N1 ≠ A2,
N1 ≠ A1,
N1 ≤ N2, N1 ≠ N2,
N1 ≤ B1,
N1 ≠ B1
This gives a valid box for N1:
A1<N1<A2
Grouping all relations for the ending point related to some old points:
B1 ≤ N2,
N2 ≠ B2
Is the valid box for N2.
Since valid boxes have been found for both, starting and ending point, and the start box is before the end box, we are now confident that the system is consistent.
Now, let us recomputed the same example but with the assumption that B is before A.
Inconsistent ORD Horn, non-pointizable cases:
Existing set of intervals:
B
A
N d,eq,o~ A
N1 ≤ N2, N1 ≠ N2,
A1 ≤ A2, A1 ≠ A2,
A1 ≤ N1, N1 ≤ A2, N1 ≠ A2,
*
(N1 ≠ A1 V N2 = A2)
N m,o,d~,eq B
```
N1 ≤ N2, N1 ≠ N2, B1 ≤ B2, B1 ≠ B2, N1 ≤ B1, B1 ≤ N2, (N1 ≠ B1 V N2 = B2), (N2 ≠ B2 V N1 = B1)
```
From the existing intervals, we know that:
```
B1 ≤ A1, B1 ≠ A1 B2 ≤ A1, B2 ≠ A1 B2 ≤ A2, B2 ≠ A2
```
The same lower dimension relation choice leads to the following set of point relations
```
N1 ≤ N2, N1 ≠ N2, A1 ≤ A2, A1 ≠ A2, A1 ≤ N1, N1 ≤ A2, N1 ≠ A2, N1 ≠ A1, N1 ≤ N2, N1 ≠ N2, B1 ≤ B2, B1 ≠ B2, N1 ≤ B1, B1 ≤ N2, N1 ≠ B1, N2 ≠ B2
```
We now look for the 'boxes' for starting point and ending point individually.
* Grouping all relations for the starting point related to some old points:
```
A1 ≤ N1, N1 ≤ A2, N1 ≠ A2, N1 ≠ A1, N1 ≤ N2, N1 ≠ N2, N1 ≤ B1, N1 ≠ B1
```
But here, since B1 < A1, the relations A1< N1 and N1 < B1 conflict with each other. No box can be found and the system is hence inconsistent.
1. First, we convert each constraint into conjunctive normal ORD-Horn form as in the example 3 above. Thus, the whole set of constraints C becomes a conjunctive normal formula, where each literal is a constraint between one of the boundary points of the new interval n to the one of the committed points on the time-line belonging to the old intervals in the database. Also, each clause has at most one positive literal. For a consistent problem instance this formula must be true, or each
clause must be true.
2. Then, we pick up the unit clauses (clauses that contain only one literal), which are, by definition the tightest constraints.
3. In the next step we choose a literal involving inequality (the less constraining relations) from each non-unit clause, making sure that no inequality conflicts with an "=" relation picked up the previous step.
4. In the subsequent step, we group the literals into two groups: one involving the nand the other involving n+.
5. We then run the PoSeq algorithm described before on each group for finding a Box for each of the two boundary points of n, call them Box- and Box+ respectively.
*
If none of the Boxes is null, and Box+ does not precede Box-, then it is feasible to assign n- and n+ satisfying the constraints, and the system is consistent.
*
If any Box is null, then run the two algorithms, GenerateConflictSet and FindMinSet described before, in order to find the independent culprits, involving the start point and the end point.
10 - Inconsistency Detection in Other CSPs
A point to note here is that in general CSP ("offline" problem or a full-CSP rather than the incremental one) it may not be possible to detect conflicts between pair of constraints. For instance, (a<b, b<c, and c<a) conflict with each other but one cannot identify any pair here that has mutual conflict independent of the third constraint. However, in the "online" version of the problem that we addressed in the paper some constraints are "committed," or irrevocable, as with the older point-sequence. Only the constraints between the new point and the older points are under scrutiny, and hence, we could create the conflict set as a set of pairs of conflicting constraints. In a full CSP, elements in the conflict set may have to be multi-aried tuples rather than the binary tuples as in our case. The idea of having a minimum set of constraints - removal of which would eliminate all conflicts from the CSP will still be valid in the offline problem as well.
In the discrete CSP the online problem addressed here would appear as committing a value for each variable interactively (by the user), while the system only suggests the satisfiable values for the new variable to be added. Alternatively, on detection of inconsistency, it suggests the sources of inconsistency, expecting the user to change some constraints involving that new variable. Hence, there is no backtracking needed. Variables' values once committed becomes unchangeable, on the other hand the constraints (with the "new" variable and only the "old" committed ones) are "soft" and changeable. A future direction of our work will address how to incorporate interactive backtracking by suggesting user with some possible changes in the values of the committed variables as well. In the pointsequencing problem that issue would raise some interesting unexplored question about the topology of the solution space (different from the search space in the sense of problem solving).
Extending the work to the multi-dimensional point-based reasoning as with Cardinaldirections calculus of Ligozat (1998) or with Star-calculi of Mitra (2002) is another obvious future direction for us.
11 - Related Works
The search for "cause" of inconsistency is not new to the CSP community. Identification of such causes for improving the search algorithm is routinely explored over the last two decades. Recent works like that in (Jussien and Lhomme, 2000) proposes optimization for existing consistency search algorithms same as the Tabu search (Glover, 1989 and 1990) and backtracking-based algorithms. For example, backjumping and dynamic backtracking attempts to find the right constraints at the time of backtracking. Other works using Dynamic Variables Ordering (Bacchus and van Run, 1995) tend to ameliorate performance by looking forward in the tree search, applying a method to sort the variables in such a way that the general computation of known algorithms becomes faster and more efficient. The purpose of another algorithm called "Ng learning" (Hirayama and Yokoo, 2000) is to build and maintain a set of No-Good constraints, leading to inconsistencies or for which optimization is not efficient. Hirayama and Yokoo combined this method with asynchronous weak-commitment search algorithm and improved the technique of no-good learning. Similarly, tabu-search explores different arrangements of conflicting sets, keeping track of some solutions that should not be explored in the next iterations, rendering them Tabu. Several of such 'optimization algorithms' have been attempted within the last few years as it is in the (Klau et al, 2002) where the user, once again is solicited to ameliorate the efficiency of the search. No-Good backmarking (Richards et al, 1995) works almost the same way. It processes learning of constraints during search for which a failure occurred and intends to 'repair' some non-optimal paths. A sense of topological relations between the solutions is implicit in this heuristic. However, only a few works have investigated the direction of providing suggestions to the user (as a valid output of the system on detection of inconsistency) for the purpose of his/her interacting with the algorithm by keeping or relaxing some constraints. Amilhastre et al (2002) suggest considering the user's choices as assumptions. This paper proposes an extension of the CSP framework for which interactive decisions involves a method for computing a maximum subset of user's choices to ensure consistency. Thus, many of such "intelligent" backtracking heuristics (or other extensions of classical CSP) may be useful for further investigation on consistency restoration in constraint reasoning systems.
In the current framework, we handle all constraints to be of the same importance. But some externally imposed ordering could attach some measures on the constraints. Detecting "minimal cause" for inconsistency will be an optimization problem in that set up. Partial Constraint Satisfaction Problems provide a framework for such a reasoning scheme (Freuder and Wallace, 1992).
12 - Conclusion
In this paper we have described our ongoing experiments with the idea of detecting the causes of inconsistency when the later is found out in a constraint network. We have chosen the point-sequencing online problem as our first test bed. A greedy algorithm for the purpose has been developed and implemented. Identification of such causes behind inconsistency might help a user of a constraint reasoning system in "diagnosing" the data/knowledge base. A set of serious questions arises from this work. For instance, the "solutions" to a CSP might form a topological space of their own. Explicit knowledge of this space could possibly help in intelligent backtracking, or in our online framework – helping user to fix the "bug" by providing suggestions. This type of help will enhance the power of any practically deployed CSP system (e.g., a constraint database) significantly.
13 - References
Amilhastre, J., Fargier, H., and Marquis, P., 2002. "Consistency restoration and explanations in dynamic CSPs-Application to configuration" Artificial Intelligence journal, Vol 135, No. 1-2, pp 199-234.
Bacchus, F., van Run, P., 1995. "Dynamic Variable Ordering In CSPs" Principles and Practice of Constraint programming (CP95) pp. 258-275.
Freuder, C. E., Wallace, R. J., 1992. "Partial Constraint Satisfaction" Artificial Intelligence journal, Vol 58, No 1-3, pp 21-70.
Glover, F., 1989. "Tabu search – part I" ORSA Journal on Computing, Vol 1, No 3, 190206.
Glover, F., 1990. "Tabu search – part II" ORSA Journal on Computing, Vol 2, No 1, 4-32.
Hirayama, K., Yokoo, M., 2000. "The Effect of Nogood Learning in Distributed Constraint Satisfaction" 20 th IEEE International Conference on Distributed Computing Systems.
Jussien, N., and Lhomme, O., 2000. "Local search constraint propagation and conflictbased heuristics." Artificial Intelligence journal, Vol. 139, pp 21-45.
Klau, G. W., Lesh, N., Marks, J., and Mitzenmacher, M., 2002. "Human guided Tabu search" To appear in AAAI – 02
Ligozat, G., (1998). "Reasoning about Cardinal directions," Journal of Visual Languages and Computing, Vol. 9, pp. 23-44, Academic Press.
Mitra, D., (2002). "A class of star-algebras for point-based qualitative reasoning in twodimensional space," Debasis Mitra, accepted to the FLAIRS-2002 Special track on Spatiotemporal reasoning, Pensacola Beach, Florida.
Richards, T., Jang, Y., Richards, B., 1995. "Ng-backmarking – an algorithm for constraint satisfaction" BT technol J Vol 13 No 1 pp. 102-109
Vilain, M., and Kautz, H., 1986. "Constraint propagation algorithms for temporal reasoning." Proceedings of the Fifth National Conference on Artificial Intelligence (AAAI), Philadelphia, PA, pp. 377-382.
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Nosocomial and community-acquired Acinetobacter infections
Marie-Laure Joly-Guillou
To cite this version:
Marie-Laure Joly-Guillou. Nosocomial and community-acquired Acinetobacter infections. Acinetobacter Biology Infections and Pathogenesis, Springer, pp.155-166, 2008, 10.1007/978-0-387-77944-7_9. hal-03333608
HAL Id: hal-03333608
https://hal.univ-angers.fr/hal-03333608
Submitted on 7 Sep 2021
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Nosocomial and Community-acquired Acinetobacter Infections
Marie Laure Joly-Guillou
Introduction
Members of the genus Acinetobacter are involved in a wide spectrum of infections. Although this organism is mainly associated with nosocomial infections, these bacteria have been recently shown involved in community-acquired infection. Over 1,000 published papers refer to ''infections by antibiotic resistant Acinetobacter in the international literature.'' This opportunistic commensal bacterium was initially considered a relatively low-grade pathogen and frequently ignored until the 1960s, even when isolated from clinical samples. However, marked improvement in culture techniques in the last 30 years increased awareness of infections due to Acinetobacter. Prior to the 1970s, nosocomial infections by this organism were mainly detected after surgical procedures or in the urinary tract from patients hospitalized in intensive care units (ICU), but since the 1980s, acinetobacters were found rapidly spread among ICU patients. At the present time, this bacterium represents about 9–10% of all nosocomial infections, but the majority are due to respiratory tract infection. The origin of such infections is known to be both endogenous and exogenous, and the introduction of single-use disposable patient items is now known to limit endogenous infection. Nevertheless, transmission of the bacteria by the hands of hospital staff is now known to be an important risk factor for patient colonization. Of the many different microbial species isolated from various environments, Acinetobacter baumannii is known to be the most frequently involved in human infections. Although the reservoirs outside of hospital environments are not clearly defined, community acquired infection and infection related to war or earthquakes have been recognized and may be due to presence of these microbes in the soil. The severity of such infection by this bacterium depends on the site of infection and the degree of a patient's immune competence related to underlying disease. Acinetobacter may cause mild to severe illness and can be fatal. However, a consensus whether this organism is indeed highly pathogenic is not established since this organism is
thought to be mainly a low-grade pathogen. It is likely that increased pathogenesis by this microbe involves numerous factors, including virulence factors that are not yet clear. However, there is now increased interest in this pathogen the last 30 years (Livermore, 2003), since recognition of antibiotic multiresistant strains, including pan resistance, emerged in an outbreak in a clinical unit (Del Mar et al., 2005; Fierobe et al., 2001; Mah et al., 2001; Rello, 2003; Simor et al., 2002; Smolyakov et al., 2003). In hot and humid areas such as the tropics, Acinetobacter infections are usually community acquired, in general bacteremias, or primary infections (Anstey et al., 2002).
Mortality and Morbidity
The clinical impact of Acinetobacter infections in terms of morbidity and mortality is highly variable. Since the 1980s, A. baumannii has been found to spread rapidly among ICU patients. Recorded incidences of nosocomial infection vary from about 4–8.2 % in Spain in the period 1990–1997 (Vaque et al., 1999) or 9% in 1995 in Europe (Vincent et al., 1995). These bacteria have been compared to Staphylococcus aureus resistance to methicillin (MRSA) and even designated ''Gram negative MRSA'' (Rello, 2003). This epidemiological spread of Acinetobacter is similar to MRSA, and has an impact on morbidity and mortality similar to coagulase-negative staphylococci (Rello and Diaz, 2003). However, the incidence of Acinetobacter bacteremia is estimated to be ten fold less than S. aureus (1.5% as compared to 14%, respectively, Wisplinghoff et al., 2000). Nevertheless, some authors believe clinicians should be alert to the emergence of this potentially difficult and dangerous organism responsible for infectious outbreaks, which may cause severe problems (Kaul et al., 1996; Theaker et al., 2003). Recently published reports concerning overall mortality rates vary from 20 to nearly 60%. However, there have only been a few studies of mortality rates using multivariant analysis. Although this type of study should be further performed, mortality rates in a few studies have been often shown to be between 10% and 20% (Blot et al., 2003; Poutanen et al., 1997; Wisplinghoff et al., 2000). The species A. baumannii appears to be of the greatest clinical importance. Nevertheless, there is a close relationship between A. baumannii complex species (A. baumannii, calcoaceticus sp. 3 and the sp 13 of Tenberg and Ursing). These isolates are more resistant to antibiotics and responsible for numerous outbreaks throughout the world (Bergogne-Be´ re´ zin et al., 1996). The A. baumannii complex is considered different from other species, similar to differences between S. aureus and coagulase-negative staphylococci. Other Acinetobacter species are not frequently involved in human infection outbreaks, but are generally isolated from patients suffering from severe underlying disease. Furthermore, clinical laboratories sometimes have difficulties differentiating other Acinetobacter species from A. baumannii, since conventional tests are usually insufficient for accurate identification.
Nosocomial Bacteremia
Bacteremia caused by Acinetobacter is currently one of the infections with highest mortality in hospitals. A survey of the health protection agency in England showed that patients with bacteremia were more than 50 years of age and the majority male. Among these patients, 5% were hospitalized in general wards and 54% in ICUs (Wisplinghoff et al., 2000). Risk factors were defined in many studies and found similar to other opportunistic bacteria (Blot et al., 2003; Vaque et al., 1999; Poutanen et al., 1997). Sepsis and/or septic shock were observed in one study in 19% of bacteremias (Valero et al., 2001). However, this observation stressed the major pathogenicity of only a few strains. Although, the overall mortality rates were about 40%, mortality of about 8% was reported in one survey related to inappropriate therapy (Wisplinghoff et al., 2000). Mixed infections are frequent in Acinetobacter bacteremia and this may be related to bacterial synergy. A. baumannii infection generally represents about 10–15% of Acinetobacter bacteremia isolates. However, in another survey, Valero et al. (2001) identified a high rate of non-A. baumannii bacteremia. These species were preferentially isolated from patients hospitalized in hematology wards, rather than the majority of A. baumannii isolated from ICU patients.
Nosocomial Pneumoniae
Before the 1970s, Acinetobacter infections were mainly detected in postsurgical and urinary/renal disease patients. Since these bacteria were isolated mainly from patients hospitalized in surgical or medical wards, significant improvement in culture techniques the last 30 years provided a fuller view of Acinetobacter infection frequency (Fagon et al., 1996; Garnacho et al., 2003). McDonald et al. (1999) reported that from 1976 to 1990, the incidence of nosocomial pneumoniae due to Acinetobacter increased from less than 1 to no more than 6%. At the present time, these organisms from ventilator-associated pneumonia are known to be markedly increasing. Infection rates of 30–75% have been reported for nosocomial pulmonary infection due to Acinetobacter species, with the highest rates reported in ventilator-dependent patients (Cardenosa Cendrero 1999). The use of specific microscopic and laboratory techniques has demonstrated the increasing role of A. baumannii in such nosocomial pneumonia (Chastre et al., 1996), and the distribution as well as the prevalence of these bacteria were observed in a large survey (Rello 1999). Incidence varied from one center to another, with an overall incidence of 8% in the SCOPE virulence system. Acinetobacter species were found present in only 24 or 49 USA hospitals participating (Wisplinghoff et al., 2000). From the century surveillance program of 144 Latin American countries, Gales et al. (2002) found Acinetobacter species in only 7 countries. The epidemiology of nosocomial
respiratory colonization and/or infection with A. baumannii is known to be complex due to co-existence of epidemics with unrelated sporadic cases caused by different strains (Chastre, 2003).
Wound and Burn Infections
A. baumannii is a common cause of nosocomial infection in burn patient populations. Infections caused by these bacteria are less severe than that caused by other organisms. In a recent report, burn patients with Acinetobacter infection had more severe burns and co-morbidities. However, on multivariant analysis, infection with A. baumannii was not found associated with mortality (Albrecht et al., 2006). Outbreaks due to this organism have been described in burn units and many of the infections have been associated with antibiotic multiresistant strains. A persistent outbreak is often related to persistent contamination of the hospital environment (Simor et al., 2002). In 1985, Sherertz and Sullivan described a persistent outbreak due to contamination of patient mattresses.
Infective Endocarditis
Endocarditis due to Acinetobacter is relatively rare, but with high mortality and reported mainly in hospitalized patients with previous heart disease factors (Valero et al., 1999). Rarely reported, acinetobacters also constitute one of several causes of early prosthetic valve endocarditis. A diffuse red bacterial maculopapullar may be encountered (Olut et al., 2005). Some cases of prosthetic vale endocarditis due to Acinetobacter lwoffi have also been described (Starakis et al., 2006).
Neonatal Nosocomial Infections
Neonatal sepsis is the major cause of death in newborns despite sophisticated neonatal intensive care. There have been only a few reports of Acinetobacter infections or outbreaks in neonates. A. baumannii is responsible for the majority of neonatal sepsis (greater than 72 hrs of age) with a mortality rate of 11% compared to early onset sepsis due to group B streptococcus. Infections have been described in ventilated infants with a birth weight less than 1500 g and hospitalized for more than 7 days (Mehr et al., 2002; Jiang et al., 2004; Von Dolinger et al., 2005). The intestinal flora of a neonate is considered the reservoir of the organism, and the rate of intestinal carriage of these bacteria is a variable risk factor.
Meningitis
Acinetobacter is a rare cause of meningitidis. Sporadic cases have been reported following neurosurgical procedures (Chen et al., 2005). In 1989, an outbreak of Acinetobacter meningitis was described in a group of children with leukemia (Kelkar et al., 1989) following administration of intrathecal methotrexate and due to inappropriately sterilized needles. Three of the children died as a result of meningitis. Risk factors include the presence of a continuous connection between the ventricles and the external environment, a ventriculostomy, a CSF fistula, presence of an indwelling ventricular catheter for more than 5 days, and the use of antimicrobial agent. Metan et al. (2007) in Turkey reported a wide prevalence of multiresistant Acinetobacter causing meningitis in neurosurgical patients. The surveillance of local pathogens in neurosurgical wards should guide the selection of empirical therapy and an effective infection control program.
Pathogenesis, Dissemination, and Outbreaks
In clinical practice, Acinetobacter infections are closely associated with surgery or artificial devices, and colonization precedes infection. For patients to become infected, various risk factors are necessary for pathogenesis. This is one explanation for the increasing incidence of these infections, especially in ICUs, because of multiple manipulations due to surgical practice. The use of endotracheal tubes, intravascular, ventricular, or urinary catheters often leads to opportunistic bacteria colonizing the site. In this regard, the presence and duration of invasive procedures, as well as exposure to wide-spectrum antibiotics have been identified as risk factors in many studies for acquisition of Acinetobacter (Koeleman et al., 2001). Because Acinetobacter is transmitted via the hands of the staff, the care workload ''omega score'' could represent a good marker for determination of these risk factors (Saulnier et al., 2001). Bacterial overgrowth in the stomach is another pathway that may be involved in development of nosocomial pneumonia or bacteremia. This may occur under conditions of diminution of acid secretion often observed in ICU patients. Acinetobacter readily multiply under these conditions (Cardenosa et al., 1999). A. baumannii is responsible for occasional but sudden outbreaks, which are usually unexpected and then difficult to control. The local circumstances of clinical units and the environment determine the type of infection, dissemination, and risk of outbreak. Acinetobacter, considered a low-grade pathogen, can remain on or in an individual without causing illness. Dissemination via the hand of the staff often remains unnoticed or undetected (Wang et al., 2003). Infections are less numerous than by another pathogen such as S. aureus. In a clinical unit, the ratio of colonized to infected patients may be as high as 2 to 1 for methicillin-resistant S. aureus vs.10 to 1 for Acinetobacter. Patients with
infection manifestations are likely to be the ''tip of the iceberg'' and dissemination is likely to be the ''underground of a mushroom bed'' (Bayuga et al., 2002). When infections due to Acinetobacter emerge, the number of colonized patients is probably already high and the alert to prevent an outbreak given too late (Carbonne et al., 2005). During an outbreak, all environment surfaces can be a reservoir. Acinetobacter readily survive, especially in ICUs, and this can be the case from days to weeks even in dry conditions. Under such conditions, even health care workers may be colonized on various sites with Acinetobacter (Wagenvort et al., 2002).
Wartime and Earthquake Infections
Acinetobacter has been found responsible for infections in various particular situations. After the Marmara earthquake in Northwest Turkey in 1999, 220 of 630 victims were hospitalized and 18.6% had nosocomial infections. Among these, 31.2% of the isolates were A. baumannii and two were pan-resistant strains. The prevalence of Acinetobacter infections before the earthquake was of 7.3% in the same hospital ICU without identification of multiresistant strains (Oncu¨ l et al., 2002). The literature from the Vietnam, Iran-Iraq, and Gulf wars identified multidrug resistant Acinetobacter as a war-zone community acquired pathogen, both colonizing and infecting casualties (Mitchell et al., 2007; Tong, 1972). Early infections observed in soldiers were more often soft tissue or surgical wound infections. Osteomyelitis caused by Acinetobacter occurred, but less frequently reported (Davis et al., 2005). During January 1, 2002—August 31, 2004, military health officials identified 102 patients by blood culture that grew A. baumannii in medical facilities treating service members injured in Afghanistan and the Iraq/Kuwait region. The number of patients with Acinetobacter blood infections in 2003 and 2004 exceeded those reported in previous years. These findings suggest environmental contamination of wounds as a potential source (CDC, 2004).
Community-acquired Infections
More than 100 cases of community-acquired pneumonia have been described since the 1980s. Meningitis, cellulitis, or primary bacteremia have been noticed rarely. Acute pneumonia is the most frequent community-acquired infection. Patients with acute pneumonia generally have a history of alcohol abuse, diabetes, cancer, or broncho-pulmonary disease. The literature often described a fulminating course of infection and septic shock in about 30% of cases, as well as respiratory failure. Patients frequently have productive sputum and hemoptysis. The high mortality rate has been related to the patient background and delay in appropriate therapy. In a recent study, Leung et al. (2006) found that
32% of patients with pneumonia have bacteraemia. Generally, bacteremia has been described mainly in tropical developing countries such as New Guinea, Thailand, or even Australia (Anstey et al., 2002; Wang et al., 2002). A few cases occur in temperate countries such as Spain, France, or the United States (Megarbane et al., 2000; Salas et al., 2003). Cases are more prevalent in warm and humid months, even in temperate regions (McDonald et al., 1999). Increasing colonization may probably be linked to perspiration and overuse of broadspectrum antibiotics in a population. A few studies have shown the presence of Acinetobacter in body lice, fleas, or ticks and propose their role as vectors in transmission of community-acquired infections, particularly among the homeless (La Scola et al., 2001).
Pathogenicity and Virulence
In the past, Acinetobacter was considered an organism with low virulence. The occurrence of fulminating community-acquired Acinetobacter pneumonia indicates that this bacterium can be also highly pathogenic and cause invasive disease. Studies on virulence factors are still at an elementary stage. Nonspecific adherence factors such as fimbriae have been described in Acinetobacter (Bergogne-Be´ re´ zin et al., 1996; Rathinavelu et al., 2003). Under iron-deficient conditions, bacterial growth can be accompanied by production of receptors and iron-regulated catechol siderophores, which favor bacterial growth and expression of virulence factors (Goel and Kapil, 2001). Acinetobacter lipopolysacharide, similar to those of other Gram-negative bacilli, is responsible for lethal toxicity in mice and the positivity of the amebocyte-lysate test (endotoxin detection) during Acinetobacter septicemia. This lipopolysacharide is involved in resistance to complement in human serum and acts in synergy with the capsular exopolysaccharide.
Complement appears to play a role in the bactericidal activity of human serum. A relationship between the degree of resistance of Gram-negative bacteria isolated from bacteremic patients to the lytic activity of complement in vitro and their ability to penetrate into human fluids has been described. Lipopolysacharide and capsular polysaccharide are both involved in this phenomenon. Capsular polysaccharide is known to block complement access to the microbial cell wall and prevent the triggering of the alternate pathway of complement activation, demonstrated in experimental models of Gram-negative infections. Exopolysaccharide production by pathogenic bacteria is a major virulence factor and thought to protect bacteria from host defenses and lethal for mice and cytotoxic for phagocytic cells. About 30% of strains produce exopolysaccharide. This production has been studied in A. calcoaceticus BD4, a strain that synthesizes a thick exopolysaccharide capsule composed of rhamnose, mannose, glucose, and glucuronic acid. In experimental studies, exopolysaccharide-producing strains of A. calcoaceticus were shown to be more
pathogenic than nonproducing strains, especially in polymicrobial infections with other species of higher virulence (Obana, 1986). Quorum sensing is a widespread regulatory mechanism among Gram-negative bacteria like Pseudomonas aeruginosa. Four different quorum-sensing signal molecules capable of activating N-acylhomoserine-lactone biosensors have been found in Acinetobacter clinical strains, with maximal activity reached at the stationary growth phase (Gonzalez et al., 2001). Quorum-sensing might be a central mechanism for auto-induction of multiple virulence factors in an opportunistic pathogen like Acinetobacter and should be studied for clinical implications.
Conclusion and Perspectives
Many parameters, such as host factors, bacterial burden, and strain virulence, may have important roles in promoting clinical infection in colonized patients. Acinetobacter is often multiresistant to antibiotics and thus, identifying factors influencing virulence would permit identifying low-virulent strains against which antibiotic therapy could be avoided. In contrast, identification of highly virulent colonizing strains in the respiratory tract could lead to greater prophylactic use of antibiotic treatment of high-risk patients. Careful hand washing with soap and water, as well as alcohol-based hand sanitizers, should be vigorously encouraged.
References
Albrecht, M.A., Griffith, M.E., Murray, C.K., Chung, K.K., Horvath, E.E., Ward, J.A., Hospenthal, D.R., Holcomb, J.B., Wolf, S.E. 2006. Impact of Acinetobacter infection on the mortality of burn patients. J Am Coll Surg. 203:546–550.
Anstey, N.M., Currie, B.J., Hassell, M., Palmer, D., Dwyer, B., Seifert, H. 2002. Communityacquired bacteremic Acinetobacter pneumonia in tropical Australia is caused by diverse strains of Acinetobacter baumannii, with carriage in the throat in at-risk groups. J. Clin. Microbiol. 40:685–686.
Bayuga, S., Zeana, C., Sahni, J., Della-Latta, P., El-Sadr, W., Larson, E. 2002. Prevalence and antimicrobial patterns of Acinetobacter baumannii on hands and nares of hospital personnel and patients: the iceberg phenomenon again. Heart Lung. 31:382–390.
Bergogne-Berezin, E., Joly-Guillou, M.L., Towner, K.J. 1996. Acinetobacter, microbiology, epidemiology, infections, management. CRC Press, FL.
Blot, S., Vandewoude, K., Colardyn, F. 2003. Nosocomial bacteremia involving Acinetobacter baumannii in critically ill patients; a matched cohort study. Int Care Med. 29:471–475.
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Cardenosa Cendrero, J.A., Sole-Violan, J., Bordez Benitez, A., Noguera Catalan, J., Arroyo Fernandez, J., Saavedra Santana, P., Rodriguez de Castro F. 1999. Role of different routes of tracheal colonization in the development of pneumonia in patients receiving mechanical ventilation. Chest. 116:462–470.
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Chen, S.F., Chang, W.W., Chuang, Y.C., Tsaı¨, H.H., Tsaı¨, N.W., Chang, H.W., Lee, P.Y., Chien, C.C., Huang, C.R., Young, T.G. 2005. Adult Acinetobacter meningitis and its comparison with non Acinetobacter Gram negative bacterial meningitis. ACTA neurol Taı¨wan. 14:131–137.
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Fagon, J.Y., Chastre, J., Domart, Y., Trouillet, J.L., Gibert, C. 1996. Mortality due to ventilator-associated pneumonia or colonization with Pseudomonas or Acinetobacter species. Assessment by quantitative culture of samples obtained by a protected specimen brush. Clin Infect Dis. 23:538–542.
Fierobe, L., Lucet, J.C., Decre, D., Muller-Seryies, C., Deleuze, A., Joly-Guillou, M.L., Mantz, J., Desmont, J.M. 2001. An outbreak of imipenem-resistant Acinetobacter baumannii in critically ill surgical patients. Infect Control Hosp Epidemiol. 22:35–40.
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Garnacho, J., Sole-Violan, J., Sa-Borges, M., Diaz, E., Rello, J. 2003. Clinical impact of pneumonia caused by Acinetobacter baumannii in intubated patient: a matched cohort study. Crit Care Med. 10:2478–2482.
Goel, V.K., Kapil, A. 2001. Monoclonal antibodies against the iron regulated outer membrane Proteins of Acinetobacter baumannii are bactericidal. BMC Microbiol. 1: 16–24
Gonzalez, R.H., Nusblat, A., Nudel, B.C. 2001. Detection and characterization of quorum sensing signal molecules in Acinetobacter strains. Microbiol Res. 155:271–277.
Jiang, J.H., Chiu, N.C., Huang, F.Y., Kao, H.A., Hsu, C.H., Hung, H.Y., Chang, J.H., Peng, C.C. 2004. Neonatal sepsis in the neonatal intensive care unit: characteristics of early versus late onset. J Microbiol Immunol Infect. 37:301–306.
Kaul, R., Burt, J.A., Cork, L., Dedier, H., Garcia, M., Kennedy, C., Brunton Krajden, M., Conly, J. 1996. Investigation of a multiyear multiple critical care unit outbreak due to relatively drug-sensitive Acinetobacter baumannii: risk factors and attributable mortality. J Infect Dis. 174:1279–1287.
Kelkar, R., Gordon, S.M., Giri, N., Rao, K., Ramakrishnan, G., Saikia, T., Nair, C.N., Kurkure, P.A., Pai, S.K., Jarvis, W.R. and Advani, S.H. 1989. Epidemic iatrogenic Acinetobacter spp. meningitis following administration of intrathecal methotrexate. J Hosp Infect. 14: 233–243
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La Scola, B., Fournier, P.E., Brouqui, P., Raoult, D. 2001. Detection and culture of Bartonella quintana, Serratia marscesens, and Acinetobacter spp. from decontaminted human body lice. J Clin Microbiol. 39:1707–1709.
Leung, W.S., Chu, C.M., Tsang, K.Y., Lo, F.H., Lo, K.F., Ho, P.L. 2006. Fulminant community acquired Acinetobacter baumannii pneumonia as a distinct clinical syndrome. Chest. 129: 102–109.
Livermore, D.M. 2003. The threat from the pink corner. Ann Med Int. 35:226–234.
Mah, M.W., Memish, Z.A., Cunningham, G., Bannatyne, R.M. 2001. Outbreak of Acinetobacter baumannii in an intensive care unit associated with tracheostomy. Am J Infect Control. 29:284–288.
McDonald, L.C., Banerjee, S.N., Jarvis, W.R. 1999. Seasonal variation of Acinetobacter infections: 1987–1996. Nosocomial Infections Surveillance System. Clin Infect Dis. 29:1133–1137.
Megarbane, B., Bruneel, F., Bedos, J.P., Wolff, M., Regnier, B. 2000. Acinetobacter baumannii community-acquired pneumonia in a patient with HIV infection. Presse Med. 29:788–789.
Mehr, S.S., Sadowsky, J.L., Doyle, L.W., Carr, J. 2002. Sepsis in neonatal intensive care in the late 1990s. J Paediatr Child Health. 38:246–251.
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Poutanen, S.M., Louie, M., Simor, A.E. 1997. Risk factors, clinical features and outcome of Acinetobacter bacteremia in adults. Eur J Clin Microbiol Infect Dis. 16: 737–740.
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Sherertz, R.J., Sullivan, M.L. 1985. An outbreak of infections with Acinetobacter calcoaceticus in burn patients: contamination of patients' mattresses. J Infect Dis. 151:252–258.
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Wang, J.T., McDonald, L.C., Chang, S.C., Ho, M. 2002. Community-acquired Acinetobacter baumannii bacteremia in adult patients in Taiwan. J Clin Microbiol. 40:1526–1529.
Wang, S.H., Sheng, W.H., Chang, Y.Y., Wang, L.H., Lin, H.C., Chen, M.L., Pan, H.J., Ko, W.J., Chang, S.C., Lin, F.Y. 2003. Healthcare-associated outbreak due to pan-drug resistant Acinetobacter baumannii in a surgical intensive care unit. J Hosp Infect. 53:97–102.
Wisplinghoff, H., Edmond, M.B., Pfaller, M.A., Jones, R.N., Wenzel, R.P., Seifert, H. 2000. Nosocomial blood stream infections caused by Acinetobacter species in United States Hospitals: Clinical features, molecular epidemiology, and antimicrobial susceptibility. Clin Infect Dis. 31:690–697.
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published in the Federal Register. That AD applies to certain Lindstrand Hot Air Balloons Ltd female ACME threaded hose connectors, part numbers HS6139 and HS6144, installed on balloons. The text in the section titled PART–39— AIRWORTHINESS DIRECTIVES, paragraph (c) Applicability, is incorrect. This document corrects that error. In all other respects, the original document remains the same.
DATES: This final rule is effective March 27, 2013. The effective date for AD 2013–03–10; Amendment 39–17345 (78 FR 9785, February 12, 2013) remains March 19, 2013.
ADDRESSES: You may examine the AD docket on the Internet at http:// www.regulations.gov; or in person at the Docket Management Facility between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. The AD docket contains this AD, the regulatory evaluation, any comments received, and other information. The address for the Docket Office (phone: 800–647–5527) is Document Management Facility, U.S. Department of Transportation, Docket Operations, M–30, West Building Ground Floor, Room W12–140, 1200 New Jersey Avenue SE., Washington, DC 20590.
FOR FURTHER INFORMATION CONTACT:
Taylor Martin, Aerospace Engineer, FAA, Small Airplane Directorate, 901 Locust, Room 301, Kansas City, Missouri 64106; telephone: (816) 329– 4138; fax: (816) 329–4090; email: email@example.com.
SUPPLEMENTARY INFORMATION:
Airworthiness Directive 2013–03–10; Amendment 39–17345 (78 FR 9785, February 12, 2013), requires inspecting the female ACME threaded hose connectors, (P/Ns) HS6139 and HS6144, for leaking and, if leaking is found, tightening the threaded hose connector to the correct torque.
As published, the text in the section titled PART–39—AIRWORTHINESS DIRECTIVES, paragraph (c) Applicability, is incorrect. Reports from the field indicate confusion as to the way the applicability of AD 2013–03– 10; Amendment 39–17345 (78 FR 9785, February 12, 2013) is currently written. Some interpret that the AD applies to all balloons and requires a logbook entry regardless of installation of the defective part. The AD should apply to the female ACME threaded hose connectors as installed on any balloon. If these connectors are never installed, then this AD does not apply to that balloon, and this AD does not require a logbook entry.
No other part of the preamble or regulatory information has been
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changed; therefore, only the changed portion of the final rule is being published in the Federal Register.
This final rule is effective March 27, 2013. The effective date for AD 2013– 03–10; Amendment 39–17345 (78 FR 9785, February 12, 2013) remains March 19, 2013.
Correction of Regulatory Text
§ 39.13 [Corrected]
In the Federal Register of February 12, 2013, on page 9787, in the 1st column, all of the text, in paragraph (c) Applicability under PART 39— AIRWORTHINESS DIRECTIVES of Airworthiness Directive 2013–03–10; Amendment 39–17345; (78 FR 9785; February 12, 2013) is corrected to read as follows:
* * * * *
(c) Applicability
This AD applies to Lindstrand Hot Air Balloons Ltd female ACME threaded hose connectors, part numbers (P/Ns) HS6139 and HS6144, all serial numbers, as installed in hot air balloons, certificated in any category. If these connectors are never installed, then this AD does not apply to that balloon.''
* * * * *
Issued in Kansas City, Missouri, on March
19, 2013.
Earl Lawrence,
Manager, Small Airplane Directorate, Aircraft Certification Service.
[FR Doc. 2013–07030 Filed 3–26–13; 8:45 am]
BILLING CODE 4910–13–P
DEPARTMENT OF HOMELAND SECURITY
Coast Guard
33 CFR Parts 101, 104, 105 and 106
[Docket No. USCG–2007–28915]
Transportation Worker Identification Credential (TWIC)—Reader Requirements
AGENCY: Coast Guard, DHS.
ACTION
: Notice of public meeting;
request for comments.
SUMMARY: The Coast Guard announces a public meeting to take place on April 18, 2013, in Arlington, Virginia to receive comments on a notice of proposed rulemaking published in the Federal Register on March 22, 2013, under the title ''Transportation Worker Identification Credential (TWIC)— Reader Requirements.'' The Coast Guard encourages members of the public to attend this meeting and provide oral comments on the notice of proposed rulemaking on TWIC reader requirements.
DATES: A public meeting will be held on Thursday, April 18, 2013, from 1:00 p.m. to 5:00 p.m. to provide an opportunity for oral comments. Coast Guard personnel will accept written comments and related materials at the public meeting as well. Written comments may also be submitted in response to the notice of proposed rulemaking referenced in the
SUPPLEMENTARY INFORMATION section. The comment period for the notice of proposed rulemaking will close on May 21, 2013. All written comments and related materials submitted before or after the meeting must either be submitted to our online docket via http://www.regulations.gov on or before May 21, 2013, or reach the Docket Management Facility by that date.
ADDRESSES: The public meeting will be held at the Crystal City Marriott at Reagan National Airport, 1999 Jefferson Davis Highway, Arlington, Virginia 22202. The building is accessible by taxi, public transit, and privately-owned conveyance.
This meeting is open to the public. Please note that the session may adjourn early if all business, concerns, and questions are addressed. You may submit written comments identified by docket number USCG–2007–28915 before or after the meeting using any one of the following methods:
(1) Federal eRulemaking Portal:
http://www.regulations.gov.
(2) Fax: 202–493–2251.
(3) Mail: Docket Management Facility (M–30), U.S. Department of Transportation, West Building Ground Floor, Room W12–140, 1200 New Jersey Avenue SE., Washington, DC 20590– 0001.
(4) Hand delivery: Same as mail address above, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. The telephone number is 202–366–9329.
To avoid duplication, please use only one of these four methods. Our online docket for this notice of public meeting is available on the Internet at http:// www.regulations.gov under docket number USCG–2007–28915.
FOR FURTHER INFORMATION CONTACT: If
you have questions concerning the meeting, please call or email LCDR Gregory Callaghan, Commandant (CG– FAC–2), Coast Guard; telephone 202– 372–1168, email
firstname.lastname@example.org. If you have questions on viewing or submitting material to the docket, call Ms. Barbara Hairston, Program Manager, Docket Operations, telephone 202–366–9826.
PO 00000 Frm 00006 Fmt 4702 Sfmt 4702 E:\FR\FM\27MRP1.SGM 27MRP1
SUPPLEMENTARY INFORMATION:
Background and Purpose
On March 22, 2013, the Coast Guard published a notice of proposed rulemaking (NPRM) in the Federal Register (78 FR 17781), in which we proposed to require owners and operators of certain vessels and facilities regulated by the Coast Guard to use electronic readers designed to work with the Transportation Worker Identification Credential (TWIC) as an access control measure. The NPRM also proposed additional requirements associated with electronic TWIC readers, including recordkeeping requirements for those owners and operators required to use an electronic TWIC reader, and security plan amendments to incorporate TWIC reader requirements. The TWIC program, including the TWIC reader requirements proposed in the NPRM, is an important component of the Coast Guard's multi-layered system of access control requirements and other measures designed to enhance maritime security.
As authorized by the Maritime Transportation Security Act of 2002 1 (MTSA), the Transportation Security Administration (TSA) established the TWIC program to address identity management shortcomings and vulnerabilities identified in the nation's transportation system and to comply with the MTSA statutory requirements. On January 25, 2007, the Department of Homeland Security (DHS), through the Coast Guard and TSA, promulgated regulations that require mariners and other individuals granted unescorted access to secure areas of MTSAregulated vessels or facilities to undergo a security threat assessment by TSA and obtain a TWIC. 2
This NPRM that is the subject of this public meeting, which would require owners and operators of certain types of vessels and facilities to use electronic TWIC readers, would advance the goals of the TWIC program. In crafting the proposals in the NPRM, the Coast Guard conducted a risk-based analysis of MTSA-regulated vessels and facilities to categorize them into one of three risk groups, labeled A, B, and C. Risk Group A is comprised of vessels and facilities that present the highest risk of being involved in a transportation security
1 Public Law 107–295, 116 Stat. 2064 (Nov. 2, 2002).
2 Transportation Worker Identification Credential (TWIC) Implementation in the Maritime Sector; Hazardous Materials Endorsement for a Commercial Driver's License, 72 FR 3492 (Jan. 25, 2007).
incident (TSI). 3 The NPRM proposes TWIC reader requirements for vessels and facilities in Risk Group A. Under the NPRM, vessels and facilities in Risk Groups B and C present progressively lower risks, and would continue to follow existing regulatory requirements for visual TWIC inspection.
The Coast Guard believes that in addition to receiving written comments on the NPRM, a public meeting would benefit the impacted community by providing another forum to raise relevant issues. Also, the Security and Accountability For Every (SAFE) Port Act of 2006 4 requires the Coast Guard to hold at least one public hearing before promulgating final TWIC reader regulations (see 46 U.S.C. 70105(k)(3)). This public meeting will further enable the Coast Guard to craft policy informed by the public.
We may hold one or more additional public meetings regarding the proposals in the NPRM on TWIC reader requirements. We will notify the public of the date(s), time(s), location(s), and other details of any such meeting(s) by publishing a separate notice in the Federal Register as soon as we have information available.
You may view the NPRM, written comments, and supporting documents in the online docket by going to http://www.regulations.gov and using ''USCG–2007–28915'' as your search term. Locate the NPRM among the search results and use the filters on the left side of the page to search for specific types of documents. If you do not have access to the Internet, you may view the docket online by visiting the Docket Management Facility in Room W12–140 on the ground floor of the Department of Transportation West Building, 1200 New Jersey Avenue SE., Washington, DC 20590, between 9:00 a.m. and 5:00 p.m., Monday through Friday, except Federal holidays. The Coast Guard has an agreement with the Department of Transportation to use its Docket Management Facility.
We encourage you to participate by submitting comments either orally at the meeting or in writing. If you bring written comments to the meeting, you may submit them to Coast Guard personnel specified at the meeting to receive written comments. These comments will be submitted to our online public docket. All comments
3 A transportation security incident is a security incident resulting in a significant loss of life, environmental damage, transportation system disruption, or economic disruption in a particular area, as defined in 46 U.S.C. 70101 (49 CFR 1572.103).
4 Public Law 109–347, 120 Stat. 1884 (Oct. 13, 2006).
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received will be posted without change to http://www.regulations.gov and will include any personal information you have provided.
Anyone can search the electronic form of comments received into any of our dockets by the name of the individual submitting the comment (or signing the comment, if submitted on behalf of an association, business, labor union, or other entity). You may review a Privacy Act notice regarding our public dockets in the January 17, 2008, issue of the Federal Register (73 FR 3316).
Information on Services for Individuals With Disabilities
For information on facilities or services for individuals with disabilities or to request special assistance at the public meeting, contact LCDR Gregory Callaghan at the telephone number or email address indicated under the FOR FURTHER INFORMATION CONTACT section of this notice of public meeting.
Public Meeting
The Coast Guard will hold a public meeting regarding the ''Transportation Worker Identification Credential (TWIC)—Reader Requirements'' NPRM (78 FR 17781) on Thursday, April 18, 2013 from 1:00 p.m. to 5:00 p.m., at the Crystal City Marriott at Reagan National Airport, 1999 Jefferson Davis Highway, Arlington, Virginia 22202. The building is accessible by taxi, public transit, and privately-owned conveyance. Please note that the session may adjourn early if all business, concerns, and questions are addressed. We will post a written summary of the meeting and oral comments in the docket.
Authority
This notice of public meeting is issued under the authority of 46 U.S.C. 70105(k)(3) and 5 U.S.C. 552(a).
Dated: March 21, 2013.
A.E. Tucci,
Captain, U.S. Coast Guard, Chief, Office of Port and Facility Compliance (CG–FAC). [FR Doc. 2013–07173 Filed 3–25–13; 4:15 pm] BILLING CODE 9110–04–P
DEPARTMENT OF HEALTH AND HUMAN SERVICES
42 CFR Part 84
[Docket No. CDC–2013–0004; NIOSH–216] RIN 0920–AA42
Respirator Certification Fees
AGENCY: Centers for Disease Control and Prevention, HHS.
Frm 00007 Fmt 4702 Sfmt 4702 E:\FR\FM\27MRP1.SGM 27MRP1
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Information Bulletin
Dear Sports Friends,
Czech Canoe Union is pleased to invite you to take part at the 2021 ICF Canoe Slalom World Cup 1 in Prague - Troja, Czech Republic.
We are extremely excited to host another event even in this difficult period. Having proven high level experience from organizing of the top world competitions accompanied with a very high degree of media exposure, Czech Canoe Union is ready to prepare and conduct 2021 ICF Canoe Slalom World Cup 1.
In past years we have delivered many successful international events – just mention 2013 ICF Canoe Slalom World Championships which was a great contribution to the 100 th anniversary of Czech Canoe Union, 2018 and 2020 ECA Canoe Slalom European Championships and 2019 ICF Canoe Slalom World Cup Final and 2019 ICF Extreme Canoe Slalom World Championships.
Czech canoeing is ready to welcome all national teams for the training and the competition and we hope that this event held on artificial slalom course in Prague - Troja will be a good start of the Olympic season. We are looking forward seeing you in Prague.
Here we are presenting a summary of the most important information. More information regarding this event can be found:
ICF event website: https://www.canoeicf.com/canoe-slalom-world-cup/prague-2021 or
organiser's website: www.slalomtroja.cz.
Czech Canoe Union and 2021 ICF CSL World Cup Organising Committee
GENERAL AND COMPETITION INFORMATION
Organisers
International Canoe Federation Czech Canoe Union 2021 ICF CSL World Cup Organising Committee
Date
11 th – 13 th June 2021
General Information about Czech Republic and Prague
Prague - Troja, Czech Republic
Prague is the capital of the Czech Republic. It has an area of 496 km 2 and is home to 1,200,000 people. The year 870, when Prague castle was established, is regarded as the beginning of the city's existence. However, people inhabited the area in the early Stone Age. In 1918, at the end of World War I, Prague was declared the capital of a new country – the Czechoslovak Republic. In 1993 it became the capital of an independent Czech Republic. Prague is situated in the heart of Europe – approximately 600km from the Baltic, 700km from the North Sea and 700km from the Adriatic. Prague is not a huge distance from other central European cities. Vienna is 300 km away, Bratislava 320 km, Berlin 350 km, Budapest 550 km, Warsaw 630 km and Copenhagen 750 km.
The River Vltava flows through Prague for 31 km, and at its widest measures 330 m. The Vltava has created some interesting places in Prague – islands and meanders, providing many idyllic scenes.
Prague, the nation's capital, is the centre of political, economic and sport activity in the Czech Republic. Prague magical history, beautiful architecture, and culture attract millions of visitors to the city each year. The concert halls, theatres, clubs and restaurants will provide the participants of the 2013 World Championships with a lifelong memory.
Area: 496 square kilometres
Number of the population: 1 285 995 (12/2009)
Geographic location: (centre of a town) 50°05'19" N, 14°25'17" N
Time zone: Czech Republic is in the Central European Time Zone. Central European Standard Time (CET) is 1 hour ahead of Greenwich Mean Time (GMT+1). Like most states in Europe, Summer (Daylight-Saving) Time is observed in Czech Republic, where the time is shifted forward by 1 hour; 2 hours ahead of Greenwich Mean Time (GMT+2). After the Summer months the time in Czech Republic is shifted back by 1 hour to Central European Time (CET) or (GMT+1)
Average altitude: 235 m above the sea
Climate: average temperature is 9°C, during summer months 19°C, during winter months -0,9°C
Electricity: 230 V
Telephones: The international dialling code for the Czech Republic is +420 (or 00 420). When calling from abroad this must be dialled first followed by the 9-digit number. Emergency calls in Czech Republic 112 (can be called free of charge from mobiles even without a SIM card inserted).
Language: The only official language in the Czech Republic is Czech, which is spoken by 96 % of the population. However, have no fear, as especially in larger cities you can make yourself understood in English relatively easily.
Internet: The Czech Republic enjoys good internet connections, so you will not have problems getting online by quick broadband lines or Wi-Fi networks.
Money: The currency used in the Czech Republic is the Czech crown which has the international abbreviation CZK.
Healthcare: Private and state healthcare facilities operate in the Czech Republic. The majority of them have agreements with the State Health Insurance Company on the provision and payment of healthcare.
Arriving in the Czech Republic, Customs and Airports
The Czech Republic became a member of the EU in 2004. There are different rules for citizens of other EU member countries than for tourists from other parts of the world. Everyone must carry ID at all times.
Conditions for entry of persons to the territory of the Czech Republic in accordance with the Ministry of Health Protective Measure: https://www.mvcr.cz/mvcren/file/conditions-for-entry-of-persons-to-the-territory-of-theczech-republic-in-accordance-with-the-ministry-of-health-protective-measure.aspx.
List of countries with a low, medium and high risk of COVID-19 transmission: https://www.mvcr.cz/mvcren/file/notification-of-moh-list-of-the-countries-with-low-riskof-covid19.aspx.
On-line entry form:
http://www.prijezdovyformular.cz/
Citizens of third countries non-residing in the EU+ will need an exception issued by National Sport Agency of the Czech Republic. In this case, please contact General secretary of the Czech Canoe Union Ivo Eichler at email@example.com
Right now, there is the obligation for citizens from countries on the red and dark red lists to undergo PCR test also after the arrival in the Czech Republic. For those who will need it, HOC is ready to organise PCR tests at the venue during Monday and Tuesday morning. Test taken in the morning session will have results in the afternoon, for tests taken in the afternoon the results will be early morning.
Should you need a test on different day, we recommend to take it straight at the airport (GHC Genetics - https://www.ghcgenetics.cz/covid/covid-en/) or at the public drive-in sampling point near the venue where you can make a reservation https://www.ghcgenetics.cz/covid/vhd-en/. Test results are in 24 hours.
HOC is also ready to organise PCR and antigen test at the venue prior to the departure home or for the next World Cup.
Price for the PCR test is 80 EUR and for antigen test is 18 EUR.
Customs quotas and regulations: When bringing goods into the Czech Republic there are limits set on certain commodities. If a certain amount is exceeded, duty must be paid, and the importer is required to inform customs of the amount of the commodity he or she is bringing in to the country.
Embassies and consulates: You can access assistance in difficult situations from your country's embassy. Embassies are always located in the capital of the Czech Republic, Prague, and a complete list can be found on the Ministry for Foreign Affairs website.
International Airport - Václav Havel Airport Prague (PRG) is a flight hub used by more than 40 airlines that travel to hundreds of destinations. It has three passenger terminals. Terminal 1 is used for flights outside the Schengen zone, while the Terminal 2 is used for flights within the Schengen zone and Terminal 3 is for private and charter flights. You can get all the relevant information on the non-stop phone lines +420 220 111 888.
From Václav Havel International Airport Prague (PRG) to Prague Troja Venue it is about 20 km, approx. 40 min.
It is also possible to use other European International Airports.
Other nearest airports: Germany: München – 380km, 3h 40min to the venue, Frankfurt am Main – 520km, 4h 50min, Leipzig – 266km, 2h 40min; Austria: Wien – 350km, 3h 20min to the venue; Slovakia: Bratislava – 350km, 3h 20min to the venue.
Train: There are two international train stations in Prague - Wilson (Main Station) close well as with each other. Holešovice station is 10 min. by walk to the venue.
Car: extend in all directions. See the map above with Airport directions to the venue.
to Wenceslas Square and Holešovice Station. Both are connected with the city centre as Capital City of Prague is the hub of the Czech network of highways and its roads
Competition Venue
The venue is located in Prague - Troja, cca 20 min. from Prague's center by car or public transport /tram, bus or metro/.
Google maps: https://goo.gl/maps/QfUiGueyqhufTS2KA (50°06'47.7"N 14°25'44.6"E) Address: Vodácký areál Praha-Troja, Vodácká 789/8, 171 00 Praha 7 - Troja
White Water Center- Prague, Troja - artificial slalom course
The quality and the difficulty of this course fully correspond with the importance of the World Cup and with regards to the several ICF events we have organized in past few years we can confirm that our course meets all ICF standards. Whole course is now equipped with new obstacles – RapidBlocks and it made the course more challenging and safer.
River: Vltava
Length: 410 m
Width: 12 - 14 m
Drop: 3,6 m
Flow rate: 16 m
3 /s
Other facilities – accommodation, restaurant and gyms
Training
Free official training before the World Cup will be organized from Monday 7th th June 2021 Training before official training period is possible but is depends on actual covid 19 situation and conditions of entry into Czech Republic. You can make reservation via email firstname.lastname@example.org at least one week in advance.
.
You will need to buy a pass for your session or annual pass at the reception and have it visibly placed on your boat or helmet.
Training Facilities Available Nearby
Slalom course in Prague – Štvanice - (10 min. by car, 40 min. by paddling)
Slalom course in Brandýs nad Labem – (20 min. by car)
Contact: Ondřej Chour, email@example.com, +420 602 234 059
Slalom course in Veltrusy (20 min. by car)
Contact: firstname.lastname@example.org, +420 721 986 477
Slalom course Roudnice (45 min. by car)
Contact: KK Roudnice, email@example.com, www.kkroudnice.cz
Slalom course in Roztoky (60 min. by car)
Contact: Mr. Holý, firstname.lastname@example.org, +420 602 362 818
Slalom course in Trnávka (90 min. by car)
Contact: RK STAN, email@example.com, www.rkstan.cz/slalomova_draha_trnavka
Slalom course in České Budějovice (120 min. by car)
Contact: Ondřej Pinkava, firstname.lastname@example.org, +420 731 410 796
Competition Rules
2021 ICF CSL World Cup will be run in accordance with the ICF Canoe Slalom Competition Rules.
Events
2021 ICF Canoe Slalom World Cup 4
Preliminary Competition Schedule
Preliminary competition schedule can be found on ICF event website https://www.canoeicf.com/canoe-slalom-world-cup/prague-2021/schedule.
Entries Policies
Maximum boats:
ICF CSL 2021 World Cup (ICF Rules): maximum 3 boats per event.
For Extreme Slalom 4 boats per NF in each event can be entered (only 1 boat per NF will advance from Time Trials phase, more boats only if the capacity of the next phase is not full).
If you have any questions or problems concerning entries, please, do not hesitate to contact us or ICF.
Accreditation
Accreditation passes will be required to access the venue.
Accreditations received after deadline will incur an additional 20 EUR process fee.
Accreditation fee will be
105 EURper Athlete (Aa), Team Leader (AC), Technical Staff
(Ao), Medical Staff (Am) etc.
The payment of the accreditation fee can be made by cash at the venue upon your arrival or by bank transfer. For bank transfer please contact the Organizing Committee at email@example.com. All transaction costs are the responsibility of your NF.
If your payment will be done by bank transfer, please, make sure that we receive the payment no later than 2 nd June 2021.
ICF ONLINE ENTRIES & ACCREDITATION SYSTEM – SDP
PRINCIPLES
Entries and accreditation requests must be made by the National Federation using the ICF's online entries system (SDP): https://icf.msl.es/icf/icf.jsp.
For detailed instructions on how to submit entries, please read the SDP user guide. Any questions or issues relating to entries or accreditation should be sent to firstname.lastname@example.org prior to the respective deadline.
SDP user guide http://www.canoeicf.com/sites/default/files/nf_userguide_v2.2.pdf
NOMINAL ENTRIES
Nominal entries close: 1 st June 2021
Each athlete competing must be entered by name.
Team personnel must also be submitted for accreditation at this time. These entries will be used to produce the accreditation cards for all teams.
REMINDER
Entries or accreditation requests sent directly to the committee or the competition organiser will NOT be accepted.
HEALTH AND SANITARY MEASURES
The ICF and the Host Organising Committee are strongly committed to deliver competition with good health and sanitary conditions to all attending National Federation. Health and safety of all teams is our top priority.
2021 ICF Canoe Slalom World Cup will be run under exception of the National Sport Agency and the Ministry of Health.
We are hoping that the pandemic will be at a reasonable level to allow the delivery of these competitions. However, we must make clear that the attending National Federations will remain responsible for their accommodation and travel costs in case of force majeure leading to a late cancellation of these competitions.
As a key principle all accredited persons will have to provide a negative PCR test result to receive their accreditation and enter the bubble. Later on, the ICF and the HOC will develop a testing policy during the period depending of the evolution of the pandemic.
A detailed COVID-19 protocol will be developed by the ICF, the Host NF, the HOC and the health local authorities based on an ICF template. The first version of this document will be published one month prior to the competition.
For more information concerning this competition and COVID-19 go to:
https://www.canoeicf.com/canoe-slalom-world-cup/prague-2021/covid-19
PRESS AND MEDIA INFORMATION
Information will be available on https://www.canoeicf.com/canoe-slalom-worldcup/prague-2021/media and www.slalomtroja.cz website in the MEDIA section.
ICF Media and Communication Manager
Ross Solly
e-mail: email@example.com
ICF Digital Media Manager
Adam Collins e-mail:
firstname.lastname@example.org
Local Media Officer
Zuzana Trojáková
cell phone: +420 608 277 872
e-mail: email@example.com
Important Contacts
For more information refer to the official event website
https://www.canoeicf.com/canoe-slalom-world-cup/prague-2021 or http://www.slalomtroja.cz.
ACCOMMODATION:
HOC RECOMMENDATION
Hotel Mama Shelter
Veletržní 1502/20, Praha 7
Phone: +420 225 117 111
WWW: https://mamashelter.com/prague/
Hotel Expo
Za Elektrárnou 3, Praha 7
Tel.: +420 266 712 470
E-mail: firstname.lastname@example.org
WWW: www.expoprag.cz
Hotel Loděnice
Vodácká 789/8, Praha 7
Phone: +420 283 850 477
Cell: +420 737 233 662
E-mail: email@example.com
WWW: www.vodackyareal.cz
EuroAgentur - Hotels&Travel Accommodation Agency
Reservations for groups
Email: firstname.lastname@example.org
Phone: +420 271 090 837
Reservations for individuals
Email: email@example.com
Phone: +420 271 090 832
WWW: http://www.euroagentur.cz
ORGANISERS:
International Canoe Federation
Avenue de Rhodanie 54, CH 1007 Lausanne, Switzerland
E-mail: firstname.lastname@example.org
Web site: www.canoeicf.com
Czech Canoe Union
Mr. Ivo EICHLER Zátopkova 100/2 160 17 Praha 6 – Strahov
Tel./fax: +420 233 350 207
Cell: +420 602 176 916
E-mail: email@example.com
Organizing Committee
Loděnice UK FTVS Vodácká 789/8 171 00 Praha 7 – Troja
E-mail: firstname.lastname@example.org
Web site: www.slalomtroja.cz
VENUE:
Prague WhiteWater Center
Boathouse and Slalom Course Vodácká 789/8 171 00 Praha 7 – Troja
Tel./fax: +420 283 850 477
E-mail: email@example.com, firstname.lastname@example.org
Web site: http://www.vodackyareal.cz
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Innomar Strategies Submission to the Patented Medicine Prices Review Board (PMPRB) Draft Guidelines Consultation
August 4, 2020
RE: PMPRB Draft Guidelines
Thank you for the opportunity to submit written comments in response to the proposed PMPRB Draft Guidelines (June 2020 version) operationalizing the amended Patented Medicine Regulations under the Patent Act.
ABOUT INNOMAR STRATEGIES
Innomar Strategies Inc. (Innomar), a part of AmerisourceBergen, is Canada's leading specialty medications service provider. Headquartered in Oakville, Ontario, Innomar employs over 2,580 associates across Canada. Innomar owns over 150 infusion clinics employing over 600 nurses, as well as pharmacies across Canada.
We are shaped by the belief that every Canadian deserves access to the specialty medication they need, when they need it. In 2001 we began our journey to provide a new model for pharmaceutical support services tailored to meet the needs of the Canadian market. Our name, Innomar, reflects our roots in INNOvative MARket access solutions and reimbursement consulting. For the last 19 years, we have grown and expanded our portfolio of commercialization services. Still, we have kept the patient at the heart of everything we do.
Through our integrated Patient Support Programs (PSPs), we support patients in many disease areas such as oncology, rare diseases, respirology, immunology and others. Innomar's infusion clinics and specialty pharmacies closely integrate into over 120 Innomar operated PSPs to fill an important unmet need within the Canadian public health care system.
Canadian PSP services are solely funded by the manufacturer, not the public or private health care system. In some countries, the public health care systems fund specialty drug infusions, therefore making the comparison of the drug prices between Canada and these countries unreasonable. In Canada, in some cases, the manufacturers annual cost to infuse one patient with a typical specialty biologic can be as high as a low double digit percentage of the current drug price. 1 The cost to infuse one patient may include all or some of the following patient support services:
* Patient enrolment, reimbursement navigation
* Education and adherence support
* Specialty nursing and clinic services
* Pharmacovigilance
PSPs FILL A GAP IN THE CANADIAN PUBLIC HEALTH CARE SYSTEM
PSPs were created to work in tandem with the public health care system and to fill the gaps in patients' disease management needs (see Appendix A). Patients are not usually aware of how to
1 Note: Nursing cost is based on an infusion 3 hours in length administered every 8 weeks. These costs increase with infusions that are longer and/or more frequent. Furthermore, generally speaking, costs to support a patient in their access to a specialty biologic will vary depending on the type of biologic, i.e. infusible, injectable, and additional patient support services offered by the manufacturer for the specialty medicine.
gain access to their medications, and often find it difficult to navigate the health care system once diagnosed. In addition, physicians also find it difficult to keep up with the administration requirements for specialty therapies and coordinate with various stakeholders including pharmacy, hospital, nurses, and payers. PSPs, therefore, enable manufacturers to execute patient support services that benefit patients and physicians.
For further information on PSPs, including their value-add, please refer to Innomar's submission to the PMPRB in response to the first draft Guidelines (November 2019 version) consultation.
OVERVIEW STATEMENT: UNINTENDED CONSEQUENCES OF PROPOSED PMPRB GUIDELINES (JUNE 2020 VERSION)
PSP services: The types of services that are currently being funded for patients and expected by physicians and the public health care system will not be sustainable, if the ceiling prices for those drugs are dramatically reduced. Canadian patients with complex chronic, rare and ultrarare diseases will be denied assistance that allows them access to treatment. 2 A reduction or elimination of PSP services will lead to deterioration in the quality of care, non-adherence, wastage and decline in patient outcomes, ultimately resulting in increased public health care resource use and increased cost to Canadian taxpayers.
Innovative medicines: Patentees will delay or stop the launch of innovative drugs to Canada to safeguard drug prices in other markets. The growth of the Canadian life sciences sector in Ontario and across Canada will be significantly impacted, and this lack of access may lead to patients not having the chance to access important disease therapies.
ISSUE #1: REDUCE UNCERTAINTY CREATED BY THE PROPOSED APPROACH TO PRICE REGULATION
Consequences
- Unnecessary risk and uncertainty for patentees looking to launch new medicines in Canada – resulting from PMPRB's plan to monitor and measure the impact of regulatory amendments, and adjust the approach at a later date.
- Unpredictable revenues in Canada for patentees ahead of a launch decision as a result of the proposed MRP formulas and reliance on CADTH base-case re-analyses.
- Due to lack of certainty in revenues and cost analysis, patentees may choose not to launch given the risk and uncertainty.
- Unreliability in predicting allowable price ceilings throughout the product lifecycle – a result of:
o Annual adjustment of MRP/MRP[A]
o Re-assessment of Relevant Indication
o Re-classification of Categories
o Adjustment of MLP based on fluctuations in MIP
2 Reference: Life Sciences Ontario. New federal drug pricing rules are already delaying medicine launches and costing jobs in Canada, survey reveals. February 3, 2020
Impact on the patient
- Negative impact on Canadian product launch timelines, which will delay and/or deny Canadians' access to necessary specialty medicines.
- Reduced investments to improve quality of care and health outcomes for Canadian patients due to lack of certainty in long-term drug prices.
- Patients may experience fluctuating patient support services, resulting in inconsistent health care delivery for the patient in the long-term and making complex diseases less manageable.
- Non-adherence and decline in patient outcomes – a result of inconsistent support provided to patients, will lead to more costs to the health care system.
Recommendations
- Introduce a stepwise approach to implementing the PMPRB Framework by enacting the changes to the comparator countries first. Monitor and evaluate the impact of the amended comparator countries on drug prices, access, PSP services, and the economy. If PMPRB's stated policy objective to bring Canadian prices closer to MIP of PMPRB11 is still not met, proceed with the implementation of the new economic factors.
- Keep the current approach with multi-indication pricing as it is well managed in Canada through Product Listing Agreements (PLAs) in both the public and private sectors. Changing ceiling prices for all indications may cause unnecessary risk for patentees regarding their current products. In addition, PMPRB's approach may cause patentees to abort the development of new indications in Canada.
- Reduce, at the very least, instability in long-term drug pricing by reducing the frequency of adjustments – achieve this by completing re-assessments every 3-5 years as opposed to annually. Adjustments above 10% should be enforced with a step-wise approach to reduce drastic price changes and provide a measure of certainty for industry investments.
ISSUE #2: PRICING OF DRUGS FOR RARE DISORDERS
Consequences
- Large mandatory rebates on prices of rare disease drugs, despite the proposed price floors – a result of the proposed therapeutic level criteria requirements, e.g. high quality evidence, and MRP formulas.
- Potential significant revenue reductions for patentees of rare disease drugs – a result of relying on an ICUR threshold of $150,000-$200,000 to establish whether the price of a rare disease drug is excessive. This approach is inappropriate due to the inherent ambiguity of pharmacoeconomic analyses in such patient populations. In addition, beneficial outcomes resulting from drug use may be clinically significant, however the QALYs may appear over a long time period, thereby lowering the equation's denominator leading to a high ICUR.
Impact on the patient
- Delays in Canadian launch timelines, which will deny Canadian patients' access to lifesaving treatments.
- Canadian patients will no longer have access to manufacturer-sponsored financial assistance or compassionate drug access, especially at a time when unemployment rates are high due to the COVID-19 pandemic.
- Non-adherence and decline in patient outcomes – a result of reduced support provided to patients.
Recommendations
- Give special consideration for rare disease drugs with respect to evidence requirements for therapeutic level determination.
- Do not subject rare disease drugs to arbitrary "value for money" considerations.
- Retain HDAP for rare disease drugs to maintain a level of impartiality and oversight over PMPRB.
PROPOSED OFFER: TRACKING THE IMPACT OF PMPRB CHANGES
To accurately measure the impact of the new Guidelines on patients' access to medicines, PMPRB should monitor and assess the impact on patient support services that facilitate access to medicines. As a leading PSP provider and innovator in Canadian market access solutions, Innomar is well-positioned to monitor and advise the PMPRB on changes in patients' access to new and existing medicines as well as manufacturer-sponsored:
- co-pay assistance
- compassionate drug
- infusion services and nursing support
- diagnostic services
- reimbursement navigation services
- patient care coordination
- patient education & counselling
Recommendation
- PMPRB to consider working with Innomar to track the impact of the PMPRB Guidelines on PSPs. For example, track some of the following: how many PSPs have been delayed or cancelled and why? How many PSPs have been created as a percentage of new Notices of Compliance compared to historical levels?
CONCLUSION
In summary, Innomar recommends that:
- PMPRB implement a stepwise approach by first monitoring the changes to prices in Canada based on the new comparator countries and determining the impact before introducing other changes.
- PMPRB abandon the concept of re-evaluating prices when new indications are granted. Otherwise, this will lead to pharmaceutical companies focusing on one indication only.
- PMPRB limit the frequency of reassessments and adjustments to 3-5 year periods to maintain a better climate of certainty for patentees.
- Special consideration be granted for rare disease drugs.
- HDAP should be retained for rare disease drugs in order to maintain a level of impartiality and oversight over PMPRB.
- PMPRB to work with Innomar to monitor the impact of the Guidelines on patient support services that facilitate access to specialty medicines.
In conclusion, Innomar strongly believes that the proposed draft Guidelines (June 2020 version) will cause significant hardship to Canadian patients with complex chronic, rare and ultra-rare diseases. Innomar has provided key recommendations, as well as a proposed approach to monitor the impact of the proposed draft Guidelines (June 2020 version), to ensure that Canadian patients continue to gain access to treatment.
We trust that our feedback will help stress the high importance of PSPs, for both patients and the long-term sustainability of Canada's publically funded health care system. We need to ensure that cost-containment efforts are balanced with the needs and interests of Canadian patients.
We thank the PMPRB for the opportunity to submit our comments in response to the proposed Guidelines and welcome further dialogue.
Sincerely,
Guy Payette President Innomar Strategies 3470 Superior Court, Oakville, ON L6L 0C4 email@example.com
Value of Patient Support Programs for Specialty Medications in Canada
The use of specialty medications for the treatment of complex, chronic diseases has led to new requirements for healthcare delivery beyond the traditional dispensing activities of non-specialty products. Although there is no standard definition of a specialty medication, they are generally defined as high cost, low volume agents requiring special administration and product handling, and usually reside in the therapeutic areas of Immunology, Rare Diseases, and Oncology. Due to the complexity of specialty medications and the diseases they treat, there are needs for enhanced management, including patient education, administration, diagnostics, monitoring, and specialty logistics support services. However, the Canadian healthcare system is not equipped to provide the support that many patients need to gain access to reimbursement and drug delivery of a specialty medication, or the ongoing support and monitoring often required to improve clinical outcomes. Manufacturer-funded Patient Support Programs (PSPs) were created to work in tandem with the healthcare system to fill the gaps in these patients' disease management needs.
Gaps in Canadian Healthcare System for Specialty Medications
Many people assume that the cost of all healthcare services are covered in Canada, but this does not apply to all services for specialty medications. Clinical services are required for many specialty medications, including infusion or injections in clinics or via home care, and these services may not be covered by public or private payers. Further, specialty medications often have unique administration requirements that necessitate additional or customized training, and ongoing support of patients and their caregivers, for example: mothers who have to provide regular injections to their young children may need more frequent advice or even respite support; patients prescribed medications dosed by weight may need support for precise dosing administration; and some patients may need more contact with a healthcare professional (HCP) as their specialty medication is being titrated. Regular disease management support, including patient and caregiver education and frequent touch points, cannot always be provided readily by HCPs due to the administrative and time constraints of clinical practice, and there is often limited support available outside of physician visits, or limited knowledge of the additional public support available.
The journey to gain access to a specialty medication is daunting for patients, particularly when they are quite ill, and there is little support to navigate this difficult process. Lack of knowledge of public and private reimbursement mechanisms and criteria, and coordination of benefits; and the complexity of paperwork and testing requirements, can cause delays in treatment and much anxiety and fear amongst patients and caregivers. Additionally, Special Authorization for specialty medications is
Many people assume that the cost of all healthcare services are covered in Canada, but this does not apply to all services for specialty medications.
generally required for public and private reimbursement decision-making, and the process is complex and time-consuming for HCPs and patients alike.
Medication non-adherence leads to suboptimal health outcomes, increased healthcare resource utilization, and increased direct and total medical costs; however, the healthcare system cannot always provide the support that many patients need to stay on therapy and refill their prescriptions. The WHO reported that adherence among patients with chronic diseases averages only 50% in developed countries 1 , and up to 30% of patients fail to fill a new prescription. 2,3 Interventions that can address the possible risk factors for non-adherence and sustain patient medication adherence and persistence are needed to reduce the economic and health burdens of complex chronic diseases, but services to support HCP instructions outside of clinic visits are not provided by public or private payers.
Currently, healthcare-related data necessary to determine how a patient is responding to their specialty medication is fragmented and inconsistent as it comes from many different sources. A consolidated view is not readily available to HCPs, e.g. trends in Health Assessment Questionnaire (HAQ) for rheumatoid arthritis and lab values, and there is no data available to a physician to determine whether a prescription has been filled or refilled. A more robust, formal approach to collecting data is important to help facilitate HCP access to patient data, and to enable the collection of health outcomes data that would benefit payer decision-making.
PSPs Provide Value to Help Fill the Gaps in the Healthcare System
Manufacturer-supported PSPs were created over 15 years ago to support patient access to complex medications. Now PSPs provide a more holistic approach to patient, caregiver, and HCP support when specialty medications are prescribed, including: reimbursement navigation; clinic and nursing support (infusion and injection administration/ training); patient education and counseling; risk management and adherence; specialty pharmacy and logistics services; and connection to other social support services. PSPs fill the gaps in services not readily available in the current healthcare system to help optimize health outcomes and value in patient-focused care. As a result, PSPs have demonstrated a positive impact on patient adherence, and clinical and economic outcomes. 4,5
PSPs support patient disease management by providing rapid access to specialty drug administration and education. PSP clinic and field nurses administer injections and infusions, patient self-injection training, and rigorous safety monitoring, in the convenience of local private clinics or in patients' homes. PSP nurse case managers also provide education, and ongoing lifestyle, health and wellness support to patients via frequent touch points.
Reimbursement specialists have experience with the complexity of drug reimbursement navigation, and support patients through their entire journey to help ensure patients get on drug faster and maximize their coverage. Changes in health care policy pose challenges for reimbursement, as do
PSPs fill the gaps in services not readily available in the current healthcare system to help optimize health outcomes.
the forms, policies and requirements that can change and vary greatly by provincial and private payers; however, PSP reimbursement specialists are experts in the payer landscape and the technology required to expedite the process. They support patients and HCPs in completing all payer forms, submissions, and escalation of denials. Field case managers also support physicians and nurses in their clinic by helping to coordinate testing and appointments, and to support the administrative burden of the reimbursement process.
PSP nurse case managers are integral in supporting patient adherence to help optimize treatment outcomes. They are a single point of contact for each patient to support patient health literacy; support understanding of the patient's treatment regimen and expected results; coordinate of drug ordering and delivery so there is no gap in their treatment; and to follow up with the patient to ensure they are adhering to their treatment plans. Nurse case managers provide motivation and knowledge to empower patients, assess patients for non-adherence risk factors, and customize patient touch points based on patient need. Touch points can include a variety of mediums, including regular phone calls, and technology-based adherence interventions. Additionally, nurse case managers can connect patients and families to support services that they may not be aware of, such as, patient advocacy groups, government-funded programs, social workers, etc. If a fully integrated model is used, the access to pharmacy data can also help to quantify patient non-adherence, and nurse case managers can provide this information via a regular feedback loop to the prescribing physician.
Healthcare-generated data obtained by PSPs can provide important insights for HCPs, payers, and manufacturers. Through on-line PSP portals, HCPs can readily access consolidated patient-specific data, such as disease scores, and medication adherence and persistence. As payers look to manufacturers to present real world evidence, patient data from PSPs can be used to assess treatment patterns, and health and economic outcomes (Figure 1). A variety of patient-reported health outcome studies can be performed, including: quality of life, product effectiveness, treatment adherence, safety, health resources utilization, and indirect costs such as productivity loss, out-of-pocket costs and the cost of informal care. From a manufacturer perspective, these health outcomes studies can align to global strategy and be leveraged to support reimbursement and listing.
PSPs provide value by helping patients to better manage chronic diseases and optimize complex treatment by filling the gaps in services that are not provided in the current healthcare system. The future focus of PSPs will be on an evolution in integrating the process and efficiencies for patients, HCPs, payers, and manufacturers that will offer
Value of PSPs for Specialty Medications in Canada
increased value to all stakeholders. By offering a more seamless experience for patients and HCPs, and greater cost effectiveness through investment in digital technology, connectivity to healthcare systems, and the provision of health outcomes data, PSPs will be even more able to maximize patient health outcomes.
References:
1. Sabaté E. Adherence to Long-Term Therapies: Evidence for Action, World Health Organization, Geneva, Switzerland, 2003. Accessed 7 March 2018 http://www.who.int/chp/knowledge/publications/adherence_full_report.pdf
2. Fischer MA et al. Primary medication non-adherence: analysis of 195,930 electronic prescriptions. J Gen Intern Med. 2010;25(4):284-90. Accessed 7 March 2018 at https://www.ncbi.nlm.nih.gov/pmc/articles/PMC2842539/pdf/11606_2010_Article_1253.pdf
3. Tamblyn R et al. The incidence and determinants of primary nonadherence with prescribed medication in primary care: A cohort study. Ann Intern Med. 2014;160(7):441-450. Accessed 9 March 2018 at: http://annals.org/aim/article-abstract/1852865/incidencedeterminants-primary-nonadherence-prescribed-medication-primary-care-cohort-study
4. Ganguli A et al. The impact of patient support programs on adherence, clinical, humanistic, and economic patient outcomes: a targeted systematic review. Patient Pref Adherence. 2016;10:711-25. Accessed 9 March 2018 at: https://www.ncbi.nlm.nih.gov/pmc/articles/ PMC4854257/pdf/ppa-10-711.pdf
5. Rubin DT et al. Impact of patient support program on patient adherence to adalimumab and direct medical costs in Crohn's disease, ulcerative colitis, rheumatoid arthritis, psoriasis, psoriatic arthritis, and ankylosing spondylitis. J Manag Care Spec Pharm. 2017;23(8):859867. Accessed 9 March 2018 at https://www.jmcp.org/doi/full/10.18553/jmcp.2017.16272
This article is one in a series provided by Innomar Strategies to update manufacturers on relevant changes and new information in the specialty pharmaceutical marketplace.
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International Environmental Law Research Centre
GROUNDWATER REGULATION – NEED FOR FURTHER REFORMS
Philippe Cullet
IELRC WORKING PAPER 2010 - 01
International Environment House
Chemin de Balexert 7, 1219 Châtelaine
Geneva, Switzerland firstname.lastname@example.org
www.ielrc.org
TABLE OF CONTENTS
I. INTRODUCTION
Groundwater has become over the past few decades the main source of water for all the main uses of water, including in particular domestic uses and agriculture. This tremendous increase in the use of water has had significant impacts on water availability and on access to water.
The current regulatory regime is in large part still based on principles inherited from the colonial period. These are both dated and inappropriate. They are dated because they were developed at a time when groundwater was a marginal source of water and when humans were not able to affect the level of the groundwater table through their use which was largely limited to drawing water from wells. They are inappropriate because the basic nexus between access to groundwater and land ownership on which these rules are based make common law rules socially inequitable and environmentally unsustainable.
There have been attempts to reform the existing framework since the early 1970s. Yet, current reforms are inappropriate. Firstly, they fail to sever the link between land ownership and access to groundwater, a precondition for ensuring that groundwater law contributes, for instance, to the realisation of the fundamental human right to water. Further, they add a layer of governmental control to a largely privately regulated framework but fail to recognise the constitutionally sanctioned rights of the panchayats in controlling local sources of water. While groundwater is not static, it remains the body of water most closely associated with a specific locality. As such it is the primary body of water over which panchayats have been given rights of control under the decentralisation mandate of the Constitution. 1
The limitations of the 'old' colonial framework and the proposed reforms calls for new proposals for the reform of groundwater law. This has been made all the more necessary in the context of disputes like the Plachimada case where the two decisions already taken in this case gave two completely different readings of the rules applying to groundwater. 2 While the Supreme Court may lay a new framework in its forthcoming decision in this case, this may not alleviate the need for a broad-based rethinking of groundwater rules, beyond the specific dispute arising in the Coca Cola case.
II. ACCESS TO AND CONTROL OVER GROUNDWATER UNDER COMMON LAW RULES
Groundwater has usually been treated separately from surface water. 3 Historically, this can be ascribed in part to a lack of understanding of the connections between surface and groundwater and of the relationship between groundwater abstraction in different places. This also reflected the unavailability of pumping devices allowing large-scale groundwater withdrawals to the extent of significantly affecting the water table level.
These factors contributed to the development of separate legal principles for control over and use of groundwater. Since groundwater has a direct link to the land above, a link was established between land ownership and control, if not outright ownership, of the water found underneath the plot. While no specific groundwater legislation arose until the past decade, basic principles of access and control can be derived from the Easements Act, 1882. Under these principles, landowners have easementary rights to collect and dispose of all water found under their land. 4 There is thus an indissociable link between land ownership and control over groundwater. This implies that groundwater is mostly controlled by individuals or legal entities that own or occupy land. Where the common law principle is strictly applied, landowners are not restricted in the amount of percolating water they can appropriate. 5
1 This is subject to States taking up the mandate of Article 243G of the Constitution.
2 Perumatty Grama Panchayat v State of Kerala 2004(1) KLT 731 (High Court of Kerala, 2003), available at http:// www.ielrc.org/content/e0415.pdf and Hindustan Coca-Cola Beverages v Perumatty Grama Panchayat 2005(2) KLT 554 (High Court of Kerala, 2005), available at http://www.ielrc.org/content/e0515.pdf.
3 This also holds in other parts of the world. For southern Africa, eg L.A. Swatuk, 'The New Water Architecture of SADC', in D.A. McDonald & G. Ruiters (eds), The Age of Commodity – Water Privatization in Southern Africa (London: Earthscan, 2005) 43.
4 Halsbury's Laws of India – Volume 29(2) (New Delhi: Butterworths, 2000) 447.
5 M. Moench, 'Approaches to Groundwater Management: To Control or Enable?', 29/39 EPW A135 (1994).
It can, however, be argued today that, even under common law principles, owners cannot exploit groundwater beyond the replenishable level. 6
The link between groundwater and land ownership is important for different reasons. Firstly, groundwater has been and is an increasingly important source of drinking water. This is due both to the existence of increasingly powerful pumping devices as well as to an increasing bias against the use of surface water as a source of drinking water to ensure that it is of better quality. Secondly, groundwater has been an increasingly important resource used by landowners in different types of economic activities. In fact, groundwater has now become in certain regions as important or even more important than land itself. 7 Besides agriculture, large-scale water abstraction is also carried out by certain industries, as in the case of water or soft drink bottling plants.
Where control over groundwater is linked to land rights, there are neither any incentives for individual landowners to sustainably use the resource nor any way to implement policies that take into account the welfare of a broader community and the environment. In what is for all practical purposes an unregulated system, there is, for instance, no authority that can determine how many wells, handpumps and other tubewells can be sunk in a given area. Some form of regulation that takes into account the broader aspects of groundwater use is thus necessary. Regulation is also required because the increasing use of groundwater controlled by private individuals may shift away control over water from communities. Thus, in the case of tank irrigation in Tamil Nadu that are often largely community managed, increased use of groundwater and the lesser importance attached to tanks seems to have shifted the determinants of water access away from communities into the hands of individuals. 8
The dramatic increase in groundwater use and importance of groundwater as a source of water have led to significant debates but relatively little by way of concrete policy decisions. To-date, the most significant initiatives at the union level have been the drafting of a model bill for adoption by the states and the setting up of the Central Groundwater Authority mandated to regulate and control the use of groundwater. 9 Its mandate includes the notification of 'over-exploited' and 'critical' areas and the regulation of groundwater withdrawal in such areas but it does not have a broad mandate to regulate groundwater in general. The Authority is not credited with having had much impact in its decade of existence. 10
This amounts to relatively little since, unlike irrigation water where the introduction of formal legislation started more than a century ago, groundwater was largely governed by principles that assumed self-regulation. The dramatic changes that have taken place in the past few decades and turned groundwater into the major source of water are not reflected in the existing legal framework, including in the few states that have adopted the model bill as a prototype for their legislation, since this is not a comprehensive regulatory response. This can be partly ascribed to the fact that falling water tables can be 'fixed' for some time by simply digging further down has provided an opportunity for governments to avoid facing some difficult political choices. In fact, in a number of states, the answer to falling water tables has been not to address the issue itself. State governments have thus often chosen to increase power subsidies to make extraction of ever deeper layers of groundwater possible rather than tackle the underlying cause of depletion. The limits of an approach that not only refuses to control access to groundwater but seeks to encourage it with specific subsidies have been clearly understood. The unavoidability of a different response has dawned on most states but the fact that it is a politically extremely sensitive issue implies that some states may still further delay necessary measures by a number of years.
III. ONGOING REFORMS OF THE LEGAL REGIME CONCERNING GROUNDWATER
Groundwater regulation is one of the areas that is most in need of reforms. This is due to the fact that groundwater is now the main source of water for most water users and that the current outdated framework can do little more
6 Ground Water Management and Ownership – Report of the Expert Group (New Delhi: Government of India, Planning Commission, 2007) 23.
7 S. Janakarajan & M. Moench, Are Wells a Potential Threat to Farmers' Wellbeing? The Case of Deteriorating Groundwater Irrigation in Tamilnadu (Chennai: MIDS, Working Paper No. 174, 2002).
8 ibid 2.
9 Ministry of Environment and Forests, Gazette Notifications SO38 and SO1024 of 14 January 1997 and 6 November 2000.
10 eg T. Shah, 'Groundwater Management and Ownership: Rejoinder', 48/17 EPW 116 (2008).
than adjudicate claims that may arise between two landowners over their respective use of groundwater under their plot and in its vicinity. The challenge that groundwater poses has been recognized for quite some time, as witnessed by the fact that the union government already put out a model bill for adoption by the states in 1970. This relatively early date of adoption of the model bill is reflected in its approach to groundwater regulation. Indeed, in the early 1970s, there was comparatively little discussion of the need for control by panchayats over natural resources or water and environmental concerns had only just made an appearance on the agenda of policy makers. It is thus not surprising to find that the 1970 model bill reflects the concerns and perceptions of that period. What is more surprising is that, despite several revisions, the model bill (re)proposed in 2005 is still based in the same premises.
Groundwater law reforms are noteworthy for several reasons. Firstly, the proposed changes conform to a model that is neither directly in line with water sector reforms nor influenced by the 73 rd constitutional amendment, human rights and environment principles. Secondly, they perpetuate the sectoral treatment of surface and groundwater, perpetuate a system that links access to groundwater and land and fail to acknowledge that groundwater is the primary source of drinking water and thus primordial in the realization of the human right to water. Thirdly, ongoing reforms are based on suggestions for reforms that date back several decades. This implies that they are not directly influenced by new notions such as the idea that water should be seen as an economic good. This may be positive because it constitutes at least some sort of an alternative to the current policy framework for water law reforms, 11 but at the same time is not a solution that can be recommended because of its lack of social and environmental perspective and because it perpetuates a sectoral model of water law development.
A. The proposed reform model
A model bill for groundwater regulation was first proposed by the union government for adoption by the states in 1970. It has been revised several times but the basic framework of the latest 2005 version retains the basic framework of the original bill. Recent legislative activity by states indicates that they are generally ready to follow the framework provided by the model bill. This is the case of states adopting a general groundwater legislation like Kerala, 12 or states focusing on its drinking water aspects like Karnataka, Madhya Pradesh and Maharashtra. 13
The basic scheme of the model bill is to provide for the establishment of a groundwater authority under the direct control of the government. The authority is given the right to notify areas where it is deemed necessary to regulate the use of groundwater. The final decision is taken by the respective state government. 14 There is no specific provision for public participation in this scheme. In any notified area, every user of groundwater must apply for a permit from the authority unless the user only proposes to use a handpump or a well from which water is drawn manually. 15 Wells need to be registered even in non-notified areas. 16 Decisions of the authority in granting or denying permits are based on a number of factors which include technical factors such as the availability of groundwater, the quantity and quality of water to be drawn and the spacing between groundwater structures. The authority is also mandated to take into account the purpose for which groundwater is to be drawn but the model bill does not prioritize domestic use of water over other uses. 17 Basic drinking water needs are indirectly considered since, even in notified areas, hand-operated devices do not require the obtention of a permit. 18
The model bill provides for the grandfathering of existing uses by only requiring the registration of such uses. 19 This implies that in situations where there is already existing water scarcity, an act modelled after these provisions
11 On water law reforms, see generally P. Cullet, Water Law, Poverty and Development – Water Law Reforms in India (Oxford: Oxford University Press, 2009).
12 Kerala Ground Water (Control and Regulation) Act 2002, available at http://www.ielrc.org/content/e0208.pdf.
13 Karnataka Ground Water (Regulation for Protection of Sources of Drinking Water) Act, 1999, Madhya Pradesh peya jal parirakshan adhiniyam, 1986 and Maharashtra Ground Water Regulation (Drinking Water Purposes) Act, 1993. On the Maharashtra Act, S Phansalkar & V Kher, 'A Decade of the Maharashtra Groundwater Legislation', 2/1 Law Environment & Development Journal 67 (2006), available at www.lead-journal.org/content/06067.pdf.
14 Model Bill to Regulate and Control the Development and Management of Ground Water 2005, s 5.
15 ibid s 6.
16 ibid s 8.
17 ibid s 6(5)(a) only provides that the purpose has to be taken into account while Section 6(5)(h) which is the only subsection referring to drinking water only considers it as an indirect factor.
18 ibid s 6(1).
19 ibid s 7.
will not provide an effective basis for controlling existing overuse of groundwater and will, at most, provide a basis for ensuring that future use is more sustainable.
Overall, the model bill extends the control that the state has over the use of groundwater by imposing the registration of groundwater infrastructure and providing a basis for introducing permits for groundwater extraction in regions where groundwater is over-exploited. It is the brainchild of an era that promoted governmental intervention without necessarily thinking through all the checks and balances that needed to be introduced alongside. As a result, the model bill is not adapted to the current challenges that need to be addressed. 20 It fails to include specific prioritization of uses, does not specifically address the question of domestic use, does not differentiate between small and big users, commercial and non-commercial uses and does not take into account the fact that non-landowners/occupiers are by and large excluded from the existing and proposed system which focuses on the rights of use of landowners. It is thus surprising that states are still drafting acts based on this outdated model. What is required is legislation that recognizes that water is a unitary resource, that drinking water is the first priority as well as a human right and that panchayati raj institutions must have control over and use of groundwater.
B. What are the reforms being implemented by states?
A number of states have either adopted groundwater legislation in the past decade or are in the process of developing it. While most states are yet to adopt legislation, the need for one seems to be generally acknowledged. However, in an interesting twist, a state like Punjab that has 85 percent of its land under cultivation is not contemplating the adoption of groundwater legislation because of the impacts it would have on farmers. 21 Instead, Punjab is proposing to give incentives for crop diversification, to invest in artificial groundwater recharge, to meter electricity supply in critical areas and to promote micro-irrigation.
The states that have adopted legislation that specifically focuses on groundwater include Goa, Himachal Pradesh, Kerala, Tamil Nadu and West Bengal. 22 They differ in their coverage since some apply only to notified areas while other apply to all groundwater. 23 As noted above, Karnataka, Madhya Pradesh and Maharashtra have adopted limited groundwater legislation focusing on drinking water. 24 The only state that has consciously put groundwater in a broader framework is Andhra Pradesh where the groundwater legislation directly links surface and ground water in a general context of environmental conservation. 25 Apart from a conceptually broader framework for groundwater regulation and specific consideration of drinking water issues, the Andhra legislation addresses groundwater in a similar manner to other groundwater acts.
The main institutional innovation proposed in the groundwater acts and the Andhra legislation is the setting up of a new authority or cell made of government civil servants and members nominated by the Government because of their expertise. The balance between civil servants and other members varies. In Goa, the act simply authorizes the government to nominate members without specifying their origin. 26 In West Bengal, the majority are civil servants. In Kerala only four of the thirteen members of the Authority are civil servants while the rest is made of a combination of people with different expertise. 27
The authority set up under the act is then tasked with different functions, such as notifying areas of special concern and granting permits to use groundwater in notified areas. 28 Among the acts that specifically focus on groundwater, the West Bengal legislation is the only one that gives the Authority a broader mandate that includes the development
20 For additional comments, Ground Water Management and Ownership – Report of the Expert Group (New Delhi: Government of India, Planning Commission, 2007).
21 ibid 29.
22 Puducherry and Lakshadweep have also adopted groundwater regulation instruments, respectively in 2002 and 2001.
23 S. Koonan, 'Groundwater – Legal Aspects of the Plachimada Dispute' in P. Cullet, A. Gowlland-Gualtieri, R. Madhav & U. Ramanathan (eds), Governance in Motion: Towards Socially and Environmentally Sustainable Water Laws (New Delhi: Cambridge University Press, forthcoming 2010).
24 Maharashtra is in the process of adopting a broader groundwater act.
25 Andhra Pradesh, Act to Promote Water Conservation, and Tree Cover and Regulate the Exploitation and Use of Ground and Surface Water for Protection and Conservation of Water Sources, Land and Environment and Matters, Connected Therewith or Incidental Thereto, 2002.
26 Goa Ground Water Regulation Act, 2002, s 3(2).
27 Kerala Ground Water (Control and Regulation) Act, 2002, s 3(3).
28 eg Himachal Pradesh Ground Water (Regulation and Control of Development and Management) Act, 2005, s 5, 7.
of a policy to conserve groundwater and organizing people's participation and involvement in the planning and use of groundwater. 29
Following on the steps of the model bill, most acts fail to clearly give drinking water priority of use even though most acts devote specific attention to the issue of drinking water. 30 The Himachal Pradesh legislation stands out insofar as it imposes on the Authority to give first priority to drinking water. 31 Additionally, some instruments specifically indicate that the use of groundwater as public drinking water source is not affected by any control measures. 32
An important aspect of most of these acts is to avoid altogether the thorniest question, which is the legal status of groundwater itself. Most acts avoid direct statements on this issue but the very fact of promoting the setting up of institutions controlled by the government that can regulate groundwater use in indirect and direct ways reflect a conception of water that sees it as being under the control of the government. The Himachal Pradesh legislation is rather forthcoming in this regard since it specifies that users of groundwater in notified areas must pay a royalty to the government for its extraction. 33 Additionally, the government is not even bound to use this royalty for groundwater-related activities, thus reflecting an understanding that groundwater is a resource controlled by the government. 34 This can be understood as an extension of the full control given by several irrigation acts adopted in the twentieth century to the government over surface water. It is, however, surprising for at least two reasons. Firstly, there has been only very limited debate on the status of groundwater and such a major change would warrant in-depth consideration. Secondly, if any change is warranted it would be to recognise groundwater as part of the public trust. Indeed, in the context of surface water, the Supreme Court has recognised that assertions of government power over water was not warranted anymore and declared that it was part of a public trust. This is also what the single judge determined in the first Plachimada decision.
Besides strengthening the control that the government claims over groundwater, the various acts adopt a nonconfrontational strategy in refusing to tackle existing overuse of groundwater. Thus, in the main, acts provide for the grandfathering of most existing uses. This amounts to refusing to tackle the real problem affecting groundwater. Indeed, as long as it is landowners that have most control over groundwater, there will be no scope for groundwater regulation that is socially equitable and environmentally sustainable. There is no incentive in the common law rules or in the acts that are being adopted for individual landowners to use the water responsibly and equitably. There is also no mechanism to ensure that groundwater is shared with non-landowners. Further, without a broader perspective, no single water user has any reason to recognize environmental needs ensuring that all ecosystem functions are met in the long term.
The limits of the old common law regime and new legislative efforts are well illustrated in the context of the dispute between the Perumatty Grama Panchayat in Kerala and the Coca Cola Company. The controversy erupted after the panchayat that first granted the exploitation licence decided not to renew it because of the lowering of the water table in neighbouring properties, as well as decreasing water quality to the extent that the local government primary health centre had concluded that the water was not potable. 35 The issue was brought to the courts and is now pending in the Supreme Court. The two decisions given by judges in Kerala gave two opposed views of groundwater regulation. On the one hand, the first judge found that even without groundwater regulation, the existing legal position was that groundwater is a public trust and that the state has a duty to protect it against excessive exploitation. 36 Additionally the judge made the link between the public trust and the right to life. 37 It was thus recognized that a system which leaves groundwater exploitation to the discretion of landowners can result in negative environmental consequences. The next decision took a completely different perspective and asserted the primacy of landowners' control over groundwater. 38 These two contradictory decisions illustrate the
29 West Bengal Ground Water Resources (Management, Control And Regulation) Act, 2005, s 6(2).
30 eg Goa Ground Water Regulation Act, 2002, s 23.
31 Himachal Pradesh Ground Water (Regulation and Control of Development and Management) Act, 2005, s 7(3).
32 Goa Ground Water Regulation Act, 2002, s 9. Also Karnataka Groundwater (Regulation and Control of Development and Management) Bill, 2006, s 1(4).
33 Himachal Pradesh Ground Water (Regulation and Control of Development and Management) Act, 2005, s 12(1).
34 ibid s 12(2).
35 C.R. Bijoy, 'Kerala's Plachimada Struggle – A Narrative on Water and Governance Rights', 42 EPW 4332 (2006).
36 Perumatty Grama Panchayat v State of Kerala 2004(1) KLT 731 (High Court of Kerala, 2003).
37 ibid.
38 Hindustan Coca-Cola Beverages v Perumatty Grama Panchayat 2005(2) KLT 554 (High Court of Kerala, 2005) para 43.
need for a framework that effectively ensures the sustainability of use of groundwater and the prioritization of drinking water over all other uses. Reliance on old common law principles is only able to justify individualized control but cannot in any way provide a broader framework of analysis. The inapplicability of the groundwater legislation to this dispute was noted by the judges. However, what is apparent is not the fact that the new legislation is not applicable but the fact that it would not have provided a framework for a more socially equitable and environmentally sustainable decision. The application of the act to future similar disputes may clarify matters in terms of institutional decision-making but it would likely lead to results fairly similar to the decision of the second judge. What is needed is a radically new perspective, something that the first judge perceptively understood. The Supreme Court now has the chance to provide a boost towards a new framework for groundwater regulation.
IV. REFORMING THE REFORMS
Ongoing reforms of groundwater regulation fail to bring in a regulatory framework that is either adapted to the needs of the twenty-first century or compliant with existing constitutional principles. Firstly, existing groundwater reforms fail to implement basic constitutional principles related to water that apply without doubt to groundwater. This is the case of the fundamental human right to water and the decentralisation amendment (73 rd Amendment). With regard to the fundamental right to water, its application to groundwater is essential because groundwater provides most of our drinking water. Yet, groundwater legislation has only exceptionally focused on drinking water and never from a fundamental right perspective. With regard to the 73 rd Amendment that gives panchayats control water management at the local level and minor irrigation, ongoing reforms conceived before 1992 are simply not in tune with the new constitutional requirements.
Secondly, existing reforms fail to address the core issue of the legal status of groundwater. The failure to abolish common law rules giving landowners overwhelming control over groundwater – as was for instance undertaken in post-apartheid South Africa – does not provide scope for bringing in a legal regime that is socially equitable and environmentally sustainable. The need for a drastic change in legal status is, for instance, illustrated by the fact that the first judge in the Plachimada decision felt that he could not take a just decision without asserting the extension of the principle of public trust to groundwater.
In addition to their failure to implement constitutional provisions, ongoing reforms also fail to take into account important objectives. Groundwater legislation is to-date conceived largely as a natural resource legislation that fails to integrate the key social dimension of groundwater. Similarly, groundwater legislation fails to integrate existing environmental law principles, such as the precautionary principle. While water and environment are partly separate branches of law, they are also intrinsically linked as reflected in the fact that the Water Act, 1974 was conceived as an environmental legislation. The dismissal of environmental principles from the rest of water law is thus unwelcome and inappropriate.
The stringent limitations of current groundwater regulation reforms calls for a new conceptual paradigm and a new set of reforms. This goes against the advice of the Expert Group set up by the Planning Commission that 'no change in [the] basic legal regime relating to groundwater seems necessary', 39 but is called for by the limitations highlighted above. The new set of reforms needs to be based on the basic principles of the national legal framework as it exists today rather than what was prevalent in 1970. Two of the important novel aspects are the explicit recognition of the fundamental human right to water and the decentralisation amendments. Integrating both these elements requires a complete rethinking of the basic structure of groundwater legislation. In other words, an entirely new set of reforms is needed to ensure the implementation of these basic principles. Such reforms must, for instance, ensure that delinking land and water rights is undertaken in the framework of the human right to water that requires restricting or eliminating individual entitlements to water.
In addition, further reforms must benefit from advances in the scientific understanding of the water sector. This should lead to the development of laws that do not make artificial divisions between surface and groundwater for instance. This is problematic because the disconnect does not exist in practice and leads today to absurd results because the basic principles governing surface water and groundwater are different.
39 Ground Water Management and Ownership – Report of the Expert Group (New Delhi: Government of India, Planning Commission, 2007) 41.
Finally, the reforms must be based on recent legal developments within water law and in related areas. This includes the need to extend the principle of public trust, that has been repeatedly confirmed by the Supreme Court for more than a decade, to groundwater and the need to integrate the precautionary principle, a basic principle of environmental law that is directly relevant in the case of groundwater.
All these measures may be adopted at the state level in keeping with the constitutional mandate. There is, however, also a need for a legislation setting out the basic principles of water law at the national level. This may provide the backbone for groundwater regulation at the state level that is more compliant with the constitutional framework than is the case today.
www.ielrc.org
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THE JAPAN‐U.S. DIALOGUE
Japan‐U.S. Alliance at a New Stage: Toward a Provider of International Public Goods
Conference Papers
September 11‐12, 2012 Tokyo, Japan
Co‐sponsored by
The Global Forum of Japan (GFJ)
Institute for National Strategic Studies, National Defense University (INSS)
The Japan Forum on International Relations (JFIR)
Table of Contents
8
1. Program
日米対話「日米同盟の新段階-国際公共財の供給者へ」
The Japan‐U.S. Dialogue
Japan‐U.S. Alliance at a New Stage: Toward a Provider of International Public Goods
Tuesday, 11 September, 2012 ／The Tokyo Club
Wednesday, 12September, 2012 ／IVY Hall ʺMiltosʺ
2．Biographies of the Panelists
【U.S. Panelists】
James J. PRZYSTUP
Senior Research Fellow, INSS
Holds BA Summa Cum Laude from the University of Detroit and MA and Ph.D. from the University of Chicago. Has worked on issues related to East Asia for close to thirty years on Capitol Hill, on the House of Representatives Subcommittee on Asian and Pacific Affairs. Serves as the Deputy Director of the Presidential Commission on U.S.-Japan Relations, the Policy Planning Staff of the Department of State, Director of the Asian Studies Center at The Heritage Foundation.
Michael J. GREEN Senior Adviser / Japan Chair, CSIS Graduated from Kenyon College with highest honors in history in 1983. Received his MA from Johns Hopkins School of Advanced International Studies in 1987 and his Ph.D. in 1994. Also, did graduate work at the University of Tokyo as a Fulbright fellow. Joined the National Security Council (NSC) in April 2001 as director of Asian affairs. Previously served as Special Assistant to the President for National Security Affairs and Senior Director for Asian affairs at the NSC, from January 2004 to December 2005. Concurrently serves as Associate Professor of international relations at Georgetown University.
Rust DEMING former Principal Deputy Assistant Secretary of State Received BA from Rollins College and MA in East Asian Studies from Stanford University. Has spent much of his career dealing with Japanese affairs, having served in Japan as charge d'affaires, and as deputy chief of mission. Served as principal deputy assistant secretary of state for East Asian and Pacific affairs (June 1998 to August 2000), senior advisor to the assistant secretary for East Asian and Pacific affairs from December 1997. Also, served as director of the Office of Japanese Affairs in Washington from 1991 to 1993. In 2011 he was recalled to the State Department for six months to serve once again as Japan Director. Concurrently serves as an adjunct professor of Japan studies at the Paul H. Nitze School of Advanced International Studies of the Johns Hopkins University.
Nicholas SZECHENYI Deputy Director and Senior Fellow, Office of the Japan Chair, CSIS Received an M.A. in international economics and Japan studies from the Johns Hopkins University School of Advanced International Studies (SAIS) and a B.A. in Asian studies from Connecticut College. Prior to joining CSIS in 2005, served as news producer for Fuji Television in Washington, D.C., where he covered U.S. policy in Asia and domestic politics. In 2009, selected as an inaugural fellow of the Maureen and Mike Mansfield Foundation's "U.S.-Japan Network for the Future" program.
【Japanese Panelists】
ITO Kenichi
President, JFIR
Graduated from Hitotsubashi University. Entered Ministry of Foreign Affairs in 1960. Studied at Harvard University (1961-1963). Served various positions, including Director of First Southeast Asian Division until 1977. Served as Professor at Aoyama Gakuin University (1984-2006). Concurrently serving as President of the Global Forum of Japan (GFJ), President of Council on East Asian Community (CEAC), and Professor Emeritus at Aoyama Gakuin University. Received an Honorary Doctorate from the University of Cambodia (2011).
HIRABAYASHI Hiroshi
Graduated from the University of Tokyo. Entered the Ministry of Foreign Affairs in 1963. From 1991 to 2006, served successively as Deputy Chief of Mission in Washington, D.C., Director-General of Economic Cooperation Bureau at the Ministry of Foreign Affairs, Chief Cabinet Councilor on External Affairs at Prime Minister’s Cabinet, Ambassador to India and Ambassador to France. Concurrently, Vice-President of The Japan Forum on International Relations (JFIR), Executive Vice-President of The Council on East Asian Community (CEAC), President of the Japan-India Association, Opinion Leader Governor, and so forth.
IZUMIKAWA Yasuhiro Associate Professor, Chuo University Graduated from Kyoto University in 1990. Entered Osaka Gas Co. in 1990 and retired from office in 1994. Received his M.A. from School of Advanced International Studies (SAIS), the Johns Hopkins University in 1996. Received his Ph.D. from Georgetown University in 2002. Served as Associate Professor at Miyazaki International College from 2002 and then at Kobe College from 2005. Held the current position since 2009.
KAMIYA Matake Professor, National Defense Academy of Japan Graduated from the University of Tokyo in 1985 and did graduate study at Columbia University as a Fulbright grantee. Became Research Associate at the National Defense Academy of Japan in 1992, Lecturer with tenure in 1993, Associate Professor in 1996, and became Professor in 2004. Meanwhile, served as Distinguished Research Fellow at Centre for Strategic Studies: New Zealand (1994-95), and Visiting Research Fellow at the Japan Institute of International Affairs (2004-2005). Concurrently serves as Councilor of The Japan Forum on International Relations (JFIR) and Member of the Board of Directors of Japan Association for International Security.
MIYAOKA Isao Professor, Keio University Graduated from Keio University in 1990. Entered the Ministry of Foreign Affairs of Japan in 1990 and retired from office in 1995. Received his MA in Political Science from the University of Canterbury in 1994. Received his D.Phil. from the University of Oxford in 1999. Served as Associate at Harvard University in 1999-2001, Visiting Fellow at the Sigur Center for Asian Studies, The George Washington University in 2006. Served as Associate Professor at Osaka University of Foreign Studies from 2001 to 2007, at Osaka University from 2007 to 2010, and then at Keio University from 2010 to 2012. Held the current position since 2012.
NAKANISHI Hiroshi
Professor, Kyoto University
Received MA from Kyoto University in 1987 and studied in the doctor course of the History Department at the University of Chicago from 1988 to 1990 as Ph.D candidate. Served as Associate Professor in Koto University. His major interests include rise of the global international history of the 20th century, with partiular interest on Japanese foreign and security policy in the Showa Era, and current Japanese foreign and security policy. He has been on the panel of several Governmental advisory committees, such as the Council on Security and Defense Capabilities in the New Era, which issued the final report in August 2010.
HOSOYA Yuichi
Professor, Keio University
Received his Ph.D from Keio University. Served as Visiting Professor and Japan Chair at Sciences-Po in Paris (2009–10), Visiting fellow at Princeton University (2008–2009). His research interests include the postwar international history, British diplomatic history, Japanese diplomacy, and contemporary international security.
OKAWARA Yoshio
Chairman, GFJ
Graduated from the University of Tokyo. Entered Ministry of Foreign Affairs in 1942. Served various positions including Director-General of the American Affairs Bureau, Deputy Vice Minister for Administration, Japanese Ambassador to Australia and Japanese Ambassador to the United States (1980-1985). Concurrently serving as Special Adviser of Institute for International Policy Studies and President of America-Japan Society, Inc.
(In order of appearance)
3. Presentation Papers
Session I: Changing Roles of Japan-U.S. Alliance in a Changing World: In the Asia-Pacific and Globally
James J. PRZYSTUP Senior Research Fellow, INSS
"The rise of China as a great power will be one of the defining events of the 21 st century, not only for Asia, but for the world generally. More precisely the degree to which this country with its vast size, economic dynamism, and military potential manages to integrate itself into the international system promises to shape the very nature of the future international order. For the United States and other members of the international community, the challenge will be to structure an environment that encourages China to view integration based solidly on existing international norms as beneficial to its own national interests."
The Enduring China – an Overview
Meanwhile, a surging nationalism has been manifest most recently in Beijing's claims to sovereignty over the Senkaku Islands. This both shapes and constrains the leadership's policy options. Many economists project that, at some point in the first quarter of the next century, China will have the world's largest economy in terms of gross national product, though significant challenges lie ahead.
The Communist Party of China remains the sole source of political orthodoxy and authority. Among all but the most faithful, ideological commitment has all but disappeared. Political fervor has been replaced by an overwhelming focus on material success. The Party's claim to legitimacy now depends largely on its ability to produce economic success.
Although China's ultimate national objectives are open to debate – they still are – but near to mid-term success will require a stable international and regional environment as well as access to international markets, finance and technologies. This also holds true for the success of China's military modernization program.
The ambiguity of China's conduct poses fundamental questions about China's nature as an emerging great power and its relationship to the international system and to the United States. For example is China a revolutionary or revisionist power seeking to transform the very nature of the international system or is it an assertive but basically status quo power? If the latter, will it remain so as China's comprehensive power continues to grow?
China has demonstrated an interest in greater international integration – APEC and the WTO; the Nuclear Test Ban Treaty and the Missile Technology Control Regime, though its nuclear assistance program and missile sales to Iran and Pakistan jeopardize vital U.S. and Western security interests. China has also demonstrated a willingness to use force and/or intimidation to advance its interests. There is a long list here going back to the Paracel Islands in 1974; the Taiwan Straits Missile Crisis 1995-1996; Mischief Reef 1999; and extending to present day assertiveness in the South China Sea.
There are, of course, no appropriate historical models; reality is much more complex. China's conduct will be outlined not in predictable black and white, but in shifting shades of gray, with Beijing managing to be both cooperative and assertive on a wide range of issues. China will undoubtedly seek to shape, to its own advantage, the terms and conditions of its engagement with the world.
So what is to be done? Is containment an option?
The mix of Western trade and investment has spurred China's economic growth while increasing its interdependence on foreign countries and tying it even more closely to the international economy. At the same time, Beijing's growing confidence in the economic power and political leverage of its huge market promises to complicate international cooperation on policy issues. China's willingness to use its market for political ends has been well demonstrated - going back to a 1996 decision to favor Airbus over Boeing to express its displeasure over the U.S. stand on human rights.
It is highly unlikely that Japan or other U.S. allies in the Asia-Pacific region are prepared to join in a concerted effort to contain China. Indeed many countries, fearing that actions taken by Washington, could force them to confront difficult choices, have cautioned against a U.S. policy that could force painful choices involving economic and security interests. China is a major market force in the international economy; today, China is the hub of the Asia economy and the leading trading partner of Japan, the ROK, Australia and the ASEAN countries.
And the list is growing: the 2010 imposition of new health standards on the import of Norwegian salmon following the awarding of the Nobel Peace Prize to Liu Xiabao; suspension of the rare earth exports during the 2010 Senkaku incident; contract; blocking agricultural exports from the Philippines during the Scarborough Shoals incident; and the use of travel warnings during the Senkaku and Scarborough Shoals incidents.
With regard to China, many questions, 15 years later, clearly remain the same. Others with respect to the United States and Japan have changed. The list of changes below is by no means comprehensive but is offered for consideration.
The above quotes are from "The United States and China: Strategies for the Future" in Between Diplomacy and Deterrence: Strategies for U.S. Relations with China, The Heritage Foundation 1997.
What Has Changed?
Japan today is fifteen years older and in the United Sates the "boomer" generation is moving toward retirement. This generational change will affect spending priorities in both countries; defense budgets will not go untouched.
The book was written at perhaps the height of the United States unipolar moment. While still unrivaled as military power and a source of technological innovation, the United States, over the past decade, has experienced a relative decline in comprehensive power. At the turn of the century, the United States enjoyed a budget surplus. Today, China holds over $1.2 trillion of U.S. debt. Significant budgetary and fiscal challenges are facing the United States and Japan. In the United States the "fiscal cliff' is looming, and in Japan the debt to GDP ratio has jumped from 135% of GDP in 2000 to over 233% today.
China today is a major international market force. In 2006, China became Japan's top trading partner replacing the United States. Across the Asia-Pacific region, China is at the center of the region's economic dynamism. China's market power has enhanced Beijing's political leverage, which it has demonstrated that it is not unwilling to use, most recently at the ASEAN Regional Forum in Phnom Penh.
China's economic dynamism has supported the modernization of the PLA. China's military capabilities have been enhanced across the board as a result of over twenty years of double digit increases in defense spending. Of increasing concern to the United States and Japan is China's development of anti-access/area-denial capabilities. If realized, China's counter-intervention capabilities would challenge the United States capacity to access its allies and extend deterrence.
Of growing concern to both the United States and Japan has been China's increasing assertiveness in the both the South China Sea and the East China Sea. After almost a decade of "smile diplomacy" following the Taiwan Straits Missile Crisis, China appears to taking the attitude that it is better to be feared than liked. At the same time, over the past 15 years, China's economy has become increasingly integrated into the global economy and its financial markets. In entering the WTO in 2001, China joined a rules-based trade regime and its dispute resolution mechanism. Beijing's compliance with its obligations leaves much to be desired, yet it is operating with a rules based order that has produced double-digit for China growth for over three decades; and it does not appear to be bent on replacing it yet with a made-in-China trade order.
Finally, the United States, after a decade of wars in Iraq and Afghanistan, is now in the process of reordering strategic priorities – in pivoting or rebalancing toward the Asia-Pacific region.
The Alliance and the Rise of China
In short, the alliance should continue the strategic approach that the United States and Japan have pursued consistently since Deng Xiaoping opened China to the market in the late 1970's – an approach marked by intensive engagement – one with the aspiration that China emerge as the Responsible Stakeholder envisioned by Bob Zoellick and, at the same time, one that manages the risk that our aspirations for China may not be met.
In this context of continuity and change over the past fifteen years, how then should the alliance address the issues of continuity and change in rise of China? The process should start with a clear definition of our objectives: to engage China toward greater international engagement and support for a rules-based international order as the surest path to China's economic development and prosperity, and, at the same time, to maintain stability, to enhance security and maintain a balance of power favorable to U.S. and Japanese interests the Asia-Pacific region. These are not mutually exclusive goals; neither are they adverse to Chinese interests.
Within the United States and Japan, this process should begin with the recognition that we face an increasingly complex regional and international environment as well as daunting domestic fiscal and social challenges; that the way ahead in dealing with the rise of China is to enhance prospects for U.S.-Japan cooperation across the board.
To enhance security cooperation within the alliance, Japan should, as advocated by the Council Security and Defense Capabilities in the New Era in 2010 and most recently by the Frontier Subcommittee of the National Strategy Council, Japan the review of Article IX and the restrictions on the exercise of collective self-defense. This would serve to strengthen alliance cooperation and, in turn, strengthen deterrence. The deterrence posture of the alliance can be strengthened by enhanced defense cooperation, in particular by expanding joint training and exercises in Japan's southwest, by expanding information sharing, patrolling and surveillance activities, by establishing a coordinated crisis management mechanism; and by cooperation in the hardening of U.S. bases in Japan to allow operations in the face of attack.
In the security field in particular, here's where the alliance can positively contribute to stability and security in the Asia-Pacific region and at the same time manage down-side risks with respect to China. This starts with the United States making unmistakably clear its commitment to extend deterrence (nuclear and conventional) to Japan. This involves not only the verbal reiteration of the long-standing U.S commitment but also requires demonstrable capabilities to do so. This means maintaining a forward deployed U.S. force presence in Japan and as well developing the capabilities to assure Japan of our ability to extend deterrence. Today, this means the United States and Japan together meeting the challenge posed by the development of anti-access/area denial capabilities.
The deterrence posture of the alliance can and must be strengthened by increases in Japan's defense spending that will enable Japan to realize the dynamic defense force of the 2010 National Defense Program Guidelines. In a strained fiscal environment this will be a continuing political challenge but one that must be met if Japan is to be able to "effectively deter and respond to various contingencies" and at the same time "to proactively engage in activities to further stabilize the security environment in the Asia-Pacific region and to improve the global security environment."
As alliance partners and trading nations, the United States and Japan share an interest in maritime security. In the face of China's increasing assertiveness in the South China Sea, Washington and Tokyo, as they have, must continue to focus their diplomacy on support for freedom of navigation; support for ASEAN and ASEAN's efforts to develop a Code of Conduct on the South China Sea; and for the peaceful resolution of disputes in the region.
The United States must also make clear that its alliance commitment to the defense of Japan includes the Senkaku islands. While the United States does take an official position regarding the sovereignty claims, Beijing should be given no reason to doubt that the U.S. treaty commitment to defend Japan extends to the Senkaku islands.
In this regard, United States and Japanese efforts in capacity building in Southeast Asia will enhance regional stability and security. Japan's decision to transfer patrol boats to the Philippines, Vietnam, and Malaysia is a case in point; as is the recently reported Ministry of Defense initiative to extend non-combat technical assistance to Indonesia, Vietnam, East Timor, Cambodia, Mongolia, and Tonga. Strengthening national resilience across the Asia-Pacific region and sustaining a rules-based international order, free of coercion, must be key strategic objectives of the alliance.
The Road Ahead
Fifteen years in the future we are likely to find ourselves asking the same questions we asked of our selves fifteen years ago with respect to the rise of China. I think it is a good bet that we will. The challenges posed by the rise of China are significant and will play out over the century ahead. To be addressed successfully will require the concerted efforts of not just the United States, not just Japan, not just the alliance. Rather success will require the concerted efforts of the western world acting together in support of a rules-based international order – one that enhances stability and in which China can advance its own development – one that incentivizes China to play by the rules and makes clear the risks and consequences of unilateralism.
IZUMIKAWA Yasuhiro Associate Professor, Chuo University
The Rise of China and the Challenges for the U.S.-Japan Alliance
How does the rise of China influence the U.S.-Japan alliance? It is often noted that the rise of China has moved both Tokyo and Washington to revitalize the alliance. While this may be true, it does not mean that the ascending China has reduced the divergence of interests between Japan and the United States. This short presentation will point out what Tokyo and Washington need to keep in mind and manage when implementing their defense and foreign policies.
More precisely, the rise of China requires the United States and Japan to coordinate their respective policies toward third parties in the Asia-Pacific region. Here, I would like to point out two regional actors toward which Tokyo's and Washington's differing approaches could cause problems for each other, for instance: Taiwan and Russia. Since Ma Ying-jeou became the president of Taiwan, situations surrounding the Taiwan Strait have greatly transformed. China and Taiwan have moved closer in economic realms as a result of the latter's economic dependence upon the former. Although it is highly unlikely that China and Taiwan will be reunified in anytime soon, Japan and the United States need to start considering what may be the best joint approach toward Taiwan.
Overall, it should be pointed out that the rise of China has been making the Cold War-era security arrangements in northeast Asia more obsolete, requiring Tokyo and Washington to reassess regional strategic environments and their implications in fresh eyes. While maintaining balance of power in northeast Asia remains a common goal for the alliance, strategic significance seems to be shifting from northeast to southeast Asia for the United States, as a result of China's (and India's) rise. This is reflected in U.S. strategy of diffusing basing arrangements/military assets in the Asia Pacific. These have implications for U.S. security commitments and basing arrangements, both of which are significant issues for Japan. This does not make the U.S. alliance system in the Asia-Pacific obsolete (the opposite is true), but it requires Tokyo as well as Washington to digest the meanings of the new strategic environments and to consider its roles and missions in the alliance.
The baseline of U.S. policy toward Russia has been to maintain sound relations with Russia to the extent possible although there have been some turbulences. This policy is reasonable given the rise of China, and Russia has recognized the logic underlying U.S. policy. It is possible, however, that this U.S. approach toward Russia has provided an opportunity for Moscow to take a hard-line position toward Japan on the territorial issues. Therefore, Japan and the United States need to understand each other's baseline approach toward Moscow and devise their respective policies toward Moscow. Doing so would enable the two allies to take a broader strategic perspective and devise their respective policies toward Moscow in the broader perspective.
Michael J. GREEN Senior Adviser / Japan Chair, CSIS
U.S. Forward Presence in a Changing Strategic Environment
The United States and Japan face a variety of security challenges in the Asia Pacific region today. North Korea remains the most immediate military threat. The North's ability to sustain an invasion of the South may have deteriorated, but Pyongyang's ballistic missile and nuclear weapons programs and uncertainty about stability under Kim Jong-un are forcing the United States, Japan and the Republic of Korea to contemplate additional contingencies, including potential North Korean use of weapons of mass destruction (WMD) in war-fighting scenarios, horizontal proliferation, provocations comparable to the attacks on the ROK's Cheonan naval vessel and the island of Yeongpyeong, and regime collapse or instability. Divergences of Washington and Beijing over the handling of these scenarios would introduce a major element of strategic competition in the U.S.-China relationship. In addition, the Asia Pacific region is prone to major natural disasters comparable to the December 2004 Asian tsunami and the March 2011 Great East Japan Earthquake and Tsunami. These types of mega-disasters create not only a humanitarian imperative for action but also have the potential to heighten competition for strategic influence among major powers to the extent that the event impacts internal political legitimacy or stability of smaller states. Terrorism also continues to pose a threat to the stability of states within South and Southeast Asia and to the U.S. homeland, despite considerable progress against such threats as Jemaah Islamiya and the Abu Sayyaf Group over the past decade in Southeast Asia. Finally, Asia's leading economies remain highly dependent on maritime, cyberspace, and space commons, but they are also becoming technologically equipped—if they were to become adversaries—to threaten or interrupt those domains.
However, the central geostrategic uncertainty we and our allies and partners face in the Asia Pacific region is how China's growing power and influence will impact order and stability in the years ahead. The United States and Japan need a force posture and a strategy of engagement that demonstrates U.S. commitment and reinforces order and cooperation at a time when much of the region perceives a shifting balance of power. This does not mean we need a strategy of containment. Nor is the central purpose of our force posture strategy in Asia to prepare for future conflict with China. Indeed, the United States and China have a stake in each other's success, as the President put it early last year. U.S. strategy must therefore be to "win the peace" by building a relationship with China that makes conflict virtually unthinkable and cooperation mutually attractive. This will require instruments of national power beyond military forces alone. Trade, diplomacy and the broader regional acceptance of American values will be critical.
By remaining persistently engaged across the region our forces shape a more cooperative peacetime environment and demonstrate a readiness and resolve to respond to contingencies that threaten the peace. Specifically, U.S. force posture can enhance the shaping of the peacetime environment by:
Assuring allies and partners of U.S. security commitments, which encourages solidarity against challenges to their interests and discourages unilateral escalation in a crisis;
Shoring up the security and self-capacity of vulnerable states so that they are neither targets of coercion or expansion nor havens for violent extremists; and
Dissuading Chinese coercion or North Korean aggression by demonstrating solidarity with and among allies and partners;
Reassuring China where possible through engagement in bilateral and multilateral security cooperation and confidence-building on common challenges (e.g., counter-proliferation, counter-terrorism).
Shaping requirements, doctrine, tactics, techniques, and procedures of U.S. allies and partners for more competent coalitions across the range of possible contingencies (with Australia, Japan, and the ROK at the higher spectrum of intensity and with other allies and partners at lower intensity levels, such as HA/DR);
At the same time, U.S. forces that are forward deployed and persistently engaged set the stage for more effective deterrence and better contingency capabilities by:
Networking those allies and partners with each other to enable more effective coalitions when needed (e.g., U.S.-Japan-Australia, U.S.-Japan-ROK);
Gaining greater familiarity with the immediate security environment and with combined and/or interoperable interaction with other allied and partner forces;
Increasing overall maritime domain awareness for individual countries as well as shared awareness across the Indo-Pacific littoral and ensuring the integrity of the first and second island chains with respect to adversaries in a conflict;
Identifying and testing what planners call "off ramps" for crisis avoidance and de-escalation in crises, through regular direct and indirect military-to-military engagement.
Complicating the military planning of potential adversaries by identifying and developing arrangements for access, prepositioning, over-flight, and other needs, thereby dispersing possible targets and providing redundancy; and
The United States will have to realign its force posture in the years ahead to achieve these objectives, while managing other pressures on forward presence, including:
The desire of allies and partners to keep the U.S. present to balance China while not being forced to choose between the United States and China;
The need to reduce the burden on Okinawa, preferably by implementing the 2006 Roadmap;
The downward pressure on U.S. defense budgets and continued demands from the Middle East, despite the Obama administration's pledge to "rebalance" forces towards Asia;
The trend towards declining defense budgets among key allies like Japan and Australia.
Current shortcomings in U.S. capabilities that will be exacerbated by a more distributed presence, including the need for more lift, missile defense, and combat sustainability;
KAMIYA Matake Professor, National Defense Academy of Japan
U.S.-Japan Alliance in the "Era of Smart Power": Changes and Continuities
The U.S.-Japan alliance will remain the cornerstone of security and stability in the Asia-Pacific, because few security issues in this region will be able to be dealt with effectively without United States and Japan in the foreseeable future, although few issues will be able to be taken care of only by the two allies. Potential importance of this alliance for global peace and security will remain as before.
Roles and functions of the U.S.-Japan alliance, however, will require modifications.
In the past, the U.S.-Japan alliance has exercised significant influence in the region and globally as an alliance with the largest size of hard power in the world. The "collective hard power" of the U.S.-Japan alliance has been overwhelming, both in military and economic power. In the face of the rise of newly emerging powers, and despite the fact that Japan has been surpassed by China as the second largest economy in the world, the size of the collective hard power of the U.S.-Japan alliance is still the second largest in the world (only second to the NATO).
In today's world, however, utility and effectiveness of hard power have been increasingly restricted, while importance of soft power has been growing. In a world entering into the "era of smart power,"
alliance cooperation which relies only on collective hard power of allies will face increasing limitations in achieving results. Effectiveness of an alliance in this new era will depend not only on its collective hard power, but also on its "collective soft power," i.e., collective ability of an alliance to attract other countries and non-state actors to the its side.
Tokyo and Washington, therefore, will have to find ways to make their alliance not only function effectively, but also perform roles that will be attractive for other countries and non-state actors. Provision of international collective goods will be particularly important to increase attractiveness of the U.S.-Japan alliance for other international actors.
Among various types of international collective goods which this alliance will be able to provide to the international community, the most fundamental and significant will be the maintenance and stewardship of the existing international order, which is characterized as liberal, open, and rule-based.
Throughout the post-World War II period, this order has been formed and maintained since by the collective efforts of countries who shares liberal values and principles, including Japan, under the leadership of the United States. While Japan and the United States have been the largest beneficiaries of this order, other countries have also enjoyed significant benefits from the liberal, open, and rule-based nature of this order. In recent years, however, there has been a growing concern in the international society that this existing order may be weakened due to the ongoing shift in the international power balance due the rise of the newly emerging powers, particularly China. It is still unclear whether China will become a "responsible stakeholder" who will be ready to support, rather than attempt to challenge, this order together with the United States, Japan, and other leading democracies in the world. In this circumstance, the U.S.-Japan alliance should be redefined as an alliance of the two leading status quo-oriented powers in the world. Washington and Tokyo should declare to the Asia-Pacific region and to the entire world that their alliance will seek the maintenance of essential elements of the current international order (liberalness, openness, and rule-basedness), both in the Asia Pacific and globally, and in that sense, will be ready to serve as a provider of one of the most important international public goods to the international society.
As the basic premise of all these, however, one recognition must be shared between the two allies: The U.S.-Japan alliance cannot remain strong and effective without a firm and healthy maintenance of its collective hard power. In the era of smart power, it will become increasingly difficult for an alliance to achieve its goals only by its collective hard power. Cultivation of collective soft power will be crucial. The strength of collective soft power of an alliance, i.e., how much attractiveness other international actors find in that alliance, will depend considerably on what it can do (or, to put it more correctly, how others perceive what it can do), in time of need, by utilizing its collective hard power. The prerequisite for an alliance to strengthen its collective soft power is, therefore, the solid maintenance (or strengthening) of its collective hard power.
The Japanese, in particular, needs to understand such a intricate relationship between hard power and soft power, before they discuss the roles and functions of the U.S.-Japan alliance in the era of smart power.
Based on the arguments outlined above, this presentation will discuss the implications of the two important recent documents released by the CSIS, "U.S. Force Posture Strategy in the Asia Pacific Region: An Independent Assessment," and "The Armitage-Nye Report: U.S.-Japan Alliance: Anchoring Stability in Asia," for the future course of the U.S.-Japan alliance and for Japan's roles and responsibilities in it.
Rust DEMING former Principal Deputy Assistant Secretary of State
U.S.-Japan Alliance as a Provider of Public Goods
The History
Security – the alliance provides the platform for the U.S military presence in East Asia that has been the backbone of stability and created the environment that has allowed the region to flourish.
For the last sixty years, the U.S. Japan alliance has played a critical role in providing public goods for East Asia and the international community. This includes:
Economic development – the U.S. and Japan have provided the investment, ODA, markets and technology that have allowed East Asian nations to climb the value added curve and become the driving force of the world economy.
Normative – the U.S. and Japan, as vibrant democracies and market economies, set an example for other countries that helped move them in the direction of democracy and helped bring the Cold War to a successful conclusion.
Institution building – The U.S. and Japan are the top two contributors to the UN and played key roles in the development and maintenance of other regional and international organizations.
The New Challenges
In this shifting environment, there are challenges and opportunities for the U.S. and Japan as
We are in a period of dramatic shifts in global and regional power that is seeing the rise of new influential international players. This includes the rise of China and India, the new dynamism of the ROK and ASEAN, and the reemergence of Russia. In the economic area, the G-8 is being supplanted by the G-20. In the military area, the U.S. remains dominant, but Chinese military power is growing, particularly in the maritime area, and its long term objectives are unclear.
providers of public goods. In the area of hard power, the revitalization of the U.S.-Japan alliance is critical to
Responding to China's potential threat to maritime security in East Asia, including its effort to develop capabilities to deny access to open seas in the vicinity of the PRC.
the maintenance of stability in East Asia. This includes:
Continuing to build the capability to deter and contain the North Korean nuclear and missile threat. This includes trilateral coordination with the ROK.
In the area of soft power, there are many opportunities for expanded bilateral and multilateral cooperation to provide public goods. These include:
Maintain the credibility of extended deterrence to ensure that Japan and our other allies do not become vulnerable to nuclear blackmail.
Renewing the momentum toward open markets and expanded trade, with a particular focus on TPP. Playing leadership roles in revitalizing international and regional organizations, including the UN, International Financial Institutions, APEC, and ASEAN plus 3.
Building a framework for enhanced cooperation on energy and climate change, working with international organizations and like-minded countries on safe nuclear power generation, more efficient and environmentally friendly exploitation of hydrocarbons, and greater emphasis on developing renewable energy sources.
No two countries are better positioned to take the leadership in these areas. There are many opportunities of collaboration with others, particularly in the soft power arena, including the EU, ROK,
ASEAN, and, in many areas, China and Russia. American and Japanese leaders should make providing international public goods a central focus of the alliance. The two countries could use a summit meeting in 2013, when both countries will have been through elections, as an opportunity to put specific proposals for bilateral and multilateral collaboration in this critical area.
MIYAOKA Isao Professor, Keio University
"The Japan-US alliance is an international public good for the stability and prosperity of the world" (Noda 2011).
The Japan-US alliance: "the relationship, based on the Japan-U.S. Security System, whereby both nations, . . ., coordinate and cooperate closely in a range of areas in security, politics and economics" (Ministry of Defense 2011).
I. United States as a Hegemon
Hegemony: the leadership of one state (the hegemon) over other states in the system
1. Hegemonic stability theory (Gilpin 1981)
Hegemons supply public goods such as international security and economic order.
Public goods legitimize the leadership of their providers.
Public goods are beneficial to not only the hegemon but also other status-quo states.
Soft power (Nye), Smart Power (CSIS Commission on Smart Power)
liberal international economic order
Two successive hegemonic powers: Great Britain and the United States
liberal international order that is open and loosely rule-based (Ikenberry 2011)
Hub & spoke system
collective security (inclusive and rule-based)
The provider of international public goods tends to overpay (Olson and Zeckhauser 1966).
Virtual Enlargement of the Japan-U.S. Alliance
Relative decline of U.S. power
2. Peace and order in the global commons (Posen 2003)
"Command of the commons creates additional collective goods for U.S. allies."
"U.S. command of the commons provides an impressive foundation of selective engagement."
world trade, travel, global telecommunications, and commercial remote sensing
Non-allies such as China
A2AD
Contested commons (Flournoy and Brimley 2009; Denmark and Mulvenon 2010)
3. Peace and stability in the Asia-Pacific region
The 1996 Joint Declaration on Security: continued U.S. military presence is also essential for preserving peace and stability in the Asia-Pacific region.
Article VI of the 1960 Japan-U.S. Security Treaty: For the purpose of contributing to the security of Japan and the maintenance of international peace and security in the Far East, the United States of America is granted the use by its land, air and naval forces of facilities and areas in Japan.
"Japan actively provides a crucial public good for regional security in the form of its continuing alliance with the US" (Goh 2011).
First, the security treaty furnishes the US with a compelling and legal raison d'etre for a very significant military presence in the region.
Third, Japan has expanded its military role in the alliance.
Second, Japan bears a disproportionate burden of sustaining the US presence.
Moreover, Japan has also helped to uphold the "stick" part of the regional strategy of socializing China in a more overt way.
II. Economic Theory of Alliances
Deterrence, as provided by strategic nuclear weapons
1. Pure public goods among allies (Olson and Zeckhauser 1966)
Defense benefits must be non-excludable and non-rival among allies.
1) Defense burdens are expected to be shared unevenly among allies.
Hypotheses:
2) Defense expenditures are predicted to be at inefficient levels.
3) There is no need to restrict alliance size.
2. Impure public goods and private goods among allies (Sandler 1977)
Partially excludable and partially rival
Damage limitation or protection for times of conflict
Force thinning of conventional forces
Responding to national disasters, managing domestic terrorism
Ally-specific benefits
Article 5 of the Japan-U.S. Treaty: the security of Japan
An ally must support its own defense
3. Open public goods
Power projection
Crisis management in the Post-Cold War period (Sandler and Hartley 1999)
Out-of-area peace operations (Lepgold 1998)
Nuclear non-proliferation (Sandler and Hartley 1999)
Common goods (non-exclusive and rival)
Security that is purely public to allies and others
Session II: What Needs to Be Done?: Assignments to Be Tackled Hand-in-Hand and Independently
James J. PRZYSTUP Senior Research Fellow, INSS
Today's conference, "the Japan-U.S. Alliance at a New Stage: Toward a Provider of International Public Goods" reflects the continuing evolution of the Alliance. Forged in a bipolar Cold War environment, the U.S.-Japan Alliance focused on providing for the defense of Japan and international peace and security in the Far East. Today, the alliance operates in a globalized world, having evolved into a political, diplomatic as well as a security instrument. As reflected in Joint Statement issued following Prime Minister Noda's visit to the United States in April of this year, the alliance seeks to address global challenges from a shared "commitment to democracy, the rule of law, open societies, human rights, human security and free and open markets…." At the same time, as reaffirmed in the Joint Statement, the alliance remains indispensable to the security of Japan, and to the peace, security and economic prosperity of the Asia-Pacific region.
In this context, my task today is to answer the questions: "What needs to be done? What are we to do hand-in-hand and independently?" In essence, I have attempted to answer these questions by developing what amounts to a personal "to do list" for the alliance. The list is not all encompassing but focused on what I believe are critical tasks and contributions to international stability and security. Some are political in nature, others involve diplomacy; others are military in nature.
These are among the public goods –by definition goods that can be enjoyed by any number of people without affecting other people's enjoyment; goods that are provided for users collectively and can be jointly consumed by many individuals simultaneously; goods that are non-excludable in nature -- that are the subject of today's conference.
Operational Environment
At the same time, the United States and Japan are also faced with daunting fiscal and social challenges that will inevitably affect our respective security interests and policy choices. The fact that our values and interests, while not identical, are compellingly congruent argues for increasingly close policy coordination between the United States and Japan.
Today, the United States and Japan are facing an international environment that is increasingly complex and challenging, one in which, as recognized in Japan's 2011 Defense White Paper, "it has become extremely difficult for one country to deal with the issues confronting the international community." This reality holds true for the broad Asia-Pacific region and Northeast Asia as well.
Yet there actions we can take individually as alliance partners, that can serve to advance the public good – that of our respective people and the international community at large.
Security: The Preeminent Public Good.
As alliance partners, the United States and Japan both have roles to play, both independently and hand-in-hand. I want to begin by considering our independent roles in fostering international stability and security.
The United States
To support Japan's security and international engagement, Washington must make unmistakably clear the U.S. commitment to extend deterrence (nuclear and conventional) to Japan. This involves both the verbal reiteration of the long-standing U.S commitment, but demonstrable capabilities to do so. This involves maintaining a forward deployed U.S. force presence in Japan and as well developing the capabilities necessary to assure Japan, and other U.S. allies, of our ability to extend deterrence. Today, this means meeting the challenge posed by the development of anti-access/area denial capabilities.
Within the context of the alliance, this begins with the United States historic commitment to defend Japan. A secure Japan is a Japan more capable of positively engaging Japan has moved the world beyond Northeast Asia. And, over the life of the alliance, Japan has enhanced its contribution to fostering public goods across the world
In the 2010 QDR, Secretary of Defense Robert Gates tasked the services with developing the capabilities to fight and prevail in an anti-access/area denial environment. This charge was again set out as one of the Primary Missions of the U.S. Armed Forces in the January 2012 Strategic Guidance.
To enhance confidence in the U.S. ability to extend deterrence, the United States should seek to expand access across the Asia-Pacific region. The Darwin rotation is a recent case in point. Looking ahead, by looking back, I would note that during the Second World War, U.S. submarines operated out of Perth and Brisbane. Expanding access serves to enhance deterrence by complicating any potential adversary's decision-making.
In their February, 2012 article, "Air-Sea Battle – Promoting Stability in an Era of Uncertainty," Air Force Chief of Staff Norton Schwartz and Chief of Naval Operations Jonathan Greenert wrote " The United States will continue to make the necessary investments to ensure we maintain regional access and the ability to operate freely in keeping with our treaty obligations." They went on to emphasize that the driving force behind the development of the Air –Sea Battle concept "stems from the importance of our nation's capacity for protecting allies and partners as well as assuring freedom of access to key areas of international air, sea, space and cyberspace;" – all are critical public goods that support international commerce and prosperity and, in turn, stability and security.
With regard to the South China Sea, the United States must maintain its principled position on freedom of navigation; its diplomatic support for ASEAN and ASEAN's efforts to develop a Code of Conduct to govern the South China Sea; and for the peace resolution of disputes in the region. Sustaining freedom of navigation through the region is a public good that supports economic prosperity and stability across the broad Asia-Pacific region.
And, with sequestration on the horizon, it is also incumbent on our political leadership to address, and resolve, the critical budget and fiscal issues facing the United States today. These are issues at the very core of the sustainability of the U.S. pivot/rebalance to Asia. They will affect the future of the U.S. force structure and presence in the Asia-Pacific region and, in turn, the credibility of the U.S. commitment to extend deterrence and to defend Japan. The United States must be able to resource the naval, air, ground and electronic assets – space and cyber – necessary to sustain the credibility of the United States pivot/rebalance.
The United States could also strengthen its diplomatic hand by ratifying UNCLOS – though, despite the support of the U.S. military leadership, prospects are unfortunately not favorable for Senate ratification in the next Congress.
Japan
To deter and respond to various contingencies effectively, the SDF must continue to increase its joint operational effectiveness. The large-scale joint exercises, such as the November 2011exercise, conducted on
For Japan, a starting point should be the commitment to fund the "dynamic defense" force outlined in the 2010 New National Defense Program Guidelines. This will require difficult choices with regard to the allocation of financial resources and the development of platforms. In a strained fiscal environment this will be a continuing political challenge but one that must be met if Japan is to be able to "effectively deter and respond to various contingencies" and at the same time "to proactively engage in activities to further stabilize the security environment in the Asia-Pacific region and to improve the global security environment."
Kyushu, Okinawa and the Anami islands south of Okinawa, serve to enhance the SDF's defensive capabilities to meet various contingencies. The SDF is the first-responder in the defense of Japan.
To proactively engage in activities that stabilize the regional and global security environment, there are a number of political decisions that should be taken to advance Japan's standing as an alliance and international partner.
In July, the Noda government considered legislation that would allow the SDF, while engaged in Peace Keeping Operations, to use weapons to protect civilians beyond the SDF's assigned area of operations. Yielding to the opinion of the Cabinet legislative Bureau, the government postponed consideration of the legislation. But, as NGOs are integrated into Japan's PKO missions, the use of weapons to protect civilians will have to be addressed.
In this context, the Report issued by the Council Security and Defense Capabilities in the New Era made a number of recommendations. Many were incorporated into the 2010 NDPG. Two of the recommendations, however, remain to be acted upon. The first called for the review of Article IX and the restrictions on the exercise of the right of collective self defense. The second called for a review the International Peace Keeping Law.
Both with respect to Article IX and the International Peacekeeping Law, the reconsideration of the restrictions on the exercise of the right of collective self-defense and rules of engagement are steps that Japan could take in support of the public good of security, both its own and that of the international community.
Japan's diplomacy and Official Development Assistance efforts serve to support peace-building in post conflict countries. Programs aimed at human resource development, fostering good governance, the rule of law, and the respect for democratic values support economic development and political evolution across the Asia-Pacific region and beyond.
This is not to deny the value and significance of the expanding role the SDF has played in Peace Cooperation activities over the past twenty years under the International Peace Cooperation Law, only to argue the opportunities exist for Japan and the SDF to make a fuller contribution to the international community in support of the public goods of safety and security. And to enhance the efficacy of Japan's participation in international peace cooperation activities, a permanent law governing the dispatch of the SDF should be enacted.
Within the Asia-Pacific region, Japan's hosting of the Fourth Mekong Summit in April and the commitment of approximately 6 billion yen for infrastructure projects in Cambodia, Laos, Myanmar, Thailand and Vietnam in support of an East-West Economic Corridor across mainland Southeast Asia support economic development and enhance prospects for political evolution across the region. With respect to Myanmar, the government's decision to forgive repayment of outstanding loans and to embark on a programs aimed human and infrastructure development, and to resume concessional ODA lending, represent support for the government's incipient efforts at political reform.
Particular attention should also be paid to Japan's strong diplomatic support for ASEAN, for ASEAN's efforts to develop a Code of Conduct in the South China Sea, and for a rules-based maritime order. Efforts to stabilize the seas and safeguard freedom of navigation contribute to regional and global prosperity – public goods enjoyed by all.
Likewise noteworthy is Japan's commitment to the strategic use of ODA to improve maritime security in the South Pacific and in Southeast Asia. In keeping with the revision of the arms export regulations, the decision to transfer patrol boats to the Philippines,Vietnam, and Malaysia underscores Japan's commitment to capacity building with Japan's neighbors in the Asia-Pacific region -- a security enhancing contribution.
Beyond the Asia-Pacific region, Japan's contributions to Iraq, Afghanistan and now South Sudan, all serve as contributions to the international public good. Likewise, the establishment of the SDF base in Djibouti, allowing for the basing of P-3C aircraft, has served to enhance Japans contribution to anti-piracy efforts off Somalia.
What Should We Be Doing Hand-in-Hand?
In the world of 2012 and beyond, fiscal constraints and budget imperatives should spur cooperation across the board. For example:
The answer to this question is one that both governments have given considerable thought to. Recent Two-Plus-Two Statements, going back to the February 2005 document, which put the alliance in a globalized context, provide a clear sense of direction for cooperation in the defense of Japan, in support of prosperity and stability in the Asia-Pacific region and beyond – all public goods – involving instruments that span the economic, political, diplomatic, and security spectrum.
In the advancement of public goods, respective Japanese and American skills and know-how can be brought together with synergistic effects. In remarks delivered in Washington, DC, Akihiko Tanaka, president of the Japan International Cooperation Agency called for greater Japan-U.S. cooperation in development in the fields of health, food security, the environment and in the promotion of public-private partnerships, citing the recently signed Memorandum of Understanding between the U.S. Agency for International Development and the Japan International Cooperation Agency.
Going forward, a good place to start is The Defense of Japan 2012. The Defense White Paper highlights three areas for defense cooperation: the expansion of joint exercises; consideration of expanding joint use of facilities; and an expansion of information sharing, patrolling and surveillance activities. And, given the rapidly evolving Asian security environment, particular emphasis should be placed on ISR, missile defense and maritime security – sea lanes and anti-submarine – space and cyber security. And, in light of the recent Senkaku landing, we also need to sort out together our respective responsibilities in the "gray areas" of Japan's southwest.
With regard to the Defense of Japan, as agreed to by Secretary of Defense Panetta and Minister of Defense Morimoto both governments should expedite a review of the Defense Guidelines, and in this context, review and update our respective roles, missions and capabilities. In a larger context, this should also involve reviewing what the Defense of Japan" entails in 2012 as well as the geographic extent of Situations in Areas Surrounding Japan.. The defense of Japan today must be considered in greater depth (distance, east to the Central Pacific and west to the sea-lanes in the South China Sea) and breadth (space and cyber) than considered in earlier Defense Guidelines.
To conclude, for both the United States and Japan respective "to do lists" reflect significant challenges, economic and political, but it has been the strength of the alliance that has allowed Washington and Tokyo to meet similar challenges in the past, to advance individual and shared national interests, and, in the process, to contribute to the international public good. Looking ahead, new challenges will present new opportunities both to deepen and to expand the alliance as a provider of international public goods.
NAKANISHI Hiroshi Professor, Kyoto University
Japan and the US as provider of security in Asia-Pacific: a Japanese view
Japan is the country who has taken the greatest advantage from the postwar international system of widening liberal political and economic institutions. Despite changing conditions in both domestic and global arena, Japan desires this condition to be sustained. For that purpose Japan finds the US as the key partner and ally.
The most significant international change for Japan is that the area surrounding Japan, roughly called as Asia-Pacific, has become the focal point of global politics abundantly endowed with vitality and risks. Being in the center of the Asia-Pacific, Japan recognizes the enormous challenges it faces and the fact that the US commitment to the region as the source of reassurance of peace and prosperity remains vital for Japan.
Under these constraints, Japan needs to be the smartest investor of its resources for defense and foreign policy needs. For that, Japan needs to clarify its strategic objectives as clearly as possible, and finds the most efficient way to achieve them.
Despite well-known political turmoil in the last half-decade, Japan formed certain level of defense policy framework in the form of the new Defense Guideline, revision of the arms production and export policy, selection of F35 as next major fighter. Still Japanese authority recognizes the hard task ahead. The most basic challenge is to maintain, and if necessary increase, budgetary resources for defense against the extremely stringent fiscal situation caused by the most aging population in the world. Almost as difficult questions are to secure enough human, technological, entrepreneurial resources for defense area and to balance the political movement of increasing local advocacy with the need for national defense burden-sharing. Regrettably right now these issues are not clearly addressed by any political forces in Japan, but they must be tackled by Japan in order to stay in the Asia-Pacific power game.
Geopolitically, Japan is on the overlapping zone of American defense perimeter (Dean Acheson) and the first island chain of China. Japan clearly needs to secure maritime space around itself, which requires certain level of freedom of operations not only in the Pacifc but in the East and South China Seas, countering the so-called A2AD capability of rising China. This requires to upgrade coordination levels of the SDFs and the American forces in the Pacific in maritime, amphibious, anti-missile, ISR and other related operations. These arrangements may be the major issue to be tackled with in the new guideline between the two governments. The two governments may like to involve other countries in the region such as ROK, Australia, India, willing members of the ASEAN and the Pacific Islands, in this maritime cooperation. The deepening cooperation may revitalize the debate over the collective defense right in Japan. Even though it may be possible for Japan to finesse the issue as before, it is time-consuming and logically unpersuasive. So long as political situation allows, Japan needs to tackle the constitutional issue head-on.
Thirdly, Japan has security stakes in Korean peninsula and Northern pacific area towards the Arctic sea. For Korean peninsula, Japan continues to provide key facilities for the US to achieve its commitment to the peninsula, while Japan is willing to participate in the US-Japan-ROK trilateral cooperation. Japan also sees the North Korean nuclear capability and missiles as paramount threats. Japan needs to continue upgrading the missile defense capability along with securing American extended deterrence, while being engaged in the peaceful talk to de-nuclearize and open up the DPRK to the outside world. On Russia, Japanese public opinion is fired up against the Medvedev's repeated visits to the Northern territories, but Japan has not yet seen Russian comeback in Asia as serious military threat. Still Japan pays close attention to the Russian intention in the region, particularly its relations with other countries.
Secondly, Japan needs to prepare for the large-scale disaster in Japan and the region. That requires higher jointness with use of new commons (space and cyberspace) along with the capability to work together with the American Forces and other helping countries. This also requires higher level of coordination among various sections in Japan: SDF, police, firefighters, local government, private companies, NGO, etc. Key issue here is flexible use of the infrastructure such as airports, highways, and trains in time of emergency.
At the Security Consultative Committee on April 27 this year, Japan and the US agreed to deepen "dynamic defense cooperation." It is no doubt a right direction, but adjective "smart" needs to be attached in two senses. First, Japan and the US together needs to find smart way to achieve key security objectives with most efficient and politically acceptable way. Particularly the US is expected sophisticated doctrine and placement of forces which assures its commitment, limits local burden to reasonable level with the wisest price tag.
Second, defense policy needs to be combined with political, diplomatic, economic, cultural policies in the region. The Asia-Pacific needs to strengthen habits of solving conflicts peacefully. The region also needs more open economic cooperation backed by political realities. The US needs to be part of the multilateral rules both at the regional and global levels. The ratification of the UNCLOS is a matter of serious contention in the US, but its ratification will certainly increase its persuasiveness in the diplomatic arena. Japan has its own misery of being unable to come up with policy decision on the TPP. But the US also needs to take lead among the current negotiating members with an eye to the days of enlarging this into the FTAAP. By strengthening and creating just and equitable rules which can create sympathetic political forces within countries in Asia, Japan and the US will be able to provide the public goods truly desired in the region.
Another key area is natural resources. Fukushima accident and the Shale Gas revolution has given rise to large-scale energy policy review. Whatever happens to Japanese nuclear policy, Japan needs to maintain its key nuclear expertise and business resources who can contribute safe and secure development of nuclear use around the world. In addition, they are needed for disposing nuclear reactors and nuclear spent fuels. But overall Japan needs to lead the world by energy conservation and efficiency. The US, on its part, needs to resolve the issue of the disposal of the NSF. It also requires to lead the energy market around the globe while taking reasonable care of the climate change and other environmental issues. Keeping the first-rate energy and environment policy and technology will greatly enhance the diplomatic stance of Japan and the US.
Nicholas SZECHENYI Deputy Director and Senior Fellow, Office of the Japan Chair, CSIS
The joint statement issued in conjunction with the April 30 Obama-Noda summit presents a shared vision for the future of the U.S.-Japan alliance and a framework for enhancing bilateral cooperation. The statement reprises the shared values that underpin the alliance, outlines common strategic objectives and covers a range of issue areas as a testament to the breadth and depth of the bilateral agenda. What must be done to implement this vision, and what are some of the challenges going forward?
Fundamentally, the vitality of the U.S.-Japan alliance will depend on the strength of the two economies. Both countries prioritized stimulus measures in the wake of the global economic crisis but have struggled to outline strategies for long-term growth and a return to fiscal health. Japan is devising a post-3/11 growth strategy that will depend on a stable supply of energy but has yet to reach consensus on an energy mix to support a path towards sustainable growth. The question of trade liberalization and Japan's role in regional economic integration also looms large, especially given the potential for joint leadership with the United States under the rubric of the Trans-Pacific Partnership. Looming cuts in defense spending in the United States would carry economic consequences and could raise questions about the durability of strategic rebalancing toward the Asia-Pacific. In short, growth strategies and security strategies are inextricably linked. To repeat a core theme from a JFIR conference on "smart power" last year: There is no hard power or soft power without economic power. Downward pressure on defense spending in both countries places a premium on inter-operability between the JSDF and U.S. forces. Joint training, as outlined in the April 27 bilateral Security Consultative Committee statement, as well as efforts to network with other partners in the region are encouraging developments that will further the role of the alliance in preserving regional peace and stability. Also noteworthy is Japan's relaxation of the three arms export principles to allow the joint development and production of defense equipment, which could expand opportunities for defense industrial collaboration with the United States. The next step is to facilitate ways to realize those opportunities and reduce costs.
There also is a need to further explore concepts such as Dynamic Defense and Air-Sea Battle that are animating the strategic debate on security challenges in the Asia-Pacific region. The alliance should be agile in response to a changing international security environment and it will be important to ensure that prevalent themes are integrated into the framework for alliance cooperation from which operational requirements will flow. Dialogues on issues including cyber, space, and extended deterrence, documented in an overview of common strategic objectives released in June 2011, also promise to enhance bilateral coordination on new challenges.
These are but a few of the issues confronting Japan and the United States in an increasingly diverse and complex international arena. Fiscal pressures may necessitate hard choices regarding the allocation of resources but the alliance remains grounded in a shared commitment to champion rules and norms that govern the international order. If the objective of this conference is to ask how the U.S.-Japan alliance will be perceived as a purveyor of public goods, the normative aspects of the alliance agenda—from regional economic integration to maritime security and nuclear nonproliferation—should provide answers well into the future.
HOSOYA Yuichi Professor, Keio University
Assignments for Japan
Japan is now facing a very difficult time. Militarily, China is rapidly expanding its maritime activities both in the South China Sea and in the East China Sea, and the Senkaku Islands is currently becoming the "frontline" between the U.S.-Japan alliance and China. Economically, Japan is now facing a huge national debt problem that would seriously weaken the performance of Japanese economy in near future. Then, politically, Japanese political leaders are experiencing that they cannot make necessary decisions.
It is now questioned, in a report by the Center for Strategic & International Studies titled The U.S.-Japan Alliance: Anchoring Stability in Asia, whether "Japan desires to continue to be a tier-one nation". The answer will be made by Japan. In order to further strengthen the U.S.-Japan alliance, and also in order to maintain Japan as a "tier-one nation", there exist many assignments for Japan. Here, both military and political "assignments" will be discussed from a Japanese perspective.
First, Japan should further contribute to enhance stability in Asia. For the purpose of this, the U.S.-Japan alliance remains the best tool. It is agreed at the Joint Statement of the Security Consultative Committee on April 27, 2012, that the U.S.-Japan alliance "continues to provide deterrence and capabilities necessary for the defense of Japan and for the maintenance of peace, security and economic prosperity in the Asia-Pacific region".
There are many areas in which Japan should further enhance its efforts to strengthen the alliance. As the region of the Asia-Pacific shows more uncertainties and less stability with the changing balance of power, Japanese defense contribution should direct to create more stability. Firstly, Japan should revise its old-fashioned restraint upon the exercise of the right to collective self-defense. This restraint has been a symbol of not its peaceful constitution but of its unwillingness to contribute more to international security. But this is exceedingly sensitive issue for both Korean and Chinese people. The trilateral meeting among the U.S., Japan and the R.O.K. can be a useful framework where the U.S. officials and ministers could persuade to Korean counterparts on the necessity of asking Japanese government to do more for international security.
Then Japanese government would more easily modify this restraint. Domestic criticisms seem now much less than criticisms coming across the sea.
Secondly, it is more necessary than ever to integrate further the facilities, bases, personnel and strategy of two allies, the U.S. and Japan. As both allies face serious budgetary constraints, and also as both allies need more efficiency to plan and operate jointly, it would be a smart way to integrate U.S. and Japanese forces to the extent it is possible. This integration has been hitherto partly achieved, but largely deadlocked due mainly to the stalemate in the Futenma U.S. Marine Corp reallocation issue. The success in the Operation "Tomodachi" can be a good incentive to develop this effort.
This defense cooperation cannot be achieved without strong political base in Japanese administration. Confusions in Japanese politics has been one of the most virulent factor which has been stagnating Japan's defense efforts. However, the DPJ government has been bolder in defense issues than the previous LDP government. There are several examples such as the decision to send the SDF to Haiti after the earthquake in 2010, the new National Defense Program Guideline of 2010, the revision of the three principles on arms exports, among others. At the same time, Japanese government is now serious to enhance its commitments to maritime security in the Asia-Pacific.
However, more pressing "assignments" can be found in Japanese politics. The problem of weak political leadership in Japan is not mainly rooted in cultural or individualistic reasons, but it is more rooted in institutional reasons. Firstly, without either abolishing or largely weakening the upper house, the House of Councilors of Japanese Diet, any prime ministers will face similar sorts of leadership problem. No other democratic country has such a strong power in the upper house. Secondly, we need to establish Japanese National Security Council. This can help coordinate conflicting visions and interests of different Ministries. Each Ministry in Japanese administrative machine has more autonomy and power than that of other democratic countries. Prime Minister's Office is, on the other hand, much smaller in numbers of staffs and political power in comparison with American White House. Japanese prime minister does not have his or her chief of staff. It means that Japanese prime minister usually faces difficulty to think independently and communicate directly with his or her counterparts in Japan's important partner countries.
In short, Japan government should radically reform its political. For example, Japan has no national security strategy paper, nor political institution to produce it. Japanese prime minister is vulnerable not because of his or her lack of eligibility, but largely because of the fact that the upper house has exceeding power to veto any of prime ministers important decisions for the purpose of a next election.
Due largely to these political problems, it is difficult for any cabinet to radically reform Japan's security policy. Strong political base can help to create a strong security policy.
This stalemate is made, due largely to democratization of Japanese party politics in the last decade. Before it, the LDP prime ministers did not have to fear the possibility of being defeated by the opposition party. Any current prime ministers have to pay more attention to media and public opinion than before, if he or she wants to remain at the post. Japanese prime ministers are now more vulnerable to Japanese media, the opposition party, public opinion than ever. If democracy is good to Japanese people, we need to overcome these challenges.
If Japan can become more prosperous, more stable, and stronger in international society, other Asian countries might think that democracy, freedom, the rule of law and human rights can be friends to economic growth and national security.
4. An Introduction to The Global Forum of Japan
【 Objectives 】 As we embrace the 21st century, international relations are becoming increasingly interdependent, and globalization and regionalism are becoming the big waves. In this global tendency, communicating with the world, especially neighboring countries in the Asia-Pacific region at both governmental and non-governmental levels, is one of the indispensable conditions for Japan to survive. On the basis of such understanding, The Global Forum of Japan (GFJ) aims to promote the exchange of views on commonly shared interests and issues in the field ranging from politics and security to the economy, trade, finance, society and culture, and to help business leaders, Diet members and opinion leaders both in Japan and in their counterpart countries to discuss the formulation of new orders in global and regional arenas.
【Organization】 The Global Forum of Japan (GFJ) is a private, non-profit, non-partisan, and independent membership organization in Japan to engage in and promote international exchanges on policy-oriented matters of bilateral, regional and global implications. While the secretariat is housed in The Japan Forum on International Relations, GFJ itself is independent of any other organizations, including The Japan Forum on International Relations. Originally established as the Japanese component of The Quadrangular Forum at the initiative of HATTORI Ichiro, OKITA Saburo, TAKEYAMA Yasuo, and TOYODA Shoichiro in 1982, GFJ is currently headed by OKAWARA Yoshio as Chairman and ITO Kenichi as President. The membership is composed of 10 Business Leader Members including the two Governors, MOGI Yuzaburo and TOYODA Shoichiro; 25 Diet Members including the five Governors, ASAO Keiichiro, HATOYAMA Yukio, KOIKE Yuriko, SUEMATSU Yoshinori, and TANIGAKI Sadakazu; and 84 Opinion Leader Members including the three Governors, HIRABAYASHI Hiroshi, SHIMADA Haruo, and WATANABE Mayu. Friends and supporters of The Global Forum of Japan are organized into the Supporters' Club of the Global Forum of Japan. Financially the activities of GFJ have been supported by the annual membership fees paid by 11 leading Japanese corporations (Toyota Motor Corporation and Kikkoman Corporation contributing 5 shares each, and the other 9 corporations contributing 1 or 2 shares each) as well as by the grants provided by The Japan Foundation, Japan-ASEAN Exchange Projects, Japan-ASEAN Integration Fund, The Tokyo Club, The Japan-Korea Cultural Foundation, etc. KIKUCHI Yona serves as Acting Executive Secretary.
【History】 The 1982 Versailles Summit was widely seen as having exposed rifts within the Western alliance. Accordingly, there were expressed concerns that the summit meetings were becoming more and more stylized rituals and that Western solidarity was at risk. Within this context, it was realized that, to revitalize the summit meetings, there must be free and unfettered exchanges of private-sector views to be transmitted directly to the heads of the participating states. Accordingly, Japanese former Foreign Minister OKITA Saburo, U.S. Trade Representative William BROCK, E.C. Commission Vice President Etienne DAVIGNON, and Canadian Trade Minister Edward LUMLEY, as representatives of the private-sector in their respective countries, took the initiative in founding The Quadrangular Forum in Washington in September 1982. Since then, the end of the Cold War and the altered nature of the economic summits themselves had made it necessary for The Quadrangular Forum to metamorphose into The Global Forum established by the American and Japanese components of The Quadrangular Forum at the World Convention in Washington in October 1991. In line with its objectives as stated above, The Global Forum was intended as a facilitator of global consensus on the many post-Cold War issues facing the international community and reached out to open its discussions not only to participants from the quadrangular countries but also to participants from other parts of the world. Over the years, the gravity of The Global Forum's activities gradually shifted from its American component (housed in The Center for Strategic and International Studies) to its Japanese component (housed in The Japan Forum on International Relations), and, after the American component ceased to be operative, the Board of Trustees of the Japanese component resolved, on February 7, 1996, that it would thereafter act as an independent body for organizing bilateral dialogues with Japan as a hub for all countries in the world, and amended its by-laws accordingly. At the same time, The Global Forum's Japanese component was reorganized into The Global Forum of Japan (GFJ) in line with the principle that the organization be self-governing, self-financing, and independent of any other organization.
【Activities】Since the start of The Global Forum of Japan (GFJ) in 1982, GFJ has shifted its focus from the exchanges with the
| Month | Topic |
|---|---|
| September | Japan-U.S. Alliance at a New Stage: Toward a Provider of International |
| | Public Goodss |
| March | The Future of ASEAN Integration and Japan's Role |
| March | The Rise of Emerging Countries and the Future of Global Governance |
| February | The Asia-Pacific Region in Transition and the Japan-U.S.-China |
| | Relations |
| October | The Japan-China Relations at Crossroads |
| July | The Great East Japan Earthquake and Regional Cooperation on |
| | Disaster Management |
| February | The Japan-U.S. Relations in the Era of Smart Power |
| February | East Asia in Transition and New Perspectives on Regional |
| | Cooperation |
| September | East Asian Regional Architectures and Japan-India Relations Promoting Japan-U.S. Cooperation in Non-Traditional Security: the Case of Counter Piracy Promoting Japan-China Cooperation on Environmental Issues of the 21st Century: In Pursuit of Recycling Society Prospects of Changing Black Sea Area and Role of Japan |
| May | |
| February | |
| January | |
| September | Japan-ASEAN Cooperation amid the Financial and Economic Crisis Prospect of Japan-China Relationship in the Changing World US-Japan Relations Under the New Obama Administration |
| June | |
| April | |
| September | |
| July | |
| June | |
| January | |
Quadrangular countries for the purpose of contributing to the Western Summit, to those with neighboring countries in the Asia-Pacific region including the U.S., China, Korea, ASEAN countries, India, Australia, European countries, and Wider Black Sea area, for the purposes of deepening mutual understanding and contributing to the formation of international order. GFJ has been active in collaboration with international exchange organizations in those countries in organizing policy-oriented intellectual exchanges called "Dialogue." In order to secure a substantial number of Japanese participants in the "Dialogue," GFJ in principle holds these "Dialogues" in Tokyo. A listing of topics of "Dialogues" and its overseas co-sponsors in the last five years is given below.
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5. An Introduction to the Institute for National Strategic Studies, National Defense University
The mission of Institute for National Strategic Studies (INSS) is to conduct strategic studies for the
Secretary of Defense, Chairman of the Joint Chiefs of Staff, and the Unified Combatant Commands to support the national strategic components of the academic programs at National Defense University
(NDU) and to provide outreach to other US governmental agencies and to the broader national security community.
INSS includes the following Centers: Center for Strategic Research (CSR), Center for Technology and
National Security Policy (CTNSP), Center for Complex Operations (CCO), the Center for Strategic
Conferencing (CSC), the Conflict Records Research Center (CRRC), the Center for Transatlantic Security
Studies (CTSS), and the Center for the Study of Chinese Military Affairs (CSMA).
The military and civilian analysts and staff who comprise INSS and its subcomponents execute their mission by performing the following functions: research and analysis, publication, conferences, policy
support, and outreach.
[Contact]
Institute for National Strategic Studies
Lincoln Hall, Building 64
National Defense University
Ft. Lesley J. McNair
260 5th Avenue
Washington, DC 20319
(202) 685-2335
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6. An Introduction to the Japan Forum on International Relations
The Forum conducts a variety of activities hosting conferences, organizing research programs, and publishing research reports and policy recommendations, etc.
[History]
The Japan Forum on International Relations, Inc. (JFIR or The Forum) was founded on March 12, 1987 in Tokyo on the private initiative of Dr. OKITA Saburo, Mr. HATTORI Ichiro, Prof. ITO Kenichi, and 60 other independent citizens from business, academic, political, and media circles of Japan, recognizing that a policy-oriented research institution in the field of international affairs independent from the government was most urgently needed in Japan. On April 1, 2011, JFIR was reincorporated as a "public interest foundation" with the authorization granted by the Prime Minister in recognition of its achievements.
[Purpose]
The Forum is a private, non-profit, independent, and non-partisan organization dedicated to improved understanding of Japanese foreign policy and international relations. The Forum takes no institutional position on issues of foreign policy, though its members are encouraged not only to analyze but to propose alternatives on matters of foreign policy. Though the Forum helps its members to formulate policy recommendations on matters of public policy, the views expressed in such recommendations represent in no way those of the Forum as an institution and the responsibility for the contents of the recommendations is that of those members of the Forum who sign them alone.
[Organization]
JFIR is a membership organization with four categories of membership, namely, (1) corporate, (2) associate corporate, (3) individual and (4) associate individual. As for the organizational structure of JFIR, the "Board of Trustees" is the highest decision making body, which is in charge of electing the "Directors" and of supervising overall activities of JFIR, while the "Board of Directors" is an executive body, which is in charge of the management of day-to-day operations of JFIR.
[Activities]
In tandem with the core activities of the "Policy Council" in making policy recommendations, another important pillar of JFIR's activities is the BBS "Hyakka-Seiho" which means "Hundred Flowers in Full Bloom" (http://www.jfir.or.jp/cgi/m-bbs/). The BBS, which started on April 12, 2006, is open to the public, functioning as an interactive forum for discussions on foreign policy and international affairs. All articles posted on the BBS are sent through the bimonthly e-mail magazine "Meru-maga Nihon Kokusai Fōramu" in Japanese to about 10,000 readers in Japan. Furthermore, articles worth attention for foreigners are translated into English and posted on the English website of JFIR (http://www.jfir.or.jp/e/index.htm) as "JFIR Commentary." They are also introduced in the e-mail magazine "JFIR E-Letter" in English. "JFIR E-Letter" is delivered bimonthly to about 10,000 readers worldwide.
The Global Forum of Japan (GFJ)
17-12-1301, Akasaka 2-chome Minato-ku, Tokyo, 107-0052, Japan [Tel] +81-3-3584-2193 [Fax] +81-3-3505-4406 [E-mail] firstname.lastname@example.org [URL] http://www.gfj.jp/
|
COVID-19 Continuity of Operations Plan August 5, 2020
Overview/Introduction
Considering the current risk due to COVID-19, First Coast Technical College and St. Johns School District is committed to ensure the health and welfare of its staff and students, while also ensuring the continuity of First Coast Technical College's programs. FCTC has developed the following contingency plan, in compliance with CDC guidelines. The First Coast Technical College COVD-19 contingency plan is meant to be a fluid document which will be updated as new information and CDC, state and federal directives arise.
Who
This plan is intended to provide direction for administrators, faculty, staff and students to use to make necessary arrangements and control measures in their routine workplace operation and educational setting. It is also intended to provide insight for students and families as they contemplate returning to learn.
This plan was created by Chris Force, Principal, MS, Donna Gary-Donovan, Assistant Principal, MS, Charles Harper, Career Specialist, MS, Dan Talbert, Career Specialist, MS, Deonna Mullins, Career Specialist, BS, Melissa Kledzik, Director of Health Services SJCSD, Kyle Dresback, Associate Superintendent, Student Support Services, SJCSD and Dr. Brennan Asplen, Deputy Superintendent SJCSD.
Goals
2. Continue to provide exceptional, continuous workforce education
1. Assure First Coast Technical College's education family is safe and healthy
3. Focus on student-centered outcomes
5. Implement Florida Department of Education (FDOE) Reopening Plan
4. Ensure accurate and timely communication to First Coast Technical College's community
6. Commit to continued mitigation and detection efforts
7. Ensure coordinated response with local health officials and other organizations
Resources
As our collective understanding of COVID-19 has evolved, our national and state experts continually update their guidance. A great risk mitigation strategy is not a static document and should be continually revisited and revised, adhering to guidelines from CDC, state and local departments of health.
1. Key Resources from St. Johns. County School District
* District Reopening Plan- https://www.stjohns.k12.fl.us/reopening-plan/wpcontent/uploads/sites/151/2020/08/2020-2021-Return-to-SchoolInstructionalContinuityPlan.pdf
* Instructional Reopening Plan- https://www.stjohns.k12.fl.us/reopening-plan/wpcontent/uploads/sites/151/2020/07/A-Safe-and-Healthy-Return-to-Teaching-andLearning-Snapshot-7-24-20.pdf
2. Key Resources from FDOE
* Reopening Florida's Schools & CARES Act Plan: Reopening Plan
* FDOE's Emergency Response Resources: FDOE's COVID-19 Important Documents
* DOE Order No. 2020-EO-01: Emergency Order #1
* DOE Order No. 2020-EO-02: Emergency Order #2
3. CDC Guidance
* CDC IHE Guidance: CDC Guidance for Postsecondary Institutions
* Reopening Guidance for Cleaning and Disinfecting Public Spaces, Workplaces, Businesses, Schools, and Homes Guidance for Cleaning
* Governor DeSantis' Florida COVID-19 Resource Center is a one-stop gateway to Florida's experts in recovery and reopening.
4. State Guidance
* Safe. Smart. Step-by-Step. Plan for Florida's Recovery Task Force report.
* Florida Department of Health's (FDOH) COVID-19 resource page.
* The benchmarks for reopening in the Safe. Smart. Step-by-Step. Plan utilized the White House and CDC Guidelines for Opening America Again as a baseline. St. Johns County School District Instructional Plan for Return to School Plan https://www.stjohns.k12.fl.us/blog/instructional-models/:
* First Coast Technical College has included the CDC recommendation within our return to campus student and staff safety expectation. St Johns County School District COVID-19 return to campus safety plan https://www.stjohns.k12.fl.us/reopening-plan/wpcontent/uploads/sites/151/2020/07/A-Safe-and-Healthy-Return-to-Teaching-andLearning-Snapshot-7-24-20.pdfdelines are posted on our website FCTC.edu
Communications
Communication is paramount to effective response to a pandemic. As the status of COVID-19 continues to evolve, First Coast Technical College's Contingency Planning & Implementation Team is constantly reviewing and analyzing the situation. We will notify all faculty, staff and students with any updates and/or changes as they arise, via website and email notifications.
Notification Processes
To date, all communication regarding First Coast Technical College's COVID-19 Contingency Plan has been sent out electronically to all faculty, staff and students via email and posted within the Student/Faculty Portal.
In the event of a sudden campus closure or change in academic delivery method, all faculty, staff and students will be initially notified through our Emergency Notification System and follow-up guidance will be sent electronically via email, text notification, social media announcements.
Health & Safety Measures
Education programs are inherently designed for social interaction, not social distancing, so for all educational programs, cleaning, disinfecting and social distancing are essential. However, thorough, collaborative and multifaceted reopening and risk mitigation strategies are needed to implement healthy campuses and programs, while earning public confidence.
First Coast Technical College responds to the crisis proportionate to the scale of the crisis, and now intends to preserve in-person education to the extent possible and move to distance learning only when educationally beneficial or necessary under the guidance of local health professionals. St. Johns County School District health and safety plan for sanitation
Guidance for Reopening Healthy Learning Environments
Note: A framework for local planning can be created by establishing a crisis response team. The team can make local decisions about the considerations herein and beyond this document. College health professionals should coordinate with local health departments and medical experts to establish protocols for direct supports and communications. A crisis response team may include:
* School Leader(s)
* School Health Staff
* Mental Health Professional
* Instructional Content Leader
* Logistics Leader (facilities, food, cleaning, etc.)
* School IT or ICP Leader
* Teacher Leader(s)
* CTE Leader(s)
* Student Leaders(s)
* County Health Department Liaison
* County Emergency Operations Liaison
* Law Enforcement Liaison
* Local Doctor or Medical Expert
Step-by-Step Approach
Introduction
First Coast Technical College is committed to maintaining a safe and healthy learning and work environment for all students and employees. This plan outlines important protocols for the safe resumption of on-campus learning and day-to-day campus operations.
The framework for this plan was developed with input from the St. Johns County School Board and teachers, students, support staff and administration. Federal, state and local safety guidelines were also important considerations. The current reopening recommendation from the Florida Department of Education for Technical Colleges is included below.
This safety plan will be reviewed frequently and updated as needed based on current circumstances. As with other technical colleges, First Coast Technical College recognizes the immediate ability to allow limited and safely conducted CTE course-related work to occur. The approach below details a blended learning model due to COVID 19 and the impact on community safety. First Coast Technical College will have a blended learning reopening and in-person learning set to occur August 31, 2020, at the start of the new Academic Year.
This safety plan will be reviewed frequently and updated as needed based on current circumstances.
Infection Prevention Protocols
Hygiene Protocols
* If soap and water are not readily available, use an alcohol-based hand sanitizer with at least 60% alcohol (available throughout the school).
* Wash hands often with soap and water for at least 20 seconds.
* Cover coughs or sneezes with a tissue, then throw the tissue in the trash.
Mask Protocols
* Students and staff will be required to wear their mask in all common areas inside the building and classrooms when in the presence of others.
* All students will be given one reusable, washable cloth mask if needed; students are able to wear their own cloth masks.
* An instructor's policy is permitted to exceed CDC recommendations based on program job industry standards.
* Face shields are permitted.
* Personal masks must meet guidelines within return to campus plan.
* If a student has a medical condition preventing him/her from wearing a mask, a physician's note of release must be provided, and situations will be handled on a case-by-case basis.
Social Distancing Protocols
* Respect personal space and maintain a distance of at least 6 feet from other people whenever possible.
* Follow all directional signs (i.e., one-way stairwells and hallways).
* Eliminate physical contact with others, except where required to achieve program-based competencies.
* Eliminate face-to-face desk layouts where possible unless sufficient separation can be achieved.
* The number of students in multi-persons restrooms at one time will be limited to two with social distance expected at all times.
* Assigned seats in classrooms.
Daily Operational Protocols
Arrival and Dismissal
* Students should remain at least 6 feet apart while waiting in one of the two lines.
* All students will have their temperature taken at our single-point-of-entry before entering the college campus.
* Students will be required to show their student ID and must be wearing a mask or face covering to enter the college campus (NO mask = NO entry).
* Students must be in their program uniform (if applicable) when arriving on campus.
* In the event of a temperature check resulting in 100.4+ degrees, student will NOT be allowed into the college campus.
* Dismissal will be staggered by small groups of students.
Classrooms
* Mask shall be worn to protect the safety of others.
* Social distancing of 6 feet is expected at all times, except where absolutely necessary to complete curriculum specific activities (e.g., simulated clinicals).
* Students will be required to sanitize equipment and lab areas as needed.
* Students will be required to remain in their designated program/classroom lab spaces except for whole group breaks that may take place (with social distance maintained) outside the courtyard in the grassy areas around campus.
Academic Testing
* Students are required to have a mask on to enter the testing center.
* Social distancing of 6 feet using every other testing station is required.
* After each use, lab station will be properly sanitized.
* Appointments are required.
* Students will be required to sanitize hands upon entering and leaving the testing room.
Lunch/Café/Student Center
* The café will be open during lunch shifts with limited seating to accommodate social distancing.
* Our Culinary program will not serve food until at least September 15, 2020 or (date TBD).
* All students entering the Student Center are required to wear a mask and social distance.
* Outdoor seating will be available in designated areas.
* Student Center rules and procedures for serving food will be strictly enforced once service resumes.
* The staggering of lunch shifts will be strictly enforced.
Student and Career Services
* Student Services and Career Services will send for student appointments one at a time to limit the number of people in the building/office.
* Students will be required to make an appointment for all services.
* Students must wear masks in all office areas.
Cleaning and Disinfecting Protocols
* All current school district cleaning and sanitization procedures will be followed by our custodial team; thorough procedures are communicated weekly with our Building Supervisor. https://fctc.edu/policies/health-and-safety-plan/
* Enhanced air conditioning filtration - MERV 9 filter installation (district policy and installation).
* Instructors will develop additional procedures for proper daily sanitization of specific equipment and materials in collaboration with custodial staff.
* Should a known case of COVID-19 occur on the premises, the School District's procedure for decontamination and enhanced cleaning of impacted areas will be followed based on the specific situation.
Positive COVID-19 Cases
If you or someone you have been in close contact with test positive for COVID-19, you should stay home and contact your instructor who will inform school administration. Current school district policy and procedures for contact tracing and case-specific next steps to protect and ensure the safety of others will be followed and impacted parties will be informed and call the Department of Health Services for guidance.
First Coast Technical College will maintain an adequate supply of materials to undertake those emergency protective measures, including cloth face coverings, supplies for cleaning and disinfecting, hand sanitizer, disinfectant wipes and spray and other personal protective equipment (PPE).
First Coast Technical College's medically vulnerable faculty and staff will work with their doctors to create a return to work plan. Whenever feasible for medically vulnerable staff, steps will be taken to minimize the number of people they interact with, First Coast Technical College will consider flexible leave policies. The same guidelines apply for students and staff who live with medically vulnerable family members (parents, grandparents, caregivers, etc.). FCTC will follow the negotiated agreement of instructional and non-instructional staff included.
Promote Risk Reduction Through a Great Culture of Teaching
All types of educational programs have a trusted and persisting role in educating and guiding how millions of Floridians, young and old, embrace their personal efforts to reduce risks for all Floridians. First Coast
Technical College aims to promote risk reduction by means calling the St. Johns County Department of Health Services.
First Coast Technical College will commit to:
* Encouraging visible signals of health and safety from the moment students and staff arrive on campus, or at a program, with physical guides, barriers and alerts that help everyone learn and know how to act safely.
* Encouraging the use of outside and unconventional spaces with significant options for social distancing for learning and extracurricular activities. When on campus, to the extent possible, will consider moving staff meetings and student assemblies to more open spaces or utilize virtual tools. The first priority should always be facilitating in-person course needs, so extra convenings should leverage alternative means to convene.
* Practicing social distancing whenever feasible, as the virus is most transmissible indoors under close, sustained contact.
* Encouraging all students, faculty and staff to frequently wash hands with soap and water for at least 20 seconds or use hand sanitizer with at least a 60 percent alcohol if soap and water are not available. In addition, it will recommend that all: 1) avoid touching eyes, nose and mouth, 2) cover cough or sneeze with elbow or a tissue and dispose of the tissue, 3) clean and disinfect frequently touched items and surfaces as much as possible. If anyone feels sick, they will be encouraged to stay home. If students or staff become sick, ensure there is comprehensive school health protocol in place.
* Encouraging all that if they believe themselves infected with COVID-19, to immediately contact their health care provider.
* Encouraging all who are older than 65 or have a serious medical condition to avoid large crowds and encourage all employees who feel sick to stay home and monitor all with COVID-19 symptoms.
* Consulting with the county health department regarding procedures for contact tracing following a positive COVID-19 test by an employee, student or those who have come into contact with an individual testing positive for COVID-19.
Academic and Student Affairs
The health, safety and well-being of First Coast Technical College's students, faculty and staff has our utmost priority. As the current status of COVID-19 evolves, we are continuing to follow the recommendations from the Centers for Disease Control and Prevention (CDC), Florida Department of Health (FDOH), Florida Department of Education (FDOE) and our regulatory bodies. In attempts to keep our current students academically on track and progressing throughout their program as planned we are implemented hybrid models of instruction along with the face-to-face traditional models for most program area.
| PROGRAM | MODALITY |
|---|---|
| Ag-Science | Hybrid model of instruction while on campus in small groups; masks required while in classroom. Masks not required while in the |
field outside, while maintaining social
| Automotive Service Tech 1 & 2 | Hybrid instructional model on campus in small groups; masks required while in classroom. Masks not required while working outside in shop area, if 6 feet social distancing is able to be maintained. |
|---|---|
| Cosmetology, Nails & Facials | Hybrid - campus in small groups; hybrid instructional model. Masks required while working classrooms and salon |
| Dental Assisting | On campus socially distanced; hybrid instructional model. Masks required while in classroom, lab area and limited access to partner sites. |
| Diesel Technology 1 & 2 | On campus socially distanced; hybrid instructional model. Masks required while in classroom; not required while working outside while maintaining social distancing guidelines. |
| EMT and Paramedic | On campus socially distanced; hybrid instructional model and small groups for clinicals; partners will allow students to ride at this time; masks required while in classroom. |
| Fire Fighter/EMT Combo | On campus, hybrid instructional model. Masks required inside and outside, if social distancing is unable to be met. |
| Heating, Ventilation, Air Conditioning/Refrigeration 1 and 2 | On campus socially distanced; hybrid instructional model. Masks required while in classroom; not required while working outside on AC units maintaining social distancing. |
| Medical Assisting | Hybrid instructional model. On campus in small groups; masks required if unable to social distance |
| Practical Nursing Full time | Hybrid instructional model. On-campus in small groups with masks required. Limited access to partner sites. |
| Practical Nursing Part-time | Hybrid instructional model. Online and on campus in small groups; masks required; limited access to partner sites |
| Professional Culinary Arts and Hospitality | Hybrid instructional model. On campus socially distanced; hybrid masks required while in classroom and kitchen |
All current and active student cohorts will be keeping class sizes reasonable and on-campus traffic at a minimum. Due to our small class sizes, we are confident we can remain serving our students with minimal disruptions.
See our health screening plan for campus visitors and procedure to enter campus. Teachers will also be assisting in the screening process of their students. General program hours are 8:00 am until 3:30 pm, Monday through Thursday and Fridays are for remote instruction, teacher planning and deep cleaning.
Program Advisory Committees and Clinical Stakeholders
The fall committee meetings will be held in small groups, using social distancing and requiring masks. If COE allows, we will conduct the meeting virtually.
Online Instruction/Remote Learning
First Coast Technical College has implemented hybrid instruction utilizing Teams and most recently has purchased the full version of Canvas through the Canvas Consortium and FACTE. Two Canvas managers have been selected from the staff at First Coast Technical College to spearhead the implementation. In addition, for the online portions of those programs designated hybrid OR if it is necessary to go to an online format, instructors will be able to carry out live classes for remote learning as well as asynchronous classes using Canvas. Canvas is accessible through multiple devices including desktop computers, laptops, tablets and mobile phones. When possible, implementation and guidance is reviewed with students in the classroom prior to enacting emergency virtual learning provisions. Guidance is also distributed to students electronically and will be available via email and on could be placed into the student portal. Students are expected to conference into the class during the scheduled instructional time. Attendance will be tracked via Canvas or other available tools.
Academic Management Practices for Remote Learning
Attendance: (Career Specialist, Assistant Principal and Principal)
To develop appropriate work ethics, Frist Coast Technical College students are expected to attend all class sessions whether online or on campus. As is expected in the workplace, when it is necessary to be absent due to illness or emergency situations, students are to notify the faculty member on or before the date of absence. The student attendance policy for each postsecondary program is consistent with industry standards.
A student who is absent for six (6) consecutive class sessions will be withdrawn from enrollment in his/her program. A student withdrawn for absenteeism must petition administration to return. A student having medical documentation or documentation of an extenuating circumstance does not need to petition to return. Students exhibiting a pattern of consecutive absences less than six days will be subject to dismissal as determined by School.
Students in non-licensure programs must have achieved a minimum of 80% attendance at the end of each program. Students not having met this requirement will follow First Coast Technical College's attendance procedures included in the Student Handbook. Students will participate within the process of developing a pro-social action plan and sign an acknowledgement that they have been notified that continued absences will pose a threat to grades and program enrollment.
If the student's attendance does not improve, the student will meet with the Career Specialist and if necessary, will be reviewed by the Attendance Review Committee. School Student Advisors work with the student to attempt to alleviate issues resulting in excessive absences and to counsel the student of possible alternatives and consequences. Students who miss more than 20% of their program will not be allowed to re-enroll the next semester and must wait until the following enrollment period to re-register unless the student's appeal to the Principal, has been approved. Only regularly scheduled class hours will be reported for attendance.
Licensure program attendance policies are more rigid due to licensure requirements. See the individual program student contract for specifics.
|
Policy Issues concerning
Consumer Protection
and
Newly Built Homes in Ontario - Buyer Beware
July 12, 2021
This is a living document. It will be updated from time to time.
Questions/comments? We will welcome them. Please contact CPBH by email email@example.com
Founded in 2004, Canadians for Properly Built Homes (CPBH) is an independent, national, not for profit corporation dedicated to healthy, safe, durable, energy efficient residential housing for Canadians, and is the only organization of its kind in Canada. Working for consumer awareness and protection, CPBH is run by a volunteer Board of Directors and is supported by a volunteer Advisory Council of industry experts and other key stakeholders. CPBH earned "partner" status with the Canadian Consumer Information Gateway (Industry Canada).
Website: www.canadiansforproperlybuilthomes.com
Facebook: https://www.facebook.com/pages/Canadians-for-Properly-Built-Homes/1613240682226191
Twitter: @cpbh01 Instagram: cpbh01
Contents
Context
In Canada, consumer protection is primarily the responsibility of the provinces and territories. This report is focused on newly built home policies in relation to consumer protection in Ontario. The purchase of a home is the largest purchase most people make.
It is well-recognized by many that there are serious consumer protection issues in Canada generally.
"…There has been a decline in consumer advocacy since the 1980s in Canada, not because the issues are no longer important, not because there are not people to fight the fight. But largely, I believe, because funding for your work has been on a steady decline…."
◼ Senator Ringuette, Keynote Speech, Consumer 150 Conference, 2017
https://www.piac.ca/wp-content/uploads/2017/10/Senator-Ringuette-Keynote-EN.pdf
Regarding consumer protection in Ontario, a recent Auditor General of Ontario report highlighted numerous problems with consumer protection as well.
"Ontario needs better oversight of consumer issues, from condos and coffins to cannabis, auditor general says" -- Toronto Star, Dec. 7, 2020
https://www.thestar.com/politics/provincial/2020/12/07/ontario-needs-better-consumeroversight-on-everything-from-condos-and-coffins-to-cannabis-auditor-general-says.html
Housing Policy Issues in Ontario
Policy Issue 1: The need for definitions related to Ontario's newly built homes
Various terms are bandied about by Ministers and ministry officials when discussing homes, including "quality homes", "better built homes", "properly built homes", "defects", etc. But no one in the Ontario Government has been able to explain what these terms mean.
Refer to this document for information concerning this issue of definitions/explanations: http://canadiansforproperlybuilthomes.com/wp-content/uploads/2021/02/Feb.-12-2021-FinalCPBH-response-to-ON-New-Home-Construction-Licensing-Act-2017-Proposed-Code-of-Ethicsand-Discipline-Committee-and-Appeals-Committee.pdf
Prepared by
Policy Issue 2: The need for legislation for transparency & accountability re Administrative Authority Oversight Fees
A number of the Administrative Authorities (AA) in Ontario relate to newly built homes. The Auditor General of Ontario's recent audits of some AAs, such as Tarion, TSSA and ESA, have highlighted many serious issues in these housing-related AAs. But the Ontario Government (MGCS) has been receiving millions of dollars annually in mandatory payments from AAs for "oversight" since 2009. What has happened to all of the mandatory oversight fees? CPBH has presented to ON Government Committees related to this issue multiple times. Refer to #2 here at this link for CPBH's presentation to a Government Committee in 2019:
http://canadiansforproperlybuilthomes.com/wp-content/uploads/2019/08/Jan.-2019-PreBudget-ideas-standing-committee.pdf
Here is a response from MPP Fedeli to CPBH's Committee presentation about the lack of transparency regarding these AA fees: "that's not unusual when they are trying to hide something" (Hansard, Jan. 17, 2018).
In 2015, former PC MGCS Critic MPP Pettapiece asked a question of the MGCS Minister about where these fees paid by Tarion were going but received a vague response. Also in 2015, former NDP Critic Jagmeet Singh requested that the Ombudsman of Ontario get to the bottom of this, but after MPP Singh's departure from the ON NDP, this request fell between the cracks. The Ombudsman of Ontario has refused to provide any information to CPBH about this.
At the new AA, the Home Construction Regulatory Authority's (HCRA) Interim CEO advised in Jan. 2021 that HCRA would be paying in the "range of hundreds of thousands of dollars" to MGCS for oversight fees. He further noted that Tarion would continue to pay these fees as well. In 2020, Tarion paid $499,000 as per Tarion's financial statements – up from $378,000 in 2019 and $266,000 in 2018.
Approximately 15 AAs are paying these mandatory oversight fees annually. Some refer to this as the ON Government's "cash cow". Some call this a "slush fund". It's important to get to the bottom of where these funds are going.
Policy Issue 3: The need for legislation to ensure that the OBC is enforced by municipalities during construction, including responsibilities concerning radon
The lack of enforcement of the Ontario Building Code during construction has been a well-recognized serious problem for decades now. A myriad of reasons has been cited from building booms to the lack of available qualified inspectors, etc., for over 20 years now. CPBH prepared a 107 page report at the request of then-PC Critic Ernie Hardeman which is still relevant today. He responded:
"..Thank you for providing me with your report regarding the lack of enforcement of the Ontario Building Code during construction. It was extremely well done and I appreciate you taking the time to put it together. I agree that we need to look at ways to add more accountability into the system..."
– email from PC MMAH Critic Ernie Hardeman, Nov. 10, 2017
If you would like a copy of this report, please let us know.
Radon: Radon is the second leading cause of lung cancer in Canada, killing more than 3,000 people every year. Issues have been raised about municipalities in ON not carrying out their responsibilities related to radon properly. As an example, here is a link to an Open Letter to the
Prepared by
City of Ottawa that contains considerable information on this subject, including a legal opinion that was provided to all municipalities in ON. http://canadiansforproperlybuilthomes.com/wpcontent/uploads/2021/02/Feb.-6-2021-Ottawa-City-Council-Open-Letter.pdf
An investigative report published in the Toronto Star on May 2, 2021 found that "….with new buildings posing the highest risks of elevated radon levels, the number of Canadians facing potential exposure is growing. The prevalence of deadly radon gas is rising across Canada as lax building codes allow dangerously high levels to be trapped inside newly built homes.…Modern construction methods have created the unintended consequence of trapping the gas inside….".
https://www.thestar.com/news/investigations/2021/05/02/the-invisible-threat-inside-yourhome-dangerous-levels-of-radon-gas-are-being-found-in-more-houses-across-canada-thanever-before.html
Note that measures to protect people against radon are inexpensive and straightforward during construction. They are less so after construction.
Policy Issue 4 – The need for adequate oversight to get HCRA performing properly – it's off to a very poor start
There are numerous serious issues already plaguing HCRA. CPBH provided feedback to HCRA's CEO and Board Chair on its business plan in an Open Letter that captured the most serious issues. Here is a link to the Open Letter. http://canadiansforproperlybuilthomes.com/wpcontent/uploads/2021/05/May-13-2021-HCRA-re-Business-Plan-Open-Letter.pdf
Sadly, and unacceptably, HCRA didn't show any sense of urgency about these issues when the CEO/Registrar responded to our Open Letter. Appendix 2 provides the response received.
Some say that HCRA and Tarion have made a mockery of the path to a fair regime for home construction regulation and consumer protection as laid out by Justice Cunningham in his 2016 Tarion Review. https://www.ontario.ca/document/final-report-review-ontario-new-homewarranties-plan-act-and-tarion-warranty-corporation
It's important to remember that both HCRA and Tarion are supposed to be "consumer protection organizations". The Ministry of Government and Consumer Services receives mandatory oversight fees from AAs, but clearly there are issues with this oversight as mentioned in #2 above.
Policy Issue 5 – The need for legislation to end the practice of used/damaged furnaces being sold in newly built homes
Within this document
http://canadiansforproperlybuilthomes.com/wp-content/uploads/2021/02/Feb.-12-2021-FinalCPBH-response-to-ON-New-Home-Construction-Licensing-Act-2017-Proposed-Code-of-Ethicsand-Discipline-Committee-and-Appeals-Committee.pdf there is a significant section concerning used/damaged furnaces being sold in some newly built homes, without disclosure to the unsuspecting purchasers. CPBH's position is that this practice must be banned. Builders have alternate sources of heat during construction, at minimal cost to builders. It appears that a key issue is a convenience factor for builders. Builders' convenience must never trump consumer protection.
Since submitting that document to the Ontario Government on Feb. 12, 2021, CPBH received a legal opinion that the Ontario Government is allowing builders to break the law when it comes to furnaces in newly built homes. Here is the link to the legal opinion:
http://canadiansforproperlybuilthomes.com/wp-content/uploads/2021/03/Feb.-28-2021Moher-Legal-Letter-of-Opinion-re-Consumer-Protection-Act.pdf
Former Minister Thompson responded in a letter dated Apr. 16, 2021 saying that the Consumer Protection Act, 2002, does not cover all consumer transactions – seeming to suggest that this issue of builders secretly selling used furnaces is not covered by the Consumer Protection Act. Lawyer Brian Moher responded by pointing out R. v. K-Tech Building Systems Inc., 2012 ONCJ 219 CanLii which addressed that a person may be charged under both Acts – the Consumer Protection Act and the Ontario New Home Warranties Plan Act.
http://canadiansforproperlybuilthomes.com/wp-content/uploads/2021/04/R.-v.-K-TechBuilding-Systems-Inc.-2012-ONCJ-219-CanLII-paras-114-115-and-149.pdf
Therefore, we wrote again to Minister Thompson and Deputy Minister Hughes about this on Apr. 23, 2021, and also requested that they explain why their ministry decided to investigate/charge this company and the owner in R. v. K-Tech Building Systems Inc., 2012, but MGCS has not done this for many other consumers who have written to MGCS over the years (and some many times) related to their newly built homes. This remained unanswered by Minister Thompson and Deputy Minister Hughes, who both have now since left these positions in MGCS.
Policy Issue 6 – The need for legislation to end Tarion's monopoly and introduce a multi-warranty model
Page | 8 While Tarion claims that it is moving forward in making changes related to the Auditor General's recommendations, many homeowners continue to complain about how Tarion is treating them, e.g., denied claims, slow response times, etc. CPBH's position continues to be that Tarion is beyond repair. Here is a link to our response to the Auditor General's report:
http://canadiansforproperlybuilthomes.com/wp-content/uploads/2019/11/11-319FinalCPBHstatement-AGofONaudit-Tarion.pdf
Indeed, regular feedback from Ontarians continuing to fight with Tarion indicates that these deep cultural problems within Tarion continue.
Tarion's 2020 financial statements also provide evidence of the continued serious problems. For example, once again, Tarion paid more in salaries and benefits than it paid out in homeowners' claims. Investments and equity now total $974,922,000, which is almost $52 million more than in 2019. Why is the Ford Government continuing to allow Tarion to accumulate this excessive wealth, while it denies homeowners' claims? Further, Tarion continues to limit the maximum payout to $300,000, while average home prices in different parts of Ontario exceed $1 million.
The Tarion Ombuds office has also finally released a report related to an evaluation of its office conducted by an external evaluator. Shockingly, the evaluator couldn't complete the assessment as planned, as homeowners wouldn't participate in this review. CPBH has been hearing for years from many of Ontario's homeowners that they do not have confidence in that Ombuds office – and this refusal by Ontario's homeowners appears to be further evidence of this. More than 1,000 homeowners complained to the Ombuds office about Tarion over a twoyear period – why would they not participate in this external review? Here is a link to CPBH's Open Letter to the Tarion board chair about that botched evaluation: http://canadiansforproperlybuilthomes.com/wp-content/uploads/2021/07/July-6-2021-final-
Tarion-Board-Chair-re-botched-evaluation.pdf
The PCs supported ending Tarion's monopoly while in Opposition. But then, once in power, they started talking about further consultations – and then they tried to justify not ending the monopoly based on these consultations. But they refused to release the results of their consultations. Watch this little video that explains what happened when CPBH finally received the results of those consultations via Freedom of Information requests: https://www.youtube.com/watch?v=qZH8nVbPKxE
In response to our request that Premier Ford and Min. Thompson explain this to Ontarians, we received a response from Min. Thompson – her story changed from "extensive consultations" to a "feasibility assessment" which they refuse to reveal, even via Freedom of Information. Here is a short video about that: https://www.youtube.com/watch?v=NYJ9mxu-fjs
CPBH's position is that Justice Cunningham's recommendation to end Tarion's monopoly and introduce a multi-warranty provider system in Ontario is the best option. No system is perfect – but a multi-warranty provider system is the best option.
Policy Issue 7 – The need for legislation to replace the LAT for appeals of Tarion decisions
CPBH has been conducting an annual analysis of outcomes of decisions for homeowners who have taken their appeals to the LAT since 2006. Overall, homeowners have lost approximately 85% of the time. In 2019, homeowners lost 100% of the time. Various reasons have been cited including an unfair playing field, operational problems at the LAT, most homeowners are selfrepresented while Tarion is always represented, etc. In recent years, most homeowners will not take their cases to the LAT as is evidenced by this graph:
Here is a link with our 2020 report:
http://canadiansforproperlybuilthomes.com/wp-content/uploads/2021/06/2020-LicenceAppeal-Tribunal-Analysis-2.pdf
Here is a link with a special report we prepared in 2017 at the request of former Attorney General Naqvi. These issues are all still relevant:
http://canadiansforproperlybuilthomes.com/wp-content/uploads/2019/08/Sept.-12-2017CPBH-Final-report-for-AG-Naqvi-re-LAT-process-issues.pdf
Policy Issue 8 – The need to pass and implement adequate consumer protection legislation related to private home inspections
The private home inspection industry in Ontario has been in turmoil for decades. There continues to be a lack of qualified private home inspectors, which is a serious consumer protection issue. CPBH encourages purchasers of newly built homes to hire their own private inspector to inspect during construction, given the ongoing problems of new home construction often not meeting the minimal Ontario Building Code. CPBH has considerable information about private home inspections on our website:
http://canadiansforproperlybuilthomes.com/what-weve-learned/home-inspections/
In 2017, the Wynne Government passed "The Putting Consumers First Act", which included private home inspection. But the Ford Government has been letting this legislation gather dust. Finally, after many inquiries, CPBH received a letter from Minister Thompson dated Feb. 1, 2021 that said:
"…While the Home Inspection Act, 2017 was passed on April 13, 2017, it is not yet in force. My ministry is reviewing public and industry consultation feedback to determine an approach that will address their concerns. It is important that we get this right for consumers and businesses…".
Some wonder what "businesses" Minister Thompson is concerned about. Home inspection businesses? Builder businesses? It's important to remember that this is coming from the Minister responsible for consumer protection.
Rumours have been swirling since 2018 that the Ford Government has conducted "secret" consultations regarding this legislation. We have raised this issue with Minister Thompson of alleged secret consultations, but she has not responded. CPBH has requested to be allowed to participate in these consultations, but we have not had a response to this request either.
Meanwhile, various industry sources have alleged that the private home inspection industry has declined 40-50% since the Ford Government took power. We have asked Minister Thompson
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P.O. Box 11032, Station "H", Ottawa ON K2H 8Z0 Canada about this alleged significant industry decline, but she has not yet answered about that. We have heard from some consumers that they could not find a qualified home inspector.
Here is a link with CPBH's 2017 deputation regarding Bill 59 for further information:
http://canadiansforproperlybuilthomes.com/wp-content/uploads/2019/08/Feb.-23-2017-FinalCPBH-Deputation-re-Bill-59-Home-Inspection.pdf
Conclusion:
The purchase of a home/condo is the largest purchase most people make. Unfortunately, there are numerous serious issues plaguing the new home construction market as discussed in this report. Further, consumer protection is very weak, and the Ford Government appears to be more interested in catering to the development industry than protecting consumers.
People considering purchasing a newly built home/condo should carefully consider the information in this report before proceeding. We encourage you to read the information at the links, and watch the videos.
While there are good builders in Ontario, there are far too many poor and marginal builders, and purchasers have no reliable, objective means of knowing who the good builders are. It could be you, your child, your parents, your friends next who have their lives turned upside down simply because they purchased a newly built home.
CPBH does not hear from people who are satisfied with their newly built home/condo. Obviously some are happy with their purchase. The people we hear from are typically in deep trouble just because they purchased a newly built home/condo from a Tarion/HCRA-approved builder.
Buyer beware.
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Appendix 1 – Feb. 11, 2021 Article in The Lawyer's Daily
The Lawyer's Daily | 111 Gordon Baker Road, Suite 900 | Toronto, ON M2H 3R1 | www.thelawyersdaily.ca
Real Estate
Consumer group concerned about effectiveness of new home construction regulator
By John Schofield
(February 11, 2021, 9:36 AM EST) -- A consumer protection organization for new homebuyers is warning that Ontario's recently launched Home Construction Regulatory Authority (HCRA) is already making some of the same mistakes as its predecessor agency, Tarion, which was criticized by the province's auditor general in 2019 for favouring homebuilders over buyers. "HCRA has recently provided lofty statements, e.g., 'effective engagement' and 'regulatory excellence' and 'building trust,' but it is off to a very poor start," Karen Somerville, president of the Ottawa-based Canadians for Properly Built Homes (CPBH) said in an e-mail to The Lawyer's Daily.
The Toronto-based HCRA officially began its mandate on Feb. 1 as the agency overseeing licensing and regulatory compliance for new homebuilders and vendors. Tarion will continue to administer the new home warranty program. A 2016 independent review conducted by former Superior Court associate chief justice J. Douglas Cunningham recommended that Tarion's warranty and regulatory functions be split. "Today's launch of the HCRA is another great example of our commitment to strengthening consumer protection for our province," Government and Consumer Services Minister Lisa Thompson said in a Feb. 1 news release. "The HCRA will ensure that new homebuilders and vendors are held to professional standards and that all buyers and owners of new homes are well-informed and feel confident that their homes have been built properly." But, like Tarion, the HCRA board does not include anyone with a background in consumer advocacy, said Somerville. Instead, it is made up of former high-ranking bureaucrats, a corporate executive and the president of a home construction firm. She also claimed that the information in the HCRA's public directory of builders remains unreliable, as it was under Tarion, and she expressed concern about HCRA's lack of transparency. In public webinars in January, she said, HCRA representatives did not respond to some questions and the regulator has not answered CPBH's repeated requests for information on how many former Tarion employees have been hired by HCRA. Somerville
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said she is concerned that HCRA is not fully independent of Tarion. "Some say," she added, "that HCRA and Tarion have made a mockery of the path to a fair regime for home construction regulation and consumer protection as laid out by Justice Cunningham in his 2016 Tarion review."
Edward Lynde, an associate with Toronto-based construction law firm McLauchlin & Associates and a member of the Ontario Bar Association's construction and infrastructure law section, said that legislation has equipped HCRA with a broad mandate and stronger regulatory and enforcement powers than Tarion — but its effectiveness will depend on how well those powers are put into action. "Tarion just wasn't working and it was failing homeowners," he told The Lawyer's Daily. "So here we are in 2021 with the HCRA. "They're saying all the right things, and it all relates to creating a consumer-based model that leads to confidence in the marketplace with respect to residential builds," he added.
"That being said, just like anything when there's a seismic and large-scale change, let's see how it actually gets implemented on a practical level. And it's anyone's guess frankly." Lynde said the accuracy of the builders' directory will be one key to restoring consumer confidence. He noted that it will include information such as the name of the licensee, number of homes built, a 10-year history, licensing conditions, offences if charged, offences if guilty and orders made by HCRA's discipline committee. "Residential construction has been a bit of a wild west," he said. "There are some fantastic residential builders, but there are some poor ones, too, and it's really hard for the marketplace to understand the difference. "Hopefully this works," he added. "Conceptually, it appears to be structured the right way. But will the investigations actually be done properly and will complaints be dealt with appropriately? It's one thing to say it. It's another to actually do it."
The HCRA's interim CEO, Tim Hadwen, a lawyer and former assistant deputy minister of education labour relations in the Ministry of Education, said the regulator will set licensing standards for conduct, competence and financial responsibility. It will go beyond Tarion, in part, he said, by establishing for the first time a code of ethics, a discipline committee for violations of the code and an appeals committee. As part of its more effective licensing process, he noted, HCRA has introduced a mandatory criminal record and judicial matters check and an attestation about the presence of interested persons (in addition to principals, directors and officers) who have a material influence over the company's decision making. The government is conducting public consultations on the proposed code of conduct, and Hadwen said he expects it to be put in place by the end of the year. The regulator will address consumer complaints through an "accessible and streamlined" complaints process, he said, and will have a broader range of regulatory tools, including the power to set conditions on licences, to revoke and suspend licences, to issue compliance orders, to issue warnings, to require education courses and, in the future, the ability to impose fines and administrative penalties. "The overall package of developments, both legislative, regulatory and from a policy point of view," he told The Lawyer's Daily, "really strengthens the approach to licensing and compliance and does enhance consumer protection for new home buyers in Ontario."
Hadwen said the HCRA intends to do more to maintain consistency across the sector by curtailing unethical and illegal builders and fostering a safer, fairer and more informed marketplace. To that end, it will also focus on consumer education, providing practical information to consumers to help them make informed decisions. The construction and real estate bars could potentially be more involved in helping builders and homebuyers move through the regulator's expanded processes, he said. There may also be a need to help vendors and purchasers with certain disclosures, which will remain unchanged for now but could be updated in the future. One of the regulator's immediate priorities is to ensure a smooth
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P.O. Box 11032, Station "H", Ottawa ON K2H 8Z0 Canada transition from Tarion, said Hadwen. To facilitate that, all valid Tarion licences will automatically become HCRA licences and the time for filing renewals has been extended for a transitional period of 150 days. The HCRA was originally designated under the New Home Construction Licensing Act, 2017 . The Rebuilding Consumer Confidence Act, 2020 , passed in July 2020, is also intended to protect consumers and promote higher quality home construction.
If you have any information, story ideas or news tips for The Lawyer's Daily please contact John Schofield at firstname.lastname@example.org or call 905-415-5891.
© 2021, The Lawyer's Daily. All rights reserved
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Appendix 2 Response from HCRA CEO and Registrar to CPBH's feedback on HCRA's 2021-22 Business Plan
Email dated June 2, 2021 "Dear Dr. Somerville,
Thank you for sharing your "Open Letter" regarding the HCRA's 2021-22 Business Plan. We appreciate your engagement and continued interest in the Home Construction Regulatory Authority (HCRA).
As an organization still in its early stages, having launched in February 2021, it's important to note that this business plan is only one year in scope. Going forward, the HCRA will undertake a strategic planning process that will build on the HCRA's early work. As noted in the business plan, the HCRA is committed to involving its stakeholders in this process and we are grateful for the "Open Letter" from Canadians for Properly Built Homes (CPBH). Your extensive feedback will be useful in informing this future exercise. Thank you for taking the time to provide such depth of input.
As you know, the HCRA is a new, independent regulatory authority responsible for licensing home builders and vendors. Where Tarion previously had two jobs – as both regulator and warranty manager – the HCRA has a single focus on licensing. This enables the HCRA to foster improvement in the conduct and competency of builders and increase consumer confidence while also ensuring a fair marketplace.
Many of the comments in the "Open Letter" refer to the HCRA Board of Directors. For clarity, I want to take the opportunity to remind CPBH that the HCRA's board oversight model is set out in the Administrative Agreement that is publicly available on the HCRA website. I encourage you to review this document, as it is the key oversight tool for the HCRA and the Minister of Government and Consumer Services. Within the Administrative Agreement, is a requirement for a competency-based board governance framework. As such, the HCRA board must have members with experience in consumer advocacy, regulatory oversight, and residential construction. The board, like the HCRA, is independent and separate from Tarion – none of the HCRA's board members also serve on the Tarion board.
Dr. Somerville, I was pleased to meet directly with you and Canadians for Properly Built Homes on May 4 th and was encouraged by the level of engagement and interest your organization has in consumer protection, not just here in Ontario, but across the country. I appreciated the
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P.O. Box 11032, Station "H", Ottawa ON K2H 8Z0 Canada opportunity to discuss all of the issues that you enumerated in your "Open Letter" and look forward to the continued dialogue about how all of the parties working to protect new home buyers in this province can work together to achieve stronger protection for consumers.
Sincerely,
Wendy Moir Acheson CEO and Registrar, HCRA
CC: Virginia West – Chair, HCRA Board of Directors"
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THE THRILL OF SIMPLICITY, THE AGONY OF REALISM: AN ASSESSMENT OF THE SPORT OF UTILITY THEORY
Robert Stretcher, Hampton University
ABSTRACT
This paper develops a pedagogical exposition of utility theory from its roots in classical theory to its newer forms. The theme of the exposition is that, in its simplest form, utility theory provides precise solutions to standardized behavioral traits of self-interest, but in its more realistic forms, real world complication can oppose the conclusions of the simple model. A possible framework for organization of the various utility theory extensions is presented. The world of utility theory is assessed in terms of Stigler's acceptance criteria, and conclusions are drawn about the usefulness and direction of utility theory.
INTRODUCTION
A framework for analysis of the choices made by individuals is a necessity for theorists who wish to understand a population of individuals and their behavior. The way to form an effective framework is to specify a model of reality based on a set of axioms that govern the population's behavior. The postulates that form the foundation for utility theory precisely characterize a simple form of 'rational' behavior. This set of conditions forms the analytical framework with which general statements can be formulated explaining choices ultimately made in the marketplace.
In an ongoing effort to better describe the choices made in various areas of economic activity, new assertions regarding, specifically, the over-simplicity of the basic theory of utility, and generally, of maximizing behavior, have appeared in much the same way that Keynes' revolutionary macroeconomic challenge occurred in the 1930's. In essence, Keynes observed that many real-world choices were made which were logical in their construction or apparent from observation, yet did not adhere to the axioms of classical microfoundational theory. As Keynes indicated, this can occur for a variety of reasons, some of which he identified and explored in developing his own macroeconomic General Theory (Keynes, 1964). In microeconomic theory, similar observations have been made for explaining behavior that appears rational, but seems unable to adhere to the axioms and properties of classical utility theory.
Often, an economist will assert that if a theory consistently explains or predicts well, there must be some kind of axiomatic foundation which governs the consistent behavior. The purpose for economists, therefore, should be to discover these governing axioms. Economists pursuing this purpose are counting on the premise that the factors affecting behavior have not yet been discovered. Those still pursuing that purpose after an initial theory is in place are counting on the premise that that the axioms have been analyzed incorrectly, that they are misstated, or that they are just plain wrong.
More recent work in microeconomics has revealed the position of classical utility theory as a rather extreme special case of a phenomenon found by many arguments to have much more complexity than the simple classical version. The purpose of this paper is to describe the current classroom presentation of the theory, present some of the efforts attempted to enhance the model, and to evaluate this effort in terms of generality, manageability, and congruence with reality.
THE BASIC UTILITY MODEL: THE THRILL OF SIMPLICITY
In its most basic form, utility theory serves as a means of ranking an individual's preferences by the level of appeal of available alternatives at a point in time. It also determines, among other things, the solution of variables endogenous to the model, such as the quantities of alternative products an individual will consume while maximizing utility under the restriction of a budget constraint. The rankings are based on axioms that describe 'economic rationality':
1. Completeness:
If A and B are any two situations, then only one of the following can be true:
1) A is preferable to B
2) B is preferable to A
3) An individual is indifferent between A and B (Indecision is not an option)
If A is preferred to B, and B is preferred to C, then A must be preferred to C. An individual is assumed to fully understand the consequences of the choices to be made, and thus makes decisions that are internally consistent.
2. Transitivity:
3. Continuity:
If A is preferable to B, then outcomes "suitably close" to A are preferable to B also. This axiom is necessary in order to analyze differential changes in income and prices which affect outcomes to a small degree but are not sufficiently large to affect the ordinal ranking of situations (compiled from: Copeland, Weston 1988, Kreps, 1990, Nicholson, 1989, Chiang 1984).
In the further development of utility theory, several other properties should be included. First, any utility function will be order preserving. We can even assign values to utility in order to provide a way of enumerating and ordering preferences. This is simply a matter of convenience and is only useful to the extent that it preserves preference ordering; in no way can one individual's utility be compared to any other individual's utility. Second, conditions affecting utility other than those under consideration are assumed to be constant; this is called the ceteris paribus assumption. Third, individuals are assumed to be able to make rational choices among a wide array of situations; to be able to compare any given situation on the basis of relative appeal at any specific point in time. Fourth, the very nature of one's utility is based on a wide variety of factors that provide satisfaction both directly and indirectly. For example, although income yields no direct utility, the security of having a sufficient amount of income could in itself provide satisfaction. Usually, economists prefer to limit the analysis to direct utility, which comes only from the spending of that income. This is understandable; often the information an analyst wishes to derive from utility theory is to find out what items on which individuals will spend income. Economists, however, have often extended the use of utility theory to include indirect versions, including utility of income, utility of current income relative to future income (time valuation), utility of consumption relative to leisure, and utility of certain benefits versus uncertain benefits.
Other complicating factors include complementary products, substitute products, economic 'bads',or consideration of attributes of goods rather than the good itself as the direct provider of utility. Other characteristics present in the academic literature but specific to instructional and/or academic special cases are omitted here. In some applications, the additional assumption of perfect knowledge of all alternative choices is assumed.
The usual representation of consumer demand begins with a description of a 'good' as a bundle of economic products which together provide a positive level of satisfaction or utility (as opposed to an economic 'bad', which provides negative utility). As a result of this bundle being good, more of the bundle is preferable to less of the bundle. The next step is to introduce more than one good, usually presenting quantities of two goods graphed as good x and good y in a two dimensional diagram. This representation allows a mapping of points of combinations of the two goods from which the individual would derive the same level of utility, and defines an indifference curve. The negative of the slope of the indifference curve at a given point is called the marginal rate of substitution, which is assumed to be diminishing (or alternatively, well balanced bundles of goods are preferable to bundles which contain large portions of one good and little of the other good. This identifies strict convexity, which is equivalent to an assumption of diminishing marginal rate of substitution). The concept of diminishing MRS can also be approached from the standpoint of marginal utilities, without explicitly referring to the utility function.
The general shape of this indifference curve lends itself to further restriction to form ideal analytical models that have appealing characteristics, such as the Cobb-Douglas form. This particular utility function has a familiar mapping, is homothetic (each curve looks similar to the others because the slope at any point depends only on the ratio of one good to the other), and exhibits a simple proportional relationship between income and the quantities of good x and good y desired (Douglas, 1934).
In cases where indifference curves do not exhibit the characteristics of diminishing MRS, the solutions, when a budget constraint is employed, often do not present difficult analytical problems. For example, the case of perfect substitute goods implies that an individual will simply buy from the lowest price producer. Perfect complements imply a particular proportional relationship between two goods, and the solution will be in fixed quantities of both goods. For cases of more than two goods, a relatively simple mathematical adjustment for utility maximization (subject to a budget constraint) is required. Changes in income or in prices of the goods in question are not problematic for the familiar forms of utility theory; they involve shifts in the budget or isocost functions, and after such adjustments, solutions may be recalculated. The theory of utility as developed above serves as a very neat analytical tool that forms a sturdy base for much of microeconomics.
DEVELOPMENT OF LESS CONSTRAINED MODELS: THE AGONY OF REALISM
As we try to encompass more and more of reality into our model, we complicate the analytical framework of utility theory. This, in a way, defeats the purpose of developing a simple model; the original objective of drawing precise conclusions about a population of individuals must be balanced against the desire of the analyst to be accurate in describing the behavior on which those conclusions are drawn. At the root of the behavioral description are the axioms of utility theory. Are they reasonable? Are they necessary? And is there a better alternative to describing the general behavior of a population? To explore these possibilities it may be helpful to look at the manner in which analytical methods change when a variety of situations arise.
Generalization of Preferences
Suppose we accept a more general definition of individual preference. Instead of limiting situations to being "preferable to" other situations, we relax preference to a weaker version: "is preferred or is equally preferable to". Any two situations can now have a common extreme element. This defines the difference between "strict preference" and "weak preference" (Kreps, 1990, pp. 22-26). Indifference, then, would appear to be defined as the 'equally preferable' situation, although this implies a strange indifference map. For the definition of weak preference to hold, an indifference curve could be represented by a group of situations (S1, S2, S3,...Sn) whereby each situation can be ranked in terms of weak preference, and yet it is possible for S1, the highest-ranked situation, to be equally preferable to Sn, the lowest ranked situation (diagram A). On the other hand, the same set of situations could simultaneously be represented by differing levels of utility (diagram B). The mere existence of this strange indifference result would imply an infinite number of solutions, unless factors explaining the weakness of preference could be identified and included in the model.
Diagrams A and B
Strict Preference Versus Weak Performance
Diagram A
Diagram B
Cyclical Preferences
Imagine another situation in which an individual is unable to rank preferences in an ordinal ranking (such that A is preferred to B and B is preferred to C but, strangely, C is preferred to A). If you doubt the possibility of such a scenario, just ask a child their preferences for Christmas presents every day for a month prior to Christmas. With no visible change in information, often in the same breath, the child's preference will cycle around choices that are all appealing but, through some unknown process, are not ordinally ranked. This indecisive behavior could be the result of a wide variety of manifestations. This baffling scenario can be mirrored in other situations as well. Although from a modeling point of view it may appear impractical to assume an axiomatic basis for behavior other than rationality, a theorist might seek explanations other than those implied by the model in cases of inconsistency such as this.
Modeling Uncertainty
In reality, individuals make decisions based on uncertain future situations, without formal thought about probabilities of outcomes. Often there is no choice but to go ahead and make decisions, even if complete information does not exist (where it is assumed that one makes a decision subject to bounded rationality) or the decision doesn't result in an optimal utility outcome, ex-post. Uncertainty can take several different forms within the realm of utility theory. One of the most basic effects is the ambiguity in preference due to the possibility of deviations from expectations. Preferences become dependent on a variety of factors which, while still describing a single time period, are no longer known with certainty.
Because of this, preference may not be abundantly clear. A modeler would have to make allowances for indecision (if no information is valid on which to base a decision) or introduce a soluble element based on probability distributions (if useful information is expected to surface before a decision is made) or, if possible, based on contingencies .
Uncertainty can also take the form of a simple choice between a certain outcome and an uncertain, but statistically predictable, outcome when that choice is available to an individual. The well-known development of this concept is the utility for money. It begins with the premise that more money is preferred to less money, or the assumption of a strictly increasing utility function. The second premise is that a unit of money at a lower level of income will increase utility to a greater degree than the same unit of money at a higher level of income (or that the marginal utility of money is decreasing). This assertion has some profound results, characterized by 'risk averse' behavior.
This simply means that a certain outcome (with no variation) of a particular value V (point a) is preferred to a fair gamble (with variation) with an expected value V. For example, would an individual prefer receiving $10 with certainty or would he or she prefer a gamble with a .5 probability of receiving $5 and a .5 probability of receiving $15? The expected value of both outcomes is $10 (point W) and the only difference is that with the gamble, there is risk (variation about the mean) involved. An individual who is risk averse (has a decreasing marginal utility of money), would prefer the certain $10 payoff (point a) than the gamble with the same expected value (points b and c), because the $10 payoff would yield a higher level of utility than the gamble (diagram C). This result has been helpful in pricing insurance and in estimating demand for financial assets (Von Neumann, Morgenstern, 1944).
Diagram C: Money Utility and Uncertainty
Perhaps a slightly different approach to modeling uncertainty is called for in situations where preferences are contingent upon certain events or circumstances. It seems that two possibilities could arise: one, that a decision could be postponed until after the event occurred or two, that a decision must be made in the present time period for one reason or another. In the latter case, an example might be the availability of an investment whose outcome is contingent on an event, such as an investment in a company whose rate of return depends on the acceptance or rejection of a large contract. If the contract is accepted, the return on the investment would be larger and if rejected, the return would be small or negative. Usually such an investment would not be offered at the same price to an individual before and after the event. As such, the decision could not be postponed and the individual, if the investment is to be undertaken, must invest quickly.
In reaction to just this type of situation, the market makers for securities have invented hedging tools in order to reduce the risk of low or negative return, such as the issuance of options or warrants. Here again, it appears that a decision can be made based on a less questionable future by the application for the utility of money. Because investors have different risk preferences, another investor might be willing to pay the first party to agree to sell his investment in the future at a specified price. This is the essence of a stock option. The owner of the investment would have a hedge against downside risk and the owner of the option would have the possibility of a huge profit should the stock price increase above the exercise price of the option.
Still another uncertainty model may be built upon strategic concerns. Suppose two options are available for choice, one maximizing individual one's utility, the other maximizing individual two's utility, each choice being suboptimal for the other. The consequences of failure to agree on one choice or another is that no option will be chosen and, therefore, no utility will be gained by either party. For whatever reason, as illogical as it may be, sometimes the parties may fail to agree, neither one gaining anything. This is one of many examples of noncooperative games, which often reflect the more complex circumstances of economic interest in the real world. A variety of solutions may exist for noncooperative games, such as strict dominance, successive strict dominance, weak dominance, maximizing solutions, hedging solutions, backwards inductive solutions, or Nash equilibria (Kreps, 1990).
A solution to a noncooperative game can even take the form of utility maximization for both (or all) parties involved, both forms of analysis producing the same result. The deviations from the basic forms of these situations can be infinite, as an infinite number of combinations of circumstances may be stated as conditions for the game. Some questions about the usefulness of these uncertainty models remain, however. Although very complex situations can be modeled, it is unknown at present how this can be used to obtain useful information about populations. The most useful role of specific games is their ability to explain or predict behavior (or, as the case may be, explain or predict indecision and suboptimality) in situations too complex or too specific to be modeled well by simpler models.
Utility Interdependencies
Like it or not, isolation tank results often don't predict environmental behavior. As we are social animals, very rarely are our utility preferences totally independent of others' utility preferences. For some reason, the fact that the next door neighbor just upgraded from a carport to a three-car automatic door heated and air-conditioned garage and workshop complex, seems to affect our own satisfaction with our own 'carport.'
This and other effects, although not directly developed by comparing utilities, is typical of bandwagon, snob, and Veblen effects summarized by Liebenstein. The bandwagon effect describes the tendency for people to desire and item because, presumably, everyone else desires it. The snob effect is the tendency for people to desire an item for its exclusivity, and the Veblen effect is the tendency for people to desire an item for its high price tag. The changes in utility implied by this behavior are assumed to be reflected directly in the demand functions faced by firms (Liebenstein, 1948, pp. 165-201).
Interrelated Utilities
Often, the decisions made by microeconomic agents are the result of the related utility assessments of more than one individual. Some examples of this kind of situation are committee decisions, societal choices, partnership decisions, choices made by married couples, or choices resulting from agency relationships. The complications introduced by these possibilities can be tremendous; in each case, the mere fact that differing values, beliefs, and morals are present is enough to build a specific model of extreme magnitude. Consider, for example, the view of the utility of a choice made by a politician. The candidate who presented an image, a set of morals, and campaign promises, who supposedly represents the consensus view of his district or representative group, who has selfish tendencies, and who is tempted by choices which break the rules of the game, must summarize all of these preference scenarios into specific political decisions.
Consider the committee (or partnership, or marriage) decision, which is a result of a "game" which may involve radically different preference rankings, dominant individual preferences, different outcome evaluations, and/or different thought processes. Consider the agency relationship, where an individual or group of individuals represent another individual or group of individuals in making decisions that are supposedly in the best interest of the group represented. Although any and all of these constructions of convenience, of necessity, of consequences, or of codependence are present in society, few can be summarized using well behaved utility models (designed to draw generalities about populations). Most are specific and unique in nature, and often the observed results are far from what one might expect from rational, utility maximizing populations.
K. J. Arrow has even developed separate axioms for the formulation of social preferences from the point of view that an infinite number of utility solutions can develop depending on the way in which decisions are arrived at in a particular situation. For a solution to be feasible, it must meet the characteristics of: 1.complete ordering (completeness) 2.responsiveness to individual preferences (reflects the preferences of the individuals whose utilities are interrelated) 3.nonimposition (social preferences are not imposed independently of individual preferences) 4.nondictatorship (social preferences are not determined by only one individual) 5.independence of irrelevant alternatives. Arrow then asserts that in general, it is impossible to meet all of these criteria in constructing social preferences. This is known as the 'Arrow Impossibility Theorem' (K.J. Arrow, 1951 [Henderson, Quandt, 1980, p 312]).
Less constrained models represent some of the anomalies of the current state of utility theory. As we encompass more of reality into our models, we complicate the analytical framework; we also strive for a more applicable model to accurately describe observed behavior.
THE ESSENCE OF AN EMERGING CONSENSUS
Stigler (1965) presents "A Theory of Economic Theories" with three criteria for wide acceptance of an economic development. They are:( pp. 148-53)
1. Generality
2. Manageability
3. Congruence with Reality
Stigler (1965) asserts that a successful theory is almost always more general than the preceding theory. Although there have been exceptions to this argument, particularly in macroeconomic theoretical development, it is reasonable to expect that if a conclusion can be reached in a less restrictive manner, it would probably have more appeal to theorists who desire to accurately describe.
The ability to bring a theory to use in analyzing specific problems is a desirable quality for a successful theory. This is especially important in a field such as economics, which often involves mathematical complications or extensions to less obvious applications in making models generally applicable. A popular argument within economics is on the one hand, the more closely a model reflects reality, generally the greater the likelihood of wide acceptance by theorists. Intuitive assertions are accepted only to the point of belief and agreement, in an academic discipline where empirical evidence is often required as proof. On the other hand, the more closely reality is reflected, the less likely a simple (restricted to simplicity for the sake of precise conclusions) axiomatic foundation is readily applicable.
With these criteria in mind, we can assess the likelihood that development of any of the aforementioned complications to the analytical framework of utility theory will become an integral part of mainstream economic thought. All three of these criteria are generally applicable to economic theories. The third criterion, congruence with reality, may convince us to look at the possibility that the rational basis for utility theory could be inadequate for general application in the real world. The following section examines each of the relaxed constraints previously discussed, evaluating them according to these criteria
UTILITY APPLICATIONS
The strange indifference curves resulting from weak preference rankings (diagrams A and B) represent a direct inconsistency with the axiom of transitivity. While this axiom could still hold true for rankings involving no question of equality of ranking, the possibility exists for an individual to rank situations in a way that is internally inconsistent. Changing from strict to weak preference would therefore appear to support the analytical framework of utility theory, but in specific cases where we allow simultaneous existence of preferable or equally preferable choices, the analytical framework collapses because of its inability to explain this anomaly. While meeting the criterion of congruence with reality and greater generality, the inclusion of weak preferences as part of a utility theory does not appear to be a very manageable development.
Cyclical preferences are another source of inconsistency which precludes the existence of not only transitivity but also the axiom of completeness. Utility theory simply does not allow for the possibility of an individual being unable to ordinally rank cyclical outcomes. Again, while meeting the criteria for generality and congruence with reality, the inclusion of the possibility of cyclical preferences undermines the integrity of the axiomatic foundation of utility theory.
Considerable strides have been made in the modeling of (statistically predictable) risk within the realm of utility theory. One of the most common approaches is to form probability distributions about expected (mean) outcomes and use these as a numerical proxy for utility. Although there are numerous measurement and statistical problems under certain circumstances, probability distributions do not appear to undermine the basic axioms of utility theory. Also, if used in a static model and considered the only basis for ordinal rankings (ignoring variance), expected values are order preserving, the property of choice among a wide variety of situations is still intact, and expected values would appear to embrace both direct and indirect versions of utility functions. One property, the ceteris paribus property, is not binding in a static model strictly using expected values, because factors affecting the variation from expectations are not required to be constant; they account for the variation about the mean, which does not affect ordinal rankings.
The utility for money has been explored extensively by theorists and there appear to be few problems in applying the concept of risk aversion to utility theory. in fact, this concept has become the basis for financial asset pricing models, demand models for insurance products, and for explaining risk averse behavior observed in financial markets. The indirectness of the utility function for money as a provider of satisfaction has not resulted in prohibitive complications. Not only is utility theory enhanced as a more general model, it also better explains real world markets while still retaining manageability. The market participants themselves have invented tools to manage uncertainty, including options, warrants, and futures. Currently, utility theory and other theories are being used to analyze and evaluate these instruments. Although the mathematical process is growing more complicated, it appears that utility theory is still intact as a foundation for many of these models that pool individual uncertainties or provide for forward contracts, or are hospitable to hedging properties.
Strategic concerns, another way that uncertainty can surface in the real world, appear to be beyond the general applicability of the simple framework of utility theory, simply because so many factors and circumstances may be introduced into the model. Although useful in analyzing specific cases, strategic analysis (or noncooperative game theory) does not comply with the simple calculus of utility theory. On the basis of generality, strategic analysis incorporates many more real world situations than utility theory can, but conclusions usually are imprecise and not applicable to other situations. The degree of manageability, it seems, would be a subjective assessment; the economist might argue that strategic analysis results in an infinite number of possible solutions and ambiguity in its conclusions, whereby the strategic analyst might assert that flexibility and accuracy, whether intuitive or not, are needed more than a decision based on a precise but inaccurate model. Although there are some key differences in strategic analysis and game theory, the application is quite similar; both are used for specific cases that may be quite complicated and totally unfit for simpler models of behavior.
Utility interdependencies have been intuitively explained in relation to demand. The curious results in demand analysis should be reflected in the utility curves that support demand theory. For example, the utility function for a 'bandwagon product' would be a function not only of the attributes inherent in the product itself but also would be positively related to the size of the market for such a good. The 'snob' effect is a reversal of the bandwagon relationship between demand and market size, where utility is a function of the attributes of the product and a negative function of market size. The 'Veblen' effect encompasses utility as a function of product attributes and as a positive function of price, which defines conspicuous consumption. The adjustments of utility functions to accommodate these effects are not complicated ones, and they add to the applicability of the utility model to a greater number of situations. It would appear from the three criteria for wide acceptance of a model that these effects are easily accepted. Liebenstein does not present the manifestations in utility theory exhibited here, but is keyed to demand and observable results. These applications to utility theory follow traditional lines of thought from utility to demand analysis.
Interrelated utilities form a special kind of problem for the axioms of utility. One of the basic postulates of utility is that one individual's utility cannot be compared or measured relative to another individual's utility. According to the 'rationality' of behavior, an individual would only enter a condition of cooperative decision making if it were possible to achieve a greater level of utility. If this rationality is generally applicable, the only relationships attainable would be ones of greater utility for both (all) parties involved. One could even argue that convenience, necessity, consequences, or codependence all provide inherent utility and that a situation of interrelated utilities complements the axioms of utility; that utility is simply difficult to comprehend and measure. We should have difficulty, however, in defining just which type of utility is to be maximized. When and how does an individual decide to sacrifice his own utility to maximize the utility of the group as a whole (Davidson, Davidson 1988)? What happens if conflict occurs? These questions are unlikely to be answered in the limited scope of utility theory. Most utility interrelationships are specific in nature and would not easily be explained by a general model. If a model were to be constructed to reflect these conditions, it may well be so analytically complicated that it is impractical to construct for all but the most rewarding uses.
CONCLUSION
What type of consensus may eventually emerge concerning the usefulness of the axiomatic version of utility theory? It is obvious that as we encompass more and more of reality into our model, we complicate its analytical framework. Many of the changes discussed are manageable adaptations and they extend the explanatory or predictive ability of the model. Others, such as introducing weak preference or cyclical preference, appear to undermine its axiomatic foundation.
It seems likely that successful analysts depend not only on a restrictive theory of behavior but also realize the importance of a wider range of conditions and anomalies of the real world which affect economic events. One thing is certain: as long as observed behavior is seemingly unexplained by current economic models, economists will strive to explain them in terms of a new set of axioms and postulates which describe the general behavior characteristics underlying these observable results.
It also seems reasonable to expect that the strict assumptions associated with simple constructs might be relaxed to form a more general model encompassing a greater range of cases, enhancing, if not the predictive ability of utility theory, the explanatory ability of microeconomic analysis.
REFERENCES
Arrow, K. J. (1951). Social Choice and Individual Values. New York: Wiley.
Bernoulli, D. (1896). Specimen theori novae de mensura sortis; references are to the German translation, Versuch einer neuen theorie der Wertbistemmung von Glucksfallen, Leipzig: Duneker & Humblot [referenced by Stigler].
Chiang, A. C. (1984). Fundamental Methods of Mathematical Economics, 3rd ed., New York: McGraw-Hill.
Copeland, T. E. & J. F. Weston. (1988). Financial Theory and Corporate Policy. New York: Addison-Wesley.
Davidson, P. & G. Davidson. (1988). Economics For a Civilized Society, New York: Norton and Company.
Demontmort, P.R. (1713). Essay d'analyse sur les jeux de hazard (2d ed.) Paris: Quillan. [referenced by Stigler].
Douglas, P.H. (1934). The Theory of Wages. New York: Macmillan.
Edgeworth. (1953). Mathematical Psychics: An Essay on the Application of Mathematics to the Moral Sciences. New York: August M. Kelly.
Fisher. (1982). Mathematical Investigations of the Theory of Value and Prices. New Haven: Yale University Press 1937{1892} [referenced by Stigler].
Henderson, J. M. & R. E. Quandt. (1980). Microeconomic Theory, a Mathematical Approach. New York: McGraw-Hill.
Keynes, J. M. (1964). The General Theory of Employment, Interest, and Money (New York: Harvest/HBJ.
Kreps, D. M. (1990). A Course in Microeconomic Theory. Princeton: Princeton University Press.
Leibenstein, H. (1948). Bandwagon, snob, and veblen effects in the theory of consumer demand, The Quarterly Journal of Economics, February.
Marshall, A. (1980). Principles of Economics, (1st ed.), London: MacMillan. [referenced by Stigler].
Mitchell, W.C. (1937). Bentham's felicific calculus, In The Backward Art of Spending Money, New York: McGraw-Hill.
Morgenstern, O. & J. Von Neumann. (1944). The Theory of Games and Economic Behavior Princeton: Princeton University Press.
Nicholson, W. (1989). Microeconomic Theory: Basic Principles and Extensions (4th ed.), New York: Dryden Press.
Stigler, G. (1965). Essays in the History of Economics. Chicago: University of Chicago Press.
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Broadview Avenue Planning Study
Stakeholder Advisory Committee Meeting # 3 Summary
Meeting
Monday, June 1, 2015, 7:00 p.m. – 9:00 p.m.
Eastminster United Church, 310 Danforth Avenue
Attendance
| | Name | Organization |
|---|---|---|
| | Stakeholder Advisory Committee Members and Alternates | |
| Maria Babbage | | |
| Joanna Birenbaum | | |
| James Calderone | | |
| Rob Corcoran | | |
| Richard Dabrus | | |
| Vivienne Denton | | |
| Anne Ellis | | |
| Meg Floyd | | |
| Steven Mastoras | | |
| Marti Milks | | |
| John Purins | | |
| Angela Schutz | | |
| Nick Tunnacliffe | | |
| Neil Walker | | |
| Chris Williams | | |
| Sandra Woolner | | |
| | City of Toronto | |
| Councillor Mary Fragedakis | | |
| Daryl Finlayson | | |
| Francis Kwashie | | |
| Kyle Knoeck | | |
| James Parakh | | |
| Ran Chen | | |
| Nigel Tahair | | |
| Sharon Hong | | |
| Anne-Marie Chung | | |
| | Facilitation Team | |
| David Dilks | | |
Meeting Purpose
- Review and discuss the revised presentation for Community Consultation Meeting #3 on "Options and Priorities"
Meeting Highlights
- Welcome and Introductions
o David Dilks (Lura Consulting) welcomed participants to the third SAC meeting for the Broadview Avenue Planning Study
o David Dilks introduced himself as the independent facilitator for the SAC
o The meeting agenda (see Appendix A) was reviewed
o Participants introduced themselves and their interests in the community
o Councillor Mary Fragedakis thanked the SAC members for attending the meeting and providing their feedback on the presentation material at the last SAC meeting
o The meeting minutes from the second SAC meeting held on May 21, 2015 were approved as final for posting on the project website
- Opening Remarks
o Kyle Knoeck (Community Planning, City of Toronto) thanked participants for providing their feedback and advice at the last SAC meeting
o Kyle Knoeck acknowledged that this is a mid-rise planning study and as such the high-rise options have been removed the presentation
o Kyle Knoeck made mention of a letter submitted to the City from a number of stakeholders and community organizations that listed reasons why the Estonian House site should be moved from Character Zone C to Zone A. He noted that the Estonian House is located on a very unique lot that will likely require site-specific guidance in the final document.
- Background
o Francis Kwashie (Community Planning, City of Toronto) outlined that the planning study was initiated in 2014 after receiving direction from City Council
o A timeline of future SAC Meetings and Community Consultation Meetings was reviewed
- Options and Priorities
o An analysis of the heritage properties within the study area was presented, along with opportunities for preserving the historic character of Broadview
o Options for the public realm, the built form and the transportation network along Broadview Avenue were presented
o The options for improving the public realm focused on streetscape improvements with additional building setbacks, preserving viewpoints, increasing the amount of greenspace and creating connections
o Francis Kwashie provided a detailed overview of the different options for complementing the existing built form in each character zone
- The options for Character Zone A include: 1) no change (as-of-right), 2) standard mid-rise and 3) modified mid-rise with a wrapped mechanical penthouse
- The options for Character Zone B include: 1) no change (as-of-right), 2) standard mid-rise and 3) modified 5-storey mid-rise at corner sites
- The options for the corner sites at Pottery Road in Character Zone C include: 1) no change (as-of-right), 2) standard mid-rise and 3) modified 8 to 9-storey mid-rise
- The options for Character Zone D include: 1) no change (as-of-right), 2) standard mid-rise and 3) modified 10-storey mid-rise
- No changes to the existing built form are proposed for Character Zone E
- A number of development principles for the Estonian House site in Character Zone C were presented, including but not limited to: respecting heritage features, providing adequate transitions towards adjacent properties, providing setbacks from TRCA top-of-bank valleys and ravines and having expansive front yard landscaping
- James Parakh (Urban Design, City of Toronto) noted that a number of preliminary sketches have been included in the presentation to illustrate streetscape enhancements and the aesthetic of potential new buildings
o Francis Kwashie concluded that tall buildings were not deemed appropriate for the study area based on an analysis of potential sites for tall buildings
o Francis Kwashie outlined the various ways to plan for the transportation impacts along Broadview Avenue. Three street improvement options were presented:
1. Short-term option: maintain existing right-of-way configuration and improve the boulevard with street furniture
2. Medium-term option: negotiate space depending on width of right-of-way as it varies along the study area (e.g., bus lane with sharrows, painted bike lanes, off-peak parking, and sharrows)
3. Long-term option: reconstruct the street along the study area to either include layby parking with sharrows and one lane of traffic, sharrows with wide sidewalks and one lane of traffic, layby parking with wide sidewalks and one lane of traffic or wide sidewalks with one lane of traffic
- Discussion and Feedback on the Presentation
o Following the presentation, SAC members addressed the following discussion questions:
1. What feedback or advice do you have to improve the clarity of the presentation material in preparation for Community Consultation Meeting #3?
2. Do you have any other feedback or advice for staff?
o A summary of the feedback and advice is outlined in the following section. A more detailed summary (including questions and answers) is provided in Appendix B.
- Wrap Up and Next Steps
o David Dilks asked SAC members for their advice on the proposed approach for gathering feedback at Community Consultation Meeting #3
o The next SAC meeting will be held prior to Community Consultation Meeting #4 in the Fall
Feedback and Advice
Feedback and advice on the presentation:
- Include more sketches in the presentation to illustrate the aesthetic of the buildings and streetscape (i.e., as shown on Slide 28) in place of the photographs of concrete buildings as shown on slide 29
- Include labelling of the building heights for all massing diagrams
- Clearly explain the redevelopment options for the Broadview/Mortimer intersection (i.e., communicate why you are showing the potential for development - Building A and B - where important viewpoints have been identified) and how these relate to the proposed viewpoints
- Include a cross-section of the street and illustrate what the proposed setbacks will look like
- Illustrate the height restrictions of the Estonian House site after you apply all the conditions laid out in the Avenues and Mid-Rise Buildings Guidelines and apply the site specific principles
- Include more specific requirements for the Estonian House site on slide 42 (e.g., outline that the side yard is adjacent to low-rise houses and therefore requires a 7.5 m setback and 45-degree angular plane)
- Reinforce that the Avenue designation in the Official Plan applies only to Broadview Avenue and not the neighbouring streets
- Include better photography in the presentation (i.e., need a better photo of Whistler's)
- Articulate what makes Broadview so unique and distinct from other neighbourhoods (e.g., proximity to the Don Valley)
Feedback on the options presented:
A. Public Realm Options and Priorities
- Leverage the history of Broadview Avenue and highlight our proximity to the Don Valley by incorporating more greenery into the streetscape
- Use landscaping and greenspace to connect Broadview Avenue throughout the study area
- Require larger setbacks along Broadview Avenue and ensure requirements are specified in the design guidelines
- Ensure setbacks are planted with trees and other greenery
- Better connect the important viewpoints and greenspaces along Broadview Avenue
- Identify Playter Gardens as a significant viewpoint
- Extend the sidewalk near the TTC station
- Expand the sidewalk in Character Zone C and/or add a bike path along that strip
- Use any frontage that is owned by the City to create green connections to the Don Valley
- Use cash in-lieu of parkland and build a park somewhere along Broadview Avenue (e.g., on the site occupied by Building A in slide 39)
- Acknowledge Whistler's as one of the community hubs along Broadview Avenue
B. Built Form Options and Priorities
- Move the Estonian House site to Character Zone A
- Apply the principles of the Avenues and Mid-Rise Buildings Guidelines to the Estonian House site
Broadview Avenue Planning Study
Stakeholder Advisory Committee Meeting #3 Summary
- Deal with the uniqueness of the Estonian House site by identifying it as a Character Zone A/C site
- Continue to identify the Estonian House site as a unique lot
- Parking and traffic will be an issue if the Sobey's site is redeveloped
- Consider how any new development on the Sobey's site will impact low-rise houses on Mortimer
- Communicate the intent to protect neighbouring low-rise sites from any new development (e.g., suitable stepbacks and setbacks will be required)
C. Transportation Options
- Consider reducing the number of lanes on Broadview to one lane of vehicular traffic in each direction in order to provide more space for on-street parking, bike lanes and greenery along the sidewalk
- Plan for a street that safely accommodates vehicular, pedestrian and cyclist traffic
- Broadview Avenue should not be reduced to two-lanes of traffic at this time - continue with the status quo
- Consider having dedicated lanes for buses during the peak hours
- Provide more parking options
- Require higher parking ratios for the Broadview area
- Consider pedestrian safety when thinking about bike lanes on Cambridge Avenue
- Make the pedestrian experience more pleasant and safe (i.e., redevelop the laneway located by the auto body shop)
- Consider providing parking on two sides of the street along certain portions of Cambridge Avenue
- Consider the impact intensification will have on transportation and other infrastructure along Broadview Avenue
Feedback on the planning study:
- Provide more direction on parking and traffic in this planning document
- Address how trash will be picked up along all of Broadview Avenue
Feedback on the approach for Community Consultation Meeting #3:
- Provide an opportunity at Community Consultation Meeting #3 to have a conversation about what makes Broadview Avenue different from other communities
- Support the approach of having "Topic Stations" set up with members of the SAC and City project team available at each station to answer questions
- Provide guidance at the beginning of the meeting on how feedback will be collected and how decisions will be made moving forward
- Make sure all topic areas are discussed at Community Consultation Meeting #3
Meeting Purpose:
Broadview Avenue Planning Study
Stakeholder Advisory Committee Meeting #3 Summary
Appendix A Meeting Agenda
Stakeholder Advisory Committee Meeting #3
Monday, June 1, 2015 7:00 pm – 9:00 pm Eastminster United Church, 310 Danforth Avenue
To review and discuss the revised presentation for Community Consultation Meeting #3 on "Options and Priorities".
AGENDA
Broadview Avenue Planning Study
Stakeholder Advisory Committee Meeting #3 Summary
Appendix B Q&A, Comments, and Advice,
During the discussion, a number of questions of clarification were raised relating to the content of the presentation and the study. A summary of the discussion is provided below. Questions are noted with Q responses are noted by A, and comments are noted by C.
Q. Which sites have been identified as potential green spaces?
A. The Sobey's and Latter Day Saint sites have been identified as properties where there is potential to include an onsite parkland dedication requirement. This means that if the sites are redeveloped, the developers have to provide parkland.
C. I like the sketch shown on Slide 28.
C. I do not like the photographs on slide 29 because they look too similar to Minto Skyy. There is too much concrete.
C. Tie the area together through landscaping and the connection of greenspaces throughout the Broadview neighbourhood.
C. Include more greenery fronting onto Broadview Avenue.
C. Not sure bike lanes on Cambridge Avenue are a good idea if we consider pedestrian safety.
C. Consider reducing the number of lanes on Broadview to one lane of vehicular traffic in each direction. This will provide more space for on-street parking, bike lanes and greenery along the sidewalk. One of the biggest concerns of the residents in the neighbourhood is pedestrian safety and having a street that safely accommodates vehicular, pedestrian and cyclist traffic.
C. Include measurements of the building heights for all massing diagrams, or include a car or person to illustrate the scale.
Q. Building A and B in Character Zone C represent potential development, yet those sites were identified as viewpoints earlier in the presentation. Why would you propose having buildings on these sites if they provide important viewpoints?
A. Right now these sites are accessible to the public. If a development application comes forward for these sites we want to make sure that they provide privately-owned publicly accessible space (POPS) where people can still access the viewpoints.
C. Include this explanation in the presentation to alleviate confusion.
Q. Why is there no proposed change to Character Zone E? This area includes a mix of single-family homes, small commercial business, etc.
A. Our direction from Council was to study the portion of Broadview Avenue that is identified as an Avenue in the Official Plan. Areas designated as Avenues in the Official Plan are deemed appropriate for intensification. The portion of Broadview Avenue in Character Zone E is not identified as an Avenue or place for intensification in the Official Plan. Based on feedback received from the SAC and residents, the study area was recently extended to include Character Zone E to ensure Broadview is reviewed in its entirety. As planners we never thought there was policy basis to look at this portion of Broadview for intensification, and as such, we are not proposing any changes to the existing built form.
C. I would imagine that in 20 years the City may designate that portion for intensification.
A. At that time we would consider the options.
C. There is a lot of frustration in our community about traffic congestion. Traffic redirects to Broadview Avenue when the Don Valley Parkway is closed. For this reason I don't think it is possible to reduce Broadview to two lanes of traffic. The status quo is probably what is best for Broadview Avenue right now. Perhaps consider having dedicated lanes for buses during the peak hours.
C. There is currently no street parking available.
C. The community fought to have extra parking provided for new buildings.
C. Provide more direction on parking and traffic in the study report.
Q. Require larger setbacks along Broadview Avenue. The stairs for the new townhouses built on Broadview Avenue are located right beside the sidewalk.
A. As shown in the presentation, we are proposing larger distances from the property line to the street edge along the length of Broadview.
Q. Wasn't the main floor of Minto Skyy originally designated as commercial? Why are those units now residential? Since the main floor was designed for commercial, they are located right beside the sidewalk. We need to ensure this doesn't happen in the future.
A. That is an example of a live/work concept that isn't working.
C. The larger setbacks should include trees and additional greenery. We should leverage the history of Broadview Avenue and highlight our proximity to the Don Valley. We should borrow from the aesthetic of the Don Valley and tie more greenery into the streetscape. It is not sufficient to put a tree in a 4x4 square box on the sidewalk.
Q. Who is responsible for streetscaping? Is it the responsibility of the developer or the City?
A. The developer is responsible for redeveloping the streetscape in front of their property. The street trees are then maintained and serviced by the City.
8
Broadview Avenue Planning Study
Stakeholder Advisory Committee Meeting #3 Summary
C. Include a cross section of the street in the presentation to illustrate what a 3.5 m setback looks like and what it includes.
A. Although the applications for 796 and 838 Broadview Avenue were submitted before the completion of this study, we asked that they provide a 1 metre setback from the property line, resulting in a 4.8 metre setback between the building façade and the curb.
C. Explain in the presentation that you require a total setback of 4.8 metres, which may require developers to provide additional setbacks from the property line (in the case above, an additional setback of 1 metre was required).
Q. What is the definition of a mid-rise and modified mid-rise building? Are the maximum heights 6-storeys and 10-storeys?
A. A mid-rise building is up to 6-storeys. The modified building is different for each Character Zone. The maximum height for a modified mid-rise shown in the presentation is 10-storeys.
C. Better connect the important viewpoints and greenspaces along Broadview Avenue.
Q. You have received the letter from the community which includes 20 reasons why the Estonian House fits better in Character Zone A. The Estonian House site is not similar to any of the lots within Character Zone C. What do you lose by moving it to Character Zone A?
A. What your letter underscored to me is how unique the Estonian House site is. The lot configuration of the site is unlike anything else is Character Zone A. It is wider and deeper than most of the lots in Zone A.
Q. What about the Toronto Community Housing Corporation's senior's apartments?
A. That is a corner site so the lot characteristics are different. In terms of the backyard/side yard conditions, the depth and the expansive front yard landscaping, these lots are very different. There are some similarities between the Estonian House site and the built form in Character Zone A, but not in terms of the lot configuration. The bottom line is that it is a very constrained site, so even if we put it in Zone A, we have to think about how this site could be developed.
A. I haven't closed my mind to moving the Estonian House site to Character Zone A, but my sense is that people want to move it to Zone A to forestall larger scale development. I am not sure if that would do the trick. Whether the property is included in Character Zone A or C we need to better understand the constraints of the site and how it will fit with the rest of the street.
C. If a 10-storey building is developed on the site, there are potential challenges on providing adequate tapering to transition to the low-rise homes on Chester Hill. If you move the property to Zone A, you are forestalling an effort from a developer to build an even taller builder, who can provide the argument that there are already a number of tall buildings in Character Zone C.
C. Thank you for bringing this back to an Avenue and Mid-rise plan.
C. Apply the Avenues and Mid-rise Guidelines to the Estonian House site. Outline in the presentation that you are applying the principles of the guidelines which require a 7.5 m setback against someone else's backyard. On the Estonian House site there are low-rise houses that require adequate transitioning at the rear and side yards.
Illustrate the height restrictions on this site using a massing diagram after you apply all the conditions laid out in the Avenues and Mid-rise Guidelines.
C. Address how trash will be picked up along all of Broadview Avenue so we don't have to deal with it on a siteby-site basis. Most people prefer pick-up at the front of the building as opposed to the rear.
C. Extend the sidewalk near the TTC station another 2 metres east. No one is able to use the existing sidewalk because there are so many pigeons overhead.
C. Identify Playter Gardens as a significant viewpoint.
C. When thinking about transportation along Broadview Avenue we need to think beyond vehicular traffic, and also plan for the movement of pedestrians and cyclists. Although it is beneficial to widen the sidewalk, pedestrians don't always follow the sidewalk north/south along Broadview Avenue. A number of pedestrians use the alleyway near Danforth. This alley should be improved to provide a more pleasant experience.
C. Consider providing parking on two sides of the street along certain portions of Cambridge Avenue.
A. Some of the residents on Fulton Avenue wanted double-sided parking on the street because it slows down traffic and acts as a safety buffer for their children.
C. Trees don't have to sit on the ground. Greenery can be part of terraces and wall façades.
C. Many of the tall buildings in Character Zone C have expansive front yard landscaping but the sidewalk is very narrow. Consider making the sidewalk wider in this area and/or adding in a bike path along that strip.
C. Traffic congestion is caused by the streetcars that sit on the north side of Broadview Avenue because they can't get into the TTC station.
C. We are anticipating a substantial amount of development along this street, but there is not a lot of greenspace. Can we take cash in lieu of parkland and apply it to a site somewhere along Broadview? Perhaps the area occupied by Building A in Character Zone C as shown on slide 41. Can this site be developed as a park instead of as a building?
A. We would be happy to follow up with Parks and Recreation and outline that as an option. You likely will not hear much of a report back on that until a decision is made.
Q. What is the impact of all this new development on transportation along Broadview Avenue?
C. Deal with the uniqueness of the Estonian House site by identifying it as a Character Zone A/C site as it has characteristics that are consistent with both. It is helpful that you have identified it as a unique site.
C. Include more specific requirements for the Estonian House site on slide 42. For example, go beyond outlining that any new development must provide adequate separation distances from adjacent properties by stating that the side yard is adjacent to low-rise houses and therefore acts as a rear yard which requires a 45-degree angular plane.
C. Reinforce that the Avenue designation in the Official Plan applies only to Broadview Avenue and not the neighbouring streets.
C. The area surrounding the Sobey's site is already a very busy location. How will traffic congestion and parking be addressed in this area? It would be great to see a greenspace located in this space as outlined in the presentation, but new development on this site will cause more traffic/parking issues. For example, where would people park if development occurred on top of the existing Sobey's?
C. Remove the photo of Broadview Espresso on slide 15.
Q. Are you presenting this slide deck at Community Consultation Meeting #3?
A. A slightly different version of this presentation will be used during Community Consultation Meeting #3. Some of the slides will be removed from the deck and included on panels that can be reviewed by participants during the Open House portion of the meeting.
C. Include better photography in the presentation. For example, use a better picture for Whistler's. The commercial character of the street is important and should complement the beautiful residential areas.
C. Whistler's is an important community spot and should be acknowledged as one of the community hubs along Broadview Avenue.
C. The slide focused on the Broadview/Mortimer intersection is confusing (slide #39). You identified these sites as important viewpoints and then you show different development options. Better explain what is being proposed for that intersection as it is an important area.
C. Clearly outline the intent to protect neighbouring low-rise sites from any new development, stating that there will be requirements to provide suitable stepbacks and setbacks.
Q. How will development on the Sobey's site impact single-family houses along Mortimer?
C. I don't have a problem with the Estonian House site being included in Character Zone C because the lot is so constrained and this will determine what can or can't happen there. I don't know how any developer could get a high-rise building on that site.
C. I am happy to hear about the proposed larger setbacks and additional greenery along the avenue.
C. Would the owner of 1010 Broadview need to apply for a severance in order to develop both Building A and B
as shown in the presentation?
A. They do not have to apply for a severance in order to develop two buildings.
C. Clarify that the setbacks are not necessarily public spaces.
A. The setbacks are private property but they feel like part of the public realm and should be designed in a manner that enhances the public realm.
C. Provide more connectivity between greenspaces. Use any frontage that is owned by the City to create green connections to the Don Valley.
C. A narrative is missing from the presentation. You need to outline what makes Broadview so unique and distinct from other neighbourhoods. One thing that makes Broadview so unique is its location next to the Don Valley. Bring more connections and references to the greenery of the Don Valley into the streetscape.
A.
Being comprised of Doncaster Village and Todmorden Village, this area of Broadview has a village character as its base. These settlements arose because of the topography and the river. This is a very powerful narrative for the
area. We should tie more of this heritage analysis into the narrative.
C. Require higher parking ratios for the Broadview area. For example, new development should be required to provide more than 1 parking space per dwelling unit.
C. Think about how we can make the street interesting, safe and pleasant for pedestrians. Think about what anchors the street and why people are visiting the neighbourhood (e.g., Todmorden Mills, restaurants, etc.).
C. We need to have a conversation at Community Consultation Meeting #3 around what makes Broadview Avenue different from other communities. We need to develop a narrative of what this area is.
C. I like how eclectic Broadview Avenue is.
C. Broadview Avenue was once named Don Mills Road as it was the road to the mill in the valley. The name connected the community at the top of the hill to the valley below.
C. I like the idea of having stations focused on the different themes at the next public meeting and having people from the SAC at these stations, in addition to City Staff, to answer questions.
Q. How will feedback be collected and weighed? Is it a voting process?
A. We are less interested in quantifying the results and more interested in hearing peoples reasons for preferring specific options.
C. Provide guidance at the beginning of the meeting on how feedback will be collected and how decisions will be made moving forward.
C. Make sure all topic areas are discussed at CCM #3.
12
Broadview Avenue Planning Study
Stakeholder Advisory Committee Meeting #3 Summary
Q. Can you distribute the PowerPoint presentation in advance of CCM#3?
A. The presentation requires a narrative so we do not like to distribute it until after the public meeting. We will ensure that people have a few weeks after the meeting to provide additional comments.
C. It would be helpful if the SAC could receive the PowerPoint.
A. I am not sure if we can distribute PowerPoint ahead of the meeting, but we might be able to distribute some communication outlining the key points.
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Alton Advanced Energy Recovery Facility
Veolia ES Hampshire Ltd
Non-technical Summary
Document approval
| | Name | Signature | Position |
|---|---|---|---|
| Prepared by: | Katie Hampton | | Environmental Scientist |
| Checked by: | James Sturman | | Lead Consultant |
Document revision record
| Revision no | Date | Details of revisions | Prepared by |
|---|---|---|---|
| 00 | 19/10/2020 | For Client | KLH |
| 01 | 12/11/2020 | Updated following Client comments | KLH |
| 02 | 14/12/2020 | Minor updates following Client comments | KLH |
© 2020 Fichtner Consulting Engineers. All rights reserved.
This document and its accompanying documents contain information which is confidential and is intended only for the use of Veolia ES Hampshire Ltd. If you are not one of the intended recipients any disclosure, copying, distribution or action taken in reliance on the contents of the information is strictly prohibited.
Unless expressly agreed, any reproduction of material from this document must be requested and authorised in writing from Fichtner Consulting Engineers. Authorised reproduction of material must include all copyright and proprietary notices in the same form and manner as the original and must not be modified in any way. Acknowledgement of the source of the material must also be included in all references.
Contents
1 Introduction
Veolia ES Hampshire Limited (Veolia) is applying for an Environmental Permit (EP) for the Alton Advanced Energy Recovery Facility (the 'Facility') to incinerate incoming residual waste fuel. The Facility will be located at land adjacent to the A31 dual carriageway, approximately 2km to the east of the town of Alton in Hampshire, England.
An EP (Ref: EPR/VP3290ER) was previously granted by the EA for the operation of a Materials Recycling Facility (MRF) and Waste Transfer Station (WTS) at the site. Therefore, this application is submitted as a substantial variation to the existing EP. Further details on the type of application are presented within section 1.2 of the supporting information.
1.1 The Applicant
The Facility is being developed by Veolia, one of the UK's leading waste management companies. Veolia provide environmental solutions and a comprehensive range of waste, water and energy management services.
Veolia's core business in the UK is in the provision of integrated waste management and environmental services to local communities and industry, designed to increase recycling, composting and recovery rates and to significantly reduce reliance on landfill.
Veolia currently operate ten operational Energy Recovery Facilities (ERF's) which recover energy from residual waste streams and are one of the largest operators of ERF's within the UK.
Veolia is registered in England (Company Number: 02817856) and has a registered address of 210 Pentonville Road, London, United Kingdom, N1 9JY.
1.2 The site
The Facility will be located at land adjacent to the A31 dual carriageway, approximately 2km to the east of the town of Alton in Hampshire, England. The Facility will be located at an approximate National Grid Reference of SU 74824 41648, with the nearest postcode listed as GU34 4JD.
The site is bounded to the north by a slip road of the A31, and to the south by a railway line. Access to the site will be via the private access slip road off the A31.
The Installation Boundary surrounding the site covers an area of approximately 2.9 hectares, with the site currently occupied by the existing Veolia Materials Recycling Facility (MRF) and Waste Transfer Station (WTS).
The village of Holybourne lies between Alton and the site, approximately 600m at its closest point to the site. An oil terminal is located immediately to the west of the site. The River Wey is located approximately 130m to the south of the site. Agricultural fields lie to the north of the A31, to the east of the site and to the south of the railway line.
A site location plan and Installation Boundary drawing are presented in Appendix A of the Supporting Information.
1.3 The activities
The Facility will consist of a combination of Schedule 1 'Installation Activities' (as defined in the Environmental Permitting Regulations) and Directly Associated Activities (DAAs).
Table 1-1: Scheduled and directly associated activities
The Facility will be a twin-stream design and will include the following key components: waste reception; waste storage; water, fuel oil and air supply systems; furnaces; boilers; steam turbine/generator set; facilities for the treatment of exhaust gases; on-site facilities for treatment or storage of residues and waste water; flues with associated stacks; and devices and systems for controlling combustion operations and recording and monitoring conditions.
The Facility will process approximately 330,000 tonnes per annum (at the design capacity of 20 tonnes per line per hour, with a design NCV of 9.5 MJ/kg and an availability of approximately 8,250 hours). However, allowing for the full range of NCVs the Facility is designed to process, the Facility will be capable of processing up to approximately 350,400 tonnes per annum of waste, assuming the Facility processed the design NCV waste for 8,760 hours per annum.
2 Details of the Facility
2.1 The process
The Facility will include the following processes:
1. Incoming waste will be delivered to the Facility and unloaded into the waste bunker.
2. Incoming waste will be transferred from the waste bunker into the feed hopper for the respective waste incineration line.
3. Emissions of nitrous oxides will be controlled by the injection of ammonia solution into the combustion chamber.
4. Hot gases from the combustion of waste will be passed through a boiler to raise steam. There will be 2 boilers – one per waste incineration line. The steam will then pass to a steam turbine to generate electricity for export to the local electricity grid. The Facility will also have the potential to export heat to local heat users.
5. The combustion gases will be cleaned in a flue gas treatment plant. This will include the injection of carbon, primarily to control dioxin emissions, the injection of lime to control acid gas emissions, and the use of a fabric filter to remove dust.
6. The cleaned exhaust gases will be released to atmosphere via a stack of 80 m. There will be two stacks – one per incineration line.
An indicative process diagram for the waste incineration process is presented below.
Figure 1: Indicative Schematic of the Waste Incineration Process
2.2 Raw materials and feedstocks
The Facility will utilise a number of different chemicals and raw materials within the different power plant processes. The chemicals and raw materials used at the site will include, but not be limited to, the following:
* hydrated lime Ca(OH)2;
* activated carbon;
* ammonia solution;
* mains water;
* non-hazardous mixed waste;
* auxiliary fuel; and
* water treatment chemicals.
These will be supplied to standard specifications offered by different suppliers. All chemicals will be handled in accordance with COSHH Regulations as part of the quality assurance procedures and full product data sheets will be available.
Periodic reviews of all materials used will be made in the light of new products and developments. Any significant change of material, where it may have an impact on the environment, will not be made without firstly assessing the impact and seeking approval from the Environment Agency (EA).
The Operator will maintain a detailed inventory of raw materials used and will have procedures for the regular review of developments in raw materials used.
2.3 Emissions
2.3.1 Emissions to air
Emissions from the Facility will be released from the stack. Detailed air dispersion modelling of emissions has been undertaken.
The Waste incineration BREF was published by the European IPPC Bureau on 3 December 2019. The Waste incineration BREF introduces BAT-Associated Emission Limits (BAT-AELs) for all 'new plants', i.e. those which are granted an environmental permit after the Waste incineration BREF is published; this includes the Facility. The emission limits proposed within this application are consistent with the BAT-AEL's stated in the Waste incineration BREF.
2.3.2 Emissions to water and sewer
There will not be any discharges of process effluent to water from the Facility. Where practicable, process effluents will be re-used within the process. Excess amount of process effluent will require discharge; it is currently intended to tanker these off-site for treatment at a suitably licensed waste management facility.
Surface water run-off from buildings, roadways and areas of hardstanding will be discharged, via silt traps and oil interceptors where appropriate, into the site surface water drainage system. The surface water drainage system will discharge into attenuation storage prior to infiltrated discharge via soakaway systems to groundwater. In the case of a fire or a significant spill occurring at the Facility, an isolation valve will prohibit the discharge of contaminated effluent off-site.
Domestic effluents from welfare facilities will be treated in a package treatment plant prior to discharge to a drainage field.
2.4 Monitoring
There will be continuous monitoring of emissions to air of the flue gases from the Facility. The monitoring system will include monitoring of oxygen, carbon monoxide, hydrogen chloride, sulphur dioxide, nitrogen oxides, ammonia, VOCs, and particulates. Other pollutants will be monitored by spot measurements at regular intervals. All continuous emissions measurements will be recorded, and operators will be alerted if emissions to air approach the permitted limits. The results of emissions monitoring will be reported to the EA.
The Facility will utilise modern control systems, which incorporate the latest advances in control and instrumentation technology. These systems will optimise the operation of the Facility.
2.5 Ground conditions
A Site Condition Report has been developed which details the ground conditions within the installation boundary.
All chemicals will be stored in an appropriate manner to ensure appropriate containment and secondary and tertiary abatement measures where appropriate. The potential for accidents, and associated environmental impacts, is therefore limited.
Deliveries of all chemicals will be unloaded and transferred to suitable storage facilities. Areas and facilities for the storage of chemicals and liquid hazardous materials will be situated within secondary containment, such as bunds. Secondary containment facilities will have capacity to contain whichever is the greater of 110% of the tank capacity or 25% of the total volume of materials being stored, in case of failure of the storage systems.
Tanker off-loading of chemicals will take place within areas where the drainage is contained with the appropriate capacity to contain a spill during delivery.
Upon cessation of the operation of the Facility, a site closure plan will be implemented, and any pollution risks will be removed from the site. The ground will be returned to a 'satisfactory state'.
2.6 Technology selection
The processes have been designed against the background of a detailed assessment of the prevailing environmental conditions at the site location, in order that the objectives of the Industrial Emissions Directive (IED) are met. Best Available Techniques will be employed at the Facility to minimize its impact upon the local environment.
A quantitative BAT Assessment has been completed for the Facility. This has demonstrated that the proposed techniques to be employed at the Facility will represent BAT in accordance with the relevant BAT guidance notes.
The following techniques are proposed to be employed at the Facility:
* SNCR with ammonia solution for the abatement of oxides of nitrogen;
* A moving grate for the combustion of waste;
* A dry system for the abatement of acid gases; and
* Lime to be used as a reagent for the abatement of acid gases.
2.7 Residues
The main solid residue streams arising from the Facility are:
1. Incinerator Bottom Ash (IBA); and
2. Air Pollution Control residues (APCr).
It is currently intended that the IBA from the Facility will be transferred to an off-site IBA processing facility, for reuse as a secondary aggregate or similar.
APCr is classified as hazardous and requires specialist disposal or treatment. It is currently proposed to transfer the APCr to a suitably licensed waste treatment facility for treatment/recovery. If a suitable facility cannot be identified, the APCr may be sent to a suitably licensed hazardous waste disposal facility.
2.8 Management
To ensure effective management of the Facility, Veolia will develop a site-specific documented management system that clearly defines the management structure for the Facility, as well as setting out the roles and responsibilities of all staff. The scope of Veolia's current certification to ISO 14001 is for Veolia's current operations. The scope will be extended to cover the Facility, including the receipt, handling and combustion of waste fuels and transfer of residues off-site.
Veolia ES Hampshire Ltd
Kingsgate (Floor 3), Wellington Road North, Stockport, Cheshire, SK4 1LW, United Kingdom
16 December 2020
S2808-0420-0009KLH
t: +44 (0)161 476 0032 f: +44 (0)161 474 0618 www.fichtner.co.uk
Non-technical Summary
Page 10
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УДК 351.86:316.774:34]=111
V. I. Kunchenko-Kharchenko, D.Sc., professor
e-mail: firstname.lastname@example.org O. M. Panasko, Ph.D., associate professor e-mail: email@example.com Cherkasy State Technological University Shevchenko blvd., 460, Cherkasy, 18006, Ukraine
INFORMATION SECURITY IN UKRAINE. CONTEXT OF NORMATIVE LEGAL SUPPLY
In view of the rapid information technologies development, intensive implementation of information and telecommunication systems in various spheres of state's activity, modern world trends in information society, there is a need to consider the concept and content of information security. Due to the fact that today a number of main threats to the state's information security are realized in cybernetic space, special attention should be paid to the notion of cybernetic security as an independent component of Ukraine's national security in relation to the sphere of information security and its legal security. In the article an analysis of the current state for regulatory of information security is made from the point of view of an integrated approach, such as general requirements to information security, requirements to the security of information infrastructure and security requirements of information technologies.
Key words: information security, national security, information resources, legal regulation in the field of information security, threats to information security, national security strategy, cybernetic security, information and telecommunication systems.
Introduction. The current stage of society development is characterized by the growing role of the information sphere, which is a set of information, information infrastructure, entities that are engaged in the formation, dissemination and use of information, and the system for regulation of social relations that arise in this. Information sphere is a system-forming factor for the society existence, which has a powerful influence on the various components of state security, including political, economic, defense and others. Modern information technologies provide new possibilities for processing, transmission and storage of information and increase the level of information resources access for users. Today there is an intensification of the processes for informatization of state agencies, in the banking sector, the growth of powerful commercial structures, their integration at the international level, the aggravation of the criminal situation and a number of other factors, which causes a rapid increase in information security interest.
in creating a well-developed and protected informational environment, it is a determining factor in the interests of any state, is an indispensable condition for the development of society and the state. The presence of a developed information infrastructure, the powerful introduction of modern information technologies and systems, brings to the new level the processes of management at different levels, in particular state level, level of institutions, enterprises and organizations, levels of information and telecommunication systems.
Problem statement and literature analysis. Information security plays an important role
The context of information security is of great importance, due to the growing importance and social significance of information, increasing its impact on all spheres of public life, increasing the amount of information accumulated in databases of different purposes, the complication of technical means, the development of technologies and other factors. The analysis of the sources proves that domestic and foreign researchers pay great attention of the information security issues. In this area it should be noted the works of O. Sosnin, V. Lipkan, B. Kormich, V. Grubov,
V. Domarev, I. Binko, V. Muntiyan, G. Pocheptsov, A. Lytvynenko, V. Buryachok, V. Butuzov, V. Tolubko, O. Dovhan, V. Khoroshko, S. Tolyupa and others. Among recent studies on information security it is reasonable to name the works of V. Bogdanov, V. Gorbulin, S. Gusarev, G. Ivaschenko, V. Kartashov, M. Levyts'ka, V. Lopatin and others.
The purpose of the article is to carry out a review of legal and regulatory provision in the information security sphere from the state level to the level of information and telecommunication systems, and to segregate the concept of "cybernetic security" in the context of information security and review its legal regulation.
In order to cover a variety of views on the definition of information security, it is advisable to classify them according to the content of approaches to this concept. As a result, some of them are listed below.
In a broad sense, information security is the state of the information environment security of society, which ensures its formation, use and development in the interests of citizens, organizations and the state.
The main part of the study. The concept of information security is connected with scientific research, practical human activities, the formation of regulatory and legal support. With information security related such concepts as the information environment of the society, interests in the information sphere, objects and subjects of information security, threats, principles of information security, types of information security and others (fig. 1). It should be noted that today in the scientific literature, among the specialists working in this area, there is no single approach to the concept of "information security". According to researchers, it can be interpreted as a state, process or activity, on the other side – as a property, ability, function.
By focusing on the processes of preservation, processing and information transmission, the notion of information security will become more restrictive, which will accordingly affect the definition of the term as the state of information security and its infrastructure against accidental or deliberate acts of a natural or artificial nature that can to cause unacceptable damage to the subjects of information relations, in particular, owners and users of information and infrastructure.
In terms of the main information properties as a security object, the "model CIA" is often used, which includes three defining properties: confidentiality, integrity and availability. Then information security is the preservation of the confidentiality, integrity and availability of information. Other specified properties may also be taken into account, such as authenticity, traceability, integrity and reliability.
In the context of information law, the term "information security" is one of the aspects of the consideration for information relations in the information legislation sphere in terms of protecting the vital interests of the individual, society, state and focusing on the threats to the realization of relevant interests, and mechanisms for preventing or eliminating such threats through legal methods.
The concept of information security is closely linked to the protection of information sovereignty of the state, therefore, information security can be considered as the protection of internal information – the security of the information quality, its reliability, the security of various branches of information from divulgation, and the security of information resources.
Information security can be considered as a set of actions related to ensuring the right to information protection, the right to ownership of information, the right to protection against information and informational influences, and the right to information and freedom of information activity. In this regard, according to some researchers in the information security sphere, it is represented by three structural components:
information and technical safety (information protection with restricted access in accordance with the legislation);
information and psychological security (protection against informational influences that are negative);
information security in the field of human and civil rights and freedoms (realization of the citizens right to information access, observance of the basic principles of information relations, in particular, the guarantee of the information right, openness, accessibility, reliability and completeness of information) [10].
The concept of information security is appropriate for its levels, in particular personality, society, state [9]. At the state level, the activities of state agencies in the aspect of information and analytical support, information provision of the interstate level in internal and foreign policy, the system of protection for information with restricted access etc. are presented. The society's level of information security correlates with the quality of the information and analytical space, the wide possibilities of obtaining information, the presence of independent powerful media. Information security of a person's level is characterized by the formation of rational, critical thinking, driven by the principles of choice freedom [1].
The analysis of the current normative base shows the inclusion of information security of Ukraine in the Ukrainian Constitution, in particular, in Article 17: "Protection of the sovereignty and territorial integrity of Ukraine, ensuring its economic and information security are the most important state's functions, the affair of the entire Ukrainian people", and in the complex normative legal acts of the Verkhovna Rada, the President of Ukraine, the Cabinet of Ministers, central executive agencies [2].
The Law of Ukraine "On the Concept of the National Program of Informatization" states that "information security is an integral part of the political, economic, defense and other components of national security", the objects of which are information resources, channels of information exchange and telecommunications, mechanisms ensuring the functioning of telecommunication systems and networks and other elements of the country's information infrastructure [5].
According to the Law of Ukraine "On the Fundamentals of National Security of Ukraine" as the main vector for ensuring the security of our state, information security is one of the public administration areas among such as: law enforcement, fighting corruption, border activities and defense, migration policy, education and science, scientific, technical and innovation policy, cultural development of the population and information security when a real or potential threats for national interests will appear [4]. Consequently, according to this law information security is a component of national security.
In the works of many scholars and researchers, information security is presented as an integral component and an independent direction of national security, in particular, B. A. Kormich characterizes information security as an information component of national security in the proportion of "part-whole" [10].
To date, a number of Ukrainian laws and other normative documents for different levels have been formed, which in general cover the problems of ensuring the state's information security, in particular, the laws of Ukraine ("On Information", "On Fundamentals of National Security", "On the State Service for Special Communications and Protection Information of Ukraine ", "On State Secrets", "On Protection of Information in Information and Telecommunication Systems", etc.), legal acts of the President
and the Cabinet of Ministers of Ukraine ("National Security Strategy", "Concept of information technical security in Ukraine"), international and state standards in terms of providing information security, normative documents of the information technical protection system, international agreements, the consent to which are allowed by the Verkhovna Rada of Ukraine, and substatutory legal acts issued for their implementation.
It should be noted that the Verkhovna Rada of Ukraine has not yet elaborated and not adopted some of the basic legal acts of this sphere, first of all, a law that would define the Concept of information security as a systematized set of data about the information state security and the ways of its provision, which provided the possibility to carry out system classification of destabilizing factors and information threats to the security of the individual, society and the state, the formation of the basic provisions of information state security ensuring and the development of proposals on ways and forms of information security ensuring.
According to information security which is characterized as an information component of national security and national security what is defined as state of safety from internal and external threats that ensures the existence of a person, society and state, which are guaranteed by the Constitution and Ukrainian laws, information security should be perceived as safety's state from external and internal threats in the information circulation sphere. Many researchers consider information security as a way that is opposed to internal and external threats.
In accordance with the Strategy of National Security of Ukraine [3], the main threats to information security were identified, in particular, information warfare against Ukraine, lack of integral communicative state policy, insufficient level of media culture of society, threats to cybersecurity and to information resources security caused by vulnerability of the critical infrastructure objects and state information resources to cyberattacks, physical and moral obsoleteness of state secrets protection and other types of information with the limited access; threats to the critical infrastructure security, caused by wear and tear of infrastructure assets and insufficient level of their physical protection, insufficient level of critical infrastructure protection from terrorist attacks and sabotage, and ineffective management of the critical infrastructure security.
Today there are new challenges the main threats to the state's information security, in particular, attacks on the state's information resources, the emergence of the conducting cyberwar concept, the creation of special structures in the armed forces of a number of world countries designed to conduction such a struggle, manipulation of public consciousness through the spread of inaccurate, incomplete or biased information, the appearance of threats to critical infrastructure objects of the state and society are unfolding in the cybernetic space. The new edition of National Security Strategy of Ukraine (№287 / 2015) [3], approved by the Decree of the President of Ukraine (May 26, 2005) for the first time distinguishes cybernetic security as an independent component of Ukrainian national security in relation to the information security sphere (Fig. 2). The penetration of information and telecommunication technologies in all spheres of public life causes the close connection of cybersecurity with other areas of national security, in particular, military, defense, economic, scientific and technical, ecological, etc. [8].
The main task of the state, economy and society both at the state and international levels is the issue of the cybernetic space defense. Much attention is paid to the legal regulation of cybernetic security issues. The main objective of the regulatory framework in the cybersecurity sphere is to create conditions and ensure the safe cyberspace functioning for the implementation of communications and social relations based on the unified communication systems, and the provision of electronic communications using the Internet and other global data transmission networks. In this direction the Strategy of Cybersecurity of Ukraine, the Law of Ukraine "On the Basic Principles of Cybersecurity of Ukraine" was developed [7].
The main subjects of the national cyber security system are the State Service for Special Communications and Information defense of Ukraine, the Security Service of Ukraine, the Ministry of Defense and the General Staff of the Armed Forces of Ukraine, intelligence agencies, the National Bank of Ukraine, which carry out functions and tasks assigned to them in accordance with the Constitution and laws of Ukraine.
Fig. 2. Interconnection of information security and cybersecurity
The strategy defined priorities for providing cyber security and information resources, such as the development of state information infrastructure; creation of a cybersecurity system, development of the Computer Emergency Response Network (CERT); monitoring of cyberspace in order to detect, prevent and eliminate cyber threats in a timely manner; development of law-enforcement agencies' capacity to investigate cybercrime; security of critical infrastructure objects, state information resources from cyberattacks, refusal of software, in particular antivirus, developed in the Russian Federation; reforming the system of state secrets protection and other restricted information, state information resources defense, e-government systems, technical and cryptographic information security, creation of a cybersecurity training system for the security and defense sector; development of international cooperation in the cyber security sphere.
number of normative documents on technical protection of information. The standards of information security (international standards of ISO, domestic DSTU) have been developed to define requirements for quality indicators, control methods and evaluation of the information and telecommunication systems effectiveness. These normative documents define the bases and provisions of information security organization at all stages of the information and telecommunication systems life cycle. The using of information security standards for some organizations and institutions has a recommended character, while for others, in particular, for banking structures is mandatory.
Information security is a problem of high complexity, which requires an integrated approach at different levels: state, institution or organization, level of information and telecommunication systems (ITS). At present, a significant amount of information resources focused on modern ITS are determined by commercial value, and that's why there is a tendency to increase the number of attacks and unauthorized access to information systems in order to capture the necessary information assets. The issue of information security in modern information and telecommunication systems and networks deserves due attention in the general aspect of information security. The basic regulatory documents for the design of protected information and telecommunication systems are the Law of Ukraine "On Information Security in ITS" [12] and a
At the level of institutions (organizations) management of information security is inextricably linked with the process approach. The International Standard ISO/IEC 27001 is based on the PDCA-model (Plan-Do-Check-Act), which structures and coordinates all processes of the Information Security Management System (ISMS). The sphere of ISMS includes the general organization, data classification, access systems, planning directions, employee responsibility, and the risk assessment using.
The list of standards in the ISO/IEC 27000 series includes about two dozen titles. These include, in particular, ISO/IEC 27000: 2005 (Definitions and Basic Principles), ISO/IEC 27001: 2005 (Information Security Management Systems), ISO/IEC 27002: 2005 (Practical Rules for Information Security Management), ISO/IEC 27003: 2010 (Information Security Management Implementation Guide), ISO/IEC 27005: 2011 (Information Security Risk Management), ISO/ IEC 27035: 2011 (Information Security Incident Management) and others. The introduction of standards for information security management will reduce the estimated costs of developing, implementing and maintaining an information security system, managing risks, optimally identifying the most influential risks, minimizing their implementation, developing an appropriate and effective information security policy that will have a positive impact on the information security of institutions (organizations).
In general, it should be noted that the information security requirements are expedient at all levels of legislation, in particular, constitutional legislation, basic general laws, special laws, laws on the organization of the state system governance, departmental legal acts etc. The implementation of information security is carried out on the integrated approach basis and implemented at the state level, institutions and organizations and information and telecommunication systems, in compliance with the general requirements for information security, requirements for information infrastructure security and requirements for security of information technologies means.
Conclusions and prospects of research. The article defines the concept and content of information security, analyzes the status of regulatory and information security regulation as an integral part of Ukraine's national security, defines the legal regulation of the legal framework in the information security sphere, identifies the concept of "cybernetic security" and analyzes its legal basis. Particular attention is paid to the legal and regulatory framework for ensuring the information security of modern information and telecommunication systems.
References
1. Information security of Ukraine. URL: uk.wikipedia.org/wiki/information_bid_Ukr aine
2. The Constitution of Ukraine (1996). URL: http://zakon4.rada.gov.ua/laws/show/254k/ 96-vr. Title from the screen.
3. Decree of the President of Ukraine "On the decision of the National Security and Defense Council of Ukraine dated May 6, 2015 "On the Strategy of National Security of Ukraine" dated May 26, 2015, No. 287/2015. URL: http://zakon2.rada. gov.ua/laws/show/287/2015
4. On the Fundamentals of National Security of Ukraine: Law of Ukraine dated June 19,
2003. URL: http://uadocs.exdat. com/docs/ index-208817.html
5. About the Concept of the National Program of Informatization: Law of Ukraine dated 04.02.1998 No. 75.98-BP (1998). Bulletin of the Verkhovna Rada of Ukraine, No. 27– 28, art. 182 [in Ukrainian].
6. About information: Law of Ukraine. URL: http://zakon.rada.gov.ua/cgi-bin/laws/main. cgi?nreg=2657-12.
7. About the basic principles of providing cybersecurity in Ukraine: Law of Ukraine dated 05.10.2017 No. 2163-VIII (2017). Bulletin of the Verkhovna Rada of Ukraine, No. 45, art. 440 [in Ukrainian].
8. Buryachok, V. L., Tolubko, V. B., Khoroshko, V. O., Tolyupa, S. V. (2015) Information and cybersecurity: sociotechnical aspect: textbook / ed. by Dr.Tech.Sc., professor V. B. Tolubko. Kyiv: DUT, 288 p. [in Ukrainian].
9. Bohush, V., Yudin, O. (2005) Information security of the state. Kyiv: MK-Press [in Ukrainian].
10. Oliynyk, O. V. (2012) Regulatory provision of information security in Ukraine. Law and Society, No. 3, p. 132 [in Ukrainian].
11. Kovtun, S. V. (2009) Information security: textbook. Kharkiv. KhNEU, 368 p. [in Ukrainian].
12. On the information protection in information and telecommunication systems: Law of Ukraine dated 04.19.2014. URL: http://zakon3.rada.gov.ua/laws/show/ 80/94-vr
Список літератури
1. Інформаційна безпека України. URL: uk.wikipedia.org/wiki/інформаційна_безп ека_України
2. Конституція України, 1996. URL: http://zakon4.rada.gov.ua/laws/show/254к/ 96-вр. Назва з екрану.
3. Указ Президента України «Про рішення Ради національної безпеки і оборони України від 6 травня 2015 року «Про Стратегію національної безпеки України» від 26 травня 2015 року № 287/2015. URL: http://zakon2.rada.gov.ua/laws/show/ 287/2015
4. Про основи національної безпеки України: Закон України від 19.06.2003 р. URL:
http://uadocs.exdat.com/docs/index208817.html.
5. Про Концепцію Національної програми інформатизації: Закон України від 04.02.1998 р. № 75.98–ВР. Відомості Верховної Ради України. 1998. № 27–28. Ст. 182.
6. Про інформацію: Закон України. URL: http://zakon.rada.gov.ua/cgi-
bin/laws/main.cgi?nreg=2657-12
7. Про основні засади забезпечення кібербезпеки в Україні: Закон України від 05.10.2017 № 2163-VIII. Відомості Верховної Ради України. 2017. № 45. Ст. 403.
кібербезпека: соціотехнічний аспект: підручник / за заг. ред. д-ра техн. наук, проф. В. Б. Толубка. Київ: ДУТ, 2015. 288 с.
9. Богуш В., Юдін О. Інформаційна безпека держави. Київ: МК-Прес, 2005.
10. Олійник О. В. Нормативно-правове забезпечення інформаційної безпеки в Україні. Право і суспільство. 2012 № 3. С. 132.
11. Ковтун С. В. Інформаційна безпека: підручник. Харків: Вид-во ХНЕУ, 2009. 368 с.
8. Бурячок В. Л., Толубко В. Б., Хорошко В. О., Толюпа С. В. Інформаційна та
12. Про захист інформації в інформаційнотелекомунікаційних системах: Закон України від 19.04.2014 р. URL: http:// zakon3. rada.gov.ua/laws/show/80/94-вр
В. І. Кунченко-Харченко,д.т.н., професор
e-mail: firstname.lastname@example.org
О. М. Панаско,к.т.н., доцент
e-mail: email@example.com
Черкаський державний технологічний університет б-р Шевченка, 460, м. Черкаси, 18006, Україна
ІНФОРМАЦІЙНА БЕЗПЕКА В УКРАЇНІ. КОНТЕКСТ НОРМАТИВНО-ПРАВОВОГО ЗАБЕЗПЕЧЕННЯ
Зважаючи на бурхливий розвиток інформаційних технологій, інтенсивне впровадження інформаційно-телекомунікаційних систем у різноманітні сфери діяльності держави, сучасні світові тенденції щодо інформатизації суспільства, з'являється необхідність у розгляді поняття та змісту інформаційної безпеки. У зв'язку з тим, що на сьогоднішній день ряд основних загроз інформаційній безпеці держави реалізуються у кібернетичному просторі, окрему увагу слід приділяти поняттю кібернетичної безпеки як самостійної складової національної безпеки України по відношенню до сфери інформаційної безпеки, а також його правовому забезпеченню. В статті проведено аналіз сучасного стану нормативно-правового забезпечення інформаційної безпеки з точки зору комплексного підходу, а саме: загальних вимог до інформаційної безпеки, вимог до безпеки інформаційної інфраструктури та вимог до безпеки засобів інформаційних технологій.
Ключові слова: інформаційна безпека, національна безпека, інформаційні ресурси, нормативно-правове регулювання у сфері інформаційної безпеки, загрози інформаційній безпеці, стратегія національної безпеки, кібернетична безпека, інформаційно-телекомунікаційні системи.
Стаття надійшла 1.03.2018.
Статтю представляє В. І. Кунченко-Харченко, д.т.н., професор.
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2014-2018 Data Trends: Family Involvement in Mental Health and Drug & Alcohol Treatment/Recovery
January 31, 2019
Valerie Melroy, Chief Executive Officer
Susan Benzie, Director Data, Research and Design
Bucks County Consumer/Family Satisfaction Team
Data Regarding Family Involvement in Bucks County Mental Health and Drug & Alcohol Treatment/Recovery 2014-2018
As the Consumer and Family Satisfaction Team (CFST) in Bucks County, Voice and Vision, Inc. interviewed hundreds of people over the years regarding their experience with their mental health and/or drug & alcohol treatment.
In 2012, we reviewed what we had heard over the years from individuals and families. One of the salient findings was that family members wished it hadn't taken them so long to learn about available services and supports and how to best help their family member. Research literature also confirmed that individuals experience more healing and greater success through relationships in their own community and families.
As a result of these findings, in the last few years we have been asking people who they turn to for help and support besides the professional staff providing their services. In every survey project, a large percentage of people (69% to 88%, depending on the project) say they reach out to family. At the same time, we hear from individuals and family members that families are often only marginally included, if at all, in a person's treatment experience.
We offer this summary of data gathered over the last five years from individuals and families as a catalyst for conversations about family involvement in treatment and recovery. Following is a summary of four question areas about which individuals and families were asked. These are reviewed on the following pages:
- Is there a need for family involvement in mental health and/or drug & alcohol treatment/recovery?
- How have mental health and drug & alcohol providers been involving families in an individual's treatment and recovery (from the perspective of people we interviewed)?
- What do people in mental health and/or drug & alcohol treatment (and their families) want others to know?
- How do providers educate family members (or others important to people) to better understand challenges they face (from perspective of people interviewed)?
Because these question areas comprise a compilation from various surveys, not all questions were posed to all respondents represented in this report.
- Where did Voice and Vision find this data?
We reviewed surveys from 2014-2018, and compiled data regarding family involvement from the following surveys:
| Survey type | Year of survey | # of adults surveyed |
|---|---|---|
| Adult Inpatient | 2016 | 21 |
| ACT/FACT/CTT | 2016 | 80 |
| D&A Transition Age Youth (ages 14-26) | 2015 | 74 |
| D&A Family Engagement | 2017 | 44 |
| Recovery Surveys | 2014/15, 2015/16, 2016/17, 2017/18 | 183 82 65 65 |
| Total | | 614 |
- Is there a need for family involvement in mental health and/or drug & alcohol treatment/recovery?
o Of the 496 people we interviewed over the past five years who were asked "Who do you turn to for support?", 367 (74%) reported that they turn to family for support.
o During the 14/15 Recovery survey, people were asked what helps them prevent crisis/relapse. The top responses were "family, friends, other relationships"; 40% of those who had experienced a recent Inpatient stay gave this response. In the 2015/16 survey, over 40% of all respondents indicated that family/friends helped prevent crisis/relapse. During 2017/18 survey, when people were asked what is helping them to prevent crisis or relapse, over 80% replied "contact family or friends".
o When youth/young adults in treatment for drug & alcohol use were asked if it is important to include family members (or other people important to them) in their treatment, 75% said "yes". The youth/young adults gave the following reasons for including family members/others in a person's treatment:
- It helps to have visits, call, and support of family (when in an inpatient setting)
- Including family helps the family better understand what it's like to be an addict
- Having family involved provides motivation
- Family can learn to support recovery in positive ways
- Including families enables therapist to understand the family history
- It's important to heal relationships and rebuild trust
- Being separated from family is traumatic
- If there is no family to include, then it would be important to identify another person able to support the person in treatment
o Families interviewed about their engagement in their family member's D&A treatment shared the following insights about the positive contribution engaging families offers to a person's recovery:
- Maintains connection to family so that they realize that people care about them
- Increases awareness of how their addiction impacts others
- Provides motivation to remain in treatment
- Sharing of family insight and knowledge of history enhances the therapeutic interventions
- Family members can be effective advocates and assist with practical tasks difficult for their family member during the early stages of recovery
- Family involvement ensures the family and therapist are "on the same page" to minimize manipulation by person in treatment
- How have mental health and drug & alcohol providers been involving families in an individual's treatment and recovery (from the perspective of people we interviewed)?
As part of several survey projects, we sought to learn how an individual's provider supported their family or other important relationships. We asked several different questions on various surveys. Generally, few people reported family involvement in their treatment.
Inpatient Survey:
o Four people (29%) interviewed for the Inpatient survey said that their family was involved in developing their aftercare plan. Another three people (21%) told us that they would have liked to have their family involved. They shared a few ways family involvement was helpful to them:
- Their parent was able to hold medications and administer them allowing the individual to remain at home.
- Husband gained a greater understanding of the challenges the individual was dealing with, learned the signs of suicidality and how to handle them, and also learned how to get help when needed.
- One person ended up living with his mother after three months in a difficult aftercare situation. He felt having family involved in discharge planning would have been helpful as he's "burned a lot of bridges".
ACT/FACT/CTT survey:
o When asked how their team involved family and other significant people they reached out to, 44% said that the team doesn't involve them. Of those who did report family involvement, they indicated the following ways the team involved them:
- Keep family informed about "what's going on" (41%)
- Provide recommendations and encouragement for relating to family (9%)
- Work with family regarding bill paying or medication administration (3%)
Recovery Surveys (This is a survey of randomly selected individuals who have received mental health and/or substance use related services)
o Forty-nine respondents to the 2014/15 Recovery survey (29%) and fifteen respondents to the 2015/16 Recovery survey (33%) indicated that services helped them to connect to other people in their life.
o Sixty of the 65 respondents to 2016/17 Recovery Survey (92%) shared comments about how services helped them connect to supports other than professionals. Of those 60, fourteen (23%) indicated that they didn't need help connecting to other supports; 29 people (48%) said that their services don't help in this area.
o In the 2017/18 Recovery survey, 56 people (89%) indicated that, besides professionals, they turn to immediate/extended family or their significant other for support. Of those 56, 43 shared comments on a follow-up question about how their provider helps them; 36 of the 43 (84%) indicated that their provider helps them develop, foster or support relationships with people they turn to for support. Following is a summary of how their provider helped:
- Provided educational groups for families regarding diagnosis and symptoms of relapse
- Taught skills to improve relationships
- Brought family into therapy sessions
- Gave advice regarding relationships
D&A Family Engagement Survey
o We asked family members of people receiving treatment for drug/alcohol addiction about their involvement in various aspects of treatment. The following indicates the percentage of respondents who had never been involved in that aspect of their family member's treatment:
- 48% -- Assessment
- 33% -- Therapy
- 31% -- Family Education
- 33% -- Discharge Planning
o When family were involved in the above phases of treatment, they reported the following as helpful:
- Assessment: Being listened to, given an opportunity to share history and concerns, and being treated with respect and compassion were most helpful.
- Family therapy sessions: Family members reported talking to the counsellor prior to therapy regarding their questions and concerns and being kept informed by the therapist helped the therapy. Maintaining a structure to the therapy session was also reported as helpful
- Family Education: Providing quality speakers and media in education groups was important. Learning about the addiction process and what drugs do to the brain helped to build empathy and separate the person from their addiction. Family members also appreciated learning how to be supportive while allowing the person with an addiction to make their own decisions.
- Discharge: Being kept informed and provided assistance "step by step" along with aftercare referrals was reported as helpful. Families expressed a desire for more planning with family when the person in treatment is returning home to live. Discussing options with the family and helping the family make decisions regarding the discharge plan were also helpful.
- What do people in mental health and/or drug & alcohol treatment (and their families) want others to know?
ACT/FACT/CTT survey
o When asked what they would like people to know about mental illness and the process of recovery, 39% of ACT/FACT/CTT recipients indicated "to understand how difficult it is"; 15% indicated "to not judge/stereotype"; and 13% indicated "people need support". A few comments are particularly poignant:
- "I have mental health problems, but I'm not crazy." (She wanted people to know what various diagnoses entail.)
- "Don't be so judgmental. Don't immediately attribute everything to mental illness."
- "There can be too little help but there can also be too much help. If people are too involved in what you need to do for yourself, you become helpless. But if you get too little help, you get sicker."
D&A TAY survey
o Youth/young adults were also asked what they'd like people close to them to know about addiction and recovery to better understand the challenges they face. Over 30% of respondents gave responses that reflected the following themes:
- They need more understanding/knowledge/support
- Addiction is hard; it controls them, and they are powerless
- Addiction is a disease, not a choice
D&A Family Engagement survey
o Families shared what they have learned to help them better support their family member's recovery:
- It's important to connect with others experiencing a similar situation
- Be involved in treatment; learn about treatment options and seek well-trained and compassionate providers
- Set boundaries, don't enable, maintain empathy for the person with the addiction
- Learn about the disease of addiction
- Don't give up
- How do providers educate family members (or others important to people) to better understand challenges they face (from perspective of people interviewed)?
o We asked ACT/FACT/CTT recipients how their team educates people in their life to better understand the challenges they face. Over half (54%) indicated that the team doesn't do this. Others (30%) indicated that the team helps by talking to their family; the remaining 16% indicated either that the team didn't need to talk to them, that the family didn't want involvement with the ACT team, or that they provided education to people who weren't family.
o Family members interviewed in the D&A Family survey reported a wide range of practices. While most Inpatient facilities required family attendance at some sort of orientation, that sometimes consisted only of outlining rules and procedures. Families reported that family education programs that incorporated quality education about the brain and the process of addiction and recovery with peer support from other families were the most helpful.
- Recommendations
Based on our interactions with people we interviewed over the last five years as well as current research, we suggest that greater involvement of families in all phases of a person's treatment can have a positive impact on both mental health and substance use recovery. We also heard from providers about the barriers they encounter in including families in treatment. The top three were resistance from the individual, unhealthy or stressful family interactions, and lack of interest of families. However, feedback from professionals seems to indicate that they often see family "involvement" as the same as family "therapy". We suggest that family "involvement" exists on a continuum with family "therapy" being one aspect of the continuum.
We therefore offer the following recommendations for consideration as ways to overcome barriers and increase family involvement in treatment and recovery:
o Help families to feel welcome at all stages of a person's treatment experience through compassionate and respectful interaction and by listening to their concerns.
o Connect people and their families at the first point of contact to other people & families who have faced similar challenges.
o Continue to build more opportunities for peer support, both for individuals and for families. This can be either formal peer support through a Certified Peer/Recovery Support individual (CPS or CRS) or informal peer support through encouragement of participation in peer-run community groups and informal relationships.
o Educate people in treatment about the benefits of involving families and give them options regarding the level of involvement. Periodically revisit to assess the appropriate level of involvement.
o Provide ways for families to be involved even when the person in treatment does not sign releases:
- Enable families to share their observations and concerns
- Offer opportunities for family support and education
- Provide designated contacts where families can get general information about the treatment program and receive advice based on general principles
- Inform families about treatment options and resources
o Engage families, and/or other people important to the individual in treatment, whenever possible, in crisis prevention planning and discharge planning, especially with individuals who report turning to family and other supports in times of stress.
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PLAN COMMISSION MINUTES
The City Plan Commission held a regular Zoning Hearing on September 18, 2014, with the briefing starting at 10:40 a.m., in Room 5ES and the public hearing at 1:47 p.m., in the City Council Chambers of City Hall. Presiding were Gloria Tarpley, Chair and, Robert Abtahi, Vice Chair. The following Commissioners were present during the hearing: Mike Anglin, Neil Emmons, Emma Rodgers, Betty Culbreath, Tony Shidid, Jed Anantasomboon, Ann Bagley, Myrtl Lavallaisaa, John Shellene, Jaynie Schultz, Carolyn "Cookie" Peadon, Margot Murphy, and Paul E. Ridley. The following Commissioners were absent from this hearing as defined in the City Plan Commission rules: None. There are no vacancies.
The City Plan Commission was briefed by staff on each item on the agenda and a question and answer period followed each briefing.
A variety of dockets, requests and briefings were presented to the Commission during the open public hearing. The applicants or their representatives presented their arguments, citizen comments were heard, and using the information and staff recommendations in the hearing dockets, the Commission took the following actions.
NOTE: For more detailed information on discussion on any issue heard during this briefing and public hearing, refer to the tape recording retained on file in the Department of Sustainable Development and Construction. Briefing and public hearing recordings are retained on file for 90 days after approval of CPC minutes.
PUBLIC HEARINGS:
Subdivision Docket
Planner: Sharon Hurd
Pursuant to Texas Local Government Code Section 212.009(e) these minutes and recording of the hearing certify the reasons for denial of any plat application.
Consent Items:
(1) S134-230
Motion: It was moved to approve an application to replat a 2.159-acre tract of land containing all of Lots 1 through 24 in City Block 5/2466 into a 31-lot Shared Access Development ranging in size from 1,626 square feet to 4,223 square feet and one Common Area on property located at 3610 Miles Street, subject to compliance with the conditions listed in the docket.
Maker: Emmons
Second: Shellene
Result: Carried: 15 to 0
Speakers:
City Plan Commission September 18, 2014
For: 15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
Against:
Absent:
Vacancy:
None
(2) S134-231
Motion: It was moved to approve an application to replat a 0.0564-acre tract of land containing part of Lots 3, 4, and 5 in City Block 1/3450 into one lot on property located at 1012 Hampton Road, subject to compliance with the conditions listed in the docket.
Maker: Emmons
Second: Shellene
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
Against:
Absent:
Vacancy:
Speakers: None
(3) S134-232
Motion: It was moved to approve an application to replat a 0.826-acre tract of land containing all of Lots 11-15 in City Block 14/8570 into one lot on property located at 4750 Iberia Avenue, subject to compliance with the conditions listed in the docket.
Maker: Emmons
Second: Shellene
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
0
0
0
0
0
0
Speakers:
Against:
Absent: 0
Vacancy: 0
0
None
(4) S134-233
Motion: It was moved to approve an application to replat a 6.117-acre tract of land containing all of Lot 6 in City Block G/6045 and a 4.178-acre tract of land into one lot on property located north of West Camp Wisdom Road and west of Del Rey Drive, subject to compliance with the conditions listed in the docket.
Maker: Emmons
Second: Shellene
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
Against:
Absent:
Vacancy:
None
Speakers:
(5) S134-235
Motion: It was moved to approve an application to create a 17.595-acre tract of land in City Block C/6896 into one 2.359-acre lot and one 15.236-acre lot on property located southwest of the intersection of Crouch Road and Patrol Way, subject to compliance with the conditions listed in the docket.
Maker: Emmons
Second: Shellene
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
Against:
Absent:
Vacancy:
0
0
0
0
0
0
Speakers: None
(6) S134-236
Motion: It was moved to approve an application to create a 0.553-acre tract of land in City Block 6357 into one lot on property located at 8632 San Marino Avenue, subject to compliance with the conditions listed in the docket.
Maker: Emmons
Second: Shellene
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
Against: 0
Absent: 0
Vacancy: 0
None
Speakers:
(7) S134-239
Motion: It was moved to approve an application to replat a 7.103-acre tract of land containing all of Lots 1-16 in City Block 4; all of Lots 1-10 in City Block 9; all of Lots 12-22 in City Block 9; part of Lot 11 in City Block 9; and portions of the currently unimproved Ash Street, Cedar Street, Jefferson Street and all of a 15-foot wide alley across City Blocks 4 and 9, into Lots 1 and 2 in City Block A/6816, on property located at 660 Fort Worth Avenue, subject to compliance with the conditions listed in the docket with the following revisions: 1) Condition #7 amended to state, "All references of right-of-way to be abandoned by plat shall instead be denoted as 'REVOKED BY THIS PLAT'. This note shall be added to each street and alley. Also, a note shall be added to the GENERAL NOTES on the face of the plat, stating that the revocation is allowed per Section 51A-8.502 of the Development Code." and 2) Condition #21 amended to state, "Right-of-way cannot be abandoned by plat but can be removed by revocation per Section 51A-8.502 of the Development Code.".
Maker: Emmons
Second: Shellene
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
Speakers:
Against:
Absent:
Vacancy: 0
0
0
None
(8) S134-240
Motion: It was moved to approve an application to replat a 1.15-acre tract of land containing all of Lots 1-8 in City Block 4/186 into one 0.785-acre lot, one 0.144-acre lot, and one 0.221-acre lot, on property located at 2700 Commerce Street, subject to compliance with the conditions listed in the docket with the following revision: 1) Condition #16 amended to state, "On the final plat dedicate a 15-foot by 15-foot alley sight easement at Crowdus Street and the alley. An Estate in Expectancy will be the needed."
Maker: Emmons
Second: Shellene
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
0
0
Against:
Absent:
Vacancy: 0
None
Speakers:
(9) S134-241
Motion: It was moved to approve an application to replat a 2.474-acre tract of land containing all of Lots 23-27 and a part of Lot 28 in City Block 21/7890 into one lot on property located at 150 Turtle Creek Boulevard, subject to compliance with the conditions listed in the docket.
Maker: Emmons
Second: Shellene
Result: Carried: 15 to 0
For: 15 - Anglin, Emmons, Rodgers, Culbreath, Shidid,
Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
Speakers:
Residential Replats:
(10) S134-234
Motion: It was moved to approve an application to replat a 3.0070-acre tract of land containing part of Tract 10 into one 2.0070-acre lot and one 1.000-acre lot on property located at 4321 West Lawther Road.
This case was withdrawn by the applicant.
Street Name Change:
(11) NC134-004
Motion I: It was moved to recommend approval of a name change of South Lancaster Road, from East Illinois to Interstate Highway 20, to "Nelson Mandela Boulevard", subject to compliance with the conditions listed in the docket.
Maker: Culbreath
Second: Shellene
Result: Failed: 3 to 12
For: 3 - Culbreath, Shellene, Abtahi
Against:
12 - Anglin, Emmons, Rodgers, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Schultz, Peadon, Murphy, Ridley
Absent: 0
Vacancy: 0
Motion II: It was moved to recommend denial of a name change of South Lancaster Road, from East Illinois to the city limit line south of Interstate Highway 20, to "Nelson Mandela Boulevard".
Maker: Rodgers
Second: Ridley
Result: Carried: 14 to 1
For: 14 - Anglin, Emmons, Rodgers, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
0
0
Against:
Absent:
Vacancy: 0
None
City Plan Commission September 18, 2014
Against (Did not speak)
Against: 1 - Culbreath
Absent: 0
Vacancy: 0
Speakers: For: None
Against: Jeffrey McZeal, 2121 52
nd
St., Dallas, TX, 75216
Billie Scott, 2550 Palo Alto Dr., Dallas, TX, 75241
Lester Gamble, 1526 Summers Dr., Cedar Hill, TX, 75104
Glen Reno, 1926 Normandy Dr., Irving, TX, 75060
Ken Watterson, 4900 S. Lancaster Dr., Dallas, TX, 75216
Nancy Thomas, 2703 & 8422 S. Lancaster Dr., Dallas, TX, 75241
: Glenda Franks, 3201 Endres, Irving, TX, 75061
Warren Reynolds, 2618 S. Lancaster Dr., Dallas, TX, 75216
John Rose, 2108 Spanish Trl., Irving, TX, 75060
Miscellaneous Items:
D134-031
Planner: Danielle Jimenez
Motion: It was moved to approve a development plan for a portion of Subarea 1 in Planned Development District No. 883, north of Great Trinity Forest Way and west of Pemberton Hill Road.
Maker: Bagley
Second: Abtahi
Result: Carried: 11 to 3
For: 11 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley,
Murphy, Abtahi
Against: 3 - Schultz, Peadon, Ridley
Absent: 0
Vacancy: 0
Conflict: 1 - Shellene
Speakers: For: None
Against (Did not speak): Mary Warren, 4312 McKinney Ave., Dallas, TX, 75205 Linda Cooke, 4029 Lively Ln., Dallas, TX, 75220 Gawana Barker, 9191 Garland Rd., Dallas, TX, 75218 Sara Beckelman, 2705 Pennington St., Dallas, TX, 75062
D134-016
Planner: Danielle Jimenez
Motion: In considering an application for a development plan for Planned Development Subdistrict No. 67 within Planned Development District No. 193, the Oak Lawn Special Purpose District, on the northwest corner of Miles Street and Bowser Avenue, it was moved to hold this case under advisement and return with a plat application and a revised landscape plan.
Maker: Emmons
Second: Murphy
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
Against: 0
Absent: 0
Vacancy: 0
None
Speakers:
D134-017
Planner: Danielle Jimenez
Motion: In considering an application for a development plan for Planned Development Subdistrict No. 67 within Planned Development District No. 193, the Oak Lawn Special Purpose District, north of the intersection of Cedar Plaza Lane and Holland Avenue, it was moved to hold this case under advisement and return with a plat application and a revised landscape plan.
Maker: Murphy
Second: Ridley
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
Against:
Absent:
Vacancy:
None
0
0
0
Speakers:
D134-019
Planner: Danielle Jimenez
Motion: In considering an application for a development plan for Planned Development Subdistrict No. 67 within Planned Development District No. 193, the Oak Lawn Special Purpose District, on the east corner of Wheeler Street and Holland Avenue, it was moved to hold this case under advisement and return with a plat application and a revised landscape plan.
Maker: Emmons
Second: Shidid
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
0
0
Against:
Absent:
Vacancy: 0
None
Speakers:
D134-024
Planner: Charles Enchill
Motion: It was moved to approve a development plan for Planned Development District No. 625, north of East Camp Wisdom Road and west of Patrol Way.
Maker: Lavallaisaa
Second: Anglin
Result: Carried: 15 to 0
For: 15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
Against: 0
Absent:
Vacancy:
None
0
0
Speakers:
M134-001
Planner: Richard Brown
Motion: It was moved to approve a minor amendment to the site plan for Specific Use Permit No. 1816 for an Outside salvage or reclamation use on the north line of Singleton Boulevard, east of Pluto Street.
Anantasomboon
Maker:
Second: Schultz
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
Against:
Absent:
Vacancy:
0
0
0
None
Speakers:
M134-052
Planner: Richard Brown
Motion: It was moved to approve a minor amendment to the Tract 1A development plan for Planned Development District No. 486, on the west corner of Bank Street and Gurley Avenue.
Maker: Emmons
Second: Shellene
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
Against: 0
0
Absent:
Vacancy: 0
None
Speakers:
W134-013
Planner: Charles Enchill
Motion: It was moved to approve a waiver of the two-year waiting period in order to submit an amendment to increase floor area on property zoned Planned Development District 366, southeast corner of Jennie Lee Lane and South Buckner Boulevard.
Maker: Shidid
Second: Ridley
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
Against:
Absent:
Vacancy:
0
0
0
Speakers: For: Tailim Song, 13140 Coit Rd., Dallas, TX, 75240
For (Did not speak)
: Jordan Whiddor, 13140 Coit Rd., Dallas, TX, 75240
Shawn Bhagat, 2415 W. Northwest Hwy., Dallas, TX, 75220
Against: None
Zoning Cases – Consent:
1. Z134-271(WE)
Planner: Warren Ellis
Motion: It was moved to recommend approval of a Planned Development District for RR Regional Retail District uses and a truck stop, subject to a revised development plan, landscape plan and revised conditions with the following additions: 1) Under Section 51P-__.108, OFF STREET PARKING AND LOADING, add a subsection "(b)", to read as follows: "Commercial motor vehicles are prohibited from utilizing ingress/egress points other than the one ingress/egress point denoted on the development plan.", 2) Prior to Council consideration add a label to the development plan to restrict access of commercial motor vehicles to the 45 ft. ingress/egress point on the east side of the property and prohibit ingress/egress from all other locations, and 3) Under Section 51P-__111, SIGNS, add a subsection "(b)" to read as follows: "Signs shall be posted on the site to direct commercial motor vehicles to utilizing ingress/egress point denoted on the development and to prohibit utilization of other ingress/egress points.", on property zoned an RR Regional Retail District on the northwest corner of R.L. Thornton Freeway and West Wheatland Road.
Maker: Lavallaisaa
Second: Shellene
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley,
Abtahi
0
0
Against:
Absent:
Vacancy: 0
Notices: Area: 500
Mailed: 43
Replies: For: 4 Against: 4
Speakers: For: Santos Martinez, 900 Jackson St., Dallas, TX, 75202
Against: Sandy Jordan, 115 High Harvest Rd., Dallas, TX, 75241
2. Z134-274(WE)
Planner: Warren Ellis
Motion: It was moved to recommend approval of an LC Light Commercial Subdistrict within Planned Development District No. 193, approval a D-1 Liquor Control Overlay and approval of a Specific Use Permit for the sale of alcoholic beverages in conjunction with a restaurant without drive-through service for a five-year period with eligibility for automatic renewals for additional five-year periods, subject to a site plan and conditions on property zoned an MF-3 Multiple-Family Subdistrict within Planned Development District No. 193, the Oak Lawn Special Purpose District and a D Liquor Control Overlay on the south corner of McKinnon Street and Ivan Street.
Maker: Emmons
Second: Abtahi
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
Against: 0
Absent: 0
Vacancy: 0
Notices: Area: 200
Mailed: 114
Replies: For: 4 Against: 0
Speakers: None
3. Z123-375(OTH)
Planner: Olga Torres Holyoak
Motion: It was moved to recommend approval of an amendment to and the renewal of Specific Use Permit No. 1285 for a child-care facility for a five-year period with eligibility for automatic renewals for additional five-year periods, subject to a revised site plan and revised conditions on property zoned an R7.5(A) Single Family District on the south line of Forney Road, east of Urban Avenue.
Maker: Emmons
Second: Abtahi
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
0
Against:
Absent: 0
Vacancy: 0
Notices: Area: 200
Mailed: 20
Replies: For: 1 Against: 0
Speakers: For (Did not speak): Roy Jefferson, 8113 Turnberry St., Rowlett, TX, 75089 Against: None
4. Z134-181(OTH)
Planner: Olga Torres Holyoak
Motion: In considering an application for an application for a D-1 Liquor Control Overlay and a Specific Use Permit for the sale of alcoholic beverages in conjunction with a general merchandise or food store 3,500 square feet or less on property zoned an RR Regional Retail District with a D Liquor Control Overlay on the southwest corner of Jim Miller Road and Samuell Boulevard, it was moved to hold this case under advisement until October 23, 2014.
Maker: Emmons
Second: Abtahi
Result: Carried: 15 to 0
For: 15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
0
0
Against:
Absent:
Vacancy: 0
Notices: Area: 300
Mailed: 50
Replies: For: 0 Against: 4
Speakers: None
5. Z134-186(OTH)
Planner: Olga Torres Holyoak
Motion: It was moved to recommend approval of a D-1 Liquor Control Overlay and approval of a Specific Use Permit for the sale of alcoholic beverages in conjunction with a general merchandise or food store 3,500 square feet or less for a two-year period, subject to a site plan and conditions on property zoned a CR-D Community Retail District with a D Liquor Control Overlay on the west corner of Great Trinity Forest Way and Haas Drive.
Maker: Culbreath
Second: Shellene
Result: Carried: 9 to 6
For:
9 - Anglin, Culbreath, Shidid, Lavallaisaa, Tarpley, Shellene, Peadon, Murphy, Abtahi
Against:
6 - Emmons, Rodgers, Anantasomboon, Bagley, Schultz, Ridley
Absent: 0
Vacancy: 0
Notices: Area: 300
Mailed: 56
Replies: For: 0 Against: 3
Speakers: For: Hisham Awadelkariem, 401 Hawthorne Dr., Bedford, TX
Against: David Johnson, 3151 E. Ledbetter Dr., Dallas, TX, 75216
6. Z134-193(OTH)
Planner: Olga Torres Holyoak
Motion: In considering an application for a Specific Use Permit for the sale of alcoholic beverages in conjunction with a general merchandise or food store less than 3,500 square feet on property zoned a CR-D-1 Community Retail District with a D-1 Liquor Control Overlay on the southwest corner of Military Parkway and Elva Avenue, it was moved to hold this case under advisement until October 23, 2014.
Maker: Emmons
Second: Abtahi
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
Against:
Absent:
0
0
Vacancy: 0
Notices: Area: 200
Mailed: 24
Replies: For: 1 Against: 1
Speakers: None
7. Z134-272(OTH)
Planner: Olga Torres Holyoak
Motion: It was moved to recommend approval of a Specific Use Permit for a private school for a ten-year period with eligibility for automatic renewals for additional ten-year periods, subject to a site plan, traffic management plan (submitted in two-year intervals) and conditions on property zoned an R-7.5(A) Single Family District on the northeast corner of East Lovers Lane and Skillman Street.
Maker: Ridley
Second: Murphy
Result: Carried: 13 to 0
For: 13 - Anglin, Emmons, Rodgers, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Schultz, Peadon, Murphy, Ridley, Abtahi
Against: 0
Absent: 2 - Culbreath, Shellene
Vacancy: 0
Notices: Area: 400
Mailed: 159
Replies: For: 8 Against: 2
Speakers: For: Karl Crawley, 900 Jackson St., Dallas, TX, 75202
Against: None
September 18, 2014
8. Z134-288(CG)
Planner: Carrie Gordon
Motion: It was moved to recommend approval of a Specific Use Permit for a tattoo studio and a body piercing studio for a five-year period with eligibility for automatic renewals for additional five-year periods, subject to a site plan and conditions on property zoned Tract A of Planned Development District No. 269, the Deep Ellum/Near East Side Special Purpose District on the north line of Main Street, west of Exposition Avenue.
Maker: Emmons
Second: Abtahi
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
Against:
Absent:
Vacancy:
0
0
0
Notices: Area: 200
Mailed: 17
Replies: For: 3 Against: 1
Speakers: None
9. Z134-164(MW)
Planner: Megan Wimer
Motion: In considering an application for a Planned Development District for MF-2(A) Multifamily District and college, university, or seminary uses on property zoned MF-2(A) Multifamily District at the east corner of Bryan Street and North Munger Boulevard, it was moved to hold this case under advisement until October 2, 2014.
Maker: Emmons
Second: Abtahi
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
0
0
Against:
Absent:
Vacancy: 0
Notices: Area: 500
Mailed: 79
Replies: For: 2 Against: 2
Speakers: For: None
: Joanna Hampton, 5408 Swiss Ave., Dallas, TX, 75214
Against (Did not speak)
10. Z134-190(MW)
Planner: Megan Wimer
Motion: It was moved to recommend approval of an amendment to and renewal of Specific Use Permit No. 1717 for a vehicle display, sales, and service use for a three-year period with eligibility for automatic renewals for additional three-year periods, subject to a revised site plan and conditions on property zoned Subdistrict 1 in Planned Development District No. 535, the C.F. Hawn Special Purpose District No. 3, on the northwest corner of C.F. Hawn Freeway and Haymarket Road.
Maker: Emmons
Second: Abtahi
Result: Carried: 15 to 0
For:
15 - Anglin, Emmons, Rodgers, Culbreath, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Shellene, Schultz, Peadon, Murphy, Ridley, Abtahi
Against:
Absent:
0
0
Vacancy: 0
Notices: Area: 200
Mailed: 10
Replies: For: 0 Against: 0
Speakers: None
11. Z134-210(MW)
Planner: Megan Wimer
Motion: It was moved to recommend approval of amend and expand Specific Use Permit No. 1995 for an open-enrollment charter school for an eighteen-year period with eligibility for automatic renewals for additional tenyear periods, subject to a site plan, traffic management plan and conditions on property zoned a CR Community Retail District and an NO(A) Neighborhood Office District on the north side of West Camp Wisdom Road and the east side of South Westmoreland Road.
Maker: Rodgers
Second: Schultz
Result: Carried: 13 to 0
For:
13 - Anglin, Emmons, Rodgers, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Schultz, Peadon, Murphy, Ridley, Abtahi
Against:
Absent:
0
2 - Culbreath, Shellene
Vacancy: 0
Notices: Area: 400
Mailed: 80
Replies: For: 2 Against: 0
Speakers: For: Tommy Mann, 500 Winstead Bldg., Dallas, TX, 75201
For (Did not speak)
: William Scott, 826 Granada Dr., Duncanville, TX, 75116
Against: None
Commissioner Bagley moved to change the order of the agenda and hear Zoning Case - Individual Item #18 Z123-342(MD) next. Commissioner Abtahi seconded the motion. Commissioners Culbreath and Shellene were absent when vote was taken. The Commission unanimously voted to hear #18 Z123-342(MD) next.
Zoning Cases – Under Advisement:
12. Z134-102(MW)
Planner: Megan Wimer
Motion: It was moved to recommend denial without prejudice of a CR Community Retail District with deed restrictions volunteered by the applicant on property zoned an MF-2(A) Multifamily District on the south side of Silver Falls Boulevard, east of Mirror Lake Drive.
Maker: Shidid
Second: Murphy
Result: Carried: 13 to 0
For:
13 - Anglin, Emmons, Rodgers, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Schultz, Peadon, Murphy, Ridley, Abtahi
Against: 0
Absent: 2 - Culbreath, Shellene
Vacancy: 0
Notices: Area: 200
Mailed: 12
Replies: For: 0 Against: 0
Speakers: None
13. Z134-268(CE)
Planner: Charles Enchill
Motion: It was moved to recommend approval of a Specific Use Permit for a tower/antenna for cellular communication limited to a monopole cellular tower for a ten-year period with eligibility for automatic renewals for additional tenyear periods, subject to a site plan and conditions on property zoned a CR-D1 Community Retail District with a D-1 Liquor Control Overlay, generally northeast of Lawnview Avenue and Military Parkway.
Maker: Shidid
Second: Murphy
Result: Carried: 11 to 0
For: 11 - Anglin, Emmons, Rodgers, Shidid, Anantasomboon, Lavallaisaa, Tarpley, Schultz, Peadon, Murphy, Abtahi
Against: 0
Absent: 2 - Culbreath, Shellene
Vacancy: 0
Conflict: 2 - Bagley, Ridley
Notices: Area: 200
Mailed: 5
Replies: For: 1 Against: 0
Speakers: For: Peter Kavanagh, 1620 Handley Dr., Dallas, TX, 75208
Against: None
14. Z134-277(AF)
Planner: Aldo Fritz
Motion: It was moved to recommend approval of an IM Industrial Manufacturing District on property zoned IR Industrial Research District on the north side of West Northwest Highway, east of Luna Road.
Maker: Anantasomboon
Second: Shidid
Result: Carried: 12 to 0
For:
12 - Anglin, Emmons, Rodgers, Shidid, Anantasomboon, Bagley*, Lavallaisaa, Tarpley, Schultz, Peadon, Ridley*, Abtahi
Against: 0
Absent: 3 - Culbreath, Shellene, Murphy
Vacancy: 0
*out of the room, shown voting in favor
Notices:
Replies: For:
Speakers: None
City Plan Commission September 18, 2014
Area: 400
Mailed: 13
0 Against: 1
15. Z134-230(RB)
Planner: Richard Brown
Motion: It was moved to recommend approval of a CS Commercial Service District and approval of a Specific Use Permit for an Auto Auction for a tenyear period with eligibility for automatic renewals for additional ten-year periods, subject to a site plan and conditions on property zoned an IR Industrial Research District, on the west line of Composite Drive, south of Walnut Hill Lane.
Maker: Anantasomboon
Second: Schultz
Result: Carried: 12 to 0
For:
12 - Anglin, Emmons, Rodgers, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Schultz, Peadon, Ridley, Abtahi
Against: 0
Absent: 3 - Culbreath, Shellene, Murphy
Vacancy: 0
Notices: Area: 300
Mailed: 9
Replies: For: 2 Against: 0
Speakers: None
16. Z067-203(VM)
Planner: Valerie Miller
Motion: In considering a City Plan Commission authorized hearing to determine proper zoning on property zoned Planned Development District No. 468, the Oak Cliff Special Purpose District, with deed restrictions on a portion, Specific Use Permit No. 10 for a nursing home, Specific Use Permit No. 1032 for a utility or government installation, Specific Use Permit No. 1623 for a financial institution with a drive-in window, and Specific Use Permit No. 1679 for a financial institution with a drive-in window, H/84 Lake Cliff Historic District, H/71 Betterton House Historic District; Planned Development District No 160 with Specific Use Permit 2079 for a child-care facility; Planned Development District No 340; Planned Development District No 364; Planned Development District No 830; an R-5(A) Single Family District; an R-7.5(A) Single Family District; a TH-2(A) Townhouse District; a CH Clustered Housing District; an MF-2(A) Multifamily District; a CR Community Retail District with deed restrictions; an IR Industrial/Research District; a CS Commercial Service District with deed restrictions; an LO-1 Office District with deed restrictions; an
RR Regional Retail District; an MU-1 Mixed-Use District with deed restrictions; an MU-2 Mixed-Use District; and a P(A) Parking District with consideration being given to appropriate zoning including use, development standards, and other appropriate regulations, that would allow for and encourage development in appropriate areas on property generally bound by Interstate 30 to the north, the east levee of the Trinity River to the northeast, Interstate 35 to the east, Marsalis Street to the west, Eighth Street and Seventh Street to the south, Zang Boulevard to the west, Davis Street to the south, Elsbeth Street to the west, Neches Street to the south, Madison Street to the west, between blocks BLK M/3363 LOT 1 & 2 to the south, between blocks BLK M/3363 TR 23-A and 24 to the south, Bishop Avenue to the west, Colorado Boulevard to the north, both sides of Beckley Avenue to the west including property facing Interstate 30 service road, it was moved to hold this case under advisement until October 23, 2014.
Maker: Anglin
Second: Bagley
Result: Carried: 10 to 0
For:
10 - Anglin, Emmons, Rodgers, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Schultz, Peadon, Abtahi
Against:
Absent:
0
5 - Culbreath, Shidid, Shellene, Murphy, Ridley
Vacancy: 0
Notices: Area: 200
Mailed: 1187
Replies: For: 55 Against: 58
Speakers: For: Randy Primrose, 801 & 908 N. Bishop Ave., Dallas, TX, 75208 Against: Pam Conley, 901 N. Madison Ave., Dallas, TX, 75208 Katherine Homan, 1629 Handley Dr., Dallas, TX, 75208 Timothy Herfel, 940 Kessler Pkwy., Dallas, TX, 75208 Randy Richins, 825 Elsbeth St., Dallas, TX, 75208 Jonathan Vinson, 901 Main St., Dallas, TX, 75202
Against (Did not speak)
: M. Eloy Trevino, 2007 W. Colorado Blvd., Dallas, TX, 75208
Zoning Cases – Individual:
17. Z134-215(RB)
Planner: Richard Brown
Motion: It was moved to recommend approval of a Specific Use Permit for a Transit passenger station or transfer center for a permanent period, subject to a revised site plan, landscape plan and conditions on property zoned an NS(A) Neighborhood Service District and an R-5(A) Single Family District, along the east line of University Hills Boulevard, north of Killough Boulevard.
City Plan Commission September 18, 2014
Maker: Anantasomboon
Second: Anglin
Result: Carried: 10 to 0
For:
10 - Anglin, Emmons, Rodgers, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Schultz, Peadon, Abtahi
Against: 0
Absent: 5 - Culbreath, Shidid, Shellene, Murphy, Ridley
Vacancy: 0
Notices: Area: 400
Mailed: 46
Replies: For: 3
Against: 0
Speakers: For
(Did not speak)
: Martin Krueger, 1401 Pacific Ave., Dallas, TX, 75202
Against: None
18. Z123-342(MD)
Planner: Mark Doty
Motion: It was moved to recommend approval of an Historic Overlay for Kathlyn Joy Gilliam House, subject to preservation criteria as recommended by the landmark commission with the following change: 1) A learning center be allowed as an additional use in this historic district, 2) Learning center means a non-profit institution providing educational opportunities for youth including reading programs, debate training, and similar programs, and 3) No parking requirement for a learning center on property zoned an R-5(A) Single Family Subdistrict in Planned Development District No. 595, the South Dallas/Fair Park Special Purpose District on the southwest side of Wendelkin Street, northwest of Driskell Street.
Maker: Bagley
Second: Anglin
Result: Carried: 13 to 0
For:
13 - Anglin, Emmons, Rodgers, Shidid, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Schultz, Peadon, Murphy, Ridley, Abtahi
Against: 0
Absent: 2 - Culbreath, Shellene
Vacancy: 0
Notices: Area: 200
Mailed: 29
Replies: For: 3 Against: 0
Speakers: For: Constance Harris, 3522 Wendelkin St., Dallas, TX,
Against: None
Note: The Commission heard Item #12 Z134-102(OTH) next.
_____________________________________________________________________
Other Matters
Consideration of appointment(s) to CPC Committee(s):
URBAN DESIGN COMMITTEE (UDC)
Chair Tarpley announced Mr. Chequan Lewis appointment to the Urban Design Committee (UDC)
Consideration of the 2015 City Plan Commission Calendar:
The Commission discussed the 2015 City Plan Commission calendar.
Minutes
Motion: It was moved to approve the minutes of the September 4, 2014, City Plan Commission meeting, subject to corrections.
Maker: Abtahi
Second: Anantasomboon
Result: Carried: 10 to 0
Second: Anantasomboon
Result: Carried: 10 to 0
For:
10 - Anglin, Emmons, Rodgers, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Schultz, Peadon, Abtahi
Against: 0
Absent: 5 - Culbreath, Shidid, Shellene, Murphy, Ridley
Vacancy: 0
Adjournment
Motion: It was moved to adjourn the September 18, 2014, City Plan Commission meeting at 5:31 p.m.
Maker: Abtahi
Second: Schultz
Result: Carried: 10 to 0
For: 10 - Anglin, Emmons, Rodgers, Anantasomboon, Bagley, Lavallaisaa, Tarpley, Schultz, Peadon, Abtahi
Against: 0
Absent: 5 - Culbreath, Shidid, Shellene, Murphy, Ridley
Vacancy: 0
_________________
Gloria Tarpley, Chair
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COUNCIL MEETING 30th October, 2019
Present:- The Mayor (Councillor Jenny Andrews) (in the Chair); Councillors Alam, Albiston, Allcock, Allen, Atkin, Beaumont, Beck, Bird, Brookes, Buckley, Carter, Clark, Cooksey, Cowles, Cusworth, B. Cutts, D. Cutts, Elliot, Ellis, Fenwick-Green, Hague, Hoddinott, Ireland, Jarvis, Jepson, Jones, Keenan, Khan, Lelliott, Mallinder, Marles, Marriott, Napper, Price, Read, Reeder, Roche, Russell, Sansome, Sheppard, Short, Simpson, Steele, Taylor, John Turner, Julie Turner, Tweed, Vjestica, Walsh, Watson, Williams, Wilson, Whysall, Wyatt and Yasseen.
The webcast of the Council Meeting can be viewed at:https://rotherham.public-i.tv/core/portal/home
251. ANNOUNCEMENTS
The Mayor was pleased to present her activity since the last Council meeting which was attached for information to the Mayor's Letter.
The Mayor drew attention to various events she and the Mayoress had attended since the last Council Meeting.
252. APOLOGIES FOR ABSENCE
Apologies for absence were received from Councillors M. Elliott, R. Elliott, McNeely, Pitchley and Senior.
253. COMMUNICATIONS
There were no communications received.
254. MINUTES OF THE PREVIOUS COUNCIL MEETING
Resolved:- That the minutes of the meeting of Council held on 4 th September, 2019, be approved for signature by the Mayor.
Mover:- Councillor Read
Seconder:- Councillor Watson
255. PETITIONS
The Mayor reported receipt of a petition which had not met the threshold for consideration by Council:-
- Containing 1567 valid signatures (2167 signatures in total) calling on the Council to take enforcement action against the reopening of Droppingwell Landfill.
Mr. S. McKenna, on behalf of Droppingwell Action Group, addressed the Council as part of the presentation of the petition.
The petition would be referred to the Overview and Scrutiny Management Board for consideration.
256. DECLARATIONS OF INTEREST
There were no Declarations of Interest to report.
257. PUBLIC QUESTIONS
(1) Mr. Harron asked how could it be that the petition tabled at the Council meeting on 22 nd May, 2019 (a petition from October, 2017 blocked apparently by the actions of the Chief Executive for about eighteen months) had not received a response by 5 th September, 2019, yet the petition tabled at the Council meeting on 4 th September, 2019 received a response from the Assistant Chief Executive on 5 th September, 2019?
The Leader explained the Council would respond to petitions as quickly as practicable, but sometimes this took longer than others. He understood that in this particular situation there had been a simple administrative error that meant a reply had not been sent. Mr. Harron was issued with apology from the Council and he included his own apologies for the process taking so long.
In a supplementary question Mr. Harron focused on the second response he received which was the following day to the Council meeting. That petition was actually asking the Council to suspend the changes to the petition scheme and fully consult with members of the public before implementing the changes. He was curious as to how, having addressed the Council, by mid- morning the next day he had received a response from an officer.
He, therefore, wanted to complain as he believed his right had been removed to go to the Overview and Scrutiny Management Board. He had been sent a copy of the Unreasonable Complainant Behaviour Policy and there was nothing to suggest he had right of appeal. He, therefore, asked was there a right of appeal and for confirmation when the above Policy was adopted by Council as there was no reference to Elected Members within it.
The Leader confirmed he was not aware of the response specifics to Mr. Harron so would need to check and come back to him. He also advised that if the officer response was not satisfactory then Mr. Harron could take this forward using the Council's Complaints Procedure. The Leader again apologised that a response to Mr. Harron had not been circulated sooner.
It was also pointed out that following feedback and an internal review of support services for governance, improvements had been made to the back office processes in the administration of petitions which should avoid significant delays in responses being issued by officers.
(2) Mr. Simon Ball was unable to attend the Council Meeting so his question "That just 8 out of the 63 councillors here have been given the power to make nearly all Council decisions. In this undemocratic decisionmaking system, the other 55 councillors have little or no say, are you happy for this undemocratic way to continue?" would receive an answer in writing.
(3) Mr. Peter Thirlwall asked could the Chair of the Standards and Ethics Committee please tell me the outcome of my complaint dated 16th August, regarding the failure of Councillor Brian Cutts to complete his 'Register of Interests'?
Councillor Clark, as Vice-Chair of the Standards and Ethics Committee, explained that it was not appropriate to go into detail about individual cases in this forum, as the rules stated that Council questions should be general questions.
However, it was confirmed that all Members' interests forms had been appropriately completed including the subject of his enquiry. It was each Member's responsibility to make sure that their Register of Interests was correct, updated within twenty-eight days of any change and signed.
The Council should be seen to take strong action against any person who did not comply as this was a clear responsibility of being an Elected Member.
In a supplementary question Mr. Thirlwall thanked the Vice-Chair about the need for strong action which he agreed with. However, Councillor B. Cutts was elected on the 5th May, 2015 and two and a half years later he had still not declared his property interests. This had prompted at least five questions at Council on the subject.
Councillor B. Cutts had been mentioned by name so was fully aware of the position and the need to abide by the Code of Conduct. He had also been spoken to by the Monitoring Officer at the time and a seminar for the UKIP Members about the filling in of their Register of Interests had also taken place.
It would appear that outstanding Register of Interest forms were all completed by UKIP Members apart from Councillor B. Cutts who eventually completed it the day before the last Council Meeting.
Despite asking questions this was reported in detail to the Standards and Ethics Committee. Mr. Thirlwall, therefore, asked what incentive did any Councillor have to complete their Register of Interests if there was no penalty for not doing so. An apology was, therefore, warranted to this Chamber and a suggestion that the allowance paid to Members be removed for the period the updates to the Register of Interests remained outstanding.
Councillor Clark reiterated how it was not appropriate to go into detail in this forum about individual cases. However, she gave her assurance that the supplementary information provided would be raised at the next meeting of the Standards and Ethics Committee and included as an agenda item regarding Register of Interests and how they should be dealt with from a legal perspective by each individual Members.
258. EXCLUSION OF THE PRESS AND PUBLIC
Resolved:- That under Section 100(A) of the Local Government Act 1972, that should the Mayor deem it necessary the public be excluded from the meeting on the grounds that any items involve the likely disclosure of exempt information as defined under Paragraph 3 of Part 1 of Schedule 12(A) of such Act indicated, as now amended by the Local Government (Access to Information) (Variation) Order 2006.
259. LEADER OF THE COUNCIL'S STATEMENT
The Leader clarified that petitions were not normally discussed that emerged with fewer than 2,000 signatures and he did not intend to start a discussion today. However, he wished to thank the protesters who had brought their concerns today. He was aware of the frustrations and difficulties around this big local issue and it was hoped, during the course of this meeting, more information about what the Council had been able to do on their behalf would be shared and further information would be available with the referral into scrutiny.
The Leader wanted to also focus on some good news for the Council. Over the last few weeks the Council had been award "silver" for the BeWell@Work initiative and was the first Council in the country to receive such an award recognising good practice in workplace health and wellbeing.
The Council had also been accredited the PAS PRO landlord accreditation in resident involvement. The Tenant Involvement Team and Council tenants had contributed to the Council achieving that accreditation. The assessment panel had been impressed with the positive engagement evidenced showing the Council was serious about engagement with tenants to help drive service improvements.
Clifton Park had once again won the Green Flag Award and was the only local authority managed park in England to have been awarded the people's choice every year for the last 4 years consecutively with more than 45,000 votes being cast.
Congratulations were offered to the award-winning Planning Team following the recent publication of Government statistics showing the Service once again as one of the top performers in dealing with planning applications.
Finally, the Bellows Road development in Rawmarsh had been shortlisted for the best shared ownership development (urban) by the Inside Housing Development Awards, which was good recognition for that scheme and the work done by the Housing Service.
The Mayor invited Members to ask questions of the Leader's Statement and none were raised.
260. MINUTES OF THE CABINET MEETING
Resolved:- That the reports, recommendations and minutes of the meeting of the Cabinet held on 16 th September, 2019, be received.
With regards to Minute No. 50 (Community Energy Switching Scheme) Councillor Jepson sought clarification of whether this scheme was also available to the Borough's community organisations, Parish Councils and local churches who would clearly benefit from saving money.
The Leader believed they could, but would confirm this in writing to Councillor Jepson in readiness for the launch of the scheme at the start of the next calendar year.
Mover:- Councillor Read
Seconder:- Councillor Watson
261. RECOMMENDATION FROM CABINET - ADOPTION OF POLICIES TO SUPPORT ELECTED MEMBERS
Further to Minute No. 43 of the Cabinet held on 16 th September, 2019, consideration was given to the report which detailed the outcome of a Members' Working Group reviewing carers, maternity and paternity arrangements for Councillors with the aim of encouraging the next generation of women to play their part in politics in Rotherham.
The Working Group's recommendations had formed a policy document proposing amendment to the Members' Allowance Scheme to take account of the adoption of the policy. The logic underpinning the policy was that improved arrangements for new parents would contribute towards increasing the diversity of experience, age and background of local authority Councils. It was also written with a view to retaining experienced Councillors, especially women, and making public office more accessible to individuals who might otherwise feel excluded from it.
Councillors Carter, Cusworth, Hoddinott, Napper and Simpson spoke in favour of the recommendations and wished to place on record their thanks to the Members of the Working Group. This suite of documents would provide support for Councillors not only with caring responsibilities, but those with disabilities and a terminal illness to fully participate.
Resolved:- (1) That the amendment to the Members' Allowances Scheme be amended (Appendix 8 of the Constitution), subject to the receipt of the recommendations from the Independent Remuneration Panel.
(2) That the policies to support Elected Members in respect of parental leave, disabilities, arrangements for carers and dignity in dying be approved and be adopted, subject to the amendment to the Members' Allowances Scheme.
Mover:- Councillor Watson
Seconder:- Councillor Short
262. RECOMMENDATION FROM CABINET - REVIEW OF POLLING PLACES
Further to Minute No. 46 of the Cabinet held on 16 th September, 2019, consideration was given to the report which detailed the responses following the public consultation on the current polling scheme and the Returning Officer's proposals.
The new Ward boundaries had been taken into account alongside disability access and the impact on schools.
Resolved:- (1) That the submissions made in respect of the review of polling districts and polling places for the Borough of Rotherham be noted.
(2) That the adoption of the polling district boundaries be approved.
(3) That the final proposals for polling places be approved.
(4) That the Electoral Registration Officer make the necessary amendments to the polling districts to take effect from publication of the revised register on 1st December, 2019.
(5) That the power to designate polling places in accordance with Section 18B of the Representation of the People Act 1983 be delegated to the Chief Executive, with such power to be exercised only in circumstances where a decision is required at short notice and it is not possible to await a decision of Council.
Mover:- Councillor Alam
Seconder:- Councillor Watson
263. RECOMMENDATION FROM CABINET - COUNCIL DELIVERY OF NEW HOMES ON ROTHERHAM TOWN CENTRE SITES
Further to Minute No. 651 of the Cabinet held on 21st October, 2019, consideration was given to a report detailing the scheme to provide 171 high quality, mixed tenure homes, developed for gateway sites which were key to the delivery of the Town Centre Masterplan and sought authority for the necessary budget and delegated authorities to officers.
The sites sat at strategically important, highly visible gateway locations in the town centre, adjacent to other sites with the potential to accommodate further housing development. The delivery of 171 new homes across these sites would provide a significant contribution towards Rotherham's housing growth requirement, with further multiplier effects as anticipated above.
Development funding on these sites would come from the Housing Revenue Account with some external funding from the Sheffield City Region Housing Fund. The Sheffield City Region detailed business case had been recommended for approval with the decision to be taken in November. It was hoped that positive news would then be heard from New Vision Homes England who were also keen to support the Council's plans in this regard in terms of delivery.
The Capital Programme was also to be presented to Council meeting in terms of the formal process with a view to starting on site early in the New Year.
It was pointed out that, with regards to concerns about the erection of hoardings adjacent to Wellgate Old Hall, this building was to be retained and Rotherham's history secured and complimented.
Resolved:- That the inclusion of the scheme in the Capital Programme be approved.
Mover:- Councillor Beck
Seconder:- Councillor Lelliott
264. RECOMMENDATION FROM CABINET - ADOPTION OF A REVISED STATEMENT OF COMMUNITY INVOLVEMENT (SCI)
Further to Minute No. 67 of the Cabinet held on 21st October, 2019, consideration was given to a report outlining the consultation that had taken place on a draft revised Statement of Community Involvement Unit (SCI). Under Article 3 of the Constitution, the SCI formed part of the policy framework.
The SCI set out how stakeholders could influence new planning policy documents covering Rotherham, how information would be communicated and the ways in which individuals and organisations could comment on planning applications.
The Council's current SCI was adopted in June, 2015, however, following adoption of the Local Plan Sites and Policies document in June 2018, this effectively completed the current cycle of Local Plan production in Rotherham. It was an appropriate and timely point to review and revise the current SCI and fulfil the duty of reviewing the SCI within the five years required.
Resolved:- (1) That the current Statement of Community Involvement (2015) be withdrawn
(2) The revised Statement of Community Involvement (2019) be adopted.
Mover:- Councillor Lelliott
Seconder:- Councillor Watson
265. AMENDMENT TO THE CONSTITUTION - RESPONSIBILITY FOR FUNCTIONS - TERMS OF REFERENCE FOR CABINET
Consideration was given to a report proposing that the Terms of Reference of the Cabinet be amended to include provision for that body to determine major changes to the method of delivery of Council services.
The amendment was designed to ensure that there was Member level decision making in respect of any significant service changes to aid transparency and democratic oversight. This would give the assurance about the way that services were delivered and allow for debate should proposals arise.
Resolved:- That the Terms of Reference of the Cabinet be amended to include provision for the Cabinet to determine major changes to the method of delivery of Council services.
Mover:- Councillor Read
Seconder:- Councillor Watson
266. MEMBERSHIP OF POLITICAL GROUPS ON THE COUNCIL, POLITICAL BALANCE AND ENTITLEMENT TO SEATS
Consideration was given to the report which detailed how, in accordance with the Local Government (Committees and Political Groups) Regulations 1990, the Proper Officer was required to notify the Council of any change in the political balance of the Authority or the operation of new political groups under the Local Government (Committees and Political Groups) Regulations 1990. Since the last meeting held on 4th September, 2019, the Proper Officer had received notification of a change in the political balance of the Authority.
There were 2 political groups in operation on the Council – the Brexit Party Group (11 Members) and the Labour Group (48 Members) – with 4 non-aligned Members, who were not in a political group.
There were 149 seats available on committees, boards and panels and under the calculation the Labour Group was entitled to 114 seats and the Brexit Party Group entitled to 28. This left 7 seats which could not be given to members of the political groups and should be allocated to the 4 non-aligned Councillors. Details of the vacant seats and nominations were circulated at the meeting.
The Council also had 2 seats on the South Yorkshire Police and Crime Panel, one of which was appointed to on 22nd May, 2019. The current vacancy must be filled by a member of the Brexit Party Group or a nonaligned Member and be appointed to by the Council.
Councillor Brian Cutts had been nominated by the Brexit Party Group to serve on the Police and Crime Panel, whilst Councillors Read and Watson of the Labour Group nominated Councillor Short to the same role.
Councillor Read recalled the reasons why the Council in October 2018 had determined that Councillor B. Cutts had not been a suitable representative to serve on the South Yorkshire Police and Crime Panel, after a finding from the Standards and Ethics Sub-Committee that he had breached the Member Code of Conduct.
Councillor Read reminded Members that the decision had been reached unanimously following the finding of the Standards and Ethics SubCommittee. By virtue of his failure to meet the requirements of the Member Code of Conduct, Councillor B. Cutts was uniquely unqualified to represent the Borough.
He further referenced the Council's contact with the Home Office and their advice about rejecting Councillor B. Cutts' appointment. As it would appear no suitable Brexit Party Member could be appointed, it was proposed that a non-aligned Member be appointed to the Police and Crime Panel.
It was, therefore, proposed that Councillor P. Short resumed his place on the Police and Crime Panel. He had previously represented the Council and the UKIP Party Group, as it was last year, so was eminently qualified to take that role again.
Councillor Cutts addressed the meeting requesting a copy of the correspondence with the Home Office and further asked if the Legal Department would assist him with sending his own report.
Councillor Cowles in response considered it unfair of the Leader to say that the Home Office rejected Councillor B. Cutts when in actual fact they were not prepared to intervene in this particular issue preferring for the matter to be resolved locally.
Councillor Jepson was in support of Councillor Short as he had previously done an excellent job for the Council so was more than happy to support his nomination.
Resolved:- (1) That the operation of 2 political groups on the Council and the detail of their designated Leaders be noted:-
Labour Group – Councillor Chris Read (Leader of the Council) Brexit Party Group – Councillor Allen Cowles (Leader of the Majority Opposition Group).
(2) That the entitlement of the membership of the political groups and non-aligned Members be agreed and such entitlements be reflected in Council's appointments of Members to Committees.
(3) That the appointment of Councillor McNeely to the Planning Board and non-aligned Members to committees, boards and panels, as detailed below, be approved:-
(4) That Councillor Short, a non-aligned Member, be appointed to serve on the South Yorkshire Police and Crime Panel.
Licensing Board
Vacant
Licensing Committee
Vacant
Planning Board
Councillor P. Short
Standards and Ethics Committee
Councillor N. Simpson
Overview and Scrutiny Management Board Councillor C. Jepson
Health Select Commission
Councillor P. Short
Improving Lives Select Commission
Councillor N. Simpson
Improving Places Select Commission
Councillor C. Jepson
Introductory Tenancy Review Panel
Councillor P. Short
Mover:- Councillor Read
Seconder:- Councillor Watson
267. COMMUNITY GOVERNANCE REVIEW - RAVENFIELD PARISH COUNCIL
Consideration was given to the report which detailed receipt of a petition from Ravenfield Parish Council requesting a Community Governance Review.
The petition asked for the Review to be undertaken with a view to altering the existing boundary of the Parish of Ravenfield. It proposed that the boundary between Moor Lane South and Lidget Lane should be moved south to a line stretching from the southern border of site LDF0774 (Rotherham Local Plan) running from Moor Lane South eastward to Lidget Lane (identified as a red line on the map attached to the petition).
The request was made due to the change of use of LDF0774 to residential and the inevitable increase in population. Residents of the new housing would live in the community of Ravenfield and use Ravenfield village facilities. The current boundary would create an anomalous situation and be harmful to community cohesion.
In order to start the required Community Governance Review, the Council would need to agree Terms of Reference for the Review and, as part of the Review, to carry out statutory consultation.
In considering the request Members were of the view that such a review did enthuse local residents and their views on the proposals should be sought. However, this piece of land was still undeveloped and whilst there was a clear boundary, this may not be as clear once the land was built on.
This view was also the same for other Members who believed this request was a little premature when local residents should eventually choose whether they wanted to be part of the Bramley or Ravenfield parishes.
However, in noting the comments this was a legal process that needed to be followed following the request for a Community Governance Review.
Resolved:- (1) That a Community Governance Review of the Parish of Ravenfield be undertaken.
(2) That the Terms of Reference for the Review in respect of the Parish of Ravenfield, set out at Appendix 3 of the report submitted, be approved.
(3) That a further report be submitted on the outcome of the consultation undertaken as part of the Review.
Mover:- Councillor Alam
Seconder:- Councillor Read
268. OVERVIEW AND SCRUTINY UPDATE
Councillor Steele, Chair of the Overview and Scrutiny Management Board, introduced the first update for 2019/20 on the latest work carried out by the Overview and Scrutiny Management Board and the Select Commissions - Health, Improving Lives and Improving Places as set out in detail as part of the report.
Councillor Carter believed the opposition should scrutinise executive functions of this Council and could not support the update due to there being a Labour Chair of the Overview and Scrutiny Management Board.
Members were in disagreement with Councillor Carter's view and challenged his own involvement in the scrutiny process given his reluctance to nominate himself to any membership. They regarded the role of the Chair of the Overview and Scrutiny Management Board to be robust and critical to the scrutiny processes in Rotherham, which were highly regarded and held up as good practice in the region.
Resolved:- That the report be received and the contents noted.
Mover:- Councillor Steele
Seconder:- Councillor Cowles
269. CHILDREN'S COMMISSIONER'S TAKEOVER CHALLENGE SCRUTINY REVIEW: YOUNG CARERS
Consideration was given to the findings and recommendations of a spotlight review undertaken by the Rotherham Youth Cabinet, together with the Rotherham Young Carers Council, regarding improving access to leisure opportunities for young carers in Rotherham.
Many young people provided a significant number of hours of care each week which may impinge on both their school and social lives. Given the value of respite from caring for all carers, it was vital that young people were able to have access to leisure activities and to have fun.
Financial considerations need to be taken into account as many families with young carers were on low incomes. Access to discounted or free activities was important either through developing a new offer or building on what was already in place. Concessionary travel to activities was another aspect to consider.
The recommendations focused on:-
- An improved offer of discounted access to leisure activities for young carers.
- Clear eligibility criteria.
- Good promotion and publicity.
- Support to travel to activities.
- Identification of young carers and support.
Resolved:- (1) That the report and recommendations in respect of Young Carers be noted.
(2) That the response of Cabinet be reported back to Overview and Scrutiny Management Board and Rotherham Youth Cabinet.
Mover:- Councillor Steele
Seconder:- Councillor Cowles
270. THRIVING NEIGHBOURHOODS - UPDATES FROM WARD COUNCILLORS
Further to Minute No. 55 of the meeting of the Cabinet held on 19 th November, 2018, consideration was given to the annual Ward updates for Sitwell, Swinton and Valley as part of the Thriving Neighbourhood Strategy.
The Strategy signalled a new way of working for the Council both for Members and for staff and covered every Ward in the Borough delivered through Ward Plans developed with residents to address local issues and opportunities. Ward Members would be supported by the neighbourhood team and would work with officers and residents from a range of organisations to respond to residents.
Councillors Cowles, Short and Julie Turner, on behalf of the Sitwell Ward, gave an update on their Ward priorities and welcomed the opportunity that the Thriving Neighbourhoods had given to Members and listed a number of initiatives that had taken place in the Ward, including:-
- Fly tipping on Doles Lane and erection of steel barriers allowing access to all those who enjoyed open spaces.
- Anti-social behaviour hotspots in and around a disused bus shelter on Cowrakes Lane.
- Funding for the Parish Cricket Club to purchase an all-weather wicket.
- Joint funding with Boston Castle Ward Members CCTV and barriers on the Duke of Norfolk estate.
- Special award by the Police Crime Commissioner for the proactive work by residents with establishing a WhatsApp group with over 150 residents.
- Speed surveys with the Council and Police.
- Addressing isolation and loneliness and funding coffee mornings.
- Deployment of illuminated speed signs around the Ward.
- Building bird boxes with the pupils of Newman School for residents.
- Proposals to run an integrated shopping project with students from Newman School.
- Liaison with the Council, Yorkshire Water and the Environment Agency following concerns about the cleanliness of the water flowing through Whiston Brook, the capacity of the sewage system and the maintenance schedule for the pumping station.
- Funding at Whiston Worrygoose School for a fence to prevent litter being thrown into the school's wildlife area.
- Tables, chairs and play equipment for the Methodist Church Toddler Group.
- Spring bulb planting party on the 3rd November, 2019 where 5,000 spring flowering bulbs will be planted within the Ward.
- Water butts for the Whiston Allotment Society on its 3 sites.
In addressing the Council, Councillor Cowles was happy to support some of the many Ward projects, but expressed some concern about the delay from the request to authorise funds to the projects being implemented.
Councillors Cusworth, Sansome and Wyatt, on behalf of the Swinton Ward, gave an update on their Ward priorities and welcomed the opportunity to thank the Neighbourhood Working Group, staff and
volunteers and listed a number of initiatives that had taken place in the Ward.
Ward Members responded positively to the Thriving Neighbourhoods agenda as it enabled them to engage with residents in a much more meaningful way. With access to the devolved budget priority could be given to important issues, but it was not just about money it was also about the time given. As a result the community were benefiting from:-
- Successful defibrillator and cabinet projects throughout the Ward as a result of excellent partnership and fund raising efforts
- Community skips and litter picking and the partnership working with Streetpride, Don River Catchment Group and the joint working with the Hoober and Rawmarsh Wards.
- Plans for a fancy dress litter pick on the lead up towards Christmas.
- Support from volunteers and in particular an ex-soldier who was restoring the pathways and clearing streams at Horsefair Park.
- Social media sharing pages.
- Wildlife and pond restorations.
- Victoria Cross Centenary Celebrations.
- Community clear ups.
- Better utilisation of the library for surgeries and meetings and funding of special events.
- Supporting the South Yorkshire Active Travel initiative and the significant impact on parking around schools.
- Brookfield Academy's Travel Working Group Gold accreditation reducing the number of children travelling to schools in cars to 10%.
- St Thomas' School achieved Bronze working towards Silver and Queen Street Primary were working towards their Bronze.
- Partnership and community involvement in the walk to school events and the launch of the park and stride car parks.
- Attendance at award presentations and funding of scooters, portable bollards, slow traffic signs and contributions to the funding of school crossing patrols.
- Resident engagement at Charles Street Community Centre, Potteries Court and Highfield Court.
- Befriending work and visits to residents with Polly, the dog.
- Loneliness and isolation agenda and the programme of regular guided walks advertised on social media.
- Operation Shield and actions to reduce crime and anti-social behaviour in the area.
- Quarterly Neighbourhood Policing meetings and opportunities for residents to raise concerns.
- Involvement with persistent reoffenders and integration into local communities.
- Speeding and utilisation of fully trained community volunteers to carry out speed checks in local hotspots.
- Crime prevention bid initiative submission.
Councillor Reeder had nothing to contribute to the update as a member of the Valley Ward as the Thriving Neighbourhoods Agenda had not worked for her. She did not feel she now lived in a cleaner, greener environment.
Councillor Albiston, on behalf of the Valley Ward, gave an update on the Ward priorities in which she had been involved across a number of diverse community areas. Some of the communities were the most deprived in the Borough and found to be challenging with the political make-up of the Ward itself. Officers have been very patient and diplomatic in their approach to neighbourhood working and working with Members that took into account the different political backgrounds.
Potentially residents of the Valley Ward had lost out when compared to other areas in terms of working together. However, despite the differences a number of successes have been achieved and worked on, including:-
- Developing and renovating the neighbourhood centres into successful community hubs.
- Making environmental improvements to improve community safety and wellbeing.
- Enhancing facilities and activities for children, young people and families.
- Creating interest in voluntary sector groups.
- Solar powered vehicle activated speed signs.
- Sporting activities in Valley Park.
Councillor Albiston ended her report by saying neighbourhood working should not be about Councillors' pet projects or a series of photo opportunities, but a long-term commitment to bring people together, it was about building community assets and addressing the issues that mattered to the people that lived there with resources targeted to those areas that needed them most. It was a mistake that areas like Valley, that really needed to be targeted, did not get the level of resources that they deserved.
Responding to some of the points made, Councillor Watson had not experienced difficulties with some of the internal processes for commitments, but would look into this further. He was aware of some issues with demand for speed activated signs, but this had since been resolved. He further emphasised how the Thriving Neighbourhoods agenda was for supporting communities and not individual Members.
Resolved:- That the Ward updates be received and the contents noted.
Mover:- Councillor Watson
Seconder:- Councillor Read
271. NOTICE OF MOTION - CLIMATE CHANGE EMERGENCY
Proposed by Councillor Roche and seconded by Councillor Allen:-
This Council:-
In the most recent State of the UK Climate 2017 report, trends show that the UK climate is continuing to warm and that sea levels continue to rise:
- We will be experiencing summers that are 2.5ºC warmer,
- Our winters will be milder with the average temperatures being 2.2°C warmer
- There may be a 16% decrease in summer rainfall making our summers much drier but more variable
- Winters will be wetter with an average of 14% more rainfall
- Mean sea levels around the UK have risen by about 16 cm since the start of the 20th Century.
The IPCC Special Report on Global Warming published in October 2018 states that we have just 12 years to act on climate change if global temperature rises are to be kept within the recommended 1.5 degrees Celsius.
The government has set a target date of 2050 for Britain to produce "net zero" carbon emissions. All governments (national, regional and local) have a duty to limit the negative impacts of climate change, and local authorities that recognise this should not wait for their national governments to change their policies.
In recent years, Rotherham Council has been reducing its carbon emissions by about 3% per year. Recent statistics from the energy switching website migrate.co.uk suggest that over the last 10 years Rotherham has seen the fifth biggest reduction of our emissions overall amongst 21 local authorities in Yorkshire & the Humber.
Nationally to date over half of the Councils in England have declared a climatic emergency as has the National Government. Rotherham has previously developed a climate change strategy but now is the time to reassess our objective for the years ahead.
This Council notes that there are significant opportunities to reduce RMBC's carbon emissions over the coming years:
1. The proposed development of a district heat network from Templeborough Power Plant, powered by sustainable biomass
2. The proposed introduction of a community energy switching scheme, moving properties including council homes onto 100% renewable sources of electricity
3. The recent installation of electric vehicle charging points, including for Council vehicles, and future re-provision of the Council's fleet of vehicles
4. Encouraging external providers of Council services to reduce their carbon emissions as part of our Social Value Policy
5. The proposed planting of fifty million trees across the country, including potentially some in Rotherham, as part of the "Northern Forest"
This Council therefore resolves to:
1. Join other local authorities in declaring a climate emergency
2. Create a Members Working Group to propose an informed target for the Council's carbon reduction by 2025 and to review it every 5 years thereafter, and to develop a "Carbon Action Plan" towards these goals, and that this Working Group should report back to the Council no later than March 2020
3. Develop a strategy for RMBC to play a leadership role in promoting community, public and business partnerships in reducing carbon emissions
4. Mandate officers to lobby Government for additional resources to support this strategy where these are required
5. Pledge to produce, in January of each year, a Rotherham Climate Emergency Annual Report, detailing the Council's progress against the Carbon Action Plan
6. Pledge to ask our partner organisations across Rotherham to support us by making clear commitments to dealing with this climatic crisis
Require all officer reports from April 2020 to Cabinet and Full Council to contain Impact assessments in relation to Climate change.
On being put to the vote, the motion was carried unanimously.
272. STANDARDS AND ETHICS COMMITTEE
Resolved:- That the reports, recommendations and minutes of the meeting of the Standards and Ethics Committee be adopted.
Mover:- Councillor Clark
Seconder:- Councillor Vjestica
273. AUDIT COMMITTEE
Resolved:- That the reports, recommendations and minutes of the meeting of the Audit Committee be adopted.
Mover:- Councillor Wyatt
Seconder:- Councillor Walsh
274. HEALTH AND WELLBEING BOARD
Resolved:- That the reports, recommendations and minutes of the meeting of the Health and Wellbeing Board be adopted.
Mover:- Councillor Roche
Seconder:- Councillor Mallinder
275. PLANNING BOARD
Resolved:- That the reports, recommendations and minutes of the meetings of the Planning Board be adopted.
Mover:- Councillor Sheppard
Seconder:- Councillor Williams
276. STAFFING COMMITTEE
Resolved:- That the reports, recommendations and minutes of the meeting of the Staffing Committee be adopted.
Mover:- Councillor Alam
Seconder:- Councillor Read
277. LICENSING BOARD
Resolved:- That the reports, recommendations and minutes of the meeting of the Licensing Board Sub-Committee and Licensing SubCommittee be adopted.
Mover:- Councillor Ellis
Seconder:- Councillor Beaumont
278. MEMBERS' QUESTIONS TO DESIGNATED SPOKESPERSONS
(1) Councillor Carter referred to some residents telling him they had to wait for almost two hours before their call to 101 was answered. He asked were there any plans to introduce a call-back function for the 101 service?
Councillor Sansome confirmed this was in place
The Call Back Assist (CBA) was a new functionality that was delivered with the new system.
In terms of implementation, it was delivered in a phased way across the 4 groups that worked within Atlas Court. This commenced in June, with supervisors gaining some understanding of how the system worked. The roll out then continued across all the groups who switched the system on from 7.00 am to 7.00 p.m.
When the roll out was first implemented there were a few teething problems and for a short period it was switched off whilst the issues were investigated and a fix was then put in place.
The CBA function had had a phased introduction over the summer period and allowed callers to choose the option of leaving their details and either the telephone number they were using to call, or an alternative contact number. The system would then retain the callers place in the 101 queue and recontact them. In the event that the caller did not answer the initial call back, the system would call a second and a third time before removing the number from the 101 queue.
The Call Back Assist system did not extend into a period of anti-social hours for a call back.
The system had now been running across the floor since the end of August and worked on a set of call routing rules. However, the supervisors were able to switch the system on and off based on operational demand.
The average answered wait times for 101 for the last three months were:-
- August 2019 - 14 minutes and 33 seconds with an average abandoned wait time of 10 minutes and 5 seconds.
- September 2019 - 13 minutes and 43 seconds with an average abandoned wait time of 10 minutes and 35 seconds.
- October 2019 - 8 minutes and 42 seconds with an average abandoned wait time of 8 minutes and 31 seconds.
Whilst this did not alleviate the frustration for those members of the public who have found themselves waiting longer, it did show that such long waits were an exception rather than the norm.
In a supplementary question Councillor Carter understood now there was no covert function place at the beginning of August. However, he asked were there plans to introduce the service on a 24/7 whether this would enable any caller wishing to use call-back assist to remain on the 'log' and then called back the day after.
Councillor Sansome would seek to obtain this information and provide feedback in writing.
279. MEMBERS' QUESTIONS TO CABINET MEMBERS AND CHAIRMEN
(1) Councillor Simpson asked could the Council support his national petition to limit the sale and use of Fireworks to around 5 th November (along with New Year's/Chinese New Year and Diwali festival.)
Councillor Hoddinott confirmed that if Councillor Simpson could send her a copy of his petition she would be happy to have a look at it.
(2) Councillor Simpson referred to "Fast 4's unlicensed taxi driver fine" and asked was it about time the idea of taxi dashboard photo ID was implemented?
Councillor Ellis thanked Councillor Simpson for raising this matter. The successful prosecution of Fast 4 and the significant fine of £1,300 showed how seriously the Council took taxi licensing and that the Council would act robustly if drivers and operators did not abide by the rules.
In 2015, Rotherham Metropolitan Borough Council, set what was generally accepted to be the highest standard with regard to taxi and private hire licensing in the UK. Many of the standards have subsequently been adopted by other local licensing authorities. Rotherham had even been cited as best practice in revised national guidance.
However, the Council was not complacent. Following a review of the current Policy, Cabinet would be considering a report, proposing to consult on a revised Taxi Licensing Policy.
The current Policy required all drivers to wear an identity badge on their person. However, feedback from both taxi users and drivers was that this was often not as visible as it could be to passengers. As part of this review the Cabinet would be considering the most appropriate information for internal display.
In a supplementary question Councillor Simpson confirmed he had spoken over two years ago to the National Taxi Association about displaying information. However, being a taxi user himself he only considered it right that identification should be on display for safeguarding purposes rather than being clipped onto a jacket. A passenger could then clearly see the identity of their driver.
Councillor Ellis reaffirmed that the policy currently dictated that all drivers must wear their personal licensed identification. However, she urged Councillor Simpson to include his comments as part of the consultation.
(3) Councillor Cooksey indicated that when carers have a respite package from Adult Social Care she understood it had to be re-assessed every year. This causes unnecessary stress for the carer so asked would the Council reconsider?
Councillor Roche confirmed there was a requirement under the Care Act to review support plans at least every 12 months and this was to make sure that eligible needs were still being met.
A more detailed reassessment would only take place if there were changes or circumstances that had arisen and a new support plan was needed. This was not intended to be a stressful experience, but one that provided reassurance that needs were being met appropriately whilst discharging the Council's statutory duties.
In a supplementary question Councillor Cooksey explained this concern had been said to her anecdotally, but understood that in some other authorities the respite package could roll over rather than being reassessed in circumstances where someone was terminally ill or had a long term condition.
Not only was there a financial cost to the process, but also in manpower and the re-assessments did cause undue stress to carers, so asked if it was correct that other Local Authorities could roll over assessments if circumstances had remained in the same.
Councillor Roche reiterated it was a requirement of the Care Act for an annual assessment, but would check with senior officers to determine if national statutory guidelines were being followed with assessment rollovers.
(4) Councillor Wyatt was very pleased to hear that Rotherham's Archives Service was granted accreditation status by the national body. He asked could the Cabinet Member provide the Chamber with some further details about the award and what benefits this would be for residents and visitors?
Councillor Allen explained the National Archive Service Accreditation was the UK-wide standard for Archive Services, assessed and awarded by a partnership of bodies including The National Archives and representatives of the professional and national archive bodies in England, Wales, Scotland and Northern Ireland. It was a national benchmark and quality standard which had only been awarded to 153 of the 2,500 Archive Services across the UK.
Rotherham was presented with the award on 21st October, 2019 and the Director for Research and Collections spoke warmly about the Rotherham Service.
This was a genuine achievement for the Archive Service and a recognition of the dedication of staff who were thanked for their hard work given the submission was described as one of the best organized.
There were benefits for Rotherham's residents and visitors as they would be able to engage with high quality records from family history and local heritage to the industrial past and parks, urban landscapes and waterways. The accreditation provided a quality mark for the work that the service delivered with schools and local community groups, using the collection to better understand Rotherham's shared history and the forging of new partnerships.
The Service received a number of national inquiries and demonstrated to potential donors, partners and fundraisers that Rotherham had a Service that was a trustworthy recipient of artefacts and records. Again the National Director of Research and Collections reported the importance of Archives Services meeting standards.
Archives mattered as they were a collective memory allowing society to hold institutions to account, to explore collective and personal identities to underpin research, to connect generations with stories from the past, to the present and to the future and inspire innovation and creativity.
(5) Councillor Buckley asked, with the emphasis on environmental issues and in particular the desire to reduce carbon monoxide emissions and promote the use of electrically powered cars, would the Council consider the installation of a vehicle charging facility in the car park adjacent to the new Library facilitated by Brinsworth Parish Council and RMBC?
Councillor Allen confirmed that the Council was allocated a grant, as part of the Clean Air Zone Early Measures Fund, to install 28 electric vehicle charging points in Council-owned public car parks.
Unfortunately one of the criteria from national Government for the installation was that the sites were fully owned by the Council. This meant there was a responsibility on the owner of the site for the electricity charges incurred as part of any installation and, therefore, sites not in Council-ownership had not been able to be prioritised.
Unfortunately, the site in question was not owned by the Council, but the Council was providing support to Brinsworth Parish Council on how it may move forward with an electric vehicle charging point installation.
(6) Councillor Hague referred to the Environment Agency saying Watsons Tip was inert and asked did the Council intend to challenge this assertion?
Councillor Hoddinott clarified the Council's position and their opposition to this tip 2 years ago when it passed unanimously a motion condemning the granting of the licence by the Environment Agency. The Council was supporting local residents given the decision to allow retipping and was aware of the environmental and community impact.
The Council and Councillors were doing all they could to raise its concerns about Droppingwell Tip and the Cabinet Member had met regularly with the Action Group. A further meeting had taken place with the Environment Agency and many of the questions raised today were raised with them.
It was recognized that all concerned were fighting against the law on this one and Sarah Champion, M.P. was raising this in Parliament. The Cabinet Member having raised this with the Minister had received a disappointing response as there was unwillingness to address really what was a unique position Rotherham found itself in. In terms of the question raised, the Environment Agency's own website acknowledged that the site was not inert.
In a supplementary question Councillor Hague referred back in 2016 when on site the Environment Agency said that this tip was not inert. However, test drilling indicated that with the smell of marzipan there were various contaminants within the site. This would indicate there was cyanide in the material that was unsealed with 3 old mine shafts underneath.
When it rained water percolated through the material down into the mine shafts and ultimately into the watercourse. This Council had the power to go onto that site under the Environmental Protection Act 1995 and undertake drilling operations to find out what was in that site so asked why were the Council not doing it.
Councillor Hoddinott did not dispute the concerns around the tip site, but pointed out it had been in operation since 1929. The contaminants on site were a concern and it was for Environment Agency to be monitoring regulation themselves. This was mentioned to them this week and questions raised about the groundwater and the monitoring of that site. It was a necessity that they did this.
(7) Councillor Hague asked was the Cabinet Member aware of what toxins were in Watsons tip?
Councillor Hoddinott before responding pointed out that Councillor Hague had had plenty of opportunities to ask officers about the detail. However, if he had important information he should pass this to the Cabinet Member to pass onto the Environment Agency rather than grandstanding.
Councillors and officers have spent hours and hours going through documentation to look at every avenue to stop this tip operating. With regards to the drill holes, the Cabinet Member would take this back to officers, but offered her reassurance that the Council would try absolutely everything it could, but ultimately rather than blaming the Council it was the Environment Agency that had decided the tip could open by issuing the tip operators a permit. This had been done with no consultation with local residents or the Council and it was their decision to remove the permit. The Council would continue to challenge and lobby the Government for them to take action.
(8) Councillor Hague asked did the Council intend to take enforcement action against the operator of Watsons tip for breach of planning?
Councillor Hoddinott explained that if there was a breach of planning, the Council would take action.
The Cabinet Member had spoken to the Chair and Vice-Chair of Planning and if Councillor Hague had additional information that would be useful please could he forward this on. The Council had looked at details of the 1958 planning permission which had very few restrictions and very few conditions on such things like operating hours. Consideration had also been given to the agreement in 1994 and the public inquiry in 1992. The current position from Planning was the site did not require any further permission and actions on the site could take place under the original permission.
In a supplementary question Councillor Hague made reference to the site's topography. The 1958 planning permission set out tipping heights which had been exceeded. It was documented by the Secretary of State's Inspector that this was overturned. A letter dated 19th January, 1996 from the Head of Planning to a local resident told them that operators were in breach of its planning. If this was correct why was the Council not taking enforcement action against this operator for breach of planning. The Council could take out an injunction and did not have to wait for works on site to start.
Councillor Hague had spoken to Planning on many occasions, but if it was documented this site was in breach of planning was enforcement action going to be taken against the operator for a planning breach.
Councillor Hoddinott explained that planning was a separate process within the Council and it was up to the Planning Board if they wanted to take action. She urged Councillor Hague to share any information he may have rather than everyone getting frustrated, aggravated and blaming each other. If there was something the Council could do it would have taken action years ago and the passing of the motion then indicated every effort was being made to stop tipping operations.
In terms of the particular planning issue it was known that Phase 1 was over tipped. However, there was an accepted variation in January 1994 around the restoration capping this scheme which was regularized. This did not mean that Phase 2 could also be filled to that level, but had to sit within the 1958 permission. If Councillor Hague had other documentation from 1996 then he was asked to submit this to the Planning Department so it could be considered.
Councillor Hague asked if he could have a copy of the variation agreement as he had not got a copy nor had he seen it. He again expressed his concern about the Secretary of State's acceptance of fill heights, but pointed out this had no bearing on the planning permission.
The fact that the Council accepted the Secretary of State's report meant nothing in planning terms and did not mean that the operation was not in breach of this planning. He again asked if the Council was going to take legal action and stop blaming the Environment Agency when the Council could stop the operation of this tip.
Councillor Hoddinott responded expressing her own concern about the need to make an argument to the Environment Agency. She was willing to sit down with Councillor Hague and talk through his concerns, but was concerned that his frustrations would not make this possible to work together. She did point out, however, that the 1994 amendment did recognise the position, but if Councillor Hague had different advice or if he had a different opinion to the advice that the Council had, he could submit a complaint.
(9) Councillor Hague asked had a variation been issued against the existing 1958 planning permission to facilitate the compliance to tip on phase 2?
Councillor Hoddinott confirmed notification of the intention to start the restoration/capping scheme was submitted to the Council in January, 1994 and was accepted as a variation to the 1958 permission which was and still remained extant. Since 1994 there have been no subsequent variations.
(10) Councillor Hague asked did the Council intend to take legal action against the Environment Agency for their abuse of their own permitting procedures in issuing a permit for Watsons Tip and did the Cabinet Member believe it was not in the interests of the public purse to pursue legal action against the Environment Agency or the tip operator?
Councillor Hoddinott confirmed that action would be taken where it was in the public interest. However, legal advice had been taken on a number of matters relating to this site, but the Council would lose legal privilege with the disclosure of any information relating to legal advice or potential action in the future. The Council was, therefore, not in a position to give any further information at this stage.
The Environment Agency should have consulted with the Council. However, you could see from the latest letter from the Minister he did not think to do so would materially have changed the outcome and they would have been given the permit which was extremely disappointing.
Had the Environment Agency consulted it would have enabled the Council to bring up lots of issues currently being dealt with. One of the concerns and real issues was because the operators were working off a 1958 planning permission. The permit would normally rely on such things and this was why there were calls for regularisation around the operating hours of this tip which was a concern for residents.
In a supplementary question Councillor Hague asked if the Cabinet Member could elaborate on the legal advice.
Councillor Hoddinott expressed her concerns about the sharing of legal detail which may jeopodise any case in the future and advised Councillor Hague to carefully think about what information he may share.
Councillor Hague pointed out the Council could take legal action and referred to the Environment Agency acting unlawful if the issuing of a permit.
Councillor Hoddinott was seriously concerned about information shared and how Councillor Hague may be jeopardising any chance the Council may have in making a case. She expressed her disappointment in his actions.
(11) Councillor Hague asked was the Cabinet Member aware of the unstable nature of Watson's tip?
Councillor Hoddinott had visited the site several times and there were concerns about slippage that had happened down the side of the tip. She had raised this with the Environment Agency who were saying they had had engineers out on site and they were satisfied that it was stable. Again this week the Council had shared evidence to question that judgement and the Environment Agency had gone away to relook. This was a real concern as any disturbance could be disastrous.
Councillor Hague did not wish to ask a supplementary question and also wanted to withdraw his submitted questions from number twelve to fifteen.
(16) Councillor Carter asked could Councils tender bus services out to bus companies and which services, if any, did RMBC currently tender out to bus companies?
Councillor Lelliott explained that the Council did not tender bus services.
Most bus services were operated on a commercial basis by privately owned bus companies, and these services were registered with the Traffic Commissioner.
The SYPTE subsidised, through a tender process, around 30 services in Rotherham during off peak periods, mainly in the evenings or on Sundays. This was generally to ensure that areas of the Borough have a limited service during these periods where a commercially operated service would not be feasible. The value of these tendered services represented circa £1.384M per annum.
In a supplementary question Councillor Carter asked would the Council consider tendering or a change of the route for some bus services that currently go through Brinsworth.
Councillor Lelliott advised that South Yorkshire Passenger Transport Executive (SYPTE) would assess the requirement for a subsidised service should an area of the Borough not be serviced by a commercially registered service. In these circumstances a tender may be issued by the SYPTE (but not the Council directly) for a bus company to operate a noncommercially viable service. As had been mentioned in previous meetings, Councillor Carter was advised to speak to the South Yorkshire Passenger Transport Executive and lobby to get the services that he required in his Ward.
(17) Councillor Carter stated that RMBC was the freeholder for a substantial amount of community land (for example, Crowgate playing fields in Anston) that was leased to or maintained by the parishes and asked which sites have these arrangements and did the Council have a policy to promote asset/freehold transfers of such land to the community bodies that maintained them for the benefit of residents?
Councillor Lelliott explained the Council had an adopted Community Asset Transfer Policy, which had recently been updated and approved by Cabinet. The updated Policy would be available to view on the Council's website in November, 2019.
A core principle of the Policy was to empower community organisations to deliver their own solutions to meet local needs.
From 2007 to date 26 Council-owned assets had been let to community/third party organisations for use by the wider community.
In a supplementary question Councillor Carter asked if he could please be sent a copy of the updated Policy when it was publically available and with all the asset transfers was there the presumption the Council would transfer these assets when it was a Parish Council.
Councillor Lelliott misunderstood what Councillor Carter was asking, but confirmed that the Policy would shortly be available on the website. However, she would also send over a list of the completed lease applications for information.
(18) Councillor Carter reported that Carole from Brinsworth had been in touch having had difficulty renewing a blue badge for her husband who had reduced mobility following a stroke and asked how could it be fair that under this Labour administration frustrations, delays and unjust rejections of applications have become commonplace?
Councillor Lelliott confirmed that on the 30 th August, 2019 the Department of Transport implemented new regulations for the Blue Badge Parking Scheme providing Councils with a new model application system. This required applicants to provide more description information on their health conditions. The Council was an administrative authority, but it was the Department for Transport that set out the policy.
There were delays caused by the changes to the rules made by Central Government
To mitigate the adverse impact this might have on existing Blue Badge holders, the Council had implemented a discretionary arrangement. Providing a customer had applied for a new badge before their current one expired, they could continue using their existing badge in Rotherham as though it had not expired (until they either received a new badge or they were informed that their re-application had not been successful).
In a supplementary question Councillor Carter sought clarification on the policy protocols for the Blue Badge Scheme and asked what evidence was required for those who had hidden disabilities.
Councillor Lelliott confirmed there were guidelines to follow much like any other application and documentation such as medical letters. It was a long process and more paperwork for the applicant to complete. A copy of the DfT guidelines relating to the Blue Badge Scheme would be sent over to Councillor Carter.
(19) Councillor Carter explained there was land that was owned by RMBC and leased to organisations such as grass verges, parks and recreation facilities, community buildings and Drew from North Anston wanted to know what the Council's policy was on collecting the so-called 'peppercorn rent' (e.g. £1/year) specified in such leases and asked did the cost (including staff time) of processing payments outweigh the income generated?
Councillor Lelliott explained leases were granted by the Council at peppercorn rents (as opposed to commercial rents) when they were considered to provide some form of wider community benefit.
This may be, for example, that the leaseholder was able to deliver services from the land/building that benefited both the Council and local communities.
The leases for a peppercorn or nominal amount usually went on to state "to be paid if demanded". Where leases stated this, the Council's position was that it did not collect these small nominal rents as it was not cost effective to do so.
In a supplementary question Councillor Carter asked what level of threshold for these peppercorn rents was in place and how many of these rents have been collected in the past 5 years.
Councillor Lelliott did not have the information to hand so would provide an answer to the question in writing.
(20) Councillor Jepson asked if the Cabinet Member was able to update him regarding the 6 bungalows that were to be purchased by the Council from Duchy Homes at their Penny Piece Lane, North Anston development, have they now been purchased and if so when, have tenants been allocated, when would they be completed and what was the total cost to the Council including any adaptations?
Councillor Beck explained that on 19th November, 2018, Cabinet approved the purchase of 6 bungalows on Penny Piece Lane, North Anston, from Duchy Homes, to add to the Council's housing stock.
The homes were due to be completed and handed over to the Council in January 2020 and shortly after this the homes would be allocated via the Housing Register from Key Choices.
The total cost was £592k, of which a 25% deposit had already been paid and the rest would be paid on completion.
In a supplementary comment Councillor Jepson referred to information indicating some of the properties were shown as being sold when the site was nowhere near completion and he was concerned that Council had paid money, but would be waiting some considerable time.
(21) Councillor Jepson explained that, following its recent Ofsted report, Anston Park Junior School was again rated as 'requires improvement'. This followed full and monitoring reports in 2015 and 2017 which also rated it as 'requires improvement' and asked was he also concerned about this latest one and what help and assistance was the Local Authority able to offer the school to improve the situation.
Councillor Watson explained Anston Park Junior School was a maintained school.
There had been significant turnover of staffing during the last academic year which had now been resolved. All 3e Y6 teachers left the School mid-way through the year following challenges from the leadership team.
The School was the first in the Authority to be inspected under the new framework; the emphasis on subject leadership was difficult for them because of the number of new staff who had only recently (within the previous 2 weeks) been allocated a curriculum area and so were unable to discuss it in sufficient depth – no allowance was made around this from Ofsted.
For the past year the School had had a Steering Group, which had included representation from the Council. RoSIS had allocated a National Leader for Education to support the School with termly visits who could identify any bespoke support the School needed which would feed into the Steering Group.
Reading the report in detail it talked about the leadership recognizing that the outcomes had not been good enough. However, there was now only four bands within the Ofsted inspection regime, but it was with a little bit more work the school would improve and was going in the right direction.
(22) Councillor Jepson referred to the Chesterfield Canal Members Steering Group which had not met since 17th January, 2019, and asked had any progress been made with regard to future meetings of the group and could the Cabinet Member also confirm that the Council was still fully committed to supporting the Trust in its restoration of the canal as well as developing its future use.
Councillor Allen explained the Chesterfield Canal Members Steering Group took place following the Kiveton Waters Stakeholder Group. The sequence of these meetings was important as the Kiveton Waters Group updated the Chesterfield Canal Members Group.
The Kiveton Waters Stakeholder Group last met in July and was due to meet again in September, but this was cancelled due to lack of availability. The next meeting was due for mid-November and officers were awaiting confirmation of the preferred date, based on the availability of the different partners.
The Council remained committed to supporting the project. The lead organisation was the Chesterfield Canal Preservation Trust and the Council would continue to work alongside other partners such as the Canals and Rivers Trust.
This commitment was further evidenced by the recently published Cultural Strategy – Things to Do, Places to Go – which was endorsed by Cabinet on 10 th June, 2019. The Strategy outlined in one of its 7 Game Changers - "Adventures in Rother Valley" its commitment to "the development of the historic canal network".
(23) Councillor B. Cutts asked could the Cabinet Member give him an outline of the current position of the Guest and Chrimes Building and the future expectation?
Councillor Lelliott reported that Guest and Chrimes was a privately owned listed building which was subject to a fire. This caused substantial damage to the building. Following the fire, several inspections and visits were carried out by Building Control to ensure that appropriate demolition, to make the building safe, was carried out. The site had been made secure with permanent fencing around the full perimeter of the site.
As the Council did not own the site Councillor Lelliott offered to put Councillor Cutts in touch with the owner's for him to get information from them.
280. URGENT ITEMS
There were no urgent items for consideration.
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Comments in Support of Reconsideration of the Endangerment Finding
1.) American Coal Council:
"However, that finding was for six greenhouse gases which EPA found in the aggregate to endanger public health or welfare. EPA has never made a finding that CO2 alone endangers public health or welfare, and certainly not for CO2 from fossil generating units." 1
2.) American Petroleum Institute:
"As we explained in those earlier comments, API believes that faithful adherence to the CAA's procedures for developing performance standards is as important as the standards themselves… we continue to believe that the Agency should revisit the process by which EPA determined whether the source category emits carbon dioxide in amounts that represent a 'significant contribution' to endangerment of public health and welfare. Doing so can help ensure that these and any future NSPS are premised on solid and defensible legal foundations." 2
3.) Independent Petroleum Association of America:
"IPAA supports the issues presented in comments submitted by the Texas Pipeline Association (TPA). More specifically, it supports the following key points.
I. The correct interpretation of Section 111 is that EPA must make a new endangerment finding prior to regulating a new pollutant under the NSPS program.
II. EPA may not circumvent the endangerment finding requirement by employing a "rational basis" standard that is not in Section 111.
Consequently, like TPA, IPAA urges EPA to reject and withdraw the erroneous interpretation that EPA may skip the endangerment finding step in this context and that EPA should clarify that a statutory prerequisite for regulation of a new
1 American Coal Council, "Review of Standards of Performance for Greenhouse Gas Emissions From New, Modified, and Reconstructed Stationary Sources: Electric Utility Generating Units"; 6. Filed: March 18, 2019.
https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-2013-0495-12510&attachmentNumber=1&contentType=pdf 2 American Petroleum Institute, "Comments on the US Environmental Protection Agency's Proposed Amendments to the Standards of Performance for Greenhouse Gas Emissions from New, Modified, and Reconstructed Stationary Sources: Electric Utility Generating Units (82 Fed. Reg. 65424 (Dec. 20, 2018))."; 11. Filed: March 18, 2019. https://www.api.org/~/media/Files/News/Letters-Comments/2019/march/APIEGU-GHG-NSPS-Comments-031819.pdf
pollutant under the NSPS program is an endangerment finding for that particular pollutant." 3
4.) Murray Energy:
"EPA must make two findings before it can impose performance standards under the Clean Air Act: (1) an 'endangerment' finding that air pollution from a source category 'may reasonably be anticipated to endanger public health or welfare'; and (2) a 'contribution' finding that the source category 'causes or contributes significantly' to that endangering air pollution. EPA has not made either finding." 4
5.) Utility Air Regulatory Group (UARG):
"Only if it validly makes both findings in a section 111(b) listing may EPA establish performance standards to address the specific pollution from the source category emitting that pollutant. EPA promulgated the 2015 NSPS without having made these threshold statutory findings, and EPA should not repeat that error in this rulemaking." 5
6.) Tennessee Valley Authority:
"As to the endangerment finding that EPA is required to make under CAA § 111(b)(1)(A), TVA believes that a "standard of performance" is, by definition, tied to specific pollutants for which an endangerment finding has been made. Any other reading would give EPA unfettered authority to regulate any air pollutant emitted by that source regardless of whether it endangers "health or welfare." EPA could rely, at least partially, on its 2009 endangerment finding for six greenhouse gases in the "aggregate" that are emitted from automobiles. In adopting that earlier finding, EPA would have to explain how that earlier finding for the "combined
3Independent Petroleum Association of America, "Review of Standards of Performance for Greenhouse Gas Emissions From New, Modified, and Reconstructed Stationary Sources: Electric Utility Generating Units; Request for Comments on Endangerment Finding Interpretation"; 1. Filed: March 18, 2019. https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-2013-049512512&attachmentNumber=1&contentType=pdf
4 Murray Energy, "Comments of Murray Energy Corporation on EPA's Proposed Rule: Review of Standards of Performance for Greenhouse Gas Emissions from New, Modified, and Reconstructed Stationary Sources: Electric Utility Generating Units, 83 Fed. Reg. 65424 (December 20, 2018), EPA-HQ-OAR-2013-0495"; 6. Filed: March 18, 2019. https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-20130495-12539&attachmentNumber=1&contentType=pdf
5 Utility Air Regulatory Group, "COMMENTS OF THE UTILITY AIR REGULATORY GROUP ON THE UNITED STATES ENVIRONMENTAL PROTECTION AGENCY'S REVIEW OF STANDARDS OF PERFORMANCE FOR GREENHOUSE GAS EMISSIONS FROM NEW, MODIFIED, AND RECONSTRUCTED STATIONARY SOURCES: ELECTRIC UTILITY GENERATING UNITS; PROPOSED RULE 83 Fed. Reg. 65,424 (Dec. 20, 2018) Docket ID No. EPA-HQ-OAR-2013-0495"; 10. Filed: March 18, 2019. https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-2013-0495-12621&attachmentNumber=1&contentType=pdf
mix" of six greenhouse gases can be applied to the instant situation where the agency proposes to regulate only CO2." 6
7.) Texas Pipeline Association:
"TPA believes that the correct interpretation of Section 111 is that EPA must make a new endangerment finding prior to regulating a new pollutant under the NSPS program." 7
8.) National Rural Electric Cooperative Association:
"This regulation should incorporate solid principles in its formulation that can also be carried forward in future Section 111 rulemakings. To this end, EPA should conduct an "endangerment finding" for CO2 emissions regulated under this proposal." 8
9.) US Chamber of Commerce:
"The Chamber submits that EPA must make that separate finding." 9
10) Texas Commission on Environmental Quality:
"The EPA is required to make a proper endangerment finding in accordance with FCAA section 111, based on GHG emissions from the relevant source category, and cannot rely on the FCAA section 202 finding as a rational basis to regulate GHG emissions under section 111." 10
11) Texas Public Policy Foundation:
6 Tennessee Valley Authority, "TVA COMMENTS ON U.S. ENVIRONMENTAL PROTECTION AGENCY'S PROPOSED RULE: REVIEW OF STANDARDS OF PERFORMANCE FOR GREENHOUSE GAS EMISSIONS FROM NEW, MODIFIED, AND RECONSTRUCTED STATIONARY SOURCES: ELECTRIC UTILITY GENERATING UNITS (December 20, 2018)"; 4.
https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-2013-0495-12507&attachmentNumber=
1&c ont
entType=pdf
7 Texas Pipeline Association, "Review of Standards of Performance for Greenhouse Gas Emissions From New, Modified, and Reconstructed Stationary Sources: Electric Utility Generating Units; Request for Comments on Endangerment Finding Interpretation"; 2. Filed: March 15, 2019. https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-2013-0495-12381&attachmentNumber=1&contentType=pdf
8 National Rural Electric Cooperative Association, "Comments on Review of Standards of Performance for Greenhouse Gas Emissions From New, Modified, and Reconstructed Stationary Sources: Electric Utility Generating Units"; 1. Filed March 18, 2019.
https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-2013-0495-12571&attachmentNumber=1&contentType=pdf 9 US Chamber of Commerce, "Review of Standards of Performance for Greenhouse Gas Emissions From New, Modified, and Reconstructed Stationary Sources: Electric Utility Generating Units, Proposed Rule, Docket ID No. EPA–HQ–OAR–2013–0495; FRL–9987–85–OAR, 83 Fed. Reg. 65424 (Dec. 20, 2018)"; 18. Filed: March 18, 2019. https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-2013-049512719&attachmentNumber=1&contentType=pdf
10 Texas Commission on Environmental Quality, "COMMENTS BY ME TEXAS COMMISSION ON ENVIRONMENTAL QUALITY, THE PUBLIC UTILITY COMMISSION OF TEXAS, AND THE RAILROAD COMMISSION OF TEXAS ON PROPOSED AMENDMENTS TO ME STANDARDS OF PERFORMANCE FOR GREENHOUSE GAS EMISSIONS FROM NEW, MODIFIED, AND RECONSTRUCTED ELECTRIC UTILITY GENERATING UNITS"; 1. Filed: March 19, 2019. https://www.regulations.gov/contentStreamer?documentId=EPAHQ-OAR-2013-0495-12386&attachmentNumber=2&contentType=pdf
"Thus, in the instant case EPA was required to make an endangerment finding that carbon dioxide emissions from fossil fuel-fired power plants cause or contribute significantly to air pollution which may reasonably be anticipated to endanger public health or welfare. EPA did not make that finding in its promulgation of the 2015 Rule." 11
"But even following the endangerment finding provisions under Section 111(b) would not save the fate of EPA's proposed amended version of the 2015 Rule, because the structure of the Clean Air Act requires EPA to regulate these types of emissions under Sections 108-110 of the Act." 12
12) American Coalition for Clean Coal Electricity:
"EPA has never found that CO2 alone endangers public health or welfare, let alone made such a finding for CO2 emissions from the new EGU source category that was codified at new Subpart TTTT in 2015." 13
13) Competitive Enterprise Institute and Science & Environmental Policy Project:
"We filed our petition in 2017, contending that EPA should commence a new rulemaking on the subject of its 2009 finding." 14
14) American Fuel and Petrochemical Manufacturers:
"Therefore, unless EPA makes a specific determination that: (1) CO2 emissions, (2) from coal and natural gas-fired EGUs, (3) "cause[], or contribute[] significantly to, air pollution which may reasonably be anticipated to endanger public health or welfare," it cannot proceed with any of the proposed EGU GHG NSPS rules." 15
11 Texas Public Policy Foundation, "Comments on Review of Standards of Performance for Greenhouse Gas Emissions from New, Modified, and Reconstructed Stationary Sources: Electric Utility Generating Units, 83 FED. REG. 65424 (DEC. 20, 2018), Docket ID No. EPA–HQ–OAR– 2013–0495."; 4. Filed: March 15, 2019. https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-2013-049512382&attachmentNumber=1&contentType=pdf
12 Texas Public Policy Foundation (March 15, 2019); 6.
14 Competitive Enterprise Institute and Science & Environmental Policy Project, "Docket ID No. EPA-HQ-OAR-2013-0495; Review of Standards of Performance for Greenhouse Gas Emissions from New, Modified, and Reconstructed Stationary Sources: Electric Utility Generating Units; 83 FR 65424"; 1. Filed: March 18, 2019. https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-2013-049512588&attachmentNumber=1&contentType=pdf
13 American Coalition for Clean Coal Electricity, "American Coalition for Clean Coal Electricity Comments on EPA's Proposed Rule to Revise CO2 NSPS"; 12. Filed: March 18, 2019. https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-2013-049512617&attachmentNumber=1&contentType=pdf
15 American Fuel and Petrochemical Manufacturers, "Review of Standards of Performance for Greenhouse Gas Emissions From New, Modified, and Reconstructed Stationary Sources: Electric Utility Generating Units, Docket ID No. EPA–HQ–OAR–2013–0495; FRL–9987–85– OAR, 83 Fed. Reg. 65424 (Dec. 20, 2018)"; 2. Filed: March 18, 2019. https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-20130495-12500&attachmentNumber=1&contentType=pdf
15) GPA Midstream Association:
"Accordingly, EPA must complete a separate significant contribution endangerment determination before regulating any new pollutant, including GHG emissions, from an NSPS source category." 16
16) National Association of Manufacturers:
"We have consistently urged the EPA to establish that, for any and all 111(b) or (d) standards of performance that pertain to any GHGs, the Agency must first make a separate significant contribution endangerment finding based on the specific GHG emissions for the category. Such a finding must be a necessary precursor to regulation of a source category." 17
17) North Dakota Department of Health:
"EPA cannot promulgate a new source performance standard (NSPS) for CO2 emissions from fossil-fueled electric utility generating units (EGUs) under Section 111(b) of the federal Clean Air Act (CAA) unless and until it has made the statutorily required "endangerment finding" with respect to CO2 emissions from this source category." 18
18) Concerned Household Electricity Consumers Council:
"In the 2018 NSPS Rule, EPA adopted arguments set out in the 2015 NSPS Rule that set out what can be called a layered defense of its position on the Section 111 endangerment finding issue. It claimed (1) that no new endangerment finding was required because it had made one for the same source category (but not the same pollutant) many years ago; (2) if a new endangerment finding were required, it could adopt the 2009 Endangerment Finding for mobile sources lock, stock and
16 GPA Midstream Association, "Review of Standards of Performance for Greenhouse Gas Emissions From New, Modified, and Reconstructed Stationary Sources: Electric Utility Generating Units; Request for Comments on Endangerment Finding Interpretation"; 2. Filed: March 18, 2019. https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-2013-0495-12615&attachmentNumber=1&contentType=pdf
17 National Association of Manufacturers, "Proposed Amendments to Standards of Performance for Greenhouse Gas Emissions from New, Modified, and Reconstructed Stationary Sources: Electric Utility Generating Units (EGUs); Docket ID EPA-HQ-OAR-2013-0495"; 2. Filed: March 18, 2019. https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-2013-049512699&attachmentNumber=1&contentType=pdf
18 North Dakota Department of Health," Comments of the North Dakota Department of Health on U.S. EPA's Proposed Rule: Review of Standards of Performance for Greenhouse Gas Emissions From New, Modified and Reconstructed Stationary Sources: Electric Utility Sources: Published 83 Fed. Reg. 65,424 (December 20, 2018) (Docket ID No. EPA-HQ-OAR-2013-0495)"; 1. Filed: March 18, 2019. https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-2013-0495-12689&attachmentNumber=1&contentType=pdf
barrel; and (3) if that was not sufficient, it was making the requisite finding for Section 111 purposes by then and there declaring it to be so. None of these arguments withstands scrutiny." 19
{CHECC}Recommendations Based on Science Arguments.
CHECC fully endorses the recommendations of these scientists because recent research has definitively validated that: once certain natural factor (i.e., solar, volcanic and oceanic/ENSO activity) impacts on temperature data are accounted for, there is no "natural factor-adjusted" warming remaining to be attributed to rising atmospheric CO2 levels. That is, these natural factor impacts fully explain the key cyclical patterns and linear trends in all relevant temperature data sets over the last 50 or more years. At this point, there is no statistically valid proof that past increases in atmospheric CO2 concentrations have caused what have been officially reported as rising, or even record setting, Global Average Surface Temperatures (GAST.)
Moreover, additional new research findings demonstrate that data manipulation/adjustments by government agencies to the previously reported GAST data have rendered the entire data record now totally inconsistent with published credible temperature data sets and useless for any policy analysis purpose. These new results, that demonstrate that GAST data are invalid and useless, conclusively invalidate the claims based on GAST data of "record warming" in recent years and also invalidate the two other "lines of evidence" on which EPA claimed to base its 2009 CO2 Endangerment Finding.
In addition, 11 typical climate alarmist claims have each been invalidated by specialists in each of the areas simply relying on the most credible, relevant empirical data.
The two invalidated CO2 Endangerment Findings, combined with NEPA and other regulations, are now driving numerous crippling state and federal CO2related decisions. - - - -
Clearly, to stop this fundamentally misguided regulatory process, based on the science-based evidence alone, the 2009 and 2015 GHG Endangerment Findings must be put through a rigorous reconsideration process. In addition, by necessary
19 Concerned Household Electricity Consumers Council, "COMMENT OF THE CONCERNED HOUSEHOLD ELECTRICITY CONSUMERS COUNCIL ON EPA'S REVIEW OF STANDARDS OF PERFORMANCE FOR GREENHOUSE GAS EMISSIONS FROM NEW, MODIFIED, AND RECONSTRUCTED STATIONARY SOURCES: ELECTRIC UTILITY GENERATING UNITS"; 2. Filed: March 19, 2019. See also pages 25-26 https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-2013-049512379&attachmentNumber=1&contentType=pdf
implication, EPA should not issue any replacement for the CPP, or move forward with the ACE Rule or 2015 or 2018 NSPS Rules. In addition, EPA should not allow future CO2 emissions to impact its view as to the proper vehicle MPG standards. CO2 is a beneficial gas. 19
19) National Mining Association:
"EPA Should Conduct a Proper Analysis of Whether GHG Emissions From New Coal-Fired EGUs Cause or Contribute to an Endangerment of Public Health or Welfare." 20
20) North American Coal Corporation:
"These comments are submitted for two reasons: (1) to suggest that the U.S. Environmental Protection Agency (EPA) is mistaken to rely on prior endangerment findings to regulate CO2 emitted from EGUs…" 21
21) American Public Power Association:
"Under CAA Section 111, EPA must make a finding that the source category significantly contributes to endangerment before it can regulate a new pollutant from the source category. APPA is not challenging the 2009 Endangerment Finding. The Association is not recommending the Agency make a new endangerment finding. Instead we offer our legal analysis in response to EPA's request from comment on what is required when the Agency decides to regulate a new pollutant, such as CO2 from a source category that has been previously listed by EPA." 22
20 National Mining Association, "Comments of the National Mining Association on Proposed Rule, "Review of Standards of Performance for Greenhouse Gas Emissions from New, Modified, and Reconstructed Stationary Sources: Electric Utility Generating Units," 83 Fed. Reg. 65,424 (Dec. 20, 2018)"; 40. Filed: March 18, 2019. https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-2013-049512714&attachmentNumber=1&contentType=pdf
21 North American Coal Corporation, "Review of Standards of Performance for Greenhouse Gas Emissions from New, Modified, and Reconstructed Stationary Sources: Electric Utility Generating Units Docket ID No. EPA-HQ-OAR-2013-0495 Comments of the North American Coal Corporation"; 2. Filed: March 8, 2019. https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-2013-049512342&attachmentNumber=1&contentType=pdf
22 American Public Power Association, "COMMENTS OF THE AMERICAN PUBLIC POWER ASSOCIATION ON THE ENVIRONMENTAL PROTECTION AGENCY'S REVIEW OF STANDARDS OF PERFORMANCE FOR GREENHOUSE GAS EMISSIONS FROM NEW, MODIFED AND RECONSTRUCTED STATIONARY SOURCES: ELECTRIC UTILITY GENERATING UNITS; PROPOSED RULE"; 4. Filed: March 18, 2019. https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-2013-049512618&attachmentNumber=1&contentType=pdf
22) Portland Cement Association:
"Section 111 Requires Both A Source-And Pollutant-Specific Endangerment Determination." 23
23) Patrick Morrisey, Office of the Attorney General, State of West Virginia et al.:
"Nevertheless, our comments also highlight some considerations that we believe are necessary to confirm that the EPA remains faithful to the Clean Air Act's text and cooperative federalism regime before promulgating significant regulations in this area—and thus ensure that the final rule stands on the strongest legal footing." 24
24) San Miguel Electric Cooperative and South Texas Electric Cooperative:
"Additionally, the EPA should also continue to evaluate whether, provided that § 111(b)(1)(A) does not require a source- and pollutant-specific endangerment finding in all cases, the EPA should, nonetheless, interpret that language to require such findings for CO2 when it is regulated as a "greenhouse gas" ("GHG") because of the numerous unique features of GHGs. Unlike other pollutants regulated by the EPA under the CAA, the effects of GHGs are not localized. The result of this is that any domestic reduction in GHGs can be offset by an increase in GHG emissions elsewhere. Additionally, the EPA should also continue to evaluate whether, provided that § 111(b)(1)(A) does not require a source- and pollutant-specific endangerment finding in all cases, the EPA should, nonetheless, interpret that language to require such findings for CO2 when it is regulated as a "greenhouse gas" ("GHG") because of the numerous unique features of GHGs. Unlike other pollutants regulated by the EPA under the CAA, the effects of GHGs are not localized. The result of this is that any domestic reduction in GHGs can be offset by an increase in GHG emissions elsewhere." 25
23Portland Cement Association, "EPA–HQ–OAR–2013–0495, Review of Standards of Performance for Greenhouse Gas Emissions From New, Modified, and Reconstructed Stationary Sources: Electric Utility Generating Units"; 2. Filed: March 18, 2019. https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-2013-0495-12697&attachmentNumber=1&contentType=pdf 24Patrick Morrisey, Office of the Attorney General, State of West Virginia et al., "Comments of the States of West Virginia, Alabama, Arkansas, Georgia, Indiana, Kansas, Louisiana, Montana, Missouri, Nebraska, Ohio, Oklahoma, South Carolina, South Dakota, Utah, Texas, and the Mississippi Department of Environmental Quality, on the proposed rule entitled Review of Standards of Performance for Greenhouse Gas Emissions From New, Modified, and Reconstructed Sources: Electricity Generating Units (Docket No. EPA-HQ-OAR-2013-0495)."; https://www.regulations.gov/contentStreamer?documentId=EPA-HQ-OAR-2013-0495-12600&attachmentNumber=1&contentType=pdf 25 San Miguel Electric Cooperative and South Texas Electric Cooperative, "Proposed Rule for Standards of Performance for Greenhouse Gas Emissions from New, Modified, and Reconstructed Stationary Sources: Electric Utility Generating Units (EGUs) Comments of San Miguel
25) Lignite Energy Council:
"This language appears to require a source- and pollutant-specific endangerment finding. That is, before EPA can regulate the emissions of a pollutant from a category of sources, it must first find that the emissions of that pollutant from the sources in that category "may reasonably be anticipated to endanger public health or welfare." This has not, however, been the EPA's interpretation in the past." 26
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Running Head: TYPE D PERSONALITY, NEUROTICISM, INTROVERSION
Construct, concurrent, and discriminant validity of Type D personality in the general population: Associations with anxiety, depression, stress, and cardiac output
Siobhán Howard* and Brian M. Hughes
Centre for Research on Occupational and Life Stress, National University of Ireland, Galway,
University Road, Galway, Ireland
To be cited as:
Howard, S., & Hughes, B. M. (2012). Construct, concurrent, and discriminant validity of Type D personality in the general population: Associations with anxiety, depression, stress, and cardiac output. Psychology and Health, 27, 242-258,
Abstract
The Type D personality, identified by high negative affectivity paired with high social inhibition, has been associated with a number of health-related outcomes in (mainly) cardiac populations. However, despite its prevalence in the health-related literature, how this personality construct fits within existing personality theory has not been directly tested. Using a sample of 134 healthy university students, the present study examined the Type D personality in terms of two well-established personality traits; introversion and neuroticism. Construct, concurrent, and discriminant validity of this personality type was established through examination of the associations between the Type D personality and psychometrically-assessed anxiety, depression, and stress, as well as measurement of resting cardiovascular function. Results showed that while the Type D personality was easily represented using alternative measures of both introversion and neuroticism, associations with anxiety, depression, and stress were mainly accounted for by neuroticism. Conversely, however, associations with resting cardiac output were attributable to the negative affectivity-social inhibition synergy, explicit within the Type D construct. Consequently, both the construct and concurrent validity of this personality type were confirmed, with discriminant validity evident on examination of physiological indices of well-being.
Keywords: Type D personality, health, neuroticism, introversion, cardiac output
Theories of personality have an extensive history, with the human temperament long purported to be related to physical health. Personality theories have emanated from all areas of psychology, including cognitive psychology, psychoanalysis, and social psychology. However, perhaps the most productive source has been the psychometrically driven tradition of typologies and traits. Where typological theories of personality categorise individuals into discrete types, trait theories are based on the premise that all personalities can be identified on the basis of scores within a number of traits. Classically, the trait models of Eysenck (1991) and of Costa and McCrae (1992) are among those to have received the most research interest. Eysenck's threefactor approach posits that human personality can be encapsulated in the combination of neuroticism, extraversion, and psychoticism, while Costa and McCrae's "big five" swaps psychoticism for openness, agreeableness, and conscientiousness.
Recently, however, a personality type known as Type D has shown strong and lasting links to a range of negative health outcomes following coronary events (Denollet, Sys, & Brutsaert, 1995), including death (Denollet et al., 1996), second myocardial infarction (Denollet, Vaes, & Brutsaert, 2000), poor quality of life (Pedersen, Holkamp et al., 2006), and higher rates of depression and anxiety (Denollet, 1998a; Pedersen, Ong et al., 2006). While some have argued that Type D and depression overlap, studies have shown the Type D personality to be an independent predictor of poor coronary outcome, independent of depression (for example, see Schiffer et al., 2005). Even with the advent of technological advances in the treatment of cardiovascular disease (such as the use of percutaneous coronary interventions) the Type D personality is still associated with poor health-related outcome (e.g., Pedersen, Daemen et al., 2007; Pedersen, Denollet, Ong, Sonnenschein et al., 2007; Pedersen, Denollet, Ong, Serruys et al., 2007). Within non-cardiovascular patient populations and healthy individuals the Type D personality still shows links with poor physical and mental health (Mols & Denollet, 2010; Williams et al., 2008).
Although the Type D personality is treated as a type, it too involves the examination of (two) traits, namely negative affectivity (NA) and social inhibition (SI). Moreover, these two traits themselves appear as though they may overlap with the two traits most prominent in mainstream personality theory, namely neuroticism and extraversion. Although the prognostic power of scores for Type D within cardiac populations is well established (e.g., Denollet, 1998a; Denollet et al., 1995; Denollet et al., 1996; Pedersen, Daemen et al., 2007; Pedersen, Denollet, Ong, Sonnenschein et al., 2007; Pedersen, Denollet, Ong, Serruys et al., 2007; Pedersen, Holkamp et al., 2006; Pedersen, Ong et al., 2006), virtually none of the research tests whether Type D scores are unique predictors beyond mainstream personality traits.
The proponents of Type D have referred to this criticism as the question of whether Type D represents "old wine in new bottles" (Denollet & Van Heck, 2001, p. 467) and have responded by pointing to the importance of the proposed synergy between NA and SI, and by presenting empirical evidence that they suggest demonstrates the discriminant validity of Type D over related traits. While the NA-SI synergy does emerge as the important predictor (rather than either trait alone), it is questionable whether the empirical evidence offered for the discriminant validity of Type D over extraversion and neuroticism truly tests the comparative worth of the two conceptualisations.
For example, in a study of 155 healthy employees, De Fruyt and Denollet (2002) found half of the variance of both NA and SI to be predicted by five-factor model dimensions, with NA showing strong positive associations with neuroticism (r = +.74) and SI showing strong negative associations with extraversion (r = -.61; to a lesser extent, both NA and SI showed significant associations with conscientiousness and agreeableness). The authors identified that the Type D personality was a significant predictor of somatic complaints, sleeping problems, anxiety, and depression, even when the five-factor traits were controlled. However, although the authors presented data to show that neuroticism and extraversion accounted for only a small proportion
of variance in Type D scores themselves, they did not test (a) whether neuroticism and extraversion would have predicted health outcomes when Type D variables were controlled; or (b) the comparative strengths, in multiple regressions, of Type D and extraversion-neuroticism as predictors of health outcomes.
Therefore, although De Fruyt and Denollet (2002) concluded that their findings did not argue for a replacement of the Type D personality, this appeared to be more on the basis of psychometric practicability (as the various Type D questionnaires are much shorter than typical measures of neuroticism and extraversion) than on predictive or criterion validity. It is important to note, however, that De Fruyt and Denollet's research compellingly demonstrated Type D elements to have overlapped substantially with neuroticism and extraversion, supporting its construct validity, but also identifying the potential for Type D to be confounded by neuroticism and extraversion.
The objective of the present study was to examine whether the classification of Type D personality using a traditional Type D scale (the DS16) overlaps significantly with an analogous classification based on scores for neuroticism and extraversion. The specific trait model employed as the framework for this examination is the three-factor model of Eysenck (1991). In this model, it is argued that most personality types can be represented by variations in scores for neuroticism and for extraversion (with a minority of the population further represented by scores for psychoticism). This was felt to be a more comprehensive overlap with the Type D personality than that offered by Costa and McCrae's (1992) five-factor model, which posited additional unique (albeit minor) roles for conscientiousness, openness, and agreeableness. For the purposes of clarity in the present study, we label the classification of personality using scores for extraversion (low) and neuroticism (high) as Type "E", in deference to Eysenck's authorship of the three-factor model and in order to resonate with the standard nomenclature for Type D. We retain the quotation marks in order to denote the contrived and ephemeral nature of the typology.
As well as examining the superficial overlap between Type D and Type "E" classifications, we explore the comparative predictive validity of each in terms of some mental and physical health indices in a sample of healthy adults (namely, anxiety, depression, perceived stress, and resting cardiovascular function). Elevated resting blood pressure and heart rate, including within the normotensive range, is a significant risk factor for essential hypertension and cardiac disease (see Treiber et al., 2003), even in the absence of pre-existing cardiovascular disease (Fox et al., 2007). In addition, resting cardiovascular function is also positively associated with both cardiac and non-cardiac mortality (e.g., Kannel, Kannel, Paffenbarger, & Cupples, 1987; Reunanen et al., 2000). Consequently, in examining the Type D personality in this non-cardiac sample, associations with resting cardiovascular function, an objective indicator of health status, allows examination of the predictive validity of this personality type, on both subjective and objective indicators of psychological and physical health. Therefore, the present study aims to establish the degree to which standard Type D classification offers unique predictive validity for health outcomes beyond that offered by mainstream personality theory, and thus to establish whether Type D really is "old wine in new bottles".
Methodology
Participants
One hundred and thirty four students of Psychology participated in this study in return for course credit. Participation in this study was voluntary and anonymous. All participants signed an informed consent form and were fully debriefed following the completion of data collection. The sample included 105 females ranging in age from 18 years to 36 years (M = 20.14, SD = 2.82) and 29 males ranging in age from 18 years to 35 years (M = 22.72, SD = 4.67). Males were significantly older than females, t(33.83) = 2.83, p = .008. Ethical approval was obtained from the institutional research ethics committee.
Design
This study incorporated a simple between-subjects design. The independent variable was personality with two levels; Type D and non-Type D or alternatively, Type "E" and non-Type "E". Although initially devised as a taxonomy it has been suggested that the Type D construct is best represented as a dimensional rather than a categorical construct (Ferguson et al., 2009). Consequently, a continuous measure of Type D or Type "E" was computed using the arithmetic product of the two subscores (see Whitehead, Perkins-Porras, Strike, Magid, & Steptoe, 2007; Williams, O'Connor, Grubb, & O'Carroll, in press). Both categorical classification of Type D status and continuous measurement of the Type D construct were used in analyses. The dependent variables were scores for anxiety, depression, and perceived stress, as well as resting measures of cardiovascular parameters (namely, systolic blood pressure [SBP], diastolic blood pressure [DBP], heart rate [HR], cardiac output [CO], and total peripheral resistance [TPR]).
Materials and Apparatus
The 16-item Type D scale (DS16).
The DS16 was used to assess Type D status. The DS16 comprises of two 8-item subscales which measure NA and SI. Participants respond on a 5-point Likert scale from "False" to "True" to a range of statements such as I am happy most of the time and when socializing, I don't find the right things to talk about. Previously, Cronbach's α of .89 for the NA scale and .82 for the SI scale have been reported (Denollet, 1998b). The construct and external validity of this scale has been established (Denollet, 1998b) with the NA scale shown to be related to the neuroticism scale of the EPQ (r = +.64) and to the anxiety scale of the Taylor Manifest Anxiety Scale (Taylor, 1953; r = +.62). The SI scale of the DS16 is inversely related to the extraversion scale of the EPQ (r = -.65) and the Minnesota Multiphasic Personality Inventory (Johnson, Null,
Butcher, & Johnson, 1984; r = -.61). Traditionally a median split on both subscales of the DS16 is used to identify Type D status, with individuals scoring above the median on both scales identified as Type D (Denollet, 1998a).
Eysenck Personality Questionnaire (EPQ).
The Revised EPQ (Eysenck & Eysenck, 1991) was used to assess Type "E" status. The EPQ consists of four different subscales measuring Neuroticism (N), Extraversion (E), Psychoticism, and a Lie scale. The scales consist of 133 questions to which the participant responds either "yes" or "no". Satisfactory reliability for the "E" and N scales has been reported (Caruso, Witkiewitz, Belcourt-Dittloff, & Gottlieb, 2001; Williams, 1989). For clarity in the present study, scores on the "E" scale were reverse-coded in order to represent an introversion (I) score; thus ensuring that the trait conceptually resembles the SI element of the Type D personality. A median split on both N and I was used to identify Type "E" individuals: in other words, while Type D proponents suggest that persons above the median in both NA and SI (namely, Type D persons) are at particular risk of adverse health, in the present study this classification is compared with an analogous classification of persons above the median in N and I (namely, Type "E" persons).
Hospital and Anxiety Depression Scale (HADS).
The Hospital Anxiety and Depression Scale (HADS; Zigmond & Snaith, 1983) was used to assess anxiety and depression. The HADS is a 14-item scale that provides a brief state measure of both anxiety and depression. Participants respond to statements on a 4-point Likert scale, with different response items for each question. Total scores range from 0 to 21, with a higher score indicating a higher level of anxiety or depression. Previous research has reported Cronbach's α of above .90 for both subscales (e.g., Moorey et al., 1991). Concurrent validity was previously
established by comparison with 5-point psychiatric rating scales of anxiety and depression for 100 medical out-patients (Zigmond & Snaith, 1983) while the construct validity of the scale as a measure of the two factors was confirmed in a factor analysis of the responses of cancer patients by Moorey et al. (1991). In the present non-clinical sample, Cronbach's α for the anxiety scale was .82 and for the depression scale was .74.
Perceived Stress Scale (PSS).
Perceived stress was assessed using the Perceived Stress Scale (PSS; Cohen & Williamson, 1988), a 10-item scale which assesses the degree to which situations in one's life are appraised as stressful. Items are scored from 0 to 4, with a possible range of scores from 0 to 40; a higher score indicating more perceived stress. Cronbach's α of .78 has been demonstrated (Cohen, Kamarck, & Mermelstein, 1983). Concurrent validity was established in studies of college students where modest correlations with 'impact of life events' were reported (Cohen et al., 1983). The PSS was also found to correlate with indices of depressive symptomatology (r = +.65 to +.76). Use of the PSS-10, rather than the PSS-14 has been suggested because of its good internal reliability and equivalent value in predicting outcomes (Cohen & Williamson, 1988). For the current sample Cronbach's α for this scale was .85.
Cardiovascular monitoring equipment.
Cardiovascular function was measured using a Finometer haemodynamic cardiovascular monitor (Finapres Medical Systems BV, BT Arnhem, The Netherlands). The Finometer is the successor to the TNO Finapres-model-5 and of the Ohmeda Finapres 2300e which have been used in previous research (e.g., Beckham et al., 2002; Gregg, Matyas, & James, 2002; Philippsen et al., 2007; van Rooyen et al., 2004). The Finometer is based on the volume-clamp method first developed by Peňaz (1973). An appropriate-sized finger cuff is attached to the participant's
middle finger which inflates to keep the arterial walls at a set diameter. In-built into this finger cuff is an infrared photo-plethysmograph which detects changes in the diameter of the arterial wall. When the intra-arterial pressure increases, thereby expanding the diameter of the arterial wall, a dynamic servo-controller immediately causes the finger cuff to inflate, thereby keeping the diameter of the artery at a constant position. When the volume clamp is active at the proper unloaded diameter, intra-arterial pressure equals that of the finger cuff pressure. Finometer uses Physiocal (Finapres Medical Systems, Amsterdam) to determine and maintain the pressure at which the finger artery is clamped (Wesseling, De Wit, Van der Hoeven, Van Goudoever, & Settels, 1995). Physiocal is an algorithm that establishes a setpoint level and provides for the periodic setpoint adjustment by a computer. This is necessary as changes in smooth muscle tone will lead to errors in blood pressure measurement if a fixed setpoint was used. The Physiocal criteria allows for correction of errors without interrupting continuous measurements (Wesseling et al., 1995). The Finometer has been shown to accurately assess absolute blood pressure in young participants (Schutte, Huisman, Van Rooyen, Oosthuizen, & Jerling, 2003) and in cardiac patients (Guelen et al., 2003). According to these studies, the validation criteria of the Association for the Advancement of Medical Instrumentation are satisfied by the Finometer.
In order to eliminate the impact of gender differences in cardiovascular function, especially in light of the small number of male participants recruited, Finometer measures were taken for female participants only (n = 105, or 78% of the sample).
Procedure
Each participant was met in the laboratory by the researcher and was asked to fill out a number of psychometric scales including the DS16, EPQ, HADS, and the PSS. Following completion of these scales, the Finometer cuff was applied to the participant's finger and resting cardiovascular measures were taken over a 10-minute period. Reading material was supplied in order to facilitate genuine relaxation and the establishment of cardiovascular baselines (Jennings, Kamarck, Stewart, Eddy, & Johnson, 1992). Participants were fully debriefed following completion of data collection.
Data Analysis
Chi-squared analyses are conducted in order to test associations between nominal variables and to examine the overlap between the standard method of classification of Type D personality using the DS16 and the analogous method based on the EPQ (i.e., Type "E"). To confirm findings based on the chi-squared analyses, a logistic regression analysis examines if the categorical variable of Type D versus non-Type D as identified by the DS16 could be predicted by scores on the I and N scale of the EPQ. Effect sizes for chi-squared analyses (based on 2 × 2 contingency tables) are reported as phi (Φ). Construct and concurrent validity are established through examination of correlations among the subscales and examination of the internal consistency of the scales.
Stepwise regression is used to explore the relative contribution of Type D and Type "E" in predicting psychological and physiological outcomes. Continuous scores for Type D were produced by computing the product of NA and SI (NA × SI), while continuous scores for Type "E" were computed as the product of N and I (N × I). These products represent continuous analogues of the Type D and Type "E" personality distributions (see Whitehead et al., 2007). Main and interaction effects for Type D elements are assessed by entering individual scores for NA and SI, as well as NA × SI, in each model, while the corresponding effects for Type "E" are assessed by entering N, I, and N × I. Stepwise regression analyses were chosen over hierarchical regression in order to determine the relative strength of the two subscales and their interaction in predicting outcomes. So, NA, SI, and NA × SI were entered using stepwise methods and the strongest predictor(s) would emerge in the model, and likewise for the Type "E" traits. In order to confirm that Type D effects would be maintained when controlling for N and I, hierarchical multiple regression were used, with N and I entered in the first step and the NA × SI interaction term entered in the second. Effect sizes for multiple regressions are reported as percentage of variance in the criterion variable explained by the predictors, as identified by adjusted R squared.
Finally, in order to investigate categorical Type D and Type "E" associations with health outcomes, a series of independent t-tests were conducted. For the first series of independent ttests, Type D was entered as the independent variable; for the second series of independent ttests, Type "E" was entered as the independent variable.
Resting cardiovascular measures are examined as an objective index of well-being. In healthy populations, blood pressure is positively and linearly associated with lifetime rates of cardiovascular mortality (Fox et al., 2007; Prospective Studies Collaboration, 2002). Measures used in the present analyses are computed as the mean beat-to-beat readings obtained from minute 2 to minute 9 (inclusive) of the 10-minute measurement period.
Results
Personality Classification
Classification of Type D.
In line with current practice for the DS16, participants were classified as Type D and nonType D based on a median split of the NA and SI subscales of the DS16. Median scores for NA and SI were observed to be 10 (range = [0, 25]) and 13 (range = [1, 28]), respectively, with no gender difference in the medians of either NA or SI (both ps > .05). Based on these medians, 40 participants (29.9% of the sample) were classified as Type D. The distribution of gender by Type D status not differing from chance levels (p > .05).
Classification of Type "E".
Correspondingly, participants were classified as Type "E" according to median splits of the N and I subscale scores from the EPQ. Median scores for N and I were observed to be 14 (range = [0, 24]) and 8 (range = [0, 20]), respectively. There were no gender differences in the median of either N or I. (both ps > .05). As a result, 37 participants (27.6% of the sample) were classified as Type "E", with the distribution of gender by Type "E" status not differing from chance levels (p > .05).
Overlap in Classifications
Independent t-tests revealed that all the items of the NA subscale of the DS16 differentiated between Type "E" and non-Type "E" individuals, while only half of the SI items did so. The SI items which did not differentiate Type "E" status were items 4 ("I have little impact on other people"), 5 ("I find it hard to express my opinions to others"), 7 ("I often find myself taking charge in group situations"), and 13 ("I like to be in charge of things"). Item 3 ("I often talk to strangers") had a p value of .04, deemed non-significant when applying a Bonferroni correction to control for Type I errors.
Chi-squared analyses were conducted to examine the overlap of classifications between the two methods. Perhaps unsurprisingly, a significant association between Type D and Type "E" status was observed, χ 2 (1) = 34.72, p < .001, Φ = .51. To confirm these findings, a hierarchical logistic regression was conducted to examine if Type D classification as based on the DS16 could be predicted by scores on the N and I subscale of the EPQ. A test of the full model with all predictors against a constant only model was statistically reliable, χ 2 (df = 2, N = 134) = 61.29, p < .001, indicating that both N and I reliably predicted whether people would be classified as Type D using the DS16. The model correctly classified 83% of participants, and the variance in classification accounted for was good with a Cox & Snell R 2 = .37.
Validity of Type D and Type "E" Classifications
In order to examine the two methods of classification in more detail, a number of validity analyses were conducted. Construct validity of the two procedures was examined by conducting internal reliability analyses on the four subscales. Cronbach's α was used as a measure of internal reliability, with α = .70 treated as the threshold of acceptability (Nunnally, 1978). Concurrent validity was assessed by examining targeted correlations among the sub-scales. Finally, discriminant validity was examined by using stepwise regression to identify the relative contribution of the two classification methods in accounting for variance in depression, anxiety, perceived stress, and cardiovascular measures.
Construct validity.
Cronbach's α for the NA and SI subscales of the DS16 was .88 and .79, respectively, and for the N and I subscales of the EPQ was .87 and .85. As such, all four subscales appeared to contain items that reliably identify common core variables, thereby implying construct validity.
Concurrent validity.
There were significant positive correlations between the NA and N, r = +.73, p < .001, and between SI and I, r = +.64, p < .001. To examine the correlations between the interaction terms, a Pearson's product moment correlation coefficient was conducted between NA × SI and N × I, and once again a positive correlation was observed, r = +.69, p < .001. Insofar as the interaction terms represent the Type D and Type "E" personalities, and insofar as it is predicted that the two overlap, the positive correlation confirms that both appear to be related to a common construct. All these correlations remained significant after applying Bonferroni correction.
Discriminant validity: Psychological criteria.
In order to compare the predictive power of Type D and Type "E" classifications in relation to psychological criterion variables, a series of multiple regressions using the stepwise method were conducted. Results are presented for each criterion in turn, namely, anxiety, depression, and perceived stress. In the first model in each section, the Type D components (NA, SI, and the interaction term NA × SI) are entered as predictors, while the second model contains the corresponding components for Type "E" (N, I, and N × I).
Anxiety. It was found that NA and SI (but not NA × SI) significantly predicted anxiety, F(2,131) = 50.03, p < .001, adjusted R 2 = .42. NA alone predicted 40% of the variance, with the addition of SI explaining a further 2% of the variance. In the second model, only N significantly predicted anxiety F(1,132 )= 145.17, p < .001, adjusted R 2 = .52. Table 1 gives a summary of these regression models. It can be inferred that any association between either Type D or Type "E" and anxiety as measured by the HADS can be accounted for substantially by the NA or N components alone.
Depression (HADS). In the first model (Model 3, in Table 1), NA (but not SI or NA × SI) significantly predicted depression, F(1,132) = 72.14, p < .001, adjusted R 2 = .35. For the second model (Model 4, in Table 1), N and N × I (but not I) predicted depression, F(2,131) = 36.59, p < .001, adjusted R 2 = .35. N alone predicted 32.6% of the variance, with the addition of N × I explaining a further 2.3%. Table 1 indicates the relevant predictors of depression. Again it can be seen that any association between Type D or Type "E" and depression is likely to be substantially accounted for by the NA or N components.
Perceived Stress. Again, the first regression model revealed that NA (but not SI or NA × SI) significantly predicted perceived stress, F(1,132 ) = 115.43, p < .001, adjusted R 2 = .46, while the second model revealed the same effect for N (but not I or N × I), F(1,132) = 117.58, p <.001, adjusted R 2 = .47. Table 2 shows the significant predictors of perceived stress emerging from both analyses.
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Discriminant validity: Cardiovascular criteria
In order to examine the relative impact of the Type D and Type "E" on objective indices of well-being, a series of multiple regression analyses using the stepwise method were conducted on resting levels of SBP, DBP, HR, CO, and TPR. As reported above, cardiovascular measures were taken for the 105 female participants in the sample. A Kolmogorov-Smirnov test confirmed that the distributions for resting SBP, DBP, HR, and CO were each normal. For TPR a significant Kolmogorov-Smirnov test indicated a violation of the assumption of normality (p < .001), arising from which 9 outliers were removed. As such, analyses for TPR analysis were based on n = 96.
None of the Type D or Type "E" traits significantly predicted resting SBP, DBP, or HR. NA × SI showed some predictive power on resting measures of CO, F(1, 103) = 5.33, p = .023, adjusted R 2 = .04. None of the Type "E" traits predicted resting CO. For TPR, SI significantly predicting resting TPR, F(1, 92) = 9.05, p = .003, adjusted R 2 = .08, while I was also associated with elevated resting TPR, F(1,92) = 11.89, p = .001, adjusted R 2 = .11. Table 3 shows a summary of these regression models.
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To confirm that there is an association between the Type D continuous score and resting CO, when controlling for N and I, a hierarchical multiple regression was conducted with N and I entered in the first block, and NA × SI entered in the second. While the overall model was not significant, F(3,101) = 1.94, p = .128, meaning that N, I, and NA × SI as a set do not predict resting CO, the addition of NA × SI in the second step lead to a significant increase in the
amount of variance in resting CO being accounted for, Fchange (1, 101) = 4.46, p = .037. As can be seen in Table 4, higher scores on NA × SI were associated with lower resting CO.
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Categorical Type D and health outcomes
A series of independent t-tests comparing Type D with non-Type D individuals showed that there were significant differences on anxiety, t(57.14) = 3.73, p < .001, depression, t(53.57) = 4.95, p < .001, and perceived stress, t(132) = 4.81, p < .001, with Type D individuals scoring higher on anxiety, depression, and perceived stress than non-Type D individuals. Likewise, there was a significant difference in resting CO, F(103) = 2.28, p = .024, and resting TPR, F(92) = 2.39, p = .019, with Type D individuals demonstrating lower resting CO but elevated TPR when compared to non-Type D individuals. Mean levels on each health outcome can be seen in Table 5.
For Type "E", similar differences were evident on anxiety, t(132) = 5.72, p < .001, depression, t(53.84) = 5.72, p < .001, and perceived stress, t(132) = 5.08, p < .001, although there were no Type "E" differences on SBP, DBP, HR, CO, or TPR (all ps > .10).
Discussion
The present study provided preliminary evidence supporting the concurrent and construct validity of the Type D personality. Showing significant associations with the EPQ subscales, the findings suggest that the Type D personality is a valid construct within the present sample, indicating that the personality type could easily be assessed using mainstream personality measures, allowing a combination of scales method to be applied in existing research studies. Given the large correlations between the Type D scales with the relevant EPQ subscales, as well as equivalent associations with the health-related outcomes, these results support the idea that it is the latent variables behind what is known as the Type D personality that shows the relevant associations with health and not the specific scales.
Unsurprisingly, a significant overlap of classification between the two methods was observed, with similar numbers of participants identified as Type D regardless of whether the DS16 or EPQ were used. Although items of the DS16 differentiated between Type "E" and nonType "E" status, the SI items did not show equal levels of discriminant ability. This indicates that the SI trait is not identical to the I trait and differs in some aspect. This has been suggested previously by Denollet (1998a) who suggested that the SI trait focuses on the interpersonal dimension of introversion (i.e., withdrawal and low self-expression; Asendorpf, 1993) rather than the intrapsychic (i.e., positive affect, energy, and excitement seeking; Watson, Clark, & Harkness, 1994) dimension.
The construct and concurrent validity of both the DS16 and the EPQ were established, suggesting that the items on these scales reliably identified common core variables. This not only suggests that the EPQ could be used as a proxy measure of the Type D personality (Kupper & Denollet, 2007), but rather, indicates that the Type D personality truly consists of two underlying core variables, which can validly be assessed using other psychometric instruments. This is important as existing research studies with measures of neuroticism and introversion already incorporated, could use these proxy measures for identification of the Type D personality in the absence of the specific Type D scales (Kupper & Denollet, 2007). Given the health-relevance of this particular personality type, this provides great scope to examine the influence of these personality traits on a range of health-related outcomes in both clinical and healthy populations.
It can be assumed that relationships between Type D or Type "E" personality and psychometrically-assessed anxiety, depression, and perceived stress were accounted for substantially by the NA or N components alone. This highlights the need for consideration of the role of neuroticism or NA when examining the link between Type D and psychometric measures of anxiety and depressive symptoms. Many studies have reported links between Type D and anxiety and depression (e.g., Pedersen, Ong et al., 2006; Schiffer, Pedersen, Broers, Widdershoven, & Denollet, 2008; van den Broek, Martens, Nyklíček, van der Voort, & Pedersen, 2007) but few have controlled for the possible effects of neuroticism. The present results suggest that, when psychometric instruments are used as outcome variables, NA may explain the reported effects of the Type D personality, rather than the synergistic effect of both NA and SI.
Examination of the objective indices of well-being indicated that while neither Type D nor Type "E" predicted resting blood pressure or HR measures, NA × SI predicted resting CO, while both SI and I predicted resting TPR. Specifically, NA × SI was associated with suppressed resting CO, while for TPR, both SI and I was associated with elevated resting levels. This falls in line with a recent study by Williams et al. (2009) who reported that Type D males exhibited increased CO during a cognitive stressor, while failing to show any relationship between the Type D personality and blood pressure, HR, or TPR measurements. In addition, recently, we have shown that the Type D personality shows a maladaptive pattern of cardiovascular responding on CO and TPR alone, in a sample of healthy individuals (Howard, Hughes, & James, 2011). Previous research has also shown that TPR recovery following an anger task is delayed in participants instructed to engage in emotional inhibition (Dorr, Brosschot, Sollers III, & Thayer, 2007). The inconsistent pattern of results on the cardiovascular variables within this study highlights that associations between the Type D personality and cardiovascular function may be seen at the underlying haemoydnamic determinant level (on examination of CO and TPR) rather than on blood pressure. In this respect, and given the fact that CO and TPR have a reciprocal relationship and therefore should be considered in tandem, future research could benefit from the examination of haemodynamic profile (see Gregg et al., 2002) when examining potential physiological mechanisms involved in Type D-health associations.
The findings of the present study may be limited by the healthy, largely female sample. Certainly, with respect to the cardiovascular variables, further research is necessary to establish the association between Type D personality and resting cardiovascular function. In addition, it may be the case that the Type D scales perform differently in cardiac and healthy samples, or indeed within male samples, on which much of the Type D epidemiological literature is based. However, using a healthy sample, free from cardiac or other diseases, offers a strength in that it allows examination of how this personality type is related to emotional health outcomes such as anxiety, depression, and stress without the potential confounds introduced with disease status. In addition, the use of an objective indicator of health status, cardiovascular function, offers a further strength as it allows examination of whether this personality type is associated with cardiac-related indices of health, before disease onset.
A further limitation of the present study is the use of the older DS16. Since 2004, a revised Type D scale is available; the DS14 (Denollet, 2005). Although both the DS16 and DS14 have shown good internal consistency, reliability, and validity, future research should focus on the DS14 when assessing the Type D traits, in order to provide comparable findings across studies.
Overall, the results of the present study suggests that the Type D personality is indeed an examination of two core factors of personality, identified within the Type D paradigm as NA and SI. Although NA and N can be considered synonymous, the relationship between SI and I is not as clear-cut, with the SI trait differing from I, in some discrete manner. Nevertheless, the present study supports the construct and concurrent validity of the Type D personality, as well suggesting it posses some discriminant validity with regard to cardiovascular function. What this adds to the literature is the confirmation that the Type D personality can be assessed using alternative psychometric measures rather than detracting from its significance in the health literature. This suggests that while the Type D personality may be considered "old wine in new bottles", its value in the health literature is justified, and however it is assessed, the Type D personality shows strong associations with health-related outcomes, even in a healthy, non-clinical sample. These findings also suggest that existing research, using archival-prospective designs will allow the examination of this personality type in larger and more diverse samples, allowing confirmation that the Type D personality is a valid construct with significant influences on cardiovascular and emotional health.
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Acknowledgements
This study was supported by a Government of Ireland scholarship from the Irish Research Council for Humanities and Social Sciences.
Table 1. Summary of stepwise regression models predicting anxiety and depression
Table 2. Summary of regression model predicting perceived stress
Table 3. Summary of stepwise regression models predicting resting cardiac output (CO) and total peripheral resistance (TPR)
| | B | SE B | β | t | p | Adjusted R2 |
|---|---|---|---|---|---|---|
| Criterion: CO | | | | | | |
| Model 1 (Type D) | | | | | | .04 |
| NA × SI | -.002 | .001 | -.222 | 2.309 | .023 | |
| Excluded Variables | | | | | | |
| NA | | | .242 | 1.366 | .175 | |
| SI | | | .031 | .196 | .845 | |
| Criterion: TPR | | | | | | |
| Model 2 (Type D) | | | | | | |
| SI | .009 | .003 | .299 | 3.008 | .003 | |
| Excluded Variables | | | | | | |
| NA | | | .090 | .824 | .412 | |
| NA × SI | | | .154 | .955 | .342 | |
| Model 3 (Type “E”) | | | | | | |
| I | .012 | .003 | .338 | 3.449 | .001 | .11 |
| Excluded Variables | | | | | | |
| N | | | .021 | .206 | .837 | |
| N × I | | | .026 | .133 | .894 | |
Table 4. Summary of hierarchical regression model predicting resting cardiac output
2
| | | B | SE B | β | t | p |
|---|---|---|---|---|---|---|
| Block 1 | | | | | | |
| | Constant | 6.33 | .321 | | 19.7 | .000 |
| | N | -.012 | .022 | -.06 | .56 | .578 |
| | I | -.019 | .024 | -.08 | .80 | .427 |
| Block 2 | | | | | | |
| | Constant | 6.121 | .331 | | 18.49 | .000 |
| | N | .016 | .025 | .08 | .65 | .520 |
| | I | .012 | .028 | .05 | .43 | .669 |
| | NA × SI | -.003 | .001 | -.30 | 2.11 | .037 |
Table 5. Differences in health outcomes based on categorical Type D assessment
Notes. 1 mmHg, 2 bpm, 3 lpm, 4 pru,
* n = 30 Type D; n = 30 non-Type D, ** n = 26 Type D; n = 68 non-Type D
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International Journal of Science and Research (IJSR)
Index Copernicus Value (2015): 78.96 | Impact Factor (2015): 6.391
ISSN (Online): 2319-7064
Axial Lumbar Interbody Fusion-A Critical Analysis
Dr Shashivadhanan
Neurosurgeon, Army Hospital Research & Referral Center, Delhi, India 110010
Abstract: Numerous open and minimally invasive techniques have been developed but all of these approaches experience the same shortcomings related to biomechanics or inherent iatrogenic destabilization [16]. In an attempt to alleviate many of the limitations of previous lumbar fusion techniques, a pre-sacral approach to the lumbosacral junction has been investigated. The axial lumbar interbody fusion (AxiaLIF) system (TranS1, Inc., Wilmington, NC) combines a minimally invasive technique with a novel corridor approach. A total of three patients were evaluated I this study. Results were compared preoperatively and following the surgery at 3 and 6 months. There was a significant improvement in the pain scores. The Axial lumbar interbody fusion is a feasible procedure which will require long term studies before it can be validated as a standard technique for lumbar fusion.
Keywords: Axial Lumbar Inter body Fusion
1. Aim
To analyze the feasibility and efficacy of percutaneous 360 degree Axial lumbar interbody fusion as a standard procedure for lumbar fusion.
2. Materials and methods
The study was conducted in a Government tertiary care hospital of India. Three patients were offered this procedure. The patients included in this study had at least two years of intractable pain. They had already tried all other modalities of treatment for low back pain. On radiology, the pathology was limited to L5S1 segment only. Up to Grade two spondylolisthesis cases were included in this study.MRI of the lumbosacral spine were carried out and all those with abnormal sacral anatomy, like flat or hooked sacrum, very less presacral fat or anomalouspresacral vessels were excluded from this study.A total of three patients were subjected to this study.In one patient with L5S1 Spondylolysis it was offered as a standalone procedure and in two patients with grade 1spondylolisthesis L5 over S1 + the procedure was supplemented with posterior pediclescrew fixation. In the preoperative planning the MRI sagittal images were reviewed for trajectory planning. Dynamic XRays covering lateral views were done of the lumbosacral spine to look for any translational mobility of the diseased segment. In the preoperative preparation, bowel was prepared, informed consent was taken which included consent to conduct any alternative procedure in case the proposed procedure failed. Through a small para-coccygeal incision, a pre-sacral corridor was percutaneously created for access to the anterior lumbosacral body and, subsequently, to the L5 - S1 intervertebral space. The AxiaLIF system includes instruments for creating a small pre-sacral axial track to the L5 - S1 vertebral bodies for the insertion of bone graft material into the disc space. The device also includes an anterior fixation rod that is implanted through the same track. In one patient it was offered as a standalone procedure while in other two, pedicle screw fixation was done. The pre and postoperative neurological status, radiology and pain scores were compared.
Paper ID: ART20164049
3. Observation
Following the procedure no patient developed any complication or any Neurological deficit. The visual analog score which was 8 before the procedure improved to 4 at 3 months and subsequently at 6 months following the surgery. The imaging with MRI showed satisfactory placement of implant with no evidence of fresh neural compromise. Marked clinical improvements were realized in back pain severity with no additional morbidity.
4. Result
Percutaneous 360 degree Axial lumbar interbody fusion technique achieves satisfying therapeutic effects in the short term, although it has fairly narrow indication and needs long-term follow-up observation before it can be validated as a standard procedure for lumbar fusion. The procedure offers the advantage of being a minimally invasive procedure for L5 S1 inter body fusion. It maintains the integrity of the bilateral facet joints, the anterior/posterior longitudinal ligament, and the annulus fibrosus and other support structure which provide strong ligament support for inter body fusion.
5. Discussion
Lumbar spine is a finely balanced biomechanical wonder that relies on the integration of intervertebral height, joint mobility proprioception, muscle balance and osseoligamentous constraint to allow us to function without pain [17]This is the guiding philosophy of Axial Lumbar Interbody fusion as it attempts to immobilize the diseased segment with minimal destruction of the surrounding soft tissue structures.
Interbody fusion (arthrodesis) in the lumbar spine is performed to treat painful symptoms caused by instability of the vertebrae, such as spondylolisthesis, spinal stenosis, or degenerative disc disease [3]. Methods of spinal fusion include procedures in which bone grafts or metal implants are placed either anteriorly, posteriorly, or laterally. However, insertion of these implants is not without surgical risk. Numerous open and minimally invasive techniques
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Index Copernicus Value (2015): 78.96 | Impact Factor (2015): 6.391
ISSN (Online): 2319-7064
have been developed but all of these approaches experience the same shortcomings related to biomechanics inherent iatrogenic destabilization. In an attempt to alleviate many of the limitations of previous techniques, a pre-sacral approach to the lumbosacral junction has been investigated in other countries. Transaxial anterior lumbar interbody fusion is an emerging minimally invasive spinal fusion procedure used to treat patients with chronic lower back pain (Ollendorf, et al., 2011)[4] This procedure is an alternative to traditional fusion techniques that utilize anterior or posterior approaches to directly expose the lumbosacral spine. In the case of transaxial anterior lumbar interbody fusion the spine is accessed percutaneously via the anterior surface of the sacrum. The axial lumbar interbody fusion (AxiaLIF) system (TranS1, Inc., Wilmington, NC) combines a minimally invasive technique with a novel corridor approach [1, 2]. Proponents of this approach report minimal risk to adjacent vital structures and no annular disruption [5, 6, 9.10, 11, 12, 14]. The AxiaLIF system was cleared for marketing through the Food and Drug Administration (FDA) 510(k) process [1]. The AxiaLIF percutaneous lumbar interbody fusion procedure may provide an alternative access route to the L5 - S1 inter-space in those patients who may have unfavorable anatomy or contraindications to the traditional open anterior approach[8.9.10, 13].This procedure offers the advantage of causing minimal soft tissue disruption of the Osseo ligamentous structures.It provides an alternative route for those patients with unfavorable anatomy. Theoretically allows better biomechanical fusion and adjacent level motion preservation. In case one is planning the posterior approach also, then both procedures can be performed in the same sitting. This procedure also has certain limitations in that it is applicable to only a certain select group of patients. Its role as a standalone procedure is debatable. Like any new minimally invasive procedure this has a learning curve. The long term functional outcomes are yet to be seen as current published literature and trials are inconclusive. Guidance from the National Institute for Health and Clinical Excellence (NICE, 2011) concluded that current evidence on the efficacy of transaxialinter body lumbosacral fusion is limited in quantity but shows symptom relief in the short term in some patients[7].
6. Conflict of Interest
Nil
References
[1] U.S. Food and Drug Administration (FDA). TranS1® AxiaLIF TM System. 510(k) Summary. K050965. TranS1, Inc. Wilimington, NC. Rockville, MD: FDA; June 14, 2005. Available at: http://www.fda.gov/cdrh/pdf5/K050965.pdf. Accessed September 19, 2008.
Neurological Surgeons. Guidelines for the performance of fusion procedures for degenerative disease of the lumbar spine. Part 11: Interbody techniques for lumbar fusion. J Neurosurg Spine. 2005;2(6):692-699.
[5] Bohinski RJ, Jain VV, Tobler WD. Presacral retroperitoneal approach to axial lumbar interbody fusion: A new, minimally invasive technique at L5-S1: Clinical outcomes, complications, and fusion rates in 50 patients at 1-year follow-up. SAS J. 2010;4(54-62.
[4] Marotta N, Cosar M, Pimenta L, et al. A novel minimally invasive presacral approach and instrumentation technique for anterior L5-S1 intervertebral discectomy and fusion: Technical description and case presentations. Neurosurg Focus. 2006;20(1):E9.
[6] Leopardi D. Transaxial lumbar interbody fusion. Horizon Scanning Technology Prioritising Study. Canberra, ACT: Australia and New Zealand Horizon Scanning Network; April 2010.
[8] Tobler WD, Ferrara LA. The presacral retroperitoneal approach for axial lumbar interbody fusion: A prospective study of clinical outcomes, complications and fusion rates at a follow-up of two years in 26 patients. J Bone Joint Surg Br. 2011;93(7):955-960.
[7] National Institute for Health and Clinical Excellence (NICE). Transaxialinterbody lumbosacral fusion. Interventional Procedure Guidance 387. London, UK: NICE; March 2011.
[9] Zeilstra DJ, Miller LE, Block JE. Axial lumbar interbody fusion: A 6-year single-center experience. ClinInterv Aging. 2013;8:1063-1069.
[11]Lindley EM, McCullough MA, Burger EL, Brown CW, Patel VV. Complications of axial lumbar interbody fusion. J Neurosurg Spine. 2011;15(3):273-279.
[10]Gundanna MI, Miller LE, Block JE. Complications with axial presacral lumbar interbody fusion: A 5-year postmarketing surveillance experience. SAS Journal. 2011;5(3):90-94.
[12]Gerszten PC, Tobler WD, Nasca RJ. Retrospective analysis of L5-S1 axial lumbar interbody fusion (AxiaLIF): A comparison with and without the use of recombinant human bone morphogenetic protein-2. Spine J. 2011;11(11):1027-1032.
[14]Marchi L, Oliveira L, Coutinho E, Pimenta L. Results and complications after 2-level axial lumbar interbody fusion with a minimum 2-year follow-up. J Neurosurg Spine. 2012;17(3):187-192.
[13]Gerszten PC, Tobler W, Raley TJ, et al. Axial presacral lumbar interbody fusion and percutaneous posterior fixation for stabilization of lumbosacral isthmic spondylolisthesis. J Spinal Disord Tech. 2012;25(2):E36-E40.
[15]Patil SS, Lindley EM, Patel VV, Burger EL. Clinical and radiological outcomes of axial lumbar interbody fusion. Orthopedics. 2010;33(12):883.
[2] TranS1. For surgeons AxiaLIF: Indications, contraindications, and warnings [website]. Wilmington, NC: TranS1; 2008. Available at:http://www.trans1.com/surgeons_axialif_indications. html. Accessed September 19, 2008.
[16]FritzellP, et al:2001 Volvo Award Winner in clinical studies :Lumbar fusion versus nonsurgical treatment for chronic low back pain:amulticentric randomized controlled trial from the Swedish lumbar Spine Study Group. Spine(Phila Pa 1976)26:25212532;discussion2532-2524, 2001.
[3] Resnick DK, Choudhri TF, Dailey AT, et al; American Association of Neurological Surgeons/Congress of
[17]Eric A K Mayer. Muscular support of the spine: Spine Surgery Techniques, Complication avoidance, and
Volume 6 Issue 1, January 2017
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Paper ID: ART20164049
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Management. Edward C Benzel: 2012; Vol 1(third Edition) Chapter 6 pg 69.
Image (1) Preoperative T2 Weighted sagittal view image of the lumbosacral spine showing grade 2 spondylolisthesis.
Paper ID: ART20164049
e
Image (6) Postoperative MRI T2 weighted axial view of the same patient showing the implant within the vertebral body
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Training perceptions, engagement and performance: comparing work engagement and personal role engagement
The purpose of this study was to compare two engagement constructs (work engagement and personal role engagement) with regards to their relationship with training perceptions and work role performance behaviours. It was hypothesised that personal role engagement would show incremental validity above that of work engagement at predicting work role performance behaviours and be a stronger mediator of the relationships between training perceptions and such behaviours. Questionnaire data was gathered from 304 full-time working adults in the UK. As predicted, personal role engagement was found to explain additional variance above that of work engagement for task proficiency, task adaptability, and task proactivity behaviours. Moreover, personal role engagement was a stronger mediator of the relationship between training perceptions and task proficiency as well as between training perceptions and task adaptability. Both work engagement and personal role engagement mediated the relationship between training perceptions and task proactivity to a similar degree. The findings suggest that personal role engagement has better practical utility to the HRD domain than work engagement, and indicates that future research may benefit from adopting the personal role engagement construct.
Keywords training and development; work engagement; personal role engagement; performance
Training perceptions, engagement and performance: comparing work engagement and personal role engagement
Introduction
Although evidence within the HRD domain has started to demonstrate that engagement is beneficial for individual performance (Rurkkhum and Bartlett 2012) and is an important psychological experience that connects HRD practices with employee outcomes (Shuck et al. 2014), a number of different engagement constructs have been utilised. Despite most engagement research claiming to represent a similar activated and positive psychological state, there remains the issue that there is no single universally accepted and utilised engagement construct (Wefald et al. 2012). The construct being utilised is important as it should capture this particular state and not other psychological phenomenon such as flow or involvement (Little and Little 2006). In consequence, a growing number of scholars are concerned that without focused empirical examination of these constructs, the potential value of engagement, as a unique psychological construct, will be lost (Cole et al. 2012). This is of particular relevance within the HRD field as there may be subtle, yet important differences in the significance and power of different engagement constructs to predicting job performance as well as for mediating relationships between HRD practices and performance. Without understanding this issue the robustness and validity of engagement research within the HRD domain may be variable and contestable. Furthermore, given that HRD practitioners are responsible for monitoring engagement levels and designing interventions to improve engagement (Shuck and Rocco 2014), insights from such research may not provide clear and precise recommendations.
The two most dominant and widely utilised constructs of engagement applied to HRD research are work engagement (Schaufeli et al. 2002) and personal role engagement (Kahn 1990). Despite representing similar multidimensional and higher-order attitudinal constructs, the two conceptually differ in fundamental ways (Shuck 2011), which therefore affect the measurement of these constructs and potentially the relationship they have with HRD practices as well as with performance. Given that prior studies (Cole et al. 2012; Wefald et al. 2011) reveal that these engagement constructs show differences in their discriminant and predictive validity this is an important area to research. No studies have compared work engagement and personal role engagement in this way within the context of HRD. Identifying which construct is more empirically useful to apply to the HRD domain will help researchers focus on developing a strong, consistent and clear evidence base that can provide organisations with precise ways to measure, evaluate and improve engagement through HRD practices. This current study seeks to fill this gap by comparing and contrasting personal role engagement and work engagement as a) predictors of work performance, and b) mediators the relationship between training (as a core HRD practice) and work performance.
Literature review and hypothesis development
Personal role engagement and its link with performance
Personal role engagement was first conceptualised by Kahn (1990), who sought to develop a new approach to work motivation by undertaking an inductive ethnographic study within a summer camp for adolescents and an architecture firm. From this study, he defined engagement as the "harnessing of organization members selves to their work roles" (Kahn 1990, 694), and described it as the simultaneous expression of various facets of one's preferred self at work. These facets are connected to, and focused on, the work role: the emotional dimension of the self that reflects an energising form of positive affect; a cognitive dimension of the self that signifies a high level of intellectual activity that goes beyond the basic fulfilment of core duties; and a social dimension of the self that enables the individual to relate and connect with the wider work context (Soane et al., 2013). Although the emotional and cognitive dimensions exist in other operationalisations of personal role engagement (May, Gilson, and Harter 2004; Rich, LePine, and Crawford 2010), these others focus on a physical or behavioural dimension (in the form of devoting energy and effort to the job role) rather than a social dimension. Kahn (1990), and indeed others (e.g., Parker and Griffin 2011), make the distinction between the experience of engagement and the behavioural consequences of such engagement, and recently Kahn and Heaphy (2014) highlight the importance of social connectedness in the experience of engagement. Thus, social engagement may be an integral feature of 'being engaged', whereas behavioural or physical engagement may constitute an outcome rather than a dimension of engagement.
Inherent in the conceptualisation of personal role engagement is the notion that engagement is connected with high quality job performance. Personal role engagement allows individuals to demonstrate 'authenticity', i.e. "one's thoughts, feelings and beliefs are accessible within the context of role performances" (Kahn 1992, 322), thus the experience is psychological, yet the consequences are behavioural. When a person is engaged their preferred self is expressed and employed in the performance of their work role (Kahn, 1990). Empirical studies have demonstrated that the higher the level of a person's personal role engagement, the greater their performance is in terms of in-role (e.g., task performance - Rich et al. 2010) and extra-role (e.g., citizenship behaviours – Alfes et al. 2012; innovation/creativity- Alfes et al. 2013; knowledge sharing - Chen, Zhang, and Vogel 2011) work behaviours. These relationships range from r = .31 to r = .46, and from regression co-efficients of β = .25 to β = .53.
Work engagement and its link with performance
Work engagement was developed through a deductive and quantitative approach that focused on positioning it as the positive anti-thesis of job burnout. Consequently, it was found that although the two were highly related, engagement represented an independent construct that was not the polar opposite of burnout (Schaufeli et al. 2002). Work engagement is defined as "a positive, fulfilling work-related state of mind...that is not focused on any particular object, event, individual, or behavior" (Schaufeli et al. 2002, 74). It is focused on the broad scope of work activities and manifests as a higher-order attitudinal state that comprises three dimensions: feeling energised and vigorous (Vigor); feeling proud of and dedicated to one's work (Dedication), and feeling absorbed and immersed in one's work (Absorption). Thus, work engagement represents a sense of energy and identification with work activities (Schaufeli and Bakker 2010). However, this construct of engagement has been questioned as there is evidence to show that work engagement "overlaps to such an extent with job burnout…that it effectively taps an existing construct under a new label" (Cole et al. 2012, 1573).
Despite this, work engagement is theorised to be related to job performance because it signifies an energetic and involved motivational state that directs an individual's efforts towards the completion of work tasks and activities (Parker and Griffin 2011). There are a growing number of studies that show a positive relationship between work engagement and work role behaviours, both in-role (e.g., Gorgievski, Bakker, and Schaufeli 2010) and extra-role (e.g., citizenship behaviours -Sulea et al. 2012; innovation/creativity- Bakker and Xanthopoulou 2013; adaptability - Barnes and Collier 2013; personal initiative/proactivity - Den Hartog and Belschak 2012). These relationships range from r = .30 to r = .51, and from regression co-efficients of β = .23 to β = .42.
INSERT TABLE 1 HERE
Comparing personal role engagement and work engagement constructs
Table 1 summarises the conceptual foundations of the two engagement constructs. Drawing on this, I argue that personal role engagement represents a fuller, deeper, and more immersive concept than work engagement. Crucially, personal role engagement differs from work engagement because it attempts to capture the authentic and complete expression of one's preferred self to one's work role performance rather than just the employment of energies into work activities (Kahn and Heaphy 2014; Schaufeli and Bakker 2010). This then allows for full and active work role performance as key aspects of the self are simultaneously expressed in a connected way within the work role (Rich et al. 2010), and so "highlights not only the connection between engagement and work role performance...but also the notion of personal agency or agentic self" (Cole et al. 2012, 1576). This psychological involvement with work is more holistic, synergistic and distinct than the narrower work engagement construct that views it as being "a high level of energy and strong identification with one's work" (Schaufeli and Bakker 2010, 13). Work engagement is focused on the attitudinal connection that an individual has with their work activities rather than the expression of the self in one's work role, and so is more about a 'state of mind' whilst at work rather than a 'state of self-expression' (Kahn and Heaphy 2014; Schaufeli et al. 2002). This can be seen when comparing the different measurements of the two constructs.
Although there are similarities between the Soane et al's (2013) and Schaufeli et al's (2002) measures, notably the items reflecting the affective engagement and dedication dimensions, there are fundamental differences. Soane et al (2013) focus on intellectual engagement in the form of attention and focus whereas Schaufeli et al (2002) focus on absorption and cognitive intensity. Given that attention and absorption are related, yet different features of cognitive activation, with the latter connoting a core element of the
flow experience (Csíkszentmihályi 1991; Rothbard 2001), these two dimensions may elicit different behavioural responses. Rothbard (2001, 678) argues that attention may represent "an invisible, material resource that a person can allocate in multiple ways…[whereas absorption] is linked to intrinsically motivated interest", and so it may be that attention facilitates performance more broadly and fully as absorption is only directed towards performance in personally interesting tasks. Another fundamental difference is that Soane et al (2013) focus on the perceived social connection between the individual and their work environment in the form of social engagement whereas Schaufeli et al (2002) focus on energy and mental resilience in the form of vigor. Social engagement may be associated with contextual performance given the relational nature of citizenship and prosocial behaviours (Borman and Motowidlo 1997) whereas vigor may be more narrowly focused task performance due to its focus on energy and work activities (Schaufeli and Bakker 2010).
Based on the above arguments, this paper proposes that personal work engagement will exhibit a stronger relationship with a range of work role behaviours than work engagement, and will contribute more to their prediction (in terms of explained variance). Initial evidence shows that personal role engagement explained 6% additional variance, above that of work engagement, in task performance and 1% in citizenship behaviour (Soane et al. 2013).
Hypothesis 1: Personal role engagement will demonstrate incremental validity above that of work engagement in relation to predicting work role behaviours Hypothesis 2: Personal role engagement will contribute more to the prediction (in terms of explained variance) of work role behaviours than work engagement
The mediating role of engagement in the relationship between training perceptions and performance
Training is a specific HRD practice that facilitates performance because it develops the technical and personal skills needed to perform a job effectively (Aguinis and Kraiger 2009). However, employees will perceive these practices in different ways according to their prior experiences of training and their thoughts about why management are enacting them (Nishii, Lepak, and Schneider 2008). It is these individual perceptions that have the strongest influence on employee attitudes and behaviours (Guest 2002). Indeed, evidence shows that training perceptions are related to individual productivity (Paul and Anantharaman 2003). Moreover, the link between training perceptions and work role performance is likely to be indirect because it activates motivational processes that direct energies towards goal attainment (Dysvik and Kuvass 2008). As engagement is seen as an active, motivational construct (Parker and Griffin 2011), it is therefore argued that positive perceptions of training will lead to higher levels of performance via the experience of engagement. Studies show that training perceptions are directly linked with engagement levels (Salanova, Agut, and Peiró 2005), and perceptions of HR practices, including training, are indirectly related to performance via engagement (Alfes et al. 2012).
However, it is not known whether work and personal role engagement may have similar or different mediating effects on the relationship between training perceptions and work role performance. This paper proposes that personal role engagement will be a stronger mediator than work engagement because personal role engagement does not just direct energy and dedication into completing tasks but also deepens the meaning and sense of fulfilment of all aspects of the work role (May et al. 2004). This facilities high quality performance because it meets critical psychological conditions that parallel a relational psychological contract; namely meaningfulness, availability, and safety (Kahn 1990).
Meaningfulness connotes feeling that one's work role is 'worthwhile, useful and valuable', and derives primarily from motivational job design, positive role status and identity, and rewarding social interactions (May et al. 2004). Availability signifies that there are enough perceived resources available to engage, and is depleted when there are excessive and competing demands, insecurity about one's role and place in the organisation, and where outside lives interference with one's work (Kahn 1990). Lastly, safety represents the perception that one can express one's thoughts and feelings without fear of negative consequences. This occurs when one is able to trust others and be open at work, and is derived from interpersonal relationships, managerial behaviours, and workplace norms (Kahn and Heaphy 2014). Training could be seen to fulfil these psychological conditions. First, training provides employees with knowledge and understanding that makes work more meaningful (Rana 2015). Second, training develops important personal resources that enable employees to feel psychologically able to sustain healthy levels of engagement (Gruman and Saks 2011). Lastly, training can foster a respectful and psychologically safe environment through raising awareness of diversity, conflict and incivility issues (Reio and Sanders-Reio 2011). Thus, personal role engagement acts as a contextually embedded psychological mechanism that connects training with the full expression of the self in one's work role (Kahn 1990).
Work engagement, in contrast, focuses on the ability of engaged individuals to gain and mobilise job resources in their work environment and personal resources so that performance can be enhanced (Bakker and Demerouti 2008), and as such views training as a functional organisational resource that primarily acts to build self-efficacy, which in turn can lead to engagement and performance (Schaufeli and Salanova 2008). This resourcebased perspective has been criticised for reducing the role of engagement as "a transactional commodity that occurs because someone else dispenses resources"
(Bargagliotti 2011, 1416), and as representing "a dangerously simplistic view of work relations" (Purcell 2014, 242). Thus, it may be that work engagement is a weaker mediator than personal role engagement of the relationship between training perceptions and work performance due to focusing on the economic transaction between the organisation and the employee in terms of resources and effort. Moreover, work engagement theory does not consider the particular value of different forms of resources and instead views resources as a general composite factor consisting of a mixture of job design, leadership, social support, and organisational practices (Bakker and Demerouti 2008). This lack of precise understanding of the role of training and of engagement as a mediator between training and performance limits the robustness and application of work engagement theory to the HRD domain.
Hypothesis 3: Personal role engagement will mediate the relationships between training perceptions and work role behaviours to a greater degree than work engagement.
Method
Sample and participants
An online questionnaire was sent to fulltime employed workers, resident in the UK, via a market research company. The sample was generated by the market research company from a database of enrolled members of the public who receive credit points for completing surveys sent by the company. These points can be exchanged for monetary vouchers once enough have been gained. A total of 304 respondents completed the questionnaire; of which 55% were male, 43% were degree educated or higher, and 45% had managerial responsibilities. A range of occupational groups were represented; the highest proportions being administrative/secretarial (28%) and professional workers
(25%). The average age of respondents was 41.45 years (SD = 11.69), and the average length of tenure with the current employer was 9.96 years (SD = 8.94).
Measures
Training perceptions
Schmidt's (2007) four-item satisfaction with training scale was used to measure training perceptions. An example item is 'The amount of training I receive is satisfactory'. Respondents were asked to indicate how strongly they agreed/disagreed with each statement on a 5-point Likert scale (1- strongly disagree, 5- strongly agree). This scale exhibited high inter-item reliability (α = .90).
Work engagement
The 9-item UWES (Schaufeli and Bakker 2003) was used to measure work engagement because it has been found to be statistically more robust than the original 17item version (Seppälä et al. 2009). Respondents were asked to rate the frequency (1-never to 5-always) to which they experienced, at work, the feeling described in each statement. Three statements referred to feelings of vigor (e.g. 'At work I am bursting with energy'), three to feelings of dedication (e.g. 'My job inspires me') and three to feelings of absorption (e.g. 'I am immersed in my work'). The UWES demonstrated high inter-item reliability as an overall measure (α =. 94) and as its dimensions (α =. 84 to .87).
Personal role engagement
The 9-item ISA scale (Soane et al. 2013) was used to measure personal role engagement as the holistic expression of one's preferred self at work (Kahn 1990). It was developed directly from Kahn's theorising in that the measure is based on the rationale that three elements of a work role enable engagement to occur: a focused role that helps with the alignment of self and role, activation that triggers affective and cognitive responses to the role, and positive affect that broadens thoughts and actions related to the role. The ISA scale captures the key aspects of engagement in terms of intellectual engagement (3 items e.g. 'I focus hard on my work'), social engagement (3 items e.g. 'I share the same work attitudes as my colleagues') and affective engagement (3 items e.g. 'I am enthusiastic in my work'). Respondents are asked to indicate how strongly they agree/disagree with each statement on a 5-point Likert scale (1- strongly disagree, 5strongly agree). It has demonstrated to be reliable and valid with existing studies showing Cronbach alpha scores of between .81 and .88, and discriminant validity against perceived employee voice, HRM practices, line manager relationships/behaviours, and task/contextual performance (Alfes et al. 2013; Rees et al. 2013; Soane et al. 2013). In this study, the ISA scale exhibited high inter-item reliability as an overall measure (α =. 91) and as its constituent facets (α =. 91 to .94).
Work role behaviours
Griffin, Neal and Parker (2007) provide a useful and encompassing framework to examine work role behaviours. They integrated various strands of performance literature to develop and test three distinct forms of positive work role performance behaviours: proficiency, adaptability, and proactivity. For this study, the focus will be on individual task performance, and so Griffin et al's (2007) three-item task proficiency scale (e.g. 'I carried out the core parts of my job well'), three-item task adaptability scale (e.g. 'I adapted well to changes in core tasks') and three-item proactivity scale ('I initiated better ways of doing my core tasks') were used. Respondents were instructed to rate how often (1- not at all to 5-a great deal) they enacted each behaviour at work in the previous month. These scales demonstrated high reliabilities (α =. 95, .82, .94; respectively).
Control variables
As a range of different types of workers were surveyed from various organisations in the UK, it was deemed appropriate to control for the following characteristics: gender (0= male, 1= female), age (in years), tenure (in years), and management responsibility (0no, 1- yes). These characteristics are typically controlled for when examining the antecedents of work behaviours because they may have some degree of association with these antecedents and/or outcomes (e.g., Chen et al. 2011).
Results
Descriptive statistics
Means, standard deviations and correlations between the variables are given in Table 2. Work engagement and personal role engagement were positively correlated with task proficiency, task adaptability, and task proactivity.
INSERT TABLE 2 HERE
Measurement models
Due to the data being collected from a single source only, there is a need to consider common method bias and discriminant validity (Podsakoff et al. 2003). Confirmatory factor analyses (CFAs) were conducted to verify the underlying theoretical constructs and to control for the influence of common method bias. The likelihood ratio χ² and degrees of freedom were calculated. The following fit indices were also used to determine model fit more accurately: a) Root Mean Square Error of Approximation (RMSEA; Steiger 1990) where values of .10 or below indicates a plausible fit; b) the Comparative Fit Index (CFI; Bentler 1990), where a value of .90 or above indicates a plausible fit; c) the standardized Root Mean Square Residual (SRMR; Hu and Bentler 1999) where values of .08 or below indicates a plausible fit.
First, CFAs were conducted on the two engagement constructs as they represent similar psychological concepts. The UWES and the ISA scales are thought to represent three dimensions of engagement each. Indeed the CFAs found support for the six factor structure, and this was the best fitting models compared with alternative one to five factor
14
solutions (see Table 3). Further to this, the vigor (.94), dedication (.99), and absorption (.86) dimensions loaded onto the higher-order UWES factor well; and the intellectual (.62), social (.56), and affective (.95) facets loaded onto the higher-order ISA factor well.
Second, the distinction between all six latent variables (i.e., training perceptions, work engagement, personal role engagement, task proficiency, task adaptability, and task
proactivity) was tested. As work engagement and personal role engagement constructs were second-order factors, a form of item parcelling was used to represent these factors
(i.e., factors represented by the sub-dimensions rather than the individual items). This is an acceptable way to characterise higher-order factors within CFA analyses (Martin,
Malmberg and Liem 2010). The CFAs confirmed that the six factor solution was a good fit, and a better fitting solution than alternative one to five factor solutions (see Table 4).
INSERT TABLE 3 HERE
INSERT TABLE 4 HERE
Tests of hypotheses
The direct relationship between the engagement constructs and work role behaviours Hierarchical linear regression analyses were performed to determine which variables were unique predictors of the work role behaviours. For each dependent variable, two steps were conducted. The first was a regression that included the control variables and work engagement to ascertain the variance explained by work engagement alone; the second was a regression that built from the first step and included personal role engagement in order to ascertain whether personal role engagement has incremental validity. Univariate relative importance analyses (Tonidandel and LeBreton 2011) were performed on the step 2 regression using the online RWA-WEB program (Tonidandel and LeBreton 2014). Relative importance analysis supplements traditional regression analyses by helping to understand which predictors are contributing most to the prediction of a
criterion variable (Tonidandel and LeBreton 2011). The RWA-WEB program estimates the relative weight indices (rw) for each predictor along with bootstrapped confidence intervals (10,000 replications using alpha of 0.05), where the range should not include zero to be deemed significant.
Table 5 shows the results of these regression analyses. The results of step 1 across the behavioural outcomes show that work engagement was positively related to task proficiency (β = .28, p <.001), task adaptability (β = .33, p <.001), and task proactivity (β = .41, p <.001). However, when personal role engagement was added to these models (step 2) the relationships between work engagement and a) task proficiency, and b) task adaptability became non-significant. The relationship between work engagement and task proactivity remained significant, albeit reduced. In contrast, the associations between personal role engagement and the behavioural outcomes were all significant: task proficiency (β = .41, p <.001), task adaptability (β = .39, p <.001), and task proactivity (β = .19, p <.001). These second models (step 2) explained a significant amount of additional variance than the first models (step 1): an additional 9% in task proficiency, 8% in task adaptability, and 2% in task proactivity. Therefore, Hypothesis 1 was supported as personal role engagement demonstrated incremental validity above that of work engagement in the prediction of all three work role behaviours. Moreover, the relative weights analysis shows that personal role engagement contributed significantly more than work engagement to the prediction of task proficiency (rw = .12 versus .03) and task adaptability (rw = .14 versus .05), and contributed to a similar degree as work engagement to the prediction of task proactivity (rw = .08 versus .10). Thus, Hypothesis 2 was largely supported.
INSERT TABLE 5 HERE
The indirect relationships between training perceptions and work role behaviours via work engagement and personal role engagement
To test for mediation, the steps outlined by Baron and Kenny (1986) were followed. Table 6 shows the results of these steps. Firstly, training perceptions were positively related to task proficiency (β = .17, p <.05), task adaptability (β = .23, p <.001), and task proactivity (β = .24, p <.001). Thus, the first condition of mediation was met, i.e. that the predictor is related to the dependent variable. Secondly, training perceptions were positively related to work engagement (β = .47, p <.001) as well as to personal role engagement (β = .59, p <.001), thus meeting the second condition of mediation, i.e. that the predictor is related to the mediator. Thirdly, both work engagement and personal role engagement reduced (most to non-significance) the relationship between training perceptions and a) task proficiency (β = .06, p >.05; β = -.12, p >.05), b) task adaptability (β = .16, p <.05; β = .01, p >.05), and c) task proactivity (β = .09, p >.05; β = .05, p >.05). Moreover, work engagement and personal role engagement were still positively related to task proficiency (β = .23, p <.001; β = .49, p <.001), task adaptability (β = .16, p <.05; β = .38, p <.001), and task proactivity (β = .32, p <.001; β = .32, p <.001). This meets the third and fourth conditions of mediation, i.e. the mediator affects the dependent variable when the predictor is controlled for and reduces the relationship between the predictor and dependent variable.
To fully establish mediation, the PROCESS tool by Hayes (2014) was used. Table 7 shows the results of the mediation tests. The lower and upper bounds of the indirect effect for the relationship between training perceptions and each of three work role behaviours via a) work engagement and b) personal role engagement was greater than zero. However, the effect sizes were much larger for personal role engagement as the mediator than for work engagement as the mediator (.08 to .15 versus .19 to .29). This
17
indicates that personal role engagement is a stronger mediator of the relationships between training perceptions and work role behaviours than work engagement, and so provides support for Hypothesis 3.
INSERT TABLE 6 HERE
INSERT TABLE 7 HERE
Discussion
Although evidence within the HRD domain has started to demonstrate that engagement is beneficial for individual performance (Rurkkhum and Bartlett 2012) and is an important psychological experience that connects HRD practices with employee outcomes (Shuck et al. 2014), there is an issue that a range of constructs are being utilised from different theoretical approaches. To clarify which approach may have the most practical utility to the HRD domain, two of the most dominant engagement constructs were compared: work engagement (Schaufeli et al. 2002) and personal role engagement (Kahn 1990). This is the first study to compare the predictive power of these two constructs on job performance and their mediating role in the relationship between HRD practice and performance.
First, the predictions that personal role engagement would be a stronger predictor of work role behaviours than work engagement were largely supported. Personal role engagement was shown to have incremental validity over work engagement for all three work role behaviours. Moreover, the relative weight analysis demonstrated that personal role engagement contributed much more to the prediction of task proficiency and task adaptability than work engagement. Both work and personal role engagement contributed similarly to the prediction of task proactivity. These findings collectively indicate that personal engagement has slightly better predictive power than work engagement with regards to performance. They add to those of Soane et al (2013) by demonstrating that
personal role engagement is a stronger predictor than work engagement of not only task performance behaviours, but also adaptability behaviours. This study shows support for the theoretical distinction between personal role engagement as a 'state of self-expression' and work engagement as a 'state of mind' (Kahn and Heaphy 2014). This finding is important as it clarifies an important conceptual and theoretical distinction between the two constructs that has hitherto not been empirically examined. Personal role engagement seems to reflect a more holistic and synergistic engagement construct that fosters full work role performance (Kahn 1990), whereas work engagement seems to represent a narrower and more specific engagement construct that facilitates high levels of energy and identification with work tasks (Schaufeli and Bakker 2010). This is an important finding as it indicates that personal role engagement, rather than work engagement, should be applied when examining job performance. The finding that work engagement is most strongly associated with task proactivity suggests that work engagement directs energies into work activities that specifically seek to demonstrate personal initiative, whereas personal role engagement seems to direct energies into the wider scope of the work role.
Second, the study is one of the first to empirically evidence that training perceptions are linked with performance behaviours via engagement, and demonstrate that personal role engagement is a stronger mediator of these relationships than work engagement. This shows support for the argument that training provides a meaningful, safe and resourceful social context that enables the full expression of the self in one's work role performances (Gruman and Saks 2011; Rana 2015; Reio and Sanders-Reio 2011). Work engagement may focus too narrowly on the transaction of resources in exchange for effort (Bargagliotti 2011), and so may not be as theoretically comprehensive as personal role engagement theory. This study affirms recent theorising within HRD research that has focused on connecting Kahn's (1990) personal role engagement theory to
HRD practice (e.g., Shuck and Rocco 2014), and, along with other studies have found that the measurement of work engagement is psychometrically problematic (Cole et al. 2012; Wefald et al. 2010), calls into question the utility and distinct value of work engagement to the HRD domain. In sum, this current study gives tentative support to Cole et al's (2012) arguments that engagement research should move away from adopting work engagement and towards utilising personal role engagement.
Implications for future research
The findings of this study highlight a number of important implications for future research. First, it suggests that further empirical testing of Kahn's theoretical propositions will enhance the utility of engagement research to the HRD domain. One of Kahn's core propositions concerns the role of meaningfulness, safety and availability as universal psychological conditions that, when fulfilled, connect the wider work context with the experience of engagement. In this study, it was argued that training fulfils these conditions, yet these propositions were not directly tested, and so future research should examine the relationships between various HRD practices, the psychological conditions of meaningfulness, availability and safety, and personal role engagement. This will shed light on whether meaningfulness, safety and availability are the key psychological processes that connect HRD practices with engagement. Moreover, it will provide a deeper understanding of the psychological effects of HRD practices and in doing so may provide opportunities to integrate theories in ways that contribute to a more holistic and deeper understanding. For example, Gruman and Saks (2011) suggest that Kahn's (1990) psychological conditions and Bakker and Demerouti's (2008) job demands-resources model could be integrated to provide more comprehensive explanations.
Second, by focusing on personal role engagement future researchers will be encouraged to examine the subjective experience of engagement within particular
organisational contexts (Kahn 1990). Considering that much research on work engagement has been 'bemoaned' for neglecting to examine such features (Jenkins and Delbridge 2013; Purcell 2014), there is ample opportunity for researchers to further explore how occupational and organisational contexts may vary in the extent to which they are engaged by different HRD practices. In doing so, a more nuanced and contextualised understanding of HRD can develop. This in turn will provide HRD practitioners with specific recommendations that are suited to their needs, and in doing so could connect with calls to further explore the individualised experience of engagement through academic and practitioner collaborations (Shuck and Rocco 2014).
Third, the study shows that further comparison of personal role engagement and work engagement may be warranted. One area to focus on is the conceptual differences between the two constructs. For example, personal role engagement and work engagement differ conceptually with regard to their 'state' properties: personal role engagement has fundamentally been viewed as a transient and focused state that fluctuates during and across workdays in response "to the momentary ebbs and flows of those days" (Kahn 1990, 693), whereas work engagement has been conceptualised as a 'persistent and pervasive' state of mind (Schaufeli et al. 2002). Future research may want to explore these temporal properties by examining the effects of engagement on performance across various time periods. These studies would also benefit from including supervisor-rated and/or objective performance indicators, such as appraisal ratings, sales data, or observational behavioural checklists. Another area to focus on is the wider theoretical and nomological net of engagement. It may be useful to examine whether personal role engagement has a wider set of antecedents and outcomes than work engagement given that this study suggests that it represents a more holistic and synergistic construct than work engagement.
Lastly, there is an opportunity for researchers to critically examine the construct of work engagement and its specific connection with wellbeing and health. This study has shown evidence that work engagement may not be the panacea for all workplace issues – there may be more powerful constructs for certain purposes, in this case for evaluating and improving HRD practices and performance interventions. Given that there is evidence to suggest that the work engagement construct may overlap with job burnout (Cole et al. 2012) and may be psychometrically flawed (Wefald et al. 2012), there is a need to critically examine the use and value of work engagement. This is not to say that work engagement is a redundant construct, but the continued assertion that it is "an independent, distinct concept…characterized by vigor, dedication, and absorption" (Schaufeli and Bakker 2010, 13) should at least be questioned and scrutinised. It might be that work engagement has a more focused and specific role given that it focuses on energy and identification with work activities so that work is enjoyable and fulfilling (Schaufeli and Bakker 2010). Therefore, research may consider focusing on the specific functional pathways that connect work engagement with intrinsically motivating work activities that enable personal initiative and proactivity.
Practical implications
Organisations wishing to increase employee performance may consider helping employees to connect with their work roles emotionally, cognitively and socially (Kahn 1990). For example, line managers could encourage employees to express their true feelings and opinions through team meetings and personal development workshops, and HRD practitioners could design workplace development programmes that tailors learning to individual work roles, promotes social relationships and connects the individual with the wider contribution and impact that their work role has within the organisation (Kahn and Heaphy 2014). This 'soft' approach may work better in some organisations than others, particularly those that already value employee engagement and wellbeing as goals in themselves (Jenkins and Delbridge 2013). It may be more challenging for organisations that adopt a more universally 'hard' approach to HRM and employee relations, in which performance and productivity are the primary objectives. These organisations may not want their employees to express their thoughts and feelings or to find wider meaning in their work, especially if it might cause resistance and heightened expectations of the employment relationship. HRD practitioners should be cognisant of these different contexts, and should alter their approach accordingly. In such organisations, instrumental HRD practices may be more useful to drive change. For example, providing technical training opportunities that build human capital could be utilised to enhance both performance and engagement, as this study has empirically demonstrated. Building a business case for continued investment in training and development will also be important as there will be a pressure to maintain tight managerial and economic control (Jenkins and Delbridge 2013), and evidence suggests that when employees perceive that their organisation invests in their training and development they will be more engaged (Shuck et al. 2014). However, HRD practitioners should try to include some softer forms of practice so that the balance of the employment relationship is maintained.
In order to monitor and evaluate the success of HRD interventions, 'soft' or 'hard', practitioners could use Soane et al's (2013) personal role engagement measure to assess engagement levels before and after to evaluate how the intervention has improved the psychological connection between the individual and their work role, and will give an indication of the potential impact on performance levels. By utilising this measure consistently over time, organisations will be able to monitor the relative success of different interventions and will be able use this evidence to adapt and enhance HRD practices to best suit the changing needs of their workforce.
Study limitations
There are a few limitations of this study that should be kept in mind when considering the implications of the findings. Firstly, even though the study verified the factor structures to test for common method bias, there remains the issue of crosssectionality (Maxwell and Cole 2007). Longitudinal studies are needed to fully confirm the casual relationship between HRD practices, engagement, and performance. Another limitation is that this study used self-report measures of performance behaviours. Although self-assessed performance measures are valid ways of gaining performance information (Vance et al. 1988), they can be inflated in self-reports compared to bossratings (Heidemeier and Moser 2009), and may not always reflect objective performance (Pransky et al. 2006). To mitigate against these risks, a set of performance scales were chosen that were validated across different organisations and self-/supervisor-assessed ratings (see Griffin et al. [2007] for details). Related to this, this current study focused on one type of HRD practice; namely training. HRD includes a range of practices, such as career development and workplace learning (Shuck and Rocco 2014). A final limitation is that the sampling method utilised did not allow for the appreciation or examination of organisational, industry or societal context. It is increasingly acknowledged that neglecting to consider the impact of the wider organisational environment on research findings can limit or reduce the validity and reliability of those findings (Johns 2006). Moreover, the salience of different performance foci (e.g., individual vs team; in-role vs extra-role) is likely to vary across different industry and occupational contexts (Griffin et al. 2007).
Conclusion
To conclude, this paper found that personal role engagement was a more powerful predictor of work role behaviours than work engagement, and was a stronger mediator than work engagement of the relationships between training perceptions and work role
behaviours. This suggests that the personal role engagement theory may be more useful when examining psychological processes that underpin the relationships between HRD practices and performance outcomes than work engagement theory. Overall, HRD research would benefit from exploring, expanding and testing the propositions made by personal role engagement theory in more depth. HRD practitioners should consider how training and development practices can be better designed to foster engagement.
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Schaufeli, W.B. and S. Salanova. 2008. "Enhancing Work Engagement through the Management of Human Resources." In The Individual in the Changing Working Life, edited by Kathrina Näswall, Johnny Hellgren, and Magnus Sverke, 380-404. Cambridge: Cambridge University Press.
Schaufeli, W.B., M. Salanova, V. González-Romá, and A.B. Bakker. 2002. "The Measurement of Engagement and Burnout: A Two Sample Confirmatory Factor Analytic Approach." Journal of Happiness Studies 3 (1): 71-92. doi: 10.1023/A:1015630930326
Schmidt, S. W. 2007. "The Relationship between Satisfaction with Workplace Training and Overall Job Satisfaction." Human Resource Development Quarterly 18 (4): 481498. doi: 10.1002/hrdq.1216
Seppälä, P., S. Mauno, T. Feldt, J. Hakanen, U. Kinnunen, A. Tolvanen, and W.B. Schaufeli. 2009. "The Construct Validity of the Utrecht Work Engagement Scale:
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Shuck, B. 2011. "Four Emerging Perspectives of Employee Engagement: An Integrative Literature Review." Human Resource Development Review 10 (3): 304-328. doi: 10.1177/1534484311410840
Shuck, B. and T.S. Rocco. 2014. "Human Resource Development and Employee Engagement." In Employee Engagement in Theory and Practice, edited by Catherine Truss, Rick Delbridge, Kerstin Alfes, Amanda Shantz and Emma Soane, 116-130. London: Routledge.
Shuck, B., D. Twyford, T.G. Reio, and A. Shuck. 2014. "Human Resource Development Practices and Employee Engagement: Examining the Connection with Employee Turnover Intentions." Human Resource Development Quarterly 25 (2): 239-270. doi: 10.1002/ hrdq. 21190
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Steiger, J. H. 1990. "Structural Model Evaluation and Modification: An Interval Estimation Approach." Multivariate Behavioral Research 25 (2): 173–180. doi:10.1207/s15327906mbr2502_4
Sulea, C., D. Virga, L.P. Maricutoiu, W.B. Schaufeli, C. Zaborila Dumitru, and F.A Sava. 2012. "Work Engagement as Mediator between Job Characteristics and Positive and Negative Extra-Role Behaviors." Career Development International 17 (3): 188-207. doi: 10.1108/13620431211241054
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Wefald, A.J., M.J. Mills, M.R. Smith, and R.G. Downey. 2012. "A Comparison of Three Job Engagement Measures: Examining their Factorial and Criterion-Related Validity. Applied Psychology: Health and Well-Being 4 (1): 67-90. doi: 10.1111/j.1758- 0854.2011.01059.x
Table 1. Comparing the conceptual foundations of personal role engagement and work engagement
Table 2. Means, standard deviations, and correlations of the variables
Note: Cronbach's alpha reliability scores given in parentheses. r +/-.10 p=.05; r +/- .14 p=.001; r +/- .18 p=.001
Table 3. Confirmatory factor analyses of the engagement constructs
Note: 2 factor (ISA-Intellectual,UWES-Absorption,ISA-Affective,UWES-Dedication,UWES-Vigor)/ (ISA-Social); 3 factor (ISAIntellectual,UWES-Absorption,ISA-Affective,UWES-Dedication)/(UWES-Vigor)/ (ISA-Social); 4 factor (ISA-Intellectual,UWESAbsorption)/(ISA-Affective,UWES-Dedication)/(UWES-Vigor)/ (ISA-Social); 5 factor (ISA-Intellectual)/(UWES-Absorption)/(ISAAffective,UWES-Dedication)/(UWES-Vigor)/ (ISA-Social); 6 factor (ISA-Intellectual)/(UWES-Absorption)/(ISA-Affective)/UWESDedication)/(UWES-Vigor)/ (ISA-Social);
* p < .05, ** p < .01, *** p < .001
Table 4. Confirmatory factor analyses of all latent variables
Note:2 factor (training perceptions, work engagement, personal role engagement)/(task proficiency, task adaptability, task proactivity); 3 factor (training perceptions)/(work engagement, personal role engagement)/( task proficiency, task adaptability, task proactivity); 4 factor (training perceptions)/(work engagement, personal role engagement)/( task proficiency)/(task adaptability, task proactivity);5 factor (training perceptions)/(work engagement, personal role engagement)/( task proficiency)/(task adaptability)/( task proactivity);6 factor factor (training perceptions)/(work engagement)/(personal role engagement)/( task proficiency)/(task adaptability)/( task proactivity)
* p < .05, ** p < .01, *** p < .001
Table 5. Multiple regressions and relative weight analyses for predicting work role behaviours
* p < .05, ** p < .01, *** p < .001
Table 6. Multiple regression analyses for the effects of training perceptions on work role behaviours via work engagement and personal role engagement
Note: Standard betas are given.. * p < .05, ** p < .01, *** p < .001
Table 7. PROCESS output results for the indirect effect of training perceptions on work role behaviours via work engagement and personal role engagement
Note: Effect size is the completely standardised indirect effect as outlined by Preacher and Kelley (2011).
|
Guide to the
DARR EQUIPMENT CO. COLLECTION 1954-2002
4.5 linear ft.
Accession Numbers: 0102-153 and 0102-270
Collection Number: 36
Prepared by Kevin Kendro March 2004
CITATION: Darr Equipment Co. Collection, Collection 36, Box number, Folder number, Irving Archives, Irving Public Library.
Historical Sketch
On January 1, 1954, Hal S. Darr purchased the R. B. George Equipment Company, a Caterpillar diesel tractor dealership for north and east Texas. Caterpillar Inc. is a major manufacturer of construction and mining equipment, engines, and turbines. The new dealership, Darr Equipment Co., opened with 76 employees and three locations: Dallas, Wichita Falls, and Gladewater.
During that same year, Darr began construction on a new corporate office and service center in Irving, Texas. The new facility was formally opened on November 13, 1954. On June 21, 1954, Hal S. Darr died, leaving operation of the company to his sons-in-law Bob Engstrom, President, and Joe Wagner, Executive Vice-President.
Throughout the 1950s and 1960s, Darr Equipment Co. expanded, opening branch offices in Waco (1955), and Texarkana (1964); and added a mobile field service fleet (1963). In 1965, Caterpillar opened a regional parts distribution center in Irving. Darr became the first Caterpillar dealer to be awarded a Cat Lift Truck franchise in 1966. In 1968, the Gladewater branch office was moved to Longview and a parts shuttle service between Darr stores and the Caterpillar parts depot was begun.
During the 1970s, the Wichita Falls branch and the Irving service department shop were expanded; a Darr Engine Power Center was opened in Irving (1978), and a branch office was opened in Ft. Worth (1979). Joe Wagner, Executive Vice President and company co-owner since 1954, left Darr in 1976 to assume control of the Caterpillar dealership for Colorado.
Expansion continued into the 1980s and 1990s. In 1981, a Tyler branch was opened, and Darr acquired Diversified Equipment Fabrication Company in Kilgore, Texas. In 1986, Bob Engstrom was elected chairman of the board, and his son Randy Engstrom became president of Darr Equipment Co.
In 1990, Darr Equipment Co. acquired the assets of the Albert Equipment Company and was made the authorized Caterpillar dealer for 76 counties in Oklahoma. Darr added branches in seven Oklahoma locations including Oklahoma City and Tulsa. By the mid-1990s, Darr had grown to 16 facilities and approximately 1,000 employees.
In April of 2002, Holt Cat, the Caterpillar dealer for south and central Texas, purchased Darr Equipment Co. making Holt one of the largest Caterpillar dealers in the world.
Sources:
Darr Equipment Co. collection, Collection 36, Irving Archives, Irving Public Library.
Series Description
Series I. Histories, 1954-2000. 5 linear inches. (1 manuscript box). Information on the history of Darr Equipment Co., Caterpillar Inc., and road paving.
Series II. Darr Employee Development and Customer Service Programs, 1960s-2001. 7 linear inches. (1.3 manuscript boxes).
Information on Darr Equipment Co. programs designed to enhance employee performance and customer service.
Series III. Correspondence, 1976-2000. 1 linear inch (1 folder).
A small amount of correspondence pertaining to everyday activities at the company.
Series IV. Publications, 1954-2002. 1.4 linear ft. (3.3 manuscript boxes)
Darr Equipment Co. publications and industry publications.
Series V. Photographs and Slides, 1954-2000. 10 linear inches (2 manuscript boxes).
Photos of Darr locations, employees, equipment, and company related events.
Series VI. Artifacts. 10 linear inches (2 manuscript box).
Darr promotional material, such as caps and playing cards, etc.
Scope and Content Note
The Darr Equipment Co. Collection are contained in 10 manuscript boxes with two Caterpillar Inc. oversize advertisements placed in Irving Archives Oversize Box 4 and a plaque with a model tractor attached to it placed in Irving Archives Artifact Box 1. The collection is arranged in six series.
Series I is made up of documents and publications relating to the history of Darr Equipment Co., the history of Caterpillar Inc., and the history of paving and paving machinery. Notes in the files indicated that the files in this series were maintained as the company's historical archives. Darr was a Caterpillar dealership and was closely connected with Caterpillar Inc., so many publications dealing with the history of Caterpillar are also found in this series. The series also includes material put together for and used during the company's anniversary celebrations throughout the years.
Series II consists of a number of presentations and programs designed to promote employee development and customer service. Among the material in the series are a telephone skills workbook, a slide show and script describing Darr and its services, and a presentation introducing the "Darr Difference," a customer service program.
Series III is made up of a small amount of correspondence that was scattered throughout the collection. It is day-to-day internal communications and courtesy letters to and from customers.
Series IV, the largest series in the collection, is made up of newsletters, pamphlets, magazines, clippings, and books relating to Darr Equipment Co., Caterpillar Inc., and industry topics. A large portion of the series consists of copies of the Darr Equipment Co. publication the Darr Viewer, which was the company's in-house magazine. The series contains a complete run of the Darr Viewer from 1965-2002. The news clippings have been photocopied onto acid-free paper.
Series V consists of photographs, slides, and negatives. The photos are primarily from company trips and awards banquets, but also included, among other subjects, are photos of the softball team and portraits of many of the company secretaries taken in the 1960s. One group of slides is from a Darr presentation entitled "The Darr Difference." These slides were in a carousel when received. They have been removed from the carousel and placed in archival slide sleeves and labeled as the slide presentation. Some of the slides were in plastic slide boxes marked by subject, such as Oklahoma City, or Tulsa. Other slides were bundled together by rubber band with no identification. All of the slides were placed in archival slide sheets. Each sheet contains only the slides that were in the original box or bundle. The sheets were labeled with the original identification when it was known. The photographs, when received, were in envelopes or sleeves containing a brief description of the contents. The photos were placed in acid-free file folders and the folders were given the name that was on the original envelope or sleeve.
Series VI is made up of artifacts, consisting of Darr promotional materials such as playing cards, caps, and decals.
This collection provides a good overall view of the founding and history of the Darr Equipment Co. and its relationship with Caterpillar Inc. The complete run of the Darr Viewer gives a look into the company's culture and its growth and changes through the years.
Except for the files marked as history files, the collection had no particular arrangement when it was donated to the Irving Archives. The processing archivist determined the arrangement.
Provenance Statement
The Darr Equipment Co. Collection were donated to the Irving Archives by Darr Equipment Co. Mr. Randy Engstrom was president of the company at the time of donation, and the transfer was handled by Mr. Gary Tong of Darr Equipment Co. representing the owners, their immediate families, and heirs. The material, accession numbers 0102-153 and 0102-270, were donated to the Irving Archives in March 2002 and July 2002. Prior to their donation to the Archives, the material was in possession of Darr Equipment Co.
Permission to publish from the Darr Equipment Co. Collection must be obtained from the Irving Archives, Irving Public Library.
Container List
Series I. Histories
Box 1
Folder
1 Darr History, 1950's
Contains invitations, announcements, articles and promotional material regarding Darr's founding and its early years in business.
2 Darr History, 1950s-2000
Contains facts and statistics about Darr and chronologies of Darr history.
3 Darr History, n.d.
Contains a genealogical chart titled "The Descendants of Hal S. Darr;" promotional material entitled "More Than Just a Family Business, It's a Business Family!" a brief history of the company; and a promotional flier describing some of the company's achievements in the 1990s.
4 Darr History, Anniversaries, 1974, 1979, 1984, 1994
Contains material used for and relating to the 20th through 40th Darr Equipment Co.
anniversaries.
5 Darr History, 1970s-1980s
Contains information on some of the Darr branch locations; primarily information on sign placement for and construction of the Texarkana location.
6 Caterpillar Inc. History
Contains the typescript of an article and the printed article titled "The History of Caterpillar;" a special issue of Caterpillar World, a Caterpillar Inc. publication, marking the company's 100th year in business; and a Caterpillar chronology, 1904-1958.
7 Caterpillar Inc. History Contains a packet of Caterpillar news releases and photos relating to new products and the
Caterpillar factory, 1970s.
8 Caterpillar History - Holt Brothers Tractor Sketches Contains sketches of early Holt Brothers tractors, 1900s-1920s.
9 History of Paving
Contains information and publications on paving equipment and the history of paving.
Series II. Darr Employee Development and Customer Service Programs
Folder
1 Darr Equipment Co.'s CAT Plus Services Program
Contains a packet of information on the company's CAT Plus Services program. This material was originally contained in a three-ring binder and has been transferred to an acid-free folder.
2 Darr Equipment Co.'s CAT Plus Services Program
Contains a packet of information on the company's CAT Plus Services program. This file contains primarily the same information as Box 2, Folder 1 with slight variations. It was originally contained in a three-ring binder and was transferred to an acid-free folder.
3 "The Darr Difference" Program
Contains a packet of information on "The Darr Difference" customer service program. This material was originally contained in a three-ring binder and was transferred to an acid-free folder.
4 "This is Darr" Presentation
Script and overhead projector sheets used for the presentation "This is Darr" detailing Darr's locations and product support programs. This material was originally contained in a three-ring binder and was transferred to an acid-free folder.
5 Commitment to Excellence Program, 2001
Details Darr's employee development, motivational, and recognition programs, such as the Personal Learning Module; also contains a number of issues of the Darr Viewer. This material was originally contained in a three-ring binder and was transferred to an acid-free folder.
6 President's Council on Excellence
Booklet detailing a program to recognize employees for excellent customer service.
7 Conexpo '69 Training Package, 1969
Information packet, including slides, designed to brief dealers on what was on display and what was new among competitors at Conexpo '69.
8 Product Nomenclature Training Program
Contains a presentation on the evolution of the naming of Caterpillar products, including two scripts, one heavily notated; slides, and Caterpillar product line catalogues.
9 Darr Telephone Skills Workbook
10 Employee Suggestion Program
Suggestion forms and details of the ESP program, the Employee Suggestion Program.
Box 3
1 Customer Service Information
Information on Darr customer service programs in the form of printed fliers, suggestion
forms, and company history.
2 Personal Learning Modules, 1988-2001
Three-part forms containing information about the company, quizzes about the company for a company contest, and a blank suggestion form.
3 Employee Development Packet
Contains copies of many different Darr publications and information about Darr Equipment
Co. When received, this file was marked as the "employee development master copy file."
4 Employee Development Packet
Contains copies of many different Darr publications and information on employee programs and customer service programs.
Series III. Correspondence, 1976-2000
5 Correspondence, 1976-2000
Contains a few pieces of correspondence concerning day-to-day company operations. The file also contains a certificate of appreciation from the City of Irving for Darr's support of Irving's participation in the 2001 All-American City Campaign.
Series IV. Publications
6 Darr Publications, 1960s-1990s
Contains three Darr Equipment Company newsletters, n. d.; two Darr Power Systems newsletters, n. d.; four Darr Equipment Company promotional brochures, n. d; two issues of Darr Equipment Company Powerwise, Sept./Oct. 1966 and Jan./Feb. 1967; and three issues of the Darr Hand, 1997-1999.
7 Darr Publications, 1996-1997
Contains issues of Darr's quarterly newspaper Customer Connection, 1996-1997.
8 Darr Publications, 1998-2001
Contains issues of Darr's quarterly newspaper Customer Connection, 1998-2001.
9 Darr Publication, The Darr Times Record, 1984
Contains two copies of a retrospective newspaper published as part of Darr's 30th anniversary celebration.
10 Caterpillar Publications, 1950s-1990s
Contains pages from a Caterpillar product line publication, c. 1950s; a Caterpillar parts reference catalogue, 1965; a TEPS News-Total Engine Product Support newsletter, March-April 1975; the dealer, a Caterpillar publication for its dealers which contains an article on Darr's management style, Sept. 1976; a special edition of Caterpillar World magazine in honor of Caterpillar's centennial year, 1984; Caterpillar Product Line brochures, 1992 and 1993.
11 Industry Publications, 1976 and 1991
big a Goodyear Tire and Rubber Company publication containing an article about Darr, 1976; and 75 Years of Innovation-The Story of Barber-Greene, 1991.
Box 4
Bound Volume - Darr Viewer, 1965-1977
Bound Volume - Darr Viewer, Jan. 1978-Aug. 1986
1 Darr Viewer, Sept. 1986-Dec. 1987
2 Darr Viewer, Jan. 1988-Dec. 1989
3 Darr Viewer, Jan. 1990-Dec. 1991
Box 5
1 Darr Viewer, Jan. 1992-Dec. 1993
2 Darr Viewer, Jan. 1994-Dec. 1995
3 Darr Viewer, Jan. 1996-Dec. 1997
4 Darr Viewer, Jan. 1998-Dec. 1999
5 Darr Viewer, Jan 2000-Dec. 2001, and a commemorative final issue from 2002.
6 Newspaper clippings, 1970s
Box 6
Books: Caterpillar Parts Service Barometer, 1963-1964 and Caterpillar Parts Service Barometer, 1965-66. These volumes are bound, monthly, inventory reports and sales reports for Caterpillar products at Darr Equipment Co.
Our First Five Decades, 1966, published by the Barber-Greene Company.
The Caterpillar Story, 1991, published by Caterpillar Inc.
The History of Hot Mix Asphalt--A Century of Progress, 1992, published by the National Asphalt Pavement Association.
Caterpillar--Farm Tractors, Bulldozers and Heavy Machinery, 1994, Randy Leffingwell, published by Motorbooks International.
Series V. Photographs and Slides
Box 7
Note: The photos in folders 1, 2 and 3 were in a single folder when received and appear to have been selected for use in various Darr publications. Many of them do appear in publications. The processing archivist arranged them in three folders by the following subjects; personnel, Darr locations; and equipment.
1 Photos--Personnel, 1950s-1980s (bulk 1950s)
2 Photos--Darr Locations, 1950s and 1970s (bulk 1950s)
3 Photos--Equipment, 1910s-1950s
4 Photos--The Darr Times Record, 1984
These photos were used in the commemorative retrospective newspaper issue The Darr Times Record, which was put out as part of the company's 30th anniversary celebration in 1984.
5 Photos--Location exteriors, 1950s-1990s
Exteriors of various Darr offices among them; Irving, Waco, and the original building in Dallas.
6 Photos--Customer Trip, Conexpo '69, 1969
Contains photos from the Conexpo '69 trip: photos of the display floor and of participants boarding a plane at the airport. The negatives are in Box 8, Folder 1.
7 Photos--Customer Trip #1, March 1971
Contains photos and proof sheets of people boarding an airplane and at the airport. Good photos of a Texas International jet. The negatives are in Box 8, Folder 2.
8 Photos--Customer Trip #2, n.d. Contains proof sheet of people in meetings. The negatives are in Box 8, Folder 9.
9 Photos--Customer Trip #3, n.d.
Contains several copies of a photo of men posing around a Texas International jet. The negatives are of men around the airplane and men at the conference, c. early 1970s. The negatives are in Box 8, Folder 3.
10 Photos--Phoenix Seminar, 1970
Contains photos of men posing next to a Texas International propeller-driven airplane. The negatives are in Box 8, Folder 9.
11 Photos--Darr Function, n.d.
Contains photos of people in classes and at a company luncheon, c. 1990s.
12 Photos--Employee Recognition Banquet, 1968 Photos taken at 1968 awards banquet. These include: a photo of the crowd listening to a band; Joe Wagner and R. H. Engstrom presenting Lee White with his 15-year pin; and an unidentified man speaking to the crowd.
13 Photos--Employee Recognition, Salesman of the Year, 1969
Photos taken at 1969 Salesman of the Year Banquet. Dent Baillio was named salesman of the year. The negatives are in Box 8, Folder 9.
14 Photos--Employee Recognition, Salesman of the Year, 1970
Photos taken at the 1970 Salesman of the Year Banquet. The negatives are in Box 8, Folder 9.
15 Photos-Employee Recognition, Service Awards, 1971 Proof sheet of photos of employees at work. The negatives are in Box 8, Folder 9.
16 Photos-Employee Recognition, Longview Service Awards, 1971 Photos taken at the 1971 Longview branch service awards ceremony. The negatives are in
Box 8, Folder 9.
17 Photos-Employee Recognition, VIP, n.d. and 2000-01
Group photos of VIP honorees, five different groups, only the 2000-01 photo has a date on it. Also, proof sheets of the 2000-01 group visiting Morton Distribution Center. The negatives are in Box 8, Folder 4.
18 Photos-Secretaries-Darr
Portraits of Darr secretaries, primarily from the Dallas office, c. 1960s. The negatives are in Box 8, Folder 5.
19 Photos-Secretaries-Darr
Portraits of Darr secretaries, primarily from the Dallas office, c. 1960s. The negative are in Box 8, Folder 5.
20 Photos-Secretaries-Darr
Proof sheets of portraits of the Darr secretaries, c. 1960s. The negatives are in Box 8, Folder 5.
21 Photos-Softball Team, n.d.
Includes game action shots, team photos, and proof sheets of the photos, c. early 1970s. The negatives are in Box 8, Folder 6.
22 Photos-Bowling Team, n.d. Team photo and an individual photo, c. 1960s.
23 Photos-Healthfair, n.d.
Photos and proof sheets of employees being inoculated. The negatives are in Box 8, Folder 7.
24 Photos-Caricatures of Company Officers, n.d.
Photos of caricatures of Darr company officers. The caricatures were used in a slide show for prospective machinery purchasers entitled "Profitability." The negatives are in Box 8, Folder 8.
25 Photos-Presbyterian Hospital, n.d.
Proof sheet of equipment at construction site at Presbyterian hospital. The negatives are in Box 8, Folder 9.
26 Photos--Darr Officers, n.d.
Portraits of Randy Engstrom and Arnold Martin.
27 Photos--Model Tractors, n.d.
Photos of models of Caterpillar tractors used in a Corps of Engineers display.
28 Photos--Darr Headquarters Office Interior, 1955 Photos of the interior of the Darr offices in Irving.
Proof sheets of photos taken at the renovated Wichita Falls branch. The negatives are in Box
29 Photos--Wichita Falls Location, 1976 8, Folder 9.
Box 8
1 Negatives, ConExpo '69
2 Negatives, Customer Trip #1, 1971
3 Negatives, Customer Trip #3, n.d.
4 Negatives, VIP Trip, 2001
5 Negatives, Dallas Office Secretaries, c.1960s
6 Negatives, Darr Softball Team, n.d.
7 Negatives, Healthfare, n.d.
8 Negatives, Caricatures of Darr officers
9 Negatives: Customer Trip #2, n.d; Phoenix Seminar, 1970; Salesman of the Year Award, 1969; Salesman of the Year Award, 1970; Service Awards, 1971; Longview Service Awards, 1971; Presbyterian Hospital, n.d.; Wichita Falls Opening, 1976; Darr bowling team, n.d.; unidentified negatives, n.d.
10 Slides-Presentation "This is Darr"
Contains slides removed from a slide carousel and a script that was with the slides. The script is entitled "This is Darr." The slides were placed in sleeves and were kept in the original order.
11 Slides--Locations, Personnel, Equipment, n.d. Contains slides of the various Darr locations, employees at the locations, and different pieces
of equipment.
12 Slides--Locations, Personnel, Equipment, n.d. Contains slides of the various Darr locations, employees at the locations, and different pieces of equipment.
13 Slides--Locations, Personnel, Equipment, n.d. Contains slides of the various Darr locations, employees at the locations, and different pieces of equipment.
14 Slides--Tulsa, n.d. Contains slides that were removed from a plastic slide box labeled "Tulsa." They are slides
of the location, employees, and equipment.
15 Slides--"Darr Difference," n.d.
Contains slides that were removed from a plastic slide box labeled "Darr Difference," a slide presentation.
16 Slides--"Darr Difference," n.d. Contains slides that were removed from a plastic slide box labeled "Darr Difference," a slide
presentation.
17 Slides--Oklahoma City, n.d.
Contains slides that were removed from a plastic slide box labeled "OKC." They are slides of the location, employees, and equipment.
18 Slides--Dallas, n.d.
Contains slides that were removed from a plastic slide box labeled "Dallas." The slides are primarily of personnel.
19 Slides--Unmarked, n.d. Contains slides that were removed from an unlabeled plastic slide box. The slides are of
personnel.
Series VI. Artifacts
Box 9
Contains oversize picture postcards of the Darr Irving shop from the 1950s; Darr decals; Darr matchbooks; a Darr Equipment Co. PartStore CD ROM; and Caterpillar Nascar placards.
Also contains six decks of Darr playing cards, a small Darr desk clock engraved 1954-2002; a new employee orientation apron; Darr letterhead; two plastic Darr shopping bags.
The box also contains three salesman's parts and prices handbooks from 1929, 1964, and 1974.
Box 10
Contains six Darr Equipment Co. caps: two black and yellow "Team Darr, SCA Performance Specialists" caps; two maroon and beige Darr 45th anniversary caps; two black and beige Darr Equipment Co. caps.
Irving Archives Oversize Box 4
A Caterpillar Inc. advertisement from The Saturday Evening Post, January 10, 1931, and a second Caterpillar ad from an unidentified and undated magazine. The style of the second ad is similar to the ad in the 1931 Saturday Evening Post.
Archives Artifact Box 1
A model Caterpillar tractor mounted on a trophy base. The plaques on the base are not inscribed.
|
IMPACT Series Gen 2
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| Sizes | IMPACT Gen 2 | IMPACT Plus Gen 2 |
|---|---|---|
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| 4K UHD (3840x2160 @60Hz) | Yes | Yes |
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| 20 Continuous Touch Points | Yes | Yes |
| Finger, Gesture & Pen | Yes | Yes |
| Simultaneous Writing | Yes | Yes |
| LYNX Whiteboard, Cleverstore, Snowflake | Yes | Yes |
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| Dual Recognition Stylus | Yes | Yes |
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CHECK Part of a Digital Ecosystem of products – control them all from one online platform
CHECK Supports Remote Learning
CHECK Dedicated Support Team
CHECK Free updates and new features
www.tierney.com firstname.lastname@example.org
|
Display
| Diagonal Size | 55" 4K, 65" 4K, 75" 4K, 86" 4K |
|---|---|
| Screen Type | TFT LCD - Direct LED Backlight |
| Aspect Ratio | 16:9 |
| Display Colors | 1.07 Billion (10bit) |
| Resolution | 4K UHD (3840 x 2160) |
| Response Time | 5ms |
| Refresh Rate | 60Hz |
| LCD Viewing Angle | 178˚ |
| Brightness | 420 cd/m2 |
| Contrast Ratio | 55" 4500:1 65" 4500:1 76" 4500:1 86" 4500:1 |
| Dynamic Contrast Ratio | 55" 5000:1 65" 5000:1 75" 5000:1 86" 5000:1 |
| Glass Hardness | AG Tempered Glass - Mohs Level 7 |
| NEW Glass Type | Low Parallax Zero Bonding - Heat tempered - Anti Glare - Super Glide Surface |
| NEW Main Board | 9950 MTK (MStar) |
Interactivity
| Writing Technology | High Precision IR Technolgy |
|---|---|
| Continuous Touch Points | 20 |
| Touch Resolution | 32768x32768 |
| Response Time | ≤10ms |
| NEW Touch Accuracy | 1mm |
| Minimum Object Size | 3mm |
| Touch Tool | Finger, Gesture, Passive Infrared pen |
| Simultaneous Writing | Yes |
| Ink In Tools | Yes - LYNX |
| Pens Included | 2 |
| Pen Type | Dual Recognition Stylus |
| Pen Holder | Integrated Full-length Pen Tray |
| Pen Tip Diameter | 3mm/7mm |
| Pen & Touch Differentiation | Yes |
| Pen Identities | 2 |
| Palm Rejection | Yes |
| Annotation Over Any Source | Yes |
IMPACT Plus Gen 2
Connectivity
OPS Slot
HDMI In
HDMI Out
USB-A 2.0
USB Touch(type B)
NEWUSB A 3.0
(Faster Data Transfer)
NEWUSB C
LAN In(RJ45)
NEWLAN Out
RS-232
Wake-on-Lan
NEWWireless Adapter
2.0 + WAP
NEWBluetooth
VGA In
Audio In
Optical Out
Headphone
Total touch out ports
NFC Reader / Writer
Camera
Proximity Sensor
Array Microphone
WiFi
WiFi Speed
1 - Intel® spec 80Pin
3
1
1 (1 USB for system upgrade)
2
4
1x USB-C with video, audio, touch, power and hardware optimization and ethernet – front-mounted
1x USB-C with video, audio, touch, power and hardware optimization – side-mounted 1
(Supports 65W Charging)
1
1
Yes
Yes
Upgraded
Yes – 5.0
1
1 (3.5mm)
1 (Coax)
1 (3.5mm)
2
Optional Extra
Optional Extra
Yes
Yes – Omni-directional up to 8 meters
IEEE 802.11a/b/g/n/ac with 2 × 2 MIMO (hotspot only)
(both 2.4 and 5 GHz bands)
Capable of speeds up to 433Mbps
Computing
| NEW Operating System | Android 9 |
|---|---|
| NEW System Version | LUX 9 |
| NEW RAM | 6GB |
| NEW Internal Storage | 64GB |
| NEW CPU | Quad Core A73 |
| NEW GPU | Mali G52MC2 |
| Android Resolution | 4K |
| Integrated LUX UI | Yes |
Audio
Includes Whiteboard, Annotate, Timer, Media
Classroom Essential Apps
Players, Browser, PDF Reader, Screen Record,
Spinner, Voting, Maths Tools
| Compatibility | Windows 10, Linux, Mac, Android, Chrome |
|---|---|
| Tracking Rate | 6m/s |
| Scan Rate | 200Hz |
| Audio Out | Yes |
|---|---|
| SPDIF / Fibre | Yes |
| Sound Channel | 2.1 |
| Line Array Microphone | Yes |
| Super Wide Sound | Yes |
© 2021 Clevertouch. All rights reserved. Sahara Presentations Systems PLC. is the owner of a number of trademarks in several jurisdictions across the world including but not limited to Clevertouch, the Clevertouch logo, UX Pro, IMPACT™, IMPACT Plus™, LUX, Lynx, CleverMessage, Cleverstore and Clevershare. All third-party trademarks (including logos and icons) referenced by Clevertouch remain the property of their respective owners. Unless specifically identified as such, Clevertouch's use of third-party trademarks does not indicate any relationship, sponsorship, or endorsement between Clevertouch and the owners of these trademarks. Applicable Terms and Conditions for warranty and support available at clevertouch.com/about/warranty. All weights and dimensions are approximate. Product specifications are subject to change without notice. Clevertouch.com.
Dual Front Facing, Bass
(RJ45)
Specifications
Power
IMPACT Plus Gen 2 Specifications
IMPACT™ Built-in Features
| Power Requirements | 100 - 240 ~ 50/60Hz 3.5A |
|---|---|
| Power Consumption (Normal) | 55″ 102W 65″ 117W 75″ 145W 86″ 168W |
| Power Consumption (Standby) | < 0.5 Watts |
Operating & Storage Environment
Physical Specifications
| Panel Dimensions | 55" 1262x794x89mm 65" 1488x920x90mm 76" 1709x1043x89mm 86" 1957x1182x86mm |
|---|---|
| Packed Dimensions | 55" 1428x220x902mm 65" 1628x208x1024mm 75" 1860x280x1163mm 86" 2112x280x1304mm |
| Net Weight | 55" 27.7Kg 65" 37.3Kg 75" 51.1Kg 86" 63.8Kg |
| Packed Weight | 55" 33.9Kg 65" 45.7Kg 75" 63.9Kg 86" 78.9Kg |
| VESA Mount Point | 55" 400x200mm 65" 400x200mm 75" 800x400mm 86" 800x600mm |
Warranty
Warranty term and upgrade options vary by region. Contact your local reseller or distributor for information and visit clevertouch.com/about/warranty
Compliance & Certification
Regulatory Certification
CE, FCC, UL, Energy Star & EEC
| NUITEQ™ Snowflake | Yes |
|---|---|
| LYNX™ App With Online Lesson Planning | Yes |
| Cleverstore™ App Store For Education | Yes |
| Embedded Digital Signage | Yes |
| Clevershare™ Mirroring Any Device To The Board | Free for the life of the screen (touch back) |
| Integrated Personalised Accounts Profiles | Yes |
| Cloud Account Access | |
| Embedded Room Booking | Yes |
| Whiteboard Annotation | Yes |
| Email Out Direct From Touchscreen | Yes |
| Scan QR Code For Saving Work | Yes |
| CleverMessage™ – Instant Alert Messaging | Yes |
| Over-the-Air Updates | Yes |
| Remote Management Of Touchscreens (MDM) | Yes - Five year license |
Packed Contents - Inside your Clevertouch Box
What's In The Box
(1) Clevertouch IMPACT Plus 2™ (1) 1.5M Length HDMI Cable (1) 3M Length USB cable (A-B)
(2) 1.5M USBC Cable
(1) 3M Regional Power Cable (1) 5M 3.5mm Audio Cable
(1) Remote Control
(2) Batteries for Remote Control
(2) Dual Recognition Stylus
(1) User Guide
(1) Quick Install Guide
(1) Wireless Adapter 2.0 + WAP
Installation
The installation of this product should be completed by a qualified installer. Use of components not supplied by Clevertouch or not meeting minimum specifications may impact performance, safety and warranty. For more information, visit clevertouch.com
Support
For all Clevertouch products, visit: support.clevertouch.com
www.tierney.com | email@example.com
© 2021 Clevertouch. All rights reserved. Sahara Presentations Systems PLC. is the owner of a number of trademarks in several jurisdictions across the world including but not limited to Clevertouch, the Clevertouch logo, UX Pro, IMPACT™, IMPACT Plus™, LUX, Lynx, CleverMessage, Cleverstore and Clevershare. All third-party trademarks (including logos and icons) referenced by Clevertouch remain the property of their respective owners. Unless specifically identified as such, Clevertouch's use of third-party trademarks does not indicate any relationship, sponsorship, or endorsement between Clevertouch and the owners of these trademarks. Applicable Terms and Conditions for warranty and support available at clevertouch.com/about/warranty. All weights and dimensions are approximate. Product specifications are subject to change without notice. Clevertouch.com.
Display
IMPACT Gen 2 Specifications
Connectivity
| Diagonal Size | 65" 4K, 75" 4K, 86" 4K |
|---|---|
| Screen Type | TFT LCD - Direct LED Backlight |
| Aspect Ratio | 16:9 |
| Display Colors | 1.07 Billion (10 bit) |
| Resolution | 4K UHD (3840 x 2160) |
| Response Time | 5ms |
| Refresh Rate | 60Hz |
| LCD Viewing Angle | 178˚ |
| Brightness | 400 cd/m2 |
| Contrast Ratio | 65" 4000:1 75" 4000:1 86" 4000:1 |
| Dynamic Contrast Ratio | 65" 5000:1 75" 5000:1 86" 5000:1 |
| Glass Hardness | Tempered Glass - Mohs Level 7 |
| NEW Glass Type | Low Parallax 1mm Air Gap - Heat tempered - Anti Glare - Super Glide Surface |
| Main Board | MS848 - MStar |
| Life of Screen | 50,000 hours |
Interactivity
| Writing Technology | High Precision IR Technolgy |
|---|---|
| Continuous Touch Points | 20 |
| Touch Resolution | 32768x32768px |
| Response Time | ≤10ms |
| Touch Accuracy | 1.5mm |
| Minimum Object Size | 3mm |
| Touch Tool | Finger, Gesture, Passive Infrared pen |
| Simultaneous Writing | Yes |
| Ink In Tools | Yes - LYNX |
| Pens Included | 2 |
| Pen Type | Dual Recognition Stylus |
| Pen Holder | Integrated Full-length Pen Tray |
| Pen Tip Diameter | 3mm/7mm |
| Pen & Touch Differentiation | Yes |
| Pen Identities | 2 |
| Palm Rejection | Yes |
| Annotation Over Any Source | Yes |
| Classroom Essential Apps | Includes Whiteboard, Annotate, Timer, Media Players, Browser, PDF Reader, Screen Record, Spinner, Voting, Maths Tools |
| Compatibility | Windows 10, Linux, Mac, Android, Chrome |
| Tracking Rate | 6m/s |
| Scan Rate | 200Hz |
| Gestures & Edge Swipes | Windows Supported, OSX with additional Driver |
Computing
Audio
| Dual Front Facing, Bass Enhanced Speakers | 2 x 15 Watt Speakers |
|---|---|
| Audio Out | Yes |
| SPDIF / Fibre | Yes |
| Sound Channel | 2 |
| NEW Line Array Microphone 6 | Yes |
Power
IMPACT Gen 2 Specifications
IMPACT™ Built-in Features
Operating & Storage Environment
Physical Specifications
Warranty
Warranty term and upgrade options vary by region. Contact your local reseller or distributor for information and visit clevertouch.com/about/warranty
Compliance & Certification
Regulatory Certification
CE, FCC, UL, Energy Star & EEC
| NUITEQ™ Snowflake | Yes |
|---|---|
| LYNX™ App With Online Lesson Planning | Yes |
| Cleverstore™ App Store For Education | Yes |
| Embedded Digital Signage | Yes |
| Clevershare™ Mirroring Any Device To The Board | Free for the life of the screen (touch back) |
| Integrated Personalised Accounts Profiles | Yes |
| Cloud Account Access | |
| Embedded Room Booking | Yes |
| Whiteboard Annotation | Yes |
| Email Out Direct From Touchscreen | Yes |
| Scan QR Code For Saving Work | Yes |
| CleverMessage™ - Instant Alert Messaging | Yes |
| Over-the-Air Updates | Yes |
| Remote Management Of Touchscreens (MDM) | Yes - Five year license |
Packed Contents - Inside your Clevertouch Box
What's In The Box
(1) Clevertouch IMPACT 2™
(1) 1.5M Length HDMI Cable
(1) 3M Length USB cable (A-B)
(1) 1.5M USBC Cable
(1) 3M Regional Power Cable
(1) Remote Control
(2) Batteries for Remote Control
(2) Dual Recognition Stylus
(1) User Guide
(1) Quick Install Guide
(1) Clevertouch WiFi Module
Installation
The installation of this product should be completed by a qualified installer. Use of components not supplied by Clevertouch or not meeting minimum specifications may impact performance, safety and warranty. For more information, visit clevertouch.com
Support
For all Clevertouch products, visit: support.clevertouch.com
Digital Ecosystem
A unique digital solution for every space which redefines the way to distribute information and collaborate using technology.
firstname.lastname@example.org
|
California Regional Water Quality Control Board
Santa Ana Region
and U. S. Environmental Protection Agency Region IX
July 19, 2002
ITEM:
13
SUBJECT:
Amendment to Order No. 98-5, NPDES No. CA0110604, Waste Discharge Requirements, Orange County Sanitation District, Reclamation Plant No. 1 and Treatment Plant No. 2, Orange County - Order No. R8-2002-0055
DISCUSSION:
Summary
On March 6, 1998, the Board adopted Order No. 98-5 and on May 6, 1998, the U.S. Environmental Protection Agency, Region 9 signed the NPDES permit No. CA0110604, renewing the waste discharge requirements for Orange County Sanitation District's (OCSD) ocean outfall discharge. Receiving water monitoring data indicate that the discharge has consistently complied with the bacterial limitations contained in Order No. 98-5, which were established to protect both nearshore and offshore waters 1 . However, the data also indicate that the discharge plume has, on occasion, traveled closer to shore than predicted. Therefore, the discharge may pose a threat to water contact recreational uses. Regional Board staff recommends that Order No. 98-5 be amended to include disinfection requirements to address this threat. EPA agrees with this recommendation. The proposed amendment requires OCSD to implement disinfection facilities using sodium hypochlorite (chlorine bleach) and to dechlorinate using sodium bisulfite, since disinfection/dechlorination in this manner can be implemented most readily in the short-term. OCSD has not objected to the disinfection of the wastewater in this manner. OCSD is conducting an investigation of alternative long-term disinfection methods, which may lead to future modification of the disinfection requirements. In conjunction with incorporating chlorine disinfection requirements, it is necessary to amend the Order to specify limitations on chlorine residual. Further, since Order No. 98-5 was adopted, revisions to the acute toxicity limits and tests specified in the California Ocean Plan have occurred. The acute toxicity limits and test requirements specified in Order No. 98-5 implement the prior Ocean Plan and must be revised. If approved, this amendment to Order No. 98-5 would take effect on August 12, 2002, consistent with the schedule for completion and operational start-up of the disinfection facilities.
1
Nearshore waters are within a zone bounded by the shoreline and a distance of 1,000 feet form the shoreline or the 30-foot depth contour, whichever is further from the shoreline. Offshore waters are between the nearshore waters and the limit of ocean waters of the State (i.e., three miles from the shoreline.)
Orange County Sanitation District
Reclamation Plant No. 1 and Treatment Plant No. 2
Disinfection/Chlorine Residual
Order No. 98-5 contains receiving water limits designed to protect the health of people who come in contact with ocean waters that may be affected by the OCSD effluent discharge. These limits implement the bacterial water-contact objectives specified in the 1997 California Ocean Plan, which was in effect at the time Order No. 98-5 was adopted. Specifically, Receiving Water Limitation D.1.a.1. requires that certain total and fecal coliform bacterial objectives shall be maintained within the nearshore zone and within the offshore zone to a depth of 10 feet to protect the water contact recreational use of those waters. The requirement to maintain the objectives to the 10-foot depth in offshore waters was based on the Regional Board's finding that it is the surface waters of the offshore zone to a depth of 10 feet that are used for water contact recreation 2 . Due to the location of the outfall (at 55 m depth and approximately 8.2 km (5.1 miles) offshore of the Huntington Beach area, just north of the Santa Ana River) and the ocean characteristics around the outfall, disinfection of the wastewater has not been necessary to maintain compliance with these objectives.
In recent years, the waters off Huntington Beach have been plagued periodically with high concentrations of bacteria that have resulted in the posting and closure of the beaches to watercontact recreation. Numerous studies have been conducted to determine the source(s) of the problem. To date, none of these studies has directly linked the problem to OCSD's wastewater discharge. However, recent monitoring work conducted by OCSD has detected low levels of total coliform bacteria, related to the discharge plume, at the surface at a sampling station about three miles from shore. The results also showed plume-related bacteria within one half mile of shore in the deep waters of a submarine canyon (Newport Canyon). Although neither the limitations in Order No. 98-5 nor the A.B. 411 bacterial standards for beach waters 3 were exceeded, Board staff believes that, based on these recent findings, it is prudent to require the disinfection of the wastewater, and to modify the bacterial limits contained in Order No. 98-5 to ensure that water-contact recreational activities in both offshore and nearshore ocean waters are not threatened by this discharge. This proposed amendment would require the implementation of disinfection facilities using sodium hypochlorite (chlorine bleach) and dechlorination facilities using sodium bisulfite, since disinfection/dechlorination in this manner can be most readily implemented in the short-term. Further, this proposed amendment would revise Receiving Water Limitation D.1.a.1. to require that the bacterial objectives shall be maintained throughout the water column in the offshore zone, rather than in only the top ten feet.
OCSD has not objected to the proposed disinfection requirements. Temporary chlorination/dechlorination facilities are expected to be operational by August 12, 2002. OCSD is conducting an evaluation of alternative, long-term disinfection strategies. The temporary chlorination/dechlorination facilities may eventually be supplanted by a more permanent solution, which may include use of an alternative disinfection agent. Revision of the disinfection requirements can be considered in the future, if warranted by the results of OCSD's investigations.
2 The Ocean Plan stipulates that the bacterial objectives apply to the nearshore zone and to those areas outside that zone used for water contact sports, as determined by the Regional Board.
3 These standards include total and fecal coliform, as well as enterococcus, another type of bacterial indicator. The Ocean Plan and A.B 411 standards for total and fecal coliform are very similar.
OCSD's stated operational goal with the disinfection process is to achieve both the Ocean Plan bacterial objectives (as reflected in Order No. 98-5) and the A.B. 411 bacterial standards at the boundary of the Zone of Initial Dilution (ZID) of the discharge. The ZID is approximately a 60meter radius around the outfall. In light of this, while the proposed amendment would require that compliance with bacterial objectives be achieved throughout the nearshore and offshore zones, it may be appropriate in the future to consider extending the zone of compliance beyond the limit of offshore waters, perhaps to the ZID. To provide data needed to make this determination, this amendment would require the discharger to submit a proposal for an appropriate investigation. The discharger would be required to implement the investigation upon the Executive Officer's approval. It may be noted that this investigation would be expected to include analyses for enterococcus as well as total and fecal coliform so that conformance with A.B. 411 standards can also be evaluated 4 . These data will be considered in the upcoming renewal of Order No. 98-5, which is expected to be considered in 2003, and may result in a revision of the area in which compliance with bacterial objectives is to be achieved.
Wastewater disinfection with chlorine usually produces a chlorine residual. Chlorine and its reaction products are toxic to aquatic life. Since disinfection with chlorine was not contemplated at the time Order No. 98-5 was issued, the permit does not contain any limits on the amount of chlorine residual that may be in the effluent. In conjunction with the amendment of Order No. 98-5 to include requirements for disinfection using chlorine , Order No. 98-5 must be amended to add chlorine residual limits.
The California Ocean Plan contains receiving water limits for chlorine residual for the protection of marine aquatic life. The proposed amendment would incorporate effluent limits into Order No. 98-5 that are based on these Ocean Plan water quality objectives.
Acute Toxicity
Order No. 98-5 contains effluent limits and testing requirements for acute toxicity that are based on the 1997 Ocean Plan, which was in effect at the time of permit adoption. The 1997 Ocean Plan specified the use of freshwater test organisms to determine compliance with acute toxicity limits.
4
The proposed amendment does not require compliance with the A.B. 411 standards, but instead relies on the bacterial objectives in the Ocean Plan. The Ocean Plan may be revised in the future to include enterococcus objectives; in that case, further amendment of the Order would be necessary. There are also practical considerations that make it unreasonable to impose enterococcus limits at this time. Given holding time considerations, an alternative to the approved standard method would have to be utilized for the numerous samples collected offshore. The use of this alternative method is appropriate for research investigations but not for compliance purposes.
Orange County Sanitation District
Reclamation Plant No. 1 and Treatment Plant No. 2
The Ocean Plan has been revised since Order No. 98-5 was adopted. The current version of the Ocean Plan became effective on December 3, 2001 (2001 Ocean Plan). The new Ocean Plan revised the procedures to develop acute toxicity limits in permits and changed the testing protocols for determining compliance with those limits. Acute toxicity effluent limits are now to be based on the acute toxicity water quality objective that is specified in the Ocean Plan. In addition, the Ocean Plan now requires the use of marine test species instead of freshwater species when measuring compliance.
The proposed amendment would revise the acute toxicity effluent limits and testing procedures in Order No. 98-5 to conform to those specified in the 2001 Ocean Plan.
RECOMMENDATION:
Adopt Order No. R8-2002-0055, as presented.
Comments were solicited from the following agencies:
U.S. Environmental Protection Agency, Permits Issuance Section (WTR-5) - Terry Oda
U.S. Army District, Los Angeles, Corps of Engineers, Regulatory Branch
U.S. Fish and Wildlife Service - Carlsbad
State Water Resources Control Board, Office of the Chief Counsel – Jorge Leon
State Water Resources Control Board, Division of Water Quality - James Maughan
State Department of Health Services, Carpenteria – John Curphey
State Department of Health Services, Carpenteria - Jeff Stone
State Department of Water Resources - Glendale
State Department of Fish and Game - Long Beach
Orange County Water District - Nira Yamachika
Santa Ana Watershed Project Authority - Joseph Grindstaff
Surfrider Foundation, Huntington/Long Beach Chapter
Orange County Coastkeeper- Garry Brown
Lawyers for Clean Water C/c San Francisco Baykeeper
Dr. Jack Skinner
City of Anaheim
City of Brea
City of Buena Park
Costa Mesa Sanitary District
City of Cypress
City of Fountain Valley
City of Fullerton
City of Garden Grove
City of Huntington Beach
Irvine Ranch Water District
City of La Habra
City of La Palma
Order No. R8-2002-0055, Amending Order No. 98-5
Orange County Sanitation District
Reclamation Plant No. 1 and Treatment Plant No. 2
County Sanitation Districts of Los Angeles County
City of Long Beach
Rossmoor/Los Alamitos Area Sewer District
Midway Cities Sanitation District
City of Newport Beach
City of Orange
City of Placentia
City of Santa Ana
City of Seal Beach
City of Stanton
Sunset Beach Sanitary District
City of Tustin
City of Villa Park
City of Westminster
Yorba Linda Water District
Naval Weapons Station Seal Beach
Air Forces Reserve Center Los Alamitos
California Regional Water Quality Control Board Santa Ana Region and U.S. Environmental Protection Agency Region IX
Order No. R8-2002-0055
Amending Order No. 98-5, NPDES No. CA0110604
Waste Discharge Requirements
And
Authorization to Discharge under the
National Pollutant Discharge Elimination System for
Orange County Sanitation District's Reclamation Plant No.1 and Treatment Plant No. 2 Orange County
The California Regional Water Quality Control Board, Santa Ana Region (hereinafter Board), and the U.S. Environmental Protection Agency (hereinafter EPA) find that:
1. On March 6, 1998, the Board adopted Order No. 98-5 and on May 6, 1998, the U.S. Environmental Protection Agency, Region 9 signed the NPDES permit No. CA0110604, renewing the waste discharge requirements for the County Sanitation Districts of Orange County (now known as Orange County Sanitation District, hereinafter OCSD or discharger) ocean outfall discharge of combined primary and secondary treated wastewater from its Reclamation Plant No. 1 and Treatment Plant No. 2.
2. Order No. 98-5 contains receiving water limits designed to protect the health of people who come in contact with the ocean waters (both nearshore and offshore waters 1 ) that may be affected by the OCSD effluent discharge. Receiving Water Limitation D.1.a.1. requires that certain bacterial objectives shall be maintained within the nearshore zone and within the offshore zone to a depth of 10 feet to protect the water contact recreational use of those waters. The requirement to maintain the objectives to the 10-foot depth in offshore waters was based on the Regional Board's finding that the waters in the top 10 feet of the offshore zone are used for water contact recreation. Due to the location of the outfall (at 55 m depth and approximately 8.2 km (5.1 miles) offshore of the Huntington Beach area, just north of the Santa Ana River) and the ocean characteristics around the outfall, disinfection of the wastewater has not been necessary to maintain compliance with these objectives. The discharge consistently meets these receiving water limits, as shown by receiving water monitoring data.
1
Nearshore waters are within a zone bounded by the shoreline and a distance of 1,000 feet form the shoreline or the 30-foot depth contour, whichever is further from the shoreline. Offshore waters are between the nearshore waters and the limit of ocean waters of the State (i.e., three miles from the shoreline.)
3. In recent years, the waters off Huntington Beach have been plagued periodically with high concentrations of bacteria that have resulted in the posting and closure of the beaches to water-contact recreation. Numerous studies have been conducted to determine the source(s) of the problem. To date, none of these studies has directly linked the problem to OCSD's wastewater discharge. However, recent monitoring work conducted by OCSD has detected low levels of total coliform bacteria, related to the discharge plume, at the surface at a sampling station about three miles from shore. The results also showed plume-related bacteria within one half mile of shore in the deep waters of a submarine canyon (Newport Canyon). Although neither the limitations in Order No. 985 nor the bacterial standards for beach waters 2 established by the Department of Health Services (DHS) pursuant to Assembly Bill (A.B.) 411 were exceeded, it is prudent to require disinfection of the wastewater using sodium hypochlorite as the disinfection agent, and dechlorination of the wastewater using sodium bisulfite, since disinfection/dechlorination in this manner can be implemented most readily in the shortterm. Further, it is prudent to modify the bacterial limits contained in Order No. 98-5 to ensure that water-contact recreational activities in both offshore and nearshore ocean waters are not threatened by this discharge. This proposed amendment requires the implementation of chlorination (using sodium hypochlorite)/dechlorination (using sodium bisulfite) facilities, and revises Receiving Water Limitation D.1.a.1. to require that the bacterial objectives shall be maintained throughout the water column in the offshore zone, rather than in only the top ten feet..
4. OCSD has not objected to disinfection/dechlorination of the wastewater and, at least initially, will use, sodium hypochlorite (bleach) as the disinfection agent. Sodium bisulfite will be used to dechlorinate the wastewater. These interim facilities are expected to commence operations by August 12, 2002. OCSD is conducting an evaluation of longterm disinfection alternatives, which may result in recommendations for future revision of the chlorination/dechlorination requirements to implement an alternative disinfection strategy.
5. Wastewater disinfection with chlorine usually produces a chlorine residual. Chlorine and its reaction products are toxic to aquatic life. Since disinfection with chlorine was not contemplated at the time Order No. 98-5 was issued, the permit does not contain any limits on the amount of chlorine residual that may be in the effluent. In conjunction with the amendment of Order No. 98-5 to include requirements for disinfection using chlorine, Order No. 98-5 must be amended to add chlorine residual limits.
2 These standards include total and fecal coliform, as well as enterococcus, another type of bacterial indicator. The Ocean Plan and A.B. 411 standards for total and fecal coliform are very similar.
6. OCSD's stated operational goal with the disinfection process is to achieve both the Ocean Plan bacterial objectives (as reflected in Order No. 98-5) and the A.B. 411 bacterial standards at the boundary of the Zone of Initial Dilution (ZID) of the discharge. The ZID is approximately a 60-meter radius around the outfall. In light of this, while the proposed amendment would require that compliance with bacterial objectives be achieved throughout the nearshore and offshore zones, it may be appropriate in the future to consider extending the zone of compliance beyond the limit of offshore waters, perhaps to the ZID. To provide data needed to make this determination, this amendment would require the discharger to submit a proposal for an appropriate investigation. The discharger would be required to implement the investigation upon the Executive Officer's approval. It may be noted that this investigation would be expected to include analyses for enterococcus as well as total and fecal coliform so that conformance with A.B. 411 standards can also be evaluated 3 . These data will be considered in the upcoming renewal of Order No. 98-5, which is expected to be considered in 2003, and may result in a revision of the area in which compliance with bacterial objectives is to be achieved.
7. Order No. 98-5 also specified acute toxicity limits and test requirements based on the 1997 Ocean Plan. The acute toxicity requirements in the 1997 Ocean Plan were based on best available technology. Since the adoption of Order No. 98-5, the 1997 Ocean Plan has been revised. A new Ocean Plan became effective on December 3, 2001 (2001 Ocean Plan). The new Ocean Plan revised the procedures to develop acute toxicity limits in permits and changed the testing protocols for determining compliance with those limits. Acute toxicity effluent limits are now to be based on the acute toxicity water quality objective that is specified in the Ocean Plan. In addition, the Ocean Plan now requires the use of marine test species instead of freshwater species when measuring compliance. It is appropriate to revise the acute toxicity limits and testing protocols specified in Order No. 98-5 to be consistent with the 2001 Ocean Plan.
8. On July 17, 2002, the Orange County Sanitation District Board of Directors approved a resolution stating that it is the District's policy to treat all wastewater discharges into the ocean to secondary treatment standards. To implement this policy the resolution directs District's staff to proceed immediately with the planning, design, and implementation of treatment methods that will assure compliance with Federal Clean Water Act secondary treatment standards, and to expeditiously negotiate appropriate permit terms and conditions.
3
The proposed amendment does not require compliance with the A.B. 411 standards, but instead relies on the bacterial objectives in the Ocean Plan. The Ocean Plan may be revised in the future to include enterococcus objectives; in that case, further amendment of the Order would be necessary. There are also practical considerations that make it unreasonable to impose enterococcus limits at this time. Given holding time considerations, an alternative to the approved standard method would have to be utilized for the numerous samples collected offshore. The use of this alternative method is appropriate for research investigations but not for compliance purposes.
9. This amendment requires disinfection of the wastewater using sodium hypochlorite and sodium bisulfite. The use of these chemicals in the treatment process may result in low levels of these substances, or their byproducts, in the wastewater discharge. Discharges of these chemicals in conformance with the terms and conditions of Order No. 98-5, as amended by Order No. R8-2002-0055, may result in calculable but likely not measurable changes in the quality of the receiving waters. Discharges in conformance with Order No. 98-5, as amended by Order No. R8-2002-0055, would not result in adverse impacts to beneficial uses, including marine habitat. The discharge of these chemicals, and any resultant minor changes in water quality, would be of maximum benefit to the people of the State. Public use of ocean waters potentially affected by the OCSD's discharge is a significant part of the local and State economy. The application of these chemicals is being required as an immediate, short-term means of minimizing the threat to public health and water contact recreation beneficial uses of ocean waters posed by the discharge. It is the only option that OCSD can implement immediately. Therefore, the proposed amendment is consistent with state and federal antidegradation policies.
OCSD is currently undertaking a Capital Improvement Project Effluent Pathogen Reduction Alternative Plan Study that will review numerous chemical and non-chemical options for future pathogen reduction of the treated effluent. The study will include a detailed environmental impact analysis of all alternatives. Appropriate changes to the disinfection requirements will be considered based on the results of this study.
10. In accordance with Water Code Section 13389 of the California Water Code, the amendment of Order No. 98-5, NPDES No. CA0110604, is exempt from those provisions of the California Environmental Quality Act contained in Chapter 3 (commencing with Section 21100), Division 13 of the Public Resources Code.
11. On June 19, 2002, the Regional Board and the U.S. Environmental Protection Agency notified the discharger and other interested agencies and persons of their intent to amend/modify the waste discharge requirements and authorization to discharge under the National Pollutant Discharge Elimination System (NPDES) for the discharge and provided them with an opportunity to submit their written views and recommendations.
12. The Regional Board and the EPA, in a public hearing on July 19, 2002 will hear and consider all comments pertaining to the discharge.
IT IS HEREBY ORDERED that Order No. 98-5 shall be amended as follows:
1. Discharge Specification A.1.b. - Delete limitations for acute toxicity as follows (Language deleted is shown in double strike out type):
b. Major Wastewater Constituents and Properties Limitations
2. Discharge Specification A.1.d. - Add limitations for total residual chlorine and acute toxicity as follows (Language added is in bold type and highlighted):
d. Toxic Materials Limitations for the Protection of Marine Aquatic Life
3. Acute and Chronic Whole Effluent Toxicity Requirements B.1.a. - Revise as follows (Language added is in bold type and highlighted, language deleted is shown in double strike out type):
| Constituent | Units | 30-day Average | 7-day Average |
|---|---|---|---|
| Grease and oil | mg/l lbs/day54 | 25 61,500 | 40 98,400 |
| Suspended Solids | n/a | | |
| Settleable Solids | ml/l | 1.0 | 1.5 |
| Turbidity | NTU | 75 | 100 |
| pH | units | | |
| Acute Toxicity | TUa | 1.5 | 2.0 |
| Constituent | Units | 6-month Median | Daily Maximum | Instantaneous |
|---|---|---|---|---|
| | | | | Maximum |
| Total Residual Chlorine | mg/l | 0.36 | 1.45 | 10.86 |
| Acute Toxicity | TUa | n/a | 5.7 | n/a |
| Chronic Toxicity | TUc | n/a | 181 | n/a |
| Radioactivity | Not to exceed limitations specified in Title 17, Division 1, Chapter 5, Subchapter 4 , Group 3, Article 3, Section 32069 30253 of the CCR | | | |
5 Mass emission rates based on a projected end-of-permit annual average influent flow of 295 MGD.
a. Test Species and Methods
The discharger shall conduct monthly tests with the following vertebrate and invertebrate species for the first three tests. After this screening period, quarterly tests shall be conducted with the most sensitive species.
1) Vertebrate: Fathead Minnow, Pimephales promelas Silverside, Menidia beryllina.
2) Invertebrate: Water flea, Ceriodaphnia dubia Pacific Mysid, Holmesimysis costata.
Every year, the discharger shall re-screen during one quarterly test, at different times than the prior year(s) and continue to monitor with the most sensitive species.
For Holmesimysis costata Ceriodaphnia dubia, the presence of acute toxicity shall be estimated using a 96-hour static test, as specified in Short – Term Methods for Estimating the Chronic Toxicity of Effluents and Receiving Waters to West Coast Marine and Estuarine Organisms (EPA/600/R-95-136, August 1995) Methods for Estimating the Acute Toxicity of Effluents to Freshwater and Marine Organisms, (EPA/600/4-90/027F, 1993). For Menidia beryllina Pimephales promelas, the presence of acute toxicity shall be estimated using a 96-hour static test, as specified in Methods for Measuring the Acute Toxicity of Effluents to Aquatic Organisms (EPA/600/4-90/027F, 1993) (EPA-600/4-85-013, 1985).
4. Acute and Chronic Whole Effluent Toxicity Requirements B.1.b. - Revise as follows (Language added is in bold type and highlighted, language deleted is in double strike out type):
b. Definition of Acute Toxicity
Acute toxicity in effluents shall be measured using a multi-concentration test, consisting of a control and a minimum of five effluent concentrations. The tests are designed to provide dose-response information, expressed as the percent effluent concentration that is lethal to 50 percent of the test organisms (LC50) within the prescribed period of time (24-96 hours). Test results shall be reported in TUa, where TUa = 100/LC5O. For this discharge, acute toxicity is defined by an exceedance of an acute toxicity effluent limitation specified in Discharge Specification A.1.d b.
5. Receiving Water Limitations D.1.a.1) - Revise as follows (Language added is in bold type and highlighted, language deleted is in double strike out type):
1) Water-Contact Standards
Within the Nearshore and Zone, and within the Offshore Zones to a depth of 10 feet, but including all kelp beds, the following bacterial objectives shall be maintained throughout the water column:
6. Required Notices and Reports - Add new paragraph number 10. as follows:
10. Within 30-days of the effective date of this Order, the discharger shall file with the Regional Board a written proposal to conduct an investigation of the effects of the discharge on the bacterial quality of the ocean waters between the zone of initial dilution (ZID) boundary and offshore waters. This investigation shall be designed to collect data needed to evaluate whether and where compliance with the bacterial limitations in this Order and the bacterial standards established by the DHS pursuant to A.B. 411 can be consistently achieved. The proposal shall include time schedules for conducting the investigations.
7. Provisions - Revise paragraph H.5 as follows (Language added is in bold type and highlighted):
5. The discharger shall comply with M&RP No. 98-5. Revision by the Executive Officer of required total residual chlorine monitoring and reporting may be necessary to confirm that the discharger is in compliance with the requirements and provisions contained in this Order. Revisions may be made by the Executive Officer at any time during the term of this Order, and may include a reduction or an increase in the frequency of monitoring. Reduction in the frequency of monitoring for total residual chlorine shall be considered only under the following circumstances:
a. Reduction of daily monitoring to once weekly monitoring can be considered for approval by the Executive Officer when the effluent monitoring data for the last 2 months show compliance with effluent limitations.
b. Reduction of weekly monitoring to monthly monitoring can be considered for approval by the Executive Officer when the effluent monitoring data for the last 4 months show compliance with effluent limitations.
c. Reduction of monthly monitoring to quarterly monitoring can be considered for approval by the Executive Officer when the effluent monitoring data for the last 6 months show compliance with effluent limitations.
d. Should any of the daily, weekly, monthly, or quarterly monitoring show effluent concentrations above the effluent limit, the frequency of monitoring for total chlorine residual shall be increased to daily or weekly as directed by the Executive Officer.
8. Provision - Add new paragraph number 22. as follows:
22. The discharger shall install and implement chlorination (using sodium hypochlorite) and dechlorination (using sodium bisulfite) facilities for the disinfection of the wastewater. By March 1, 2003, the discharger shall submit a report that describes the results of the discharger's investigation of alternative disinfection methods and the plan and schedule for pilot testing of selected alternatives. The discharger shall implement this plan upon approval by the Regional Board's Executive Officer. This Order shall be reopened to reconsider the disinfection requirements upon completion of this investigation.
9. Provision - Add new paragraph number 23. as follows:
23. Upon approval of the investigation program required in Required Notices and Reports G.10. above, the discharger shall implement the program.
10. Provision - Add new paragraph number 24. as follows:
24. As Noted in Finding No. 8, the District's Board of Directors has adopted a resolution to upgrade all wastewater discharges into the ocean to secondary treatment standards. The Board adopts this Amendment, in part, in recognition of that determination.
In the event that the District determines at any time following adoption of this Amendment to treat its ocean discharges at a level less stringent than secondary standards, this Order shall be reopened and the issue of disinfection shall be reconsidered in its entirety.
11. Monitoring and Reporting Program No. 98-5, Influent and Effluent Monitoring - Revise paragraph B.2. and Table (table partially shown with the new changes) as follows (Language added is in bold type and highlighted, language deleted is in double strike out type):
2. The following constituents shall be monitored in the influent and effluent, except for settleable solids, turbidity, pH, total residual chlorine, acute toxicity, chronic toxicity, radioactivity, and TCDD equivalents which shall be monitored only in the effluent.
| settleable solids | ml/l | grab | daily | |
|---|---|---|---|---|
| Total Residual Chlorine | mg/l | Grab | | Taken every |
| | | | | three hours |
| 1,2-diphenylhydrazine | ug/l | 24 hr. composite | monthly |
|---|---|---|---|
| Halomethane8 | ug/l | grab | Weekly for the first month and monthly thereafter quarterly |
12. Monitoring and Reporting Program No. 98-5, Receiving Water Monitoring requirement D.1.b. - Revise the paragraph immediately following the subject title "Offshore Water Quality Monitoring" and add new paragraph as follows (Language added is in bold type and highlighted, language deleted is in double strike out type):
Offshore water quality monitoring data are used to determine compliance with receiving water limitations, State water quality standards, and to assist in the interpretation of biological data. The Ocean Plan establishes quantitative water quality objectives for dissolved oxygen, light transmittance, and pH, as well as qualitative objectives for floating particulates, grease and oil, and discoloration of the ocean surface. The Regional Board has determined that the surface waters of the Offshore Zone, to a depth of 10 ft, are used for water contact recreation., and that The Ocean Plan bacterial standards apply to in these waters. However, the Regional Board and EPA have determined that it is appropriate to apply bacterial standards throughout the water column in the offshore zone to assure that the discharge does not pose a threat to water contact recreational uses.
13. Monitoring and Reporting Program No. 98-5, Receiving Water Monitoring requirement D.1.b. - Revise the paragraph between Table RWM-1- and Table RWM-2 as follows (Language added is in bold type and highlighted, language deleted is in double strike out type):
At each station, a secchi disk shall be used to assess transparency, and visual observations of surface waters shall be noted. Temperature, salinity, pH, dissolved oxygen (DO), light transmittance, photosynthetic active radiation (PAR), and chlorophyll-a shall be measured at 1 m intervals throughout the entire water column to 2 m above the bottom at each station using a CTD with attached meters (for pH, DO, light transmittance, PAR, chlorophyll-a). All station depths shall be surveyed for actual bottom depth. At stations greater than 75 m, profiles shall be sampled to a maximum depth of 75 m. Grab samples for ammonia-nitrogen, total coliform organisms, and Escherichia coli shall be collected at discrete depths from 1 m below surface, 5 m, 10 m, 15 m, etc., to 2 m above the bottom or to a maximum depth of 60 m. For the purposes of determining compliance with Receiving Water Limitation D.1.a.1.b, five samples for total coliform organisms, and
Order No. R8-2002-0055. NPDESNo. CAOl10604
Reclamation Plant
Orange County Sanitation District's
No.1andTreatment PlantNo.2
Escherichia coli shall be collected (it 1 8l 81i!18'iV tMIi! 8ttfmli!Ii! at six stations (g, 4; 4, q; Q, 4; q, 4; 4, 2; 8tul C2~ (2403,2303,2203,2103,2104 and C2) at discrete depths listed in Table RWM-l to a maximum depth of 60 m. For the purpose of developing information, five samples for enterococci shall be collected at six stations (2403, 2303, 2203, 2103, 2104, and C2) at discrete depths listed in Table RWM-l to a maximum depth of 60m.
14. AU other conditions and requirements of Order No. 98-5 shall remain unchanged.
15. This Order shall take effect on August 12,2002.
I, Gerard J. Thibeault, Executive Officer, do hereby certify that the foregoing is a full, true, and correct copy of Order No. R8-2002-0055 adopted by the California Regional Water Quality Control Board, Santa Ana Region, on July 19, 2002.
JThIbeault
Exec ~ e Officer California Regional Water Quality Control Board Santa Ana Region
I, Alexis Strauss, Director, do hereby certify that the foregoing is a full, true, and correct copy of modifications to NPDES Permit No. CAOI10604 adopted by the U. S. Environmental Protection Agency Region IX, on July 19,2002.
~~
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2n/J-
Alexis Strauss, Director Water Division U. S. Environmental Protection Agency Region IX
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VIA E-MAIL
July 31, 2020
Dr. Mitchell Levine Chairperson Patented Medicine Prices Review Board Box L40, 333 Laurier Avenue West, Suite 1400 Ottawa, ON K1P 1C1
Subject: Novartis Pharmaceuticals Canada Inc. Response to the PMPRB Revised Draft Guidelines
Dear Dr. Levine:
On behalf of Novartis Pharmaceuticals Canada Inc. ("Novartis"), an affiliate of Novartis AG, I would like to share with you our comments and concerns as part of the Federal Government's public consultation regarding the Patented Medicine Prices Review Board ("PMPRB") Draft Guidelines (second version) issued on June 19, 2020 ("Draft Guidelines").
Novartis AG is a leading international healthcare company focused on providing solutions to address the evolving needs of patients and societies. Novartis AG is a leader in meeting patient needs and offers a diversified portfolio through its two businesses: Innovative Medicines ("Novartis Pharmaceuticals") and costsaving generic medicines ("Sandoz"). Currently, the Canadian Novartis group of companies who operate as independent entities employs approximately 1,600 Canadians from coast to coast, of which more than 863 people are employed by Novartis with the remaining employed by Sandoz. We are one of the largest pharmaceutical companies in Canada, both in terms of existing medicines and future product portfolio and are at the forefront of bringing innovative medicines to Canadians. In 2019, we launched the first CAR-T therapy in Canada. In 2020, we plan on delivering to Canadians the first gene therapies for the treatment of both spinal muscular atrophy and vision loss due to inherited retinal dystrophy caused by confirmed biallelic RPE65 mutations.
Novartis remains deeply concerned that crucial stakeholder feedback, which was previously communicated, has yet to be addressed or factored in the most recent Draft Guidelines. As we and many other stakeholders have stated on several occasions, the pricing reforms will have unintended consequences and detrimental impacts on the predictability of the Canadian pharmaceutical market, innovation, and ultimately, patient access to medicines.
Novartis, as a member of both Innovative Medicines Canada ("IMC") and BIOTECanada, continues to be in full agreement with, and fully supports, the two responses submitted by our industry associations. We believe a better path forward can be achieved to address both affordability and accessibility of medicines.
Novartis Pharmaceuticals Canada Inc. President's Office 385 Bouchard Blvd. Dorval, Quebec H9S 1A9
Telephone +1 514 631-6775
From a Novartis perspective, we believe that, the lack of 1), clarity and predictability, 2) fairness, 3) confidentiality and 4) practicability associated with the Draft Guidelines will jeopardize the ability of patentees, such as Novartis, to launch new medicines in Canada. As an innovator of new medicines we believe that any approach to address affordability, as is being done in other countries, should remain under the responsibility of the payers in order not to impede new product launches and stifle future innovation. We continue to seek an open dialogue with the PMPRB and the Federal government towards better reforms that meet the needs of all stakeholders. Fundamentally, we believe that sound principles should be adhered to with these reforms and at a minimum, the following areas require further attention and modifications through the PMPRB consultation process:
1. The Guidelines need to be clear and predictable
The revised Draft Guidelines are unclear and provide no predictability to patentees. For example, the backbone of the proposed Maximum Rebated Price ("MRP") formula would be based on 1) the use of a pharmacoeconomic ("PE") value which would be determined by a Health Technology Assessment ("HTA") body or 2) the use of the median domestic therapeutic class comparator ("dTCC") value which would be determined by the PMPRB Staff. Unfortunately, these values will be provided to the patentees a few months after the product is launched in some cases, or several months or years after the product is launched in most cases. This lack of clarity and predictability during the planning phase, more specifically when Global Launch Sequence decisions are made (Go / No-go decisions), could bring patentees to take unwanted and undesired decisions of either delaying or not introducing medicines in Canada due to the uncertainty. The introduction of these new elements in the Guidelines, which rely on a highly arbitrary and subjective process, will create unnecessary uncertainties. Because of the lack of clarity and predictability and untenable business impacts, the MRP component is a threat to future product launches in Canada and should be removed.
2. The Guidelines need to be fair
PE analyses, which often rely on numerous assumptions, are only one of many important factors and elements used in the pharmaceutical decision-making process that rightly includes other important elements. In fact, PE analyses only provide a rough assessment of the range of cost and value trade-offs of a medicine for the purposes of payer decision-making and to help inform price negotiations with payers. Additionally, given their inherent limitations and lack of connection to patient and societal preference, to our knowledge, PE analyses are never used to regulate price ceilings in any country. PE analyses do not provide one single value, they provide a range of possible outcomes. As such, we will continue to question the fairness of relying on one PE value in the context of pricing regulations. Can the PMPRB guarantee that the single value selected by the HTA body is the right value when estimates differ widely?
Furthermore, while the proposed market size adjustment to the MRP (i.e. MRP[a]) is positioned by the PMPRB as a way to address affordability, the proposed formula only relies on the gross revenues of the medicine. This proposed market size adjustment is applied irrespectively of the savings the medicine might be bringing to Canadians as it does not include the very important fundamental concept of "incremental" cost or value. While budget impact analyses are also part of the decision-making process of payers, these analyses rely on the "incremental cost" assessments, which could be associated with actual savings from the new medicines. The PMPRB appears to have opted for the easy and simple, yet unfair option, of regulating price on the basis of gross revenues of a medicine (i.e. profitability) without taking into account important factors such as real savings. Therefore, we will continue to question the fairness of this approach, especially in the context of pricing regulations. Because of the lack of fairness, the MRP component is again a threat to future product launches in Canada and should be removed.
3. The Guidelines need to protect the Confidentiality of Business Information
The protection of intellectual property and confidential business information is a fundamental element for all patentees who research, develop and commercialize new medicines. For example, the introduction of the different MRP ceilings undermine confidential business information and is inconsistent with the recent Federal Court decision 1 because it significantly overvalues PE value and/or market size and all but ignores the other section 85 factors under the Patent Act. Because of the lack of confidentiality, the MRP component is a threat to future product launches in Canada and should be removed.
4. The Guidelines need to be practical
The PMPRB, as a national price ceiling regulator, is an independent quasi-judicial body mandated to ensure that prices charged by patentees for patented medicines sold in Canada are not excessive. The "raison d'être" of the Guidelines should be to provide guidance to patentees on how to be compliant. Unfortunately, there are still several unrealistic expectations in the Draft Guidelines. In fact, the Draft Guidelines remain excessively complex, unclear and are not in a sufficiently advanced state of development to be effectively implemented by January 1, 2021, the effective date of the regulations.
An example, which also supports the ongoing theme that the MRP component should be removed from the Guidelines, is the unrealistic expectation that the patentees are to be compliant with the new MRP within only two reporting periods of the MRP being known. This suggests that the PMPRB does not appreciate nor recognize the uniqueness and complexity of the Canadian health care system. In order to be compliant with the new MRP, the patentee would have to make numerous and sometimes complex changes to ensure the annual national average transaction price ("NATP") remains below the MRP. Because of the lack of practicability, the MRP component is again a threat to future product launches in Canada and should be removed.
Simple Case Study – For illustration only
Medicine XYZ is a new preventive treatment required annually and it is expected that all Canadians would be treated. For the purposes of this case study, let's assume this new medicine is a treatment for COVID19 2 . A medicine all Canadians, and the world are waiting for. The List Price of the medicine ($10), which is also the annual cost per patient, is at the Median of the PMPRB11. Given that all Canadians would require this annual treatment, the expected annual revenues for this medicine would be approximately $376M. A cost that our society certainly can afford, and one that would provide tremendous value to society at large. As a reminder, the Federal Government estimated the overall cost associated with COVID-19 to be around $929.7B 3 .
This new medicine would be classified as Category 1 as it would trigger the $50M annual revenues threshold for market size. As a result, the patentee would be assigned a MRP. At annual gross revenues of $376M, the potential MRP[a] would range between $7.15 (corresponding to a rebate of 28.5%) and $4.33 (corresponding to a rebate of 56.7%). See Figure 1 for the potential scenarios based on the Therapeutic Criteria Level.
1 Innovative Medicines Canada v Canada (Attorney General), 2020 FC 725 (Federal Court Decision, The Hon. Justice Mason, Docket T-1465-19 June 29, 2020)
2 For illustrative Purpose only. Medicine XYZ would probably be exempted from investigations as per section 90 of the Draft Guidelines unless a complaint is received. In which case, it is unclear what the outcome would be.
3 https://www.cbc.ca/news/politics/covid-19-economic-programs-1.5543092 - visited on July 28th 2020.
Figure 1. List Price and potential MRP[a] ceilings for annual revenues of $376M
Lack of Clarity and Predictability: There are several potential outcomes for the MRP[a] that will not be known to the patentee until the $50M is triggered; hence the potential ceilings ranging from $7.15 to $4.33
Lack of Fairness: What are the direct and indirect costs associated with COVID since March? Is the $10 annual treatment cost or the annual expenditures of $370M excessive from a Canadian perspective? Interesting when the medicine is placed in context of "incremental cost".
Lack of Confidentiality: The MRP[a] ceilings can be determined as presented above. At best the MRP[a] ceiling would be $7.15 for Level 2, 3 and 4 but as low as $4.33 (Floor for Level 4). If Level 1, the MRP[a] ceiling would be $6.02.
* MRP[a] could be $7.15 if the median dTCC > MLP (Level 2 - 4)
Questions for Canadians: Is the patentee abusing its monopoly power in this example? At List Price of $10, is the medicine excessively priced? Can Canadians afford this medicine which corresponds to 0.04% of the overall cost of COVID-19 estimated by the Federal Government?
Summary and Final Recommendations
While Novartis recognizes that the sustainability of the healthcare system is an important and real concern for all Canadians, Novartis believes that the discussions around "Willingness-to-pay" and "Ability-to-pay" for medicines, especially in the context of ensuring healthcare sustainability for current and future generations, goes beyond the mandate of the PMPRB. The PMPRB, as a price regulator, and more importantly as a non-payer, is not in a position to arbitrarily assess and determine the "Willingness-to-pay" and "Ability-topay" for the multiple Canadian payers. The focus and the responsibility of the PMPRB should remain with ensuring that the Maximum List Price (MLP) of new medicines in Canada is not excessive.
Discussions regarding potential alternatives to address the sustainability of the healthcare system, including any changes to our unique and complex Canadian healthcare system, should not be done in silo, and most importantly should be led by the Federal, Provincial and Territorial Governments – not the PMPRB.
In conclusion, we trust that the PMPRB will make all the appropriate changes to the Guidelines to help with its defined mandate which is to ensure that drug prices are not excessive. Novartis requests that in light of the recent Federal Court Judicial Review decision as well as the many stakeholder comments, the concept of the MRP will be removed. Furthermore, we ask that the PMPRB and Federal Government engage with the pharmaceutical industry to embark on an alternative path towards a more fair approach for all parties in addressing drug affordability.
Again, on behalf of Novartis, I thank you for the opportunity to participate in this consultation and welcome an opportunity to discuss with you these reforms in greater detail.
Sincerely yours,
Christian Macher Country President and Oncology General Manager Canada Novartis Pharmaceuticals Canada Inc.
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Town of Sudbury
Zoning Board of Appeals
email@example.com
MINUTES
NOVEMBER 9, 2020 AT 7:00 PM
VIRTUAL MEETING
Members Present: Chair John Riordan, Clerk William Ray, Jonathan Gossels, Frank Riepe, Nancy Rubenstein, Associate David Booth, and Associate Jennifer Pincus
Members Absent: None
Others Present: Director of Planning and Community Development Adam Duchesneau and Planning and Zoning Coordinator Beth Perry
Mr. Riordan opened the meeting at 7:03 PM by noting the presence of a quorum. Mr. Riordan asked Mr. Ray to read the legal notice as published in the newspaper into the record, which noted the following Zoning Board of Appeals applications and opened all of the public hearings listed below.
Mr. Riordan noted the requirements for Special Permits and Variances as discussed in the Zoning Bylaw.
Continued Public Hearing, Case 20-27 – Vali Grigoras, Applicant and Owner, seeks a Special Permit under the provisions of MGL Chapter 40A, Section 9, and Sections 2440, 2445, and 6200 of the Town of Sudbury Zoning Bylaw to construct a two-car garage addition to a single-family dwelling at 35 Lynne Road, Assessor's Map M10-0503, Single Residence A-1 Zoning District
Applicant and owner Vali Grigoras was in attendance to discuss the application with the Zoning Board of Appeals. He explained his updated plans per the comments and suggestions made at the last Zoning Board of Appeals meeting.
Mr. Riepe and Mr. Booth indicated they were both pleased with the modifications which had been made at the direction of the Zoning Board of Appeals, and they felt the proposal was much improved.
The Board found the use was in harmony with the general purpose and intent of the Zoning Bylaw.
The use is in an appropriate location, is not detrimental to the neighborhood, and does not significantly alter the character of the zoning district.
The Board also found adequate and appropriate facilities would be provided for the proper operation of the proposed use.
The proposed use would not be detrimental or offensive to the adjoining zoning districts or neighboring properties due to the effects of lighting, odors, smoke, noise, sewage, refuse materials, or other visual nuisance.
The Board found the proposed use would not cause undue traffic congestion in the immediate area.
Flynn Building 278 Old Sudbury Road Sudbury, MA 01776 978-639-3387
www.sudbury.ma.us/boardofappeals
Mr. Gossels made a motion to approve the Special Permit application for 35 Lynne Road with the plans date stamped November 2, 2020. Mr. Ray seconded the motion. Roll Call Vote: Mr. Riordan – Aye, Mr. Ray – Aye, Mr. Gossels – Aye, Mr. Riepe – Aye, and Mrs. Rubenstein - Aye.
Public Hearing, Case 20-28 – Paul Noonan, Applicant and Owner, seeks a Special Permit under the provisions of MGL Chapter 40A, Section 9, and Sections 2460B and 6200 of the Town of Sudbury Zoning Bylaw to demolish two dwelling units and construct one, new, approximately 1,600 square foot, single-family dwelling on the non-conforming lot at 200 Horse Pond Road, Assessor's Map J07-0001, Single Residence A-1 and Water Resource Protection Overlay Zone III Zoning Districts
Applicant and owner Paul Noonan, and contractor Mike Palmer were in attendance to discuss the application with the Zoning Board of Appeals. Mr. Noonan noted the current property was a nonconforming lot with two dwelling units. The proposal called for those units to be replaced with a single dwelling unit structure to be used to store a camper and vehicles.
Ms. Rubenstein asked about the septic system and how many bedrooms it would be accommodating.
Mr. Gossels asked if there were plans to build out the third floor of the proposed structure. Mr. Noonan indicated that would not be the case. Mr. Palmer explained the proposed plans to confirm the situation.
The Board found the use was in harmony with the general purpose and intent of the Zoning Bylaw.
The use is in an appropriate location, is not detrimental to the neighborhood, and does not significantly alter the character of the zoning district.
The Board also found adequate and appropriate facilities would be provided for the proper operation of the proposed use.
The proposed use would not be detrimental or offensive to the adjoining zoning districts or neighboring properties due to the effects of lighting, odors, smoke, noise, sewage, refuse materials, or other visual nuisance.
The Board found the proposed use would not cause undue traffic congestion in the immediate area.
Mr. Ray made a motion to approve the Special Permit application for 200 Horse Pond Road as submitted. Mr. Gossels seconded the motion. Roll Call Vote: Mr. Riordan – Aye, Mr. Ray – Aye, Mr. Gossels – Aye, Mr. Riepe – Aye, and Ms. Rubenstein – Aye.
Public Hearing, Case 20-29 – Lilla Martel of Pulse Laser Electrolysis & Skin Care, Applicant, and 418 Boston Post Road LLC, Owner, seek a Special Permit under the provisions of MGL Chapter 40A, Section 9, and Sections 3261.b., 3290, and 6200 of the Town of Sudbury Zoning Bylaw to replace/modify existing facade signage at 418 Boston Post Road, Assessor's Map K08-0079-0-B, Business-5 and Water Resource Protection Overlay Zone II Zoning Districts
Applicant Lilla Martell and Jeff Newman from Signarama were in attendance to discuss the application with the Zoning Board of Appeals. Mr. Newman described the plans for the proposed new sign. He indicated the proposal would remove the existing letters, refurbish the panel, and apply new lettering.
It was noted the Design Review Board had made some suggestions regarding changes to the font and those modifications were reflected in the sign currently being proposed.
The Zoning Board of Appeals discussed its belief that Applicants generally should not be required to return to the Board for changes to sign faces so long as the sign remained the same with respect to size, lighting, material, etc., and the changes would only be regarding lettering, font, coloring, and symbols/logos.
The Board found the use was in harmony with the general purpose and intent of the Zoning Bylaw.
The use is in an appropriate location, is not detrimental to the neighborhood, and does not significantly alter the character of the zoning district.
The Board also found adequate and appropriate facilities would be provided for the proper operation of the proposed use.
The proposed use would not be detrimental or offensive to the adjoining zoning districts or neighboring properties due to the effects of lighting, odors, smoke, noise, sewage, refuse materials, or other visual nuisance.
The Board found the proposed use would not cause undue traffic congestion in the immediate area.
Mr. Gossels made a motion to approve the Special Permit application for 418 Boston Post Road with the following additional conditions:
- The Special Permit is limited to the Applicant and is non-transferable.
- The Applicant is not required to return to the Zoning Board of Appeals for changes to the sign face area such as lettering, font, coloring, and symbols/logos, so long as the size of the sign remains the same.
- Lighting for the signage shall be compliant with the Zoning Bylaw.
Mr. Riepe seconded the motion. Roll Call Vote: Mr. Riordan – Aye, Mr. Ray – Aye, Mr. Gossels – Aye, Mr. Riepe – Aye, and Ms. Rubenstein – Aye.
Public Hearing, Case 20-30 – Joy Aldrich, Applicant and Owner, seeks the renewal of Special Permit 19-27 under the provisions of MGL Chapter 40A, Section 9, and Sections 2313 and 6200 of the Town of Sudbury Zoning Bylaw to raise up to six (6) hens at 700 Boston Post Road, Assessor's Map K05-0018, Single Residence A-1 and Water Resource Protection Overlay Zone II and III Zoning Districts
Applicant and owner Joy Aldrich was in attendance to seek the renewal of Special Permit 19-27 with the Zoning Board of Appeals. Ms. Aldrich stated she had not had any issues over the past year and would be interested in increasing the number of hens she could keep on the property up to eight (8).
The Board found the use was in harmony with the general purpose and intent of the Zoning Bylaw.
The use is in an appropriate location, is not detrimental to the neighborhood, and does not significantly alter the character of the zoning district.
Zoning Board of Appeals
Minutes
The Board also found adequate and appropriate facilities would be provided for the proper operation of the proposed use.
The proposed use would not be detrimental or offensive to the adjoining zoning districts or neighboring properties due to the effects of lighting, odors, smoke, noise, sewage, refuse materials, or other visual nuisance.
The Board found the proposed use would not cause undue traffic congestion in the immediate area.
Mr. Ray made a motion to approve the renewal of the Special Permit application for 700 Boston Post Road to raise up to (8) eight chickens for (5) five years. Mr. Riepe seconded the motion. Roll Call Vote: Mr. Riordan – Aye, Mr. Ray – Aye, Mr. Gossels – Aye, Mr. Riepe – Aye, and Ms. Rubenstein – Aye.
Public Hearing, Case 20-31 – Quarry North Road LLC, Applicant, and the Sudbury Water District, the Town of Sudbury, and Quarry North Road LLC, Owners, seek a Variance under the provisions of MGL Chapter 40A, Section 10, and Sections 4700A, 4780A, 4781A, and 6130 of the Town of Sudbury Zoning Bylaw from minimum frontage, lot area, and setback requirements at 16 and 36 North Road (Assessor's Maps C12-0003, C12-0004, and C12-0100), Research-1, North Road Residential Overlay District, Melone Smart Growth Overlay District, and Water Resource Protection Overlay District Zone II Zoning Districts
Applicant Chris Kennedy and attorney Bill Henchy were in attendance to discuss the application with the Zoning Board of Appeals. Mr. Henchy explained the Variances requested were regarding the minimum lot size for Lot 1A, the minimum lot size and frontage for Lot 1B, and the rear yard setback requirement to the wireless communications tower on Lot 3. He requested two separate votes be taken and decisions issued by the Zoning Board of Appeals. One regarding the Variance relief necessary for Lots 1A and 1B, and the other regarding Lot 3.
Mr. Henchy explained the need for a Variance as it related to the wastewater treatment plant for the proposed Cold Brook Crossing residential project. He indicated there were a few existing structures on the abutting Sudbury Water District property and one of those structures was an existing wireless communications tower. Mr. Henchy indicated the new property boundary for the piece of land that would be carved off and retained by the Sudbury Water District would create a new setback conformity with regard to the wireless communications tower if a Variance could not be obtained.
Additionally, Mr. Henchy stated the location of the lot line between the proposed Cold Brook Crossing residential development and the Sudbury Water District's land was driven by the location of the Zone I to the Sudbury Water District Number 5 well. That Zone I boundary is located in a circle around the Number 5 well that is 400 feet in diameter. Within that boundary, the Water District must maintain legal control and ownership of the land. Mr. Henchy noted this legal requirement in turn determined the location of the proposed property line. Additionally, the proposed residential development would also be located directly adjacent to the municipal boundary between Sudbury and Concord. This municipal boundary, along with the topography, soils, groundwater table, and direction of groundwater flow essentially determined that the location of the proposed wastewater treatment facility, and its leaching facility, was required by site topography and shape limitations of the parcel(s). No other location for the wastewater treatment facility would work.
The Board found there were special conditions relating to the soil conditions, shape, or topography of the land or structures thereon, and especially affecting the land or structures, but not affecting generally the zoning district in which the land was located.
The Board found there would be a substantial hardship to the owner, financial or otherwise, if the provisions of the Zoning Bylaw were to be literally enforced.
The Board found there would not be substantial detriment to the public good if the Variance was granted.
The Board found the granting of the Variance would not nullify or substantially derogate from the intent of purpose of the Zoning Bylaw.
Mr. Gossels made a motion to approve the Variance application from the minimum lot size for Lot 1A, and from the minimum lot size and frontage for Lot 1B, as outlined in the 16 & 36 North Road Variance application materials. Mr. Riepe seconded the motion. Roll Call Vote: Mr. Riordan – Aye, Mr. Ray – Aye, Mr. Gossels – Aye, Mr. Riepe – Aye, and Ms. Rubenstein – Aye.
Mr. Gossels made a motion to approve the Variance application from the rear yard setback requirement to the wireless communications tower on Lot 3, as outlined in the 16 & 36 North Road Variance application materials. Mr. Ray seconded the motion. Roll Call Vote: Mr. Riordan – Aye, Mr. Ray – Aye, Mr. Gossels – Aye, Mr. Riepe – Aye, and Ms. Rubenstein – Aye.
Discussion regarding Proposed Zoning Bylaw Amendment regarding Storage Trailers/Containers
Mr. Riepe indicated he and Mr. Duchesneau had worked together to produce the latest draft of the proposed Zoning Bylaw amendments regarding storage trailers/containers. There was some discussion about the draft proposed amendments.
Due to the Zoning Board of Appeals having a limited number of meetings before the end of the year and the schedule necessary in order to move these proposed Zoning Bylaw amendments forward to the May 2021 Annual Town Meeting, Mr. Riordan asked the members to get back to Mr. Duchesneau with their final comments in the next 48 hours. Mr. Duchesneau indicated he would then compile these comments, formulate a final version of the comments on the proposed Zoning Bylaw amendments, and send those on to the Planning Board for their review and consideration as possible items for the May 2021 Annual Town Meeting.
Approve Meeting Minutes for September 14, 2020 and October 5, 2020
Mr. Riordan made a motion to approve the minutes from September 14, 2020. Mr. Ray seconded the motion. Roll Call Vote: Mr. Riordan – Aye, Mr. Ray – Aye, Mr. Gossels – Aye, Mr. Riepe – Aye, and Ms. Rubenstein – Aye.
Mr. Riordan made a motion to approve the minutes from October 5, 2020. Mr. Gossels seconded the motion. Roll Call Vote: Mr. Riordan – Aye, Mr. Ray – Aye, Mr. Gossels – Aye, Mr. Riepe – Aye, and Ms. Rubenstein – Aye.
2021 Meeting Schedule
Mr. Gossels made a motion to approve the 2021 Meeting Schedule with the following changes: Meetings will start at 7:00 PM and a notation be added to reflect virtual meetings. Mr. Ray seconded the motion. Roll Call Vote: Mr. Riordan – Aye, Mr. Ray – Aye, Mr. Gossels – Aye, Mr. Riepe – Aye, and Ms. Rubenstein – Aye.
Administrative Report
Mr. Duchesneau indicated virtual meetings would likely continue to be held at least into January 2021.
Mr. Gossels made a motion to adjourn the meeting. Mr. Ray seconded the motion. Roll Call Vote: Mr. Riordan – Aye, Mr. Ray – Aye, Mr. Gossels – Aye, Mr. Riepe – Aye, and Ms. Rubenstein – Aye. The meeting was adjourned at 10:09 PM.
|
TCEQ Interoffice Memorandum
To:
Alyssa Taylor, Regional Director, R4
Elizabeth Smith, Assistant Regional Director, R4
From:
Jessica Myers, Ph.D. Sainath Babu, Ph.D. Toxicology, Risk Assessment, and Research Division, Office of the Executive Director
Date:
March 29, 2021
Subject:
Toxicological Evaluation of 2017-2019 Ambient Air Network Monitoring Data in Region 4, Dallas/Fort Worth
Conclusions
* All 24-hour and three-year average concentrations of volatile organic compounds (VOCs) reported at Texas Commission on Environmental Quality (TCEQ) Region 4-Dallas/Fort Worth canister monitoring sites were below their respective short-term and long-term air monitoring comparison values (AMCVs), respectively, and would not be expected to cause acute or chronic adverse health effects, vegetation effects, or odor concerns.
* All hourly and three-year average concentrations of VOCs from 1-hour automated gas chromatograph (autoGC) monitoring sites were below their respective AMCVs and would not be expected to cause adverse health effects, vegetation effects, or odor concerns.
* All 8-hour, 24-hour, and three-year average concentrations of carbonyls were below their respective short-term and long-term AMCVs, respectively, and would not be expected to cause acute or chronic adverse health effects, vegetation effects, or odor concerns.
* Reported concentrations of hydrogen sulfide (H2S) were below the numerical value of the 30-minute state standard for residential areas.
* The 2018 chromium PM2.5 annual average concentration was 0.0060 ppbv at the Midlothian site, which is 1.4 times greater than the AMCV of 0.0043 ppbv. However, the three-year chromium PM2.5 average (0.0028 ppbv) is lower than the respective long-term AMCV, which is a more appropriate comparison as the long-term AMCV is a lifetime value.
* All 24-hour and three-year average concentrations of speciated metals were below their respective short-term and long-term AMCVs and would not be expected to cause chronic adverse health effects.
* Air quality in the Barnett Shale area continues to be monitored. Detailed information is available on the TCEQ's Barnett Shale webpage.
Background
The Toxicology, Risk Assessment, and Research Division (TD) has reviewed ambient air sampling data collected from 38 network monitoring sites in TCEQ Region 4, Dallas/Fort Worth. The TD reviewed air monitoring summary results for VOCs and carbonyls from 1-hour and 24hour samples collected continuously and every sixth-day, respectively. In addition, the TD evaluated the criteria pollutant lead from a health perspective in this memorandum. For complete lists of all chemicals evaluated, please see Lists 1 through 4 in Attachment A. Table 1 lists the
Taylor, et al. March 29, 2021 Page 2 of 11
monitoring sites and provides a link to more information about the sites. A brief summary of the monitoring sites is provided below:
* 1-hour autoGC VOC monitoring at 15 sites
* Carbonyl sampling at 2 sites
* Every sixth-day 24-hour canister VOC sampling at 13 sites
- Every sixth-day 24-hour carbonyl sampling at 1 site
- Three 8-hour every three-days carbonyl sampling at 1 site
* H2S sampling at 1 site
* Metals sampling at 7 sites
- Every sixth-day 24-hour lead total suspended particle (TSP) sampling at 5 sites
- Every third-day or sixth-day 24-hour metals PM2.5 sampling at 2 sites
Table 1. Monitoring Sites Located in TCEQ Region 4
| | Site Name and Location | | County | | EPA Site ID | | Monitored Compounds |
|---|---|---|---|---|---|---|---|
| Arlington UT Campus, 1101 S. Pecan St. | | Tarrant | | 48-439-1018 | | VOCs (autoGC) | |
| Dallas Elm Fork, 2171 Manana Drive | | Dallas | | 48-113-1505 | | VOCs (autoGC) | |
| Dallas Hinton,a 1415 Hinton Street | | Dallas | | 48-113-0069 | | VOCs (autoGC, 24-hour canister), Carbonyls, Metals (PM ) 2.5 | |
| Decatur Thompson, 301 E Thompson Street | | Wise | | 48-497-0088 | | VOCs (autoGC) | |
| Denton Airport South, Denton Municipal Airport | | Denton | | 48-121-0034 | | VOCs (24-hour canister) | |
| DISH Airfield, 9800 Clark Airport Road | | Denton | | 48-121-1013 | | VOCs (autoGC) | |
| Eagle Mountain Lake, 14290 Morris Dido Newark Road | | Tarrant | | 48-439-0075 | | VOCs (autoGC) | |
| Everman Johnson Park, 633 Everman Parkway | | Tarrant | | 48-439-1009 | | VOCs (autoGC) | |
| Flower Mound Shiloh, 4401 Shiloh Road | | Denton | | 48-121-1007 | | VOCs (autoGC) | |
| Fort Worth Benbrook Lake, 7001 Lakeside Drive | | Tarrant | | 48-439-1503 | | VOCs (autoGC) | |
| Fort Worth Joe B. Rushing Road, Road 2525 Joe B. Rushing Road | | Tarrant | | 48-439-1065 | | VOCs (autoGC) | |
| | Site Name and Location | | County | | EPA Site ID | Monitored Compounds |
|---|---|---|---|---|---|---|
| Fort Worth Northwest, 3317 Ross Avenue | | Tarrant | | 48-439-1002 | | |
| Frisco 5th Street, b 7471 South 5th Street | | Collin | | 48-085-0003 | | |
| Frisco 7, b 6931 Ash Street | | Collin | | 48-085-0007 | | |
| Frisco Eubanks, 6601 Eubanks Street | | Collin | | 48-085-0009 | | |
| Frisco Stonebrook, 7202 Stonebrook Parkway | | Collin | | 48-085-0029 | | |
| Gainesville Doss Street, 1112 Doss Street | | Cooke | | 48-097-1504 | | |
| Godley FM2331, 12404 FM2331 | | Johnson | | 48-251-1501 | | |
| Grapevine Fairway, 4100 Fairway Drive | | Tarrant | | 48-439-3009 | | |
| Greenville, 824 Sayle Street | | Hunt | | 48-231-1006 | | |
| Italy, 900 Farm to Market Road 667 | | Ellis | | 48-139-1044 | | |
| Johnson County Luisa, 2420 Luisa Lane | | Johnson | | 48-251-1008 | | |
| Keller, FAA Site off Alta Vista Road | | Tarrant | | 48-439-2003 | | |
| Kennedale Treepoint Drive, 5419 Treepoint Drive | | Tarrant | | 48-439-1062 | | |
| Lancaster Cedardale, 1930 Cedardale Road | | Dallas | | 48-113-1500 | | |
| Mansfield Flying L Lane, 1310 Flying L Lane | | Johnson | | 48-251-1063 | | |
| Midlothian OFW, 2725 Old Fort Worth Road | | Ellis | | 48-139-0016 | | |
| | Site Name and Location | | County | | EPA Site ID | Monitored Compounds |
|---|---|---|---|---|---|---|
| Mineral Wells 23rd Street, 2000 NE 23rd Street | | Palo Pinto | | 48-363-1502 | | |
| Rhome Seven Hills Road, 639 CR 4651 | | Wise | | 48-497-1064 | | |
| Terrell Temtex, c 2988 Temtex Boulevard | | Kaufman | | 48-257-0020 | | |
| Weatherford Highway 180, d 2253 Fort Worth Hwy | | Parker | | 48-367-1506 | | |
The Frisco 7 and Frisco 5
a Prior to June 1, 2019, the Dallas Hinton carbonyl sampler collected one 24-hour sample every six days from January through May and September through December. From June through August, this sampler switched to a more intensive sampling schedule where it collected eight 3hour samples every three days. Beginning June 1, 2019, the sampling schedule was updated, so the carbonyl sampler collects one 24-hour sample every six days from April through May and September through October. From June through August, this sampler switches to a more intensive sampling schedule where it collects three 8-hour samples every three days. No samples are collected from November through March. b th
c An additional collocated lead TSP sampler was added to the Terrell Temtex site on April 13, 2017.
Street monitors were decommissioned on December 31, 2018.
d The Weatherford Highway 180 monitor was deactivated on January 22, 2019 and reactivated on March 17, 2020.
The TCEQ Monitoring Division reported the data for all chemicals evaluated in this memorandum. All data (84 VOCs (canister), 48 VOCs (autoGC), 17 carbonyls, H2S, 16 metals (PM2.5 or TSP)) highlighted in this evaluation met TCEQ's three-year data completeness objective of 75 percent data return except for the following:
* Arlington UT Campus (autoGC: 1,2,3-trimethylbenzene, 1,2,4-trimethylbenzene, 1,3,5trimethylbenzene, n-decane, n-undecane)
* Decatur Thompson (autoGC: 1,2,3-trimethylbenzene)
* Dallas Hinton (autoGC: 1-pentene, 1,3-butadiene, 1,3,5-trimethylbenzene, 2-methylheptane, acetylene, cis-2-butene, isoprene, n-hexane, trans-2-pentene)
* DISH Airfield (autoGC: 1,2,3-trimethylbenzene)
* Eagle Mountain Lake (autoGC: 1,2,3-trimethylbenzene)
* Everman Johnson Park (autoGC: 1,2,3-trimethylbenzene, acetylene)
* Fort Worth Benbrook Lake (autoGC: 1,2,3-trimethylbenzene, 1,2,4-trimethylbenzene, 1,3,5trimethylbenzene, n-decane, n-undecane)
* Flower Mound Shiloh (autoGC: 1,2,3-trimethylbenzene)
* Fort Worth Joe B. Rushing Road (autoGC: 1,2,3-trimethylbenzene, acetylene)
* Fort Worth Northwest (autoGC: 1-pentene, 1,2,3-trimethylbenzene, 1,2,4-trimethylbenzene, 1,3-butadiene, 1,3,5-trimethylbenzene, 2-methylheptane, 2-methylhexane, 2,2,4-
trimethylpentane, 2,3-dimethylpentane, 2,3,4-trimethylpentane, 2,4-dimethylpentane, 3methylheptane, 3-methylhexane, acetylene, benzene, cis-2-butene, cis-2-pentene, cyclohexane, ethylbenzene, isoprene, isopropylbenzene, methylcyclohexane, methylcyclopentane, n-decane, n-heptane, n-hexane, n-nonane, n-octane, n-propylbenzene, oxylene, p-xylene + m-xylene, styrene, toluene)
* Kennedale Treepoint Dr (autoGC: 1,2,3-trimethylbenzene)
* Godley FM2331 (autoGC: 1,2,3-trimethylbenzene)
* Mansfield Flying L Lane (autoGC: 1,2,3-trimethylbenzene, 1,2,4-trimethylbenzene, 1,3,5trimethylbenzene, n-decane, n-undecane)
* Rhome Seven Hills Road (autoGC: 1,2,3-trimethylbenzene)
* Weatherford Highway 180 (canister: all VOCs)
One-hour autoGC VOC samples were compared to TCEQ's short-term AMCVs. Twenty-fourhour air samples collected every third- or sixth-day for one year are designed to provide representative long-term average concentrations. In order to be able to evaluate 24-hour monitoring data more fully, TCEQ has developed 24-hour AMCVs for specific chemicals. As such, 24-hour samples were compared to the available TCEQ 24-hour AMCVs (1,3-butadiene, 2,2-dimethylbutane, 2,3-dimethylbutane, 2-methylpentane, 3-methylpentane, benzene, ethylene dichloride, acrolein, chromium, cadmium, cobalt, crotonaldehyde, n-hexane, and formaldehyde). However, because short-term or peak concentrations are not necessarily captured by 24-hour samples, daily concentrations have limited use in evaluating the potential for acute health effects. Therefore, the TD evaluated the reported three-year average concentrations from 1-hour autoGC and 24-hour samples for each target analyte for potential chronic health and vegetation concerns by comparing measured chemical concentrations to their respective long-term AMCVs. More information about AMCVs is available on the Toxicology's AMCV webpage. H2S samples were compared to the 30-minute state standard for H2S.
As lead is a criteria pollutant, applicable lead TSP levels (i.e., rolling three-month averages) were compared to the appropriate comparison value (i.e., 0.15 µg/m 3 ); however, annual average lead TSP concentrations were also evaluated since they are more representative of long-term lead exposure from a health perspective.
Evaluation
VOCs
Short-Term Data
All hourly average concentrations of the 48 VOCs reported at the 15 autoGC sites were either not detected or below their respective short-term and 24-hour AMCVs. All 24-hour average concentrations of the 84 VOCs reported at each of the 13 every sixth-day 24-hour canister monitoring sites were either not detected or below their respective short-term and 24-hour AMCVs. Therefore, acute adverse health effects, odorous conditions, or vegetation effects would not be expected to occur as a result of exposure to the reported levels of VOCs at these 15 autoGC monitoring sites.
Taylor, et al. March 29, 2021 Page 6 of 11
Long-Term Data
The 2017-2019 three-year average concentrations of the 48 VOCs evaluated at the 15 autoGC monitoring sites and the 84 VOCs reported at each of the 13 every sixth-day 24-hour canister monitoring sites were well below their respective long-term AMCVs. Exposure to the reported three-year average concentrations would not be expected to cause chronic adverse health or vegetation effects.
H2S
All reported short-term H2S concentrations measured at the Midlothian OFW site were below the numerical value of the 30-minute state residential standard of 80 ppb.
Carbonyls
The 2017-2019 8-hour, 24-hour, and three-year average concentrations of the 17 carbonyls reported at the Fort Worth Northwest and Dallas-Hinton sites were below their respective shortterm and long-term AMCVs. Exposure to the reported three-year average concentrations would not be expected to cause acute or chronic adverse health or welfare effects.
Metals
The 2017-2019 24-hour and three-year average concentrations of the 16 metals at the Dallas Hinton and the Midlothian OFW monitoring sites were below their respective short-term and long-term AMCVs. Exposures to the reported levels of these metals would not be expected to cause acute or chronic adverse health or welfare effects.
The 2018 chromium PM2.5 annual average concentration was 0.0060 ppbv at the Midlothian site, which is 1.4 times greater than the AMCV of 0.0043 ppbv. However, the three-year chromium PM2.5 average (0.0028 ppbv) is lower than the respective long-term AMCV, which is a more appropriate comparison as the long-term AMCV is a lifetime value. Moreover, as previously mentioned, the long-term AMCV is based on a form of chromium (hexavalent) that generally represents only a small fraction of environmental chromium (e.g., ≈1%). Importantly, all annual averages are well below the more comparable long-term AMCV for other forms of chromium (0.14 µg/m 3 ) and that which more reasonably assumes 1% hexavalent chromium (0.11 µg/m 3 ), or even that which very conservatively assumes 10% hexavalent chromium (0.034 µg/m 3 ).
Lead
On November 12, 2008, the U.S. Environmental Protection Agency (EPA) finalized the 0.15 µg/m 3 NAAQS for lead based on a rolling three-month average concentration (73 Federal Register 66964). In general, the rule requires source-oriented ambient air lead monitoring at sites with actual annual lead emissions of one or more tons per year. Based on their reported emissions, two lead-acid battery recycling facilities, namely Exide Technologies, Inc. and ECS Refining Texas LLC (hereafter called Exide and ECS, respectively), were subject to these source-oriented lead monitoring requirements in TCEQ Region 4. The 2017-2019 rolling threemonth averages of lead TSP at the Eubanks monitor near Exide and at the Terrell Temtex site near ECS were below the 0.15 µg/m 3 lead NAAQS.
Taylor, et al. March 29, 2021 Page 7 of 11
Lead TSP Monitors around Exide
The Exide facility, a secondary lead smelter, was active from 1964 through November 2012. Three lead TSP monitors (Frisco 7, Frisco Eubanks, and Frisco 5 th St.) were established in mid1990 or earlier and an additional monitor (Frisco Stonebrook) was activated on January 7, 2011. Additional details about the Exide facility and surrounding area are available through the TCEQ websites for the remediation of the Exide site and the latest lead-related planning activities in the Dallas Fort Worth area. On November 30, 2012, Exide closed its doors, and clean up and demolition began in December of the same year. The Frisco 7 and Frisco 5 th Street monitors were decommissioned on December 31, 2018.
Reported Lead TSP Concentrations from Monitors around Exide
Annual average concentrations of lead TSP from Frisco 7, Frisco Eubanks, and Frisco 5 th St. monitors have been fairly consistent since 1995, with some variations (annual average lead TSP for 2002-2018 can be found in Figure 1). Higher concentrations have been reported from the Frisco Eubanks monitor and lower lead TSP concentrations were reported from all other monitors. While the NAAQS for lead was lowered ten-fold in 2008 from 1.5 to 0.15 µg/m 3 , the ambient lead TSP concentrations around Exide did not change significantly at that time. However, since the closure of the facility in November of 2012, lead levels at the Eubanks monitor have fallen below the 0.15 µg/m 3 NAAQS. Lead concentrations at the three additional ambient lead TSP monitors have also continued to decline since that time.
Lead Summary
Although historical lead TSP concentrations at the Eubanks monitor near Exide exceeded the 0.15 µg/m 3 NAAQS, current air monitoring data indicate that lead concentrations are well below the NAAQS at all monitor sites surrounding the former facility and that the concentrations at the Eubanks monitor are now well below the 0.15 µg/m 3 NAAQS. On June 29, 2017, the U.S. EPA proposed the redesignation of the Frisco, Collin County area, as attainment for the 2008 lead NAAQS. No comments were received on the proposed redesignation, and the EPA designed the area as in attainment following the 30-day public comment period.
Investigations of Air Quality and Barnett Shale Activities
In response to concerns about air emissions from oil and gas operations in the Barnett Shale area, the TCEQ has performed extensive mobile monitoring and has significantly expanded the network of stationary samplers that measure VOCs. Based on the current complaint prioritization guidance updated on February 28, 2019, citizen complaints concerning odor from an oil or natural gas site with a TCEQ-documented odor nuisance condition in the previous 12 months will be given an "Expedited Response" priority for investigation. Complaints received that do not require dispatch of Emergency Response personnel, but that report human health effects are given an "Immediate Response" priority. For Expedited and Immediate Response complaints, an
Taylor, et al. March 29, 2021 Page 9 of 11
on-site investigation is conducted by the Dallas/Fort Worth Region staff within one working day of receipt of the complaint by the regional office. All other oil and natural gas related complaints are given priority in accordance with the Field Operations Standard Operating Procedures. In addition, the Dallas/Fort Worth regional staff conducts periodic reconnaissance investigations in selected areas and the regional office also conducts monitoring, as time and resources permit, at the request of the public and other interested parties. Scheduled compliance investigations are also conducted at natural gas sites to determine compliance with applicable rules and regulations. Detailed information is available on the TCEQ's Oil and Gas Activities. For specific information about the Barnett Shale Area, click on the link for Barnett Shale Geological Area under the Air Quality section.
If you have any questions regarding the contents of this review, please do not hesitate to contact Jessica Myers by phone at (512) 239-3444 or via email at firstname.lastname@example.org.
Attachment A
List 1. Target VOC Analytes in Canister Samples
1,1,2,2-Tetrachloroethane
1,1,2-Trichloroethane
1,1-Dichloroethane
1,1-Dichloroethylene
1,2,3-Trimethylbenzene
1,2,4-Trimethylbenzene
1,2-Dichloropropane
1,3,5-Trimethylbenzene
1,3-Butadiene
1-Butene
1-Hexene+2-Methyl-1-Pentene
1-Pentene
2,2,4-Trimethylpentane
2,2-Dimethylbutane (Neohexane)
2,3,4-Trimethylpentane
2,3-Dimethylbutane
2,3-Dimethylpentane
2,4-Dimethylpentane
2-Chloropentane
2-Methyl-2-Butene
2-Methylheptane
2-Methylhexane
2-Methylpentane (Isohexane)
3-Methyl-1-Butene
3-Methylheptane
3-Methylhexane
3-Methylpentane
4-Methyl-1-Pentene
Acetylene
Benzene
Bromomethane
Carbon Tetrachloride
Chlorobenzene
Chloroform
Chloromethane (Methyl
Chloride)
cis-1,3-Dichloropropene
cis-2-Butene cis-2-Hexene cis-2-Pentene
Cyclohexane
Cyclopentane
Cyclopentene
Dichlorodifluoromethane
Dichloromethane (Methylene
Chloride)
Ethane
Ethylbenzene
Ethylene
Ethylene Dibromide (1,2-
Dibromoethane)
Ethylene Dichloride (1,2-
Dichloroethane)
Isobutane
Isopentane (2-Methylbutane)
Isoprene
Isopropylbenzene (Cumene)
m-Diethylbenzene m-Ethyltoluene m/p Xylene
Methyl Chloroform (1,1,1-
Trichloroethane)
Methylcyclohexane
Methylcyclopentane
n-Butane n-Decane n-Heptane n-Hexane n-Nonane n-Octane n-Pentane
n-Propylbenzene n-Undecane o-Ethyltoluene
o-Xylene
p-Diethylbenzene p-Ethyltoluene
Propane
Propylene
Styrene
Tetrachloroethylene
Toluene
trans-1-3-Dichloropropene
trans-2-Butene trans-2-Hexene trans-2-Pentene
Trichloroethylene
Trichlorofluoromethane
Vinyl Chloride
March 29, 2021
Page 11 of 11
List 2. Target Carbonyl Analytes
List 3. Target Metal Analytes
Aluminum (PM2.5)
Antimony (PM
2.5 )
Arsenic (PM
2.5 )
Barium (PM
2.5 )
Cadmium (PM
2.5 )
List 4. Target VOC Analytes in AutoGC
1-Butene
1-Pentene
1,2,3-Trimethylbenzene
1,2,4-Trimethylbenzene
1,3-Butadiene
1,3,5-Trimethylbenzene
2-Methylheptane
2-Methylhexane
2,2-Dimethylbutane
2,2,4-Trimethylpentane
2,3-Dimethylpentane
2,3,4-Trimethylpentane
2,4-Dimethylpentane
3-Methylheptane
3-Methylhexane
Acetylene
Benzene c-2-Butene c-2-Pentene
Cyclohexane
Cyclopentane
Ethane
Ethyl Benzene
Ethylene
Isobutane
Isopentane
Isoprene
Isopropyl Benzene - Cumene
Methylcyclohexane
Methylcyclopentane
n-Butane
n-Decane n-Heptane n-Hexane n-Nonane n-Octane n-Pentane
n-Propylbenzene
o-Xylene
p-Xylene + m-Xylene
Propane
Propylene
Styrene t-2-Butene t-2-Pentene
Toluene
a Only measured at the Midlothian monitoring site
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OSCE PA – COVID COMPACT
READAPTING THE OSCE PA TO CHALLENGES IN THE TIME OF COVID-19 PANDEMIC
REPORT BY SECRETARY GENERAL ROBERTO MONTELLA
28 April 2020
1. Impact of COVID-19 and immediate OSCE PA response
Since the very outbreak of the COVID-19 pandemic, the International Secretariat has been closely monitoring the situation, with the two-fold aim of ensuring the safety and well-being of all staff as well as the continuity of our key mandated operations. This has been conducted in close coordination and consultation with the authorities of our two host countries, Denmark and Austria, as well as with the OSCE executive structures, and in particular their COVID-19 task force then replaced by the OSCE Crisis Management Team.
As of 12 March, both the Copenhagen Headquarters and the Vienna Liaison Office have been temporarily closed and all staff switched to teleworking modality from home, which proved successful and is granting full business continuity to our work. To strengthen our telecommuting capabilities, we have also purchased the WEBEX Software, a professional online platform for business meetings. This has, for instance, ensured effective Bureau and staff videoconferences. Further software, including with language interpretation options, are currently under consideration.
The ongoing spread of the pandemic has forced us to progressively postpone or cancel almost all our planned activities at least until the summer. This included the cancellation of our main 2020 event, the PA Annual Session in Vancouver, as announced in a joint communique by our President and the Head of the Canadian Delegation 1 . With the situation rapidly evolving and uncertainty continuing to rule, it is difficult to predict when regular activities will resume. The Secretariat will continue to monitor the situation and hopes to reschedule in the Autumn some of the activities initially planned for the Spring. Instead, the PA Autumn Meeting in San Marino has been unfortunately already called off.
Unfortunately, a heavy global recession with massive effects on the OSCE region has to be expected. The PA stands ready to lend a contribution to addressing the economic hardship which will principally affect the most vulnerable segments of society. Therefore, together with our Treasurer, we have decided to embody the foreseeable combination of economic recession and subsequent austerity policies by Governments and Parliaments by requesting no increases to the 2020/2021 PA budget and additionally using savings of the current 2019/2020 budget as discount for States' contributions.
1 https://www.oscepa.org/meetings/annual-sessions/upcoming-annual-session
2. Readapting: why? Relevance of the OSCE PA
In light of the pandemic outbreak and of the above-mentioned disruption of the regular PA activities, we have deemed important to reconsider our priorities and understand how an international parliamentary platform for more than 320 Parliamentarians from 57 participating States representing more than one billion citizens could contribute to addressing the current unprecedented challenges.
The COVID-19 pandemic is much more than a health emergency: it will negatively impact on the security of our societies and citizens, which are at the core of the OSCE's focus. Moreover, the foreseeable severe economic recession and growing social discontent will also impact political systems with a prevailing climate of uncertainty affecting domestic policy as well as international relations.
Against this backdrop, international cooperation and coordination at all levels, including the parliamentary one, are a key asset. Global problems require global responses. However, as we are already witnessing, there is a high risk of entering into blame games and mistrust leading to a period of even deeper divisions and a general failure to cooperate. International Organizations are instrumental to keep multilateralism alive and effective, promoting a sense of solidarity, responsibility and joint ownership of efforts among States.
Moreover, in the current context, Parliaments are being significantly marginalized in some countries and democracy and rule of law have seldom been under the severe stress of executive measures. It is key for Parliaments to remain part of the decision-making process, to provide effective oversight and to ensure that the necessary discussions do not destroy the cohesion within societies. Their role is also instrumental in allocating extraordinary emergency budgets and in ensuring that citizens' necessities are well represented, especially during hardship periods. In this regard, the OSCE PA has issued together with the Parliamentary Assemblies of the Council of Europe (PACE) and of NATO (NATO PA) a Joint Declaration on the Role of Parliaments in times of Pandemic 2 .
3. Readapting: how? A New Strategy for Parliamentary Diplomacy
Acknowledging the eagerness of the OSCE PA Members to provide a tangible contribution to the international response to the COVID-19 pandemic by leveraging on the main parliamentary assets, the International Secretariat produced a Non-Paper in March listing a set of possible ideas for action, which was sent to the Bureau and to the Standing Committee for inputs. After careful internal review and feedbacks received, we are considering readapting the work of the Assembly around three main pillars: a) continuation of the political dialogue through new formats; b) increase of public messaging; c) exchange of information, best practices and aid requests.
2 https://www.oscepa.org/news-a-media/press-releases/2020/joint-statement-on-the-role-of-parliaments-in-atime-of-pandemic
a) Political Dialogue
In the light of the cancellation of the Annual Session and of other activities, Members emphasized the need to maintain the political parliamentary debate alive. While official meetings, taking into consideration logistical and procedural constraints, have to be postponed, the Secretariat is launching a cycle of Parliamentary Web Dialogues on the effects and challenges of the COVID-19 pandemic in areas of particular focus and priority for the Assembly, such as the political and security dimension, the economic dimension and human rights, as well as migration and countering terrorism. The Parliamentary Dialogues are online meetings on the model of a webinar, though giving the opportunity to Members to actively engage, as an alternative to normal committee meetings. They will be organized by the relevant General and ad hoc Committees, and a final report will be produced, outlining key findings and eventual recommendations. While the first webinar, on the economic fallout of the pandemic, has already taken place on 22 April, we are calendarizing a number of dialogues for the next months, considering topics in accordance to evolving priorities. The list of upcoming events is available on our website. Our Special Representatives will also be invited to actively contribute, as we do not intend to renounce to their precious inputs during this period.
The focus of the web discussions on the effects of the COVID-19 pandemic does not intend to replace, but rather to complement, the continuous attention of our Members on usual topics of PA work, including conflicts, human rights, etc. On conflicts, the PA has fully endorsed the United Nations Secretary General's appeal for a global ceasefire 3 .
Furthermore, the PA Bureau will continue to meet regularly – in an informal fashion in addition to its official meeting - to provide general guidelines and leadership to the whole Assembly, both on political and procedural issues. We also intend to continue the practice of inviting relevant guests, asking them for some thought provoking inputs to trigger effective debates. We already hosted Attilio Fontana, Governor of Lombardy – the most COVIDaffected region of Europe, and Vincenzo Amendola, Minister for European Affairs of Italy. Moreover, the Bureau meeting of 27 April was officially addressed by Edi Rama, OSCE Chairperson-in-Office and Albanian Prime Minister, and Janez Lenarcic, EU Commissioner for Crisis Management. Several other high-level speakers will introduce discussions in the upcoming parliamentary web dialogues.
b) Public messaging and media
The Secretariat and its Media Department will continue to work hard to give voice to our Members on important topics of concern during these challenging times. In addition to usual press releases and statements by our leadership on critical events in the OSCE area, we are seeking to promote op-eds by Parliamentarians on how the COVID-19 pandemic is affecting the region and its citizens, from different angles and perspectives of society. For instance, some of the articles already published touch upon topics such as the role of Parliaments in emergency circumstances, the future of multilateralism, the impact of the pandemic on migrants and refugees, data protection, human rights in conflict affected areas, the economic
3 https://www.oscepa.org/news-a-media/press-releases/2020/osce-parliamentarians-endorse-un-sg-s-globalceasefire-call-discuss-european-response-to-covid-19-pandemic-and-plan-pa-activities
consequences of the pandemic on vulnerable groups, the increase in domestic violence, and many others. Other tools for public messaging, including video interviews or the registration of podcasts, can be further explored.
We also intend to use our social media platforms to broadcast the previously mentioned parliamentary web dialogues to the wider public. Furthermore, we have also launched the #WeAreOSCEPA campaign on social media inviting Parliamentarians to send messages of support to their constituents and people of the OSCE area. Finally, we integrated in the OSCE PA website a live section, which will constantly be updated, on COVID-19 and our related work.
c) Exchange of information, best practices and aid requests
One of the greatest assets of the OSCE Parliamentary Assembly is its network and its capacity to connect authorities and legislators – and ultimately the 1 billion people - of 57 participating States. The International Secretariat has already started to prepare and regularly update an overview of the main measures taken by OSCE participating States in response to the pandemic. In this regard, a master table and several infographics are available on our website and are regularly sent out to Members, tentatively once per week. Hopefully, they can serve as an exchange of best practices, together with the informal communication channels we have opened among the Bureau and the Standing Committee, where our Members are tirelessly sharing experiences from their countries.
Collecting information and successful experiences from all over the OSCE region can enable Members of Parliament to make more informed decisions, replicate positive measures, and facilitate the sharing of vital information to the people they represent in their constituencies. This is a great value of the PA's unique infrastructure, as it allows a swift two-way linkage between the international and the local levels of decision making.
The analytical exercise from the Secretariat could expand in the future and address specific areas more in detail, as for instance new procedures being implemented by Parliaments, such as remote voting, consultation processes, social distancing options. Current circumstances will almost certainly also have a significant impact on how elections are run; as countries adapt their procedures for campaigning and voting to accommodate social distancing, the Secretariat's Election Department will of course continue to study developments and adapt our work accordingly. The Department is also analyzing ways to ensure effective election observation should elections take place in the coming months but with significant restrictions to the deployment of a fully-fledged EOM.
The PA network is proving useful also in terms of facilitating cross-border requests for aid. For instance, the call for urgent delivery of medical equipment by Lombardy's President during the informal Bureau Meeting on 25 March activated a series of contacts between our Members, the Secretariat and Kazakh authorities and led, in very short time, to the delivery of the needed equipment from a Pharmaceutical company in Kazakhstan to Lombardy. Our Members are very active both through official and informal channels in this regard, and such a capacity could be further boosted as a way to facilitate concrete help to citizens in need.
4. Cooperation
Especially in a period of crisis it is key for international organizations to cooperate closely, avoiding duplication and investing in each other's added values. In fact, it is the international community as a whole – of which the OSCE PA is part – that must prove that only effective multilateralism will bring about concrete solutions to the current pandemic. For our Assembly, there are two main avenues of external cooperation.
The first is within the OSCE family, as it is key for us to lend the parliamentary perspective to the organization as a whole, and make its action stronger and wider. Cooperation with OSCE executive structures continues to be excellent and is conducted throughout regular contacts and close coordination at all working levels. In this regard, the OSCE family, composed of the 2020 Albanian Chairmanship, the Secretariat, the Office for Democratic Institutions and Human Rights (ODIHR), the High Commissioner on National Minorities (HCNM), the Representative on Freedom of the Media (RFoM) and the Parliamentary Assembly issued on 23 April, ahead of the International Day of Multilateralism and Diplomacy for Peace, a joint statement on the "Comprehensive security approach needed for global response to COVID-19" 4 , positioning the Organization and its unique toolbox to play a role in facilitating international cooperation to address the pandemic.
The second avenue of cooperation is with partner parliamentary organizations, such as the Parliamentary Assemblies of the Council of Europe (PACE) and of NATO (NATO PA), with which we already enjoy an excellent cooperation, for instance, on election observation activities. We have increased coordination meetings with the aim to learn some best practices from each other especially on how to best support international parliamentary activities in times of telecommuting. In this regard, we are sharing ideas and information on the organization of online meetings and other work. We have also strengthened our coordination on common messages, such as, for instance, the joint appeal by the PACE and OSCE PA migration committees urging states to relocate unaccompanied minors.
--
In conclusion, the main aim of the OSCE PA in these challenging times of pandemic is to feed and give lifeblood to multilateral cooperation leveraging on the unique and distinct assets of parliamentary diplomacy. In particular, ensuring that the main parliamentary legislative, oversight and representation functions are concerted and amplified at a wider international level, leading to coordinated and joint decisions for the benefit of all our citizens, equally affected by a virus that does not distinguish between race, ethnicity, religion or administrative borders. Finally, I take this opportunity to thank our Members for their precious support and active engagement, as well as for the excellent interaction we enjoy almost on a daily basis, in various formats. Together with the indispensable contribution of our staff, we are managing to keep our Assembly alive and relevant despite social distancing, and this is a great success. We will spare no efforts to ensure this continues in the difficult months ahead of us.
4 https://www.oscepa.org/news-a-media/press-releases/2020/comprehensive-security-approach-needed-forglobal-response-to-covid-19-osce-leaders-say
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NOTICE OF PRIVACY PRACTICES
This notice describes how medical information about you may be used and disclosed and how you can gain access to this information. Please review it carefully. If you have any questions about this Privacy Notice, please contact your therapist or our Clinical Director, Henry White, MD, at (617) 277-8107
Understanding Your Health Record/Information
Each time you visit a hospital, healthcare provider, or mental health clinician, a record of your visit is made. Typically, this record contains your symptoms, evaluation and test results, diagnoses, treatment, and a plan for future care or treatment. This information, often referred to as your health or medical record, serves as a:
- Basis for planning your care and treatment;
- Means of communication among the many health professionals who contribute to your care;
- Legal document describing the care you received;
- Means by which you or a third party payer can verify that services billed were actually provided;
- Tool in educating health professionals;
- Source of information for public health officials charged with improving the health of the nation;
- Source of data for facility planning and marketing;
- Tool with which we can assess and continually work to improve the care we render and the outcomes we achieve.
Understanding what is in your record and how your health information is used helps you to:
- Better understand who, what, when, where and why others may access your health information;
- Make more informed decisions when authorizing disclosure to others;
- Ensure its accuracy.
Your Privacy Rights
You have the following rights regarding the health information that we have about you.
- Your Right to Inspect and Copy: In most cases, you have the right to look at or get copies of your medical records. You may be charged a fee for the cost of copying your records. (You may need to make an appointment to look at your record to assure that we will have it available for you.)
- Your Right to Amend: You may ask us to change your records if you feel that there is a mistake. We can deny your request for certain reasons, but we must give you a written reason for our denial.
- Your Right to Request Confidential Communications by Alternative Means and at Alternative Locations: You have the right to ask that we share information with you in a certain way or in a certain place. For example, you may ask us to send information to your work address instead of your home address. We will do our best to accommodate such a request.
- Your Right to Request Restrictions on Our Use or Disclosure of Information: You can ask for limits on how your information is used or disclosed. We are not required to agree to such requests, but can if we believe it is reasonable to do so.
- Your Right to a List of Disclosures: You have the right to ask for a list of certain disclosures made after April 14, 2003. This list will not include the times that information was disclosed for treatment, payment, or health care operations. The list will not include information provided directly to you or your family, or information that was sent with your permission. It will not include information released without your name or other data that would identify you. The first accounting you request within a twelve month period will be free, but there is a fee for additional requests during the same 12 month period.
- Your Right to a Paper Copy of this Notice. You have the right to obtain a paper copy of this Notice of Privacy Practices at any time. Even if you have agreed to receive this Notice of Privacy Practices electronically, you may still obtain a paper copy. Your requests must be made in writing to us: Privacy Officer; The Brookline Center; 41 Garrison Rd; Brookline, MA 02445.
Our Responsibilities:
The Brookline Center will:
- Maintain the privacy of your health information
- Provide you with a notice as to our legal duties and privacy practices with respect to information we collect and maintain about you
- Abide by the terms of this notice
- Notify you if we are unable to agree to a requested restriction
- Accommodate reasonable requests you may have to communicate health information by alternative means or at alternative locations.
We reserve the right to change our practices and to make the new provisions effective for all protected health information we maintain. Should our information practices change, we will mail a revised notice to the address you've supplied us. We will not use or disclose your health information without your authorization, except as described in this notice.
How We Will Use and Disclose Your Health Information
We will use your health information for treatment.
For example: Information obtained by your therapist, physician or other member of your healthcare team will be recorded in your record and used to determine the course of treatment that should work best for you. These clinicians will document in your record your evaluation and treatment plan. Members of your healthcare team will then record the actions they took and their observations. In that way, we will know how you are responding to treatment. We may also share your health information without your authorization among our clinicians and other staff (including clinicians other than your therapist or principal clinician), who work at The Brookline Center. For example, our staff may discuss your care at a team meeting.
When we make disclosures to a third party (other than your health plan) for coordination or management of your health care, we will usually obtain your written authorization prior to the disclosure. A third party is a person or entity who is not affiliated with our organization. In addition, with your authorization, we will disclose your health information to another health care provider (e.g., your primary care physician or a laboratory) working outside of The Brookline Center.
We will use your health information for payment.
For example: A bill may be sent to you or your health insurance company. The information on or accompanying the bill may include information that identifies you, as well as your diagnosis, and the type of visit. Or, as part of the prior approval process, your HMO may request information regarding your current clinical status.
We will use your health information for regular health operations.
The Brookline Center may use and share your health information for activities that are known as health care operations. These are activities that are needed to operate our facilities and carry out our mission. Some of the information is shared with outside parties who perform these health care operations or other services on behalf of The Brookline Center. These are called "business associates." Business associates must also take steps to keep your health information private. Examples of activities that make up health care operations include:
- Contacting you at the address and telephone numbers you give to us (including leaving messages on answering machines) about:
o Scheduled or cancelled appointments, registration/insurance updates, billing or payment matters, or test results
o Information on patient care issues, treatment choices and follow up care instructions
o Other health-related benefits and services that may be of interest to you
- Monitoring the quality of care and making improvements where needed
- Reviewing medical records for completeness and accuracy
- Meeting standards set by regulating agencies
- Teaching mental health professionals
- Using outside business services: such as storage, auditing, legal or other consulting services
- Storing your health information on computers
- Managing and analyzing medical information
Uses and Disclosures (Sharing) of Your Health Information Without Your Specific Permission:
The Brookline Center may legally use and/or share your health information with others in the following areas without your specific permission. In such cases, we will disclose the minimum amount of information necessary to fulfill our obligation.
- As required by state and federal laws and regulations
- For public health activities, including required reports to the state public health agencies or to agencies such as cancer registries and the federal Food and Drug Administration
- When Brookline Center staff believe you might be in danger of harming yourself or other persons or are at risk because of being unable to take care of yourself
- When Brookline Center staff believe that a child, elderly person, or disabled person in your care is being abused or neglected
- For health oversight activities such as responding to reviews by government agencies or benefit programs such as Medicare or Medicaid
- For research that is approved by a Brookline Center Research Committee when written permission is not required by federal or state law. This also may include preparing for research or telling you about research studies in which you might be interested
- We may disclose health information about you to a court when a judge orders us to do so.
- We may disclose health information about you in legal proceedings without your permission when:
o Your health information involves communications made during a court-ordered psychiatric examination;
o You introduce your mental or emotional condition in evidence in support of your claim or defense in any proceeding and the judge approves our disclosure of your health information;
o You file a claim against any of our clinicians or staff for malpractice or initiate a complaint with a licensing board against any of our clinicians;
o A judge approves our disclosure of your health information in a legal proceeding that involves child custody, adoption or dispensing with consent to adoption;
o One of our social workers brings a proceeding, or is asked to testify in a proceeding, involving foster care of a child or commitment of a child to the custody of the Massachusetts Department of Social Services.
- For law enforcement purposes under specific conditions such as reporting when someone is the victim of a crime. Other conditions include
o When the information is provided in response to an order of a court;
o When you agree to the disclosure
o We determine that the law enforcement purpose is to respond to a threat of an imminently dangerous activity by you against yourself or another person; or
o The disclosure is otherwise required by law.
- With regard to people who have died, to coroners, medical examiners and funeral directors, or for organ, eye or tissue donation at death
- To avert a serious threat to health or safety
- For specialized government operations
- As authorized by and as necessary to comply with workers compensation laws
Uses And Disclosures (Sharing) Of Your Health Information That You May Ask To Be Limited, Or Request Not Be Made
In general, The Brookline Center will not give out any information to family or friends without an authorization signed by you. The Brookline Center does not have a patient directory and will not give out any information regarding your care.
In an emergency situation, if you are present and are able to make health care decisions, we will try to find out if you want us to share this information with your family members or others. If you are not able to make your wishes known, we will use our best judgment to decide whether to share information. If it is thought to be in your best interest, we will only share information that others really need to know.
And, if you are not in an emergency situation but are unable to make health care decisions, we will disclose your health information to: your health care agent if we have received a valid health care proxy from you, your guardian or medication monitor if one has been appointed by a court, or if applicable, the state agency responsible for consenting to your care.
Uses And Disclosures Of Information That Require Your Written Permission.
- Sharing information about genetic testing (as defined by state law) or genetic test results
- Sharing information about HIV testing or test results
- Sharing information from substance abuse rehabilitation treatment programs
- Sharing information about treatment for sexually transmitted diseases
- Using and sharing health information for research, research preparation, or recruitment, when the appropriate Brookline Center Human Research Committee determines this is required under federal and state laws
- Information which state law recognizes as "privileged" (sensitive) information can only be shared in administrative and judicial proceedings if you give written permission.
o Privileged (sensitive) information includes information that relates to domestic violence, sexual assault counseling, confidential communications between a patient and a social worker, or confidential details of psychotherapy (from a psychiatrist, psychologist, or licensed mental health nurse clinical specialist)
o Such proceedings may include civil or criminal trials and their preliminary proceedings, or hearings before a state, county or local administrative agency
- Using and sharing psychotherapist notes (notes maintained outside of the medical record for the therapist's own use); however, specific permission is not required for use or sharing of these notes for your therapist to treat you, for training programs, for legal defense in an action you bring, or for oversight of the therapist
Withdrawing Permission:
If you have given permission for your medical information in the above categories to be used or shared, you may withdraw your permission in writing at any time and except to the extent that the providers have already acted on it, we will not make any further disclosures of your information.
Complaints
If you believe your privacy rights have been violated, you may file a complaint with us or with the Secretary of the U.S. Department of Health and Human Services. To file a complaint with us, contact our Human Rights Officer at 41 Garrison Rd., Brookline, MA 02445. All complaints must be submitted in writing. We will not retaliate against you for filing a complaint. Our Privacy Officer, who can be contacted at 41 Garrison Rd., Brookline, MA 02445, will assist you with writing your complaint, if you request such assistance.
Changes to this Notice
We reserve the right to change the terms of our Notice of Privacy Practices. We also reserve the right to make the revised or changed Notice of Privacy Practices effective for all health information we already have about you as well as any health information we receive in the future. We will post a copy of the current Notice of Privacy Practices at our main office and at each site where we provide care. You may also obtain a copy of the current Notice of Privacy Practices by accessing our website at www.brooklinecenter.org or by calling us at (617) 2778107 and requesting that a copy be sent to you in the mail or by asking for one anytime you are at our offices.
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PRECEDENTIAL
UNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT
_____________
No. 18-2272 _____________
SHENECQUA BUTT; ALLEGRA KING; TANYA MITCHELL; THERESA HOWARD; ELLEN BRONSON
v.
UNITED BROTHERHOOD OF CARPENTERS & JOINERS OF AMERICA; CARPENTERS HEALTH & WELFARE FUND OF PHILADELPHIA & VICINITY; EDWARD CORYELL; MARK DURKALEC; PHILADELPHIA HOUSING AUTHORITY; METROPOLITAN REGIONAL COUNCIL OF CARPENTERS AND JOINERS OF AMERICA
SANDRA THOMPSON,
Appellant
_____________
No. 18-2273 _____________
THERESA HOWARD
v.
PHILADELPHIA HOUSING AUTHORITY; METROPOLITAN REGIONAL COUNCIL OF CARPENTERS AND JOINERS OF AMERICA; EDWARD CORYELL, SR. (OFFICIALLY AND PERSONALLY); MARK DURKALEC (OFFICIALLY AND PERSONALLY)
SANDRA THOMPSON,
_____________
Appellant
On Appeal from the United States District Court for the Eastern District of Pennsylvania District Court Nos. 2-09-cv-04285; 2-13-cv-00374 Magistrate Judge: The Honorable David R. Strawbridge
_____________
Submitted on November 12, 2020
Before: HARDIMAN, SCIRICA, and RENDELL, Circuit Judges
(Filed: June 8, 2021)
Sandra Thompson Law Office of Sandra Thompson, LLC 351 E. Princess Street P.O. Box 1901 York, PA 17405 Counsel for Thompson, Appellant
Ryan M. Paddick 1442 Pottstown Pike, #312 West Chester, PA 19380 Counsel for Paddick, Appellee
________________
OPINION OF THE COURT
________________
HARDIMAN, Circuit Judge.
This appeal involves a dispute over legal fees. The District Court ordered attorney Sandra Thompson to pay predecessor counsel, Ryan Paddick, $54,562.73 from Thompson's portion of a settlement fund. Thompson appealed, raising four arguments. We will affirm.
I
This controversy between attorneys Thompson and Paddick began over a decade ago. In 2009 and 2010, Shenecqua Butt, Theresa Howard, and Ellen Brown (collectively, the Clients), filed separate discrimination cases in the United States District Court for the Eastern District of Pennsylvania against, among others, the United Brotherhood of Carpenters & Joiners of America. After their cases were consolidated for discovery, the Clients suffered an adverse summary judgment in January 2012. Acting pro se, the Clients filed a notice of appeal in this Court.
The Clients then hired Paddick to handle their Third Circuit appeal. The night before the case was scheduled for oral argument, Paddick entered into contingency fee agreements
3
with each of the Clients. Those agreements provided that Paddick would serve as counsel on remand (if any) and promised Paddick a 40 percent fee of any trial or settlement proceeds.
Paddick prevailed in the appeal. Consistent with his agreement with the Clients, Paddick pursued discovery and prepared for trial. Paddick took twenty-four depositions, presented two oral arguments, attended two settlement conferences, and filed nine substantive motions or responses. When it came time to retain an expert witness in March 2015, however, Paddick was unable to advance the necessary funds. Paddick told the Clients: "if this puts you in a position where you feel the need to change counsel, I will cooperate with any new counsel." Paddick v. Butt, 2018 WL 1991737, at *10 (E.D. Pa. Apr. 27, 2018).
In April 2015, the Clients terminated their relationship with Paddick and retained Thompson to pursue their claims for a 35 percent contingent fee. Paddick informed Thompson of his labors on behalf of the Clients and told her that "fees remain due on the work [he] did on the cases prior to [her] stepping in." Id. at *10. Thompson did not respond. In September 2017, the Clients settled their cases for a total of $380,000, so under her fee agreement, Thompson's share was $133,000.
In October 2017, the District Court acknowledged the settlements and dismissed the Clients' cases with prejudice. About a month later, Paddick moved to intervene in the Clients' cases to enforce an attorney's charging lien against the settlement proceeds. The District Court granted Paddick's motion to intervene, set a hearing date, and ordered Thompson to hold the contested portion of the settlement proceeds in an escrow account "pending resolution of the motion." Dist. Ct.
Dkt. No. 321, at 2. In April 2018, the District Court found Paddick entitled to $54,562.73 for his work and ordered Thompson to pay Paddick that amount in her capacity as custodian of the escrow account. Dist. Ct. Dkt. No. 357, at 1. The District Court's order did not, however, explicitly state whether Paddick's fees were to be paid from the fees paid to Thompson or from the Clients' portion of the settlement fund. Confusion ensued between Thompson and the Clients, so the District Court held a second hearing in May 2018 to resolve the matter. Thompson argued Paddick's fee should not come from her fees but instead should come from the Clients' portion of the recovery. 1 The District Court disagreed and ordered Thompson to pay Paddick's fee from her $133,000 portion.
Thompson filed this timely appeal.
II 2
Thompson's first (and most substantial) argument is that the District Court lacked jurisdiction to hear Paddick's
1 Thompson's argument led to a Public Reprimand by the Disciplinary Board of the Supreme Court of Pennsylvania. The Disciplinary Board determined Thompson violated seven ethical Rules of Professional Conduct (RPC) related to her representation, including RPC 1.7(a)(2) for acting adversely to her Clients when she "maintained that her legal fees were separate and apart from prior counsel's legal fees." App. 840. Thompson filed this appeal on her own behalf, not as counsel to the Clients.
2 We have jurisdiction under 28 U.S.C. § 1291 and review de novo the District Court's exercise of jurisdiction. In re Cmty.
motions. She claims the Court's jurisdiction "terminated" when the cases were dismissed with prejudice after settlement. Butt Br. 30. Thompson acknowledges that the District Court had the "inherent power to enforce its judgments." Butt Br. 31 (quoting Peacock v. Thomas, 516 U.S. 349, 359 (1996)). But she contends that Paddick must seek to enforce his attorney's lien by suing the Clients in state court because the District Court did not retain jurisdiction over the case after it was dismissed and Paddick did not seek to intervene before the dismissal.
We disagree. The District Court had jurisdiction to resolve Paddick's lien motion, but not for the reason it cited (i.e., the supplemental jurisdiction statute, 28 U.S.C. § 1367). As we shall explain, the District Court had ancillary enforcement jurisdiction based on its inherent powers rooted in the common law and unrelated to the statutory grant of authority.
Courts, including this one, have sometimes been imprecise when discussing ancillary enforcement jurisdiction. See, e.g., IFC Interconsult v. Safeguard Int'l Partners, LLC, 438 F.3d 298, 309 (3d Cir. 2006) (treating the inquiries for ancillary and supplemental jurisdiction as the same); 13 CHARLES ALAN WRIGHT & ARTHUR R. MILLER, FEDERAL PRACTICE AND PROCEDURE § 3523 (3d ed. 2002) ("Today, the terms 'ancillary,' 'pendent,' and 'supplemental' are all used, essentially interchangeably."). This appeal provides us an
Bank of N. Va. Mortg. Lending Pracs. Litig., 911 F.3d 666, 670 (3d Cir. 2018).
opportunity to clear up "needless confusion," WRIGHT & MILLER § 3523, in this area of law.
Unlike the sources of jurisdiction conferred by 28 U.S.C. § 1367, 3 ancillary enforcement jurisdiction focuses on
3 Passed in 1990, see Judicial Improvements Act of 1990, Pub. L. No. 101-650, 104 Stat. 5089, § 1367 codified the common law doctrines of pendent claim, ancillary, and pendent party jurisdiction. Pendent claim jurisdiction refers to a federal court's power to adjudicate non-federal claims asserted by the plaintiff against the original defendant—over which the court would not have jurisdiction if brought independently—when those claims derive from a common nucleus of operative fact as the federal claim. See United Mine Workers of Am. v. Gibbs, 383 U.S. 715, 75 (1966). Ancillary jurisdiction refers to a court's power to adjudicate a claim asserted by a party other than the plaintiff (usually the defendant)—over which the court would not have jurisdiction if brought independently—when the second claim shares such a close logical connection with the original claim that it may be considered part of the same "transaction." See Moore v. N.Y. Cotton Exch., 270 U.S. 593, 609–10 (1926). Finally, pendent party jurisdiction refers to a court's power to adjudicate non-federal claims asserted by a plaintiff against a party other than the original defendant. When the underlying claim over which the court had jurisdiction is based on diversity, the additional party must be diverse; when the underlying claim over which the court had jurisdiction is based on federal question jurisdiction, the additional party need not be diverse. See, e.g., Finley v. United States, 490 U.S. 545, 549–52, 555 (1989); Exxon Mobil Corp. v. Allapattah Servs., Inc., 545 U.S. 546, 558–67 (2005). These
"the power [of federal courts] to enforce their judgments and ensur[es] that they are not dependent on state courts to enforce their decrees." Nat'l City Mortg. Co. v. Stephen, 647 F.3d 78, 85 (3d Cir. 2011). It stems from the proposition that "[a] district court acquires jurisdiction over a case or controversy in its entirety and, as an incident to the disposition of a dispute properly before it, may exercise jurisdiction to decide other matters raised by the case over which it would not have jurisdiction were they independently presented." Id. (quoting Sandlin v. Corp. Interiors, Inc., 972 F.2d 1212, 1216 (10th Cir. 1992)). Put differently, ancillary enforcement jurisdiction exists "to enable a court to function successfully, that is, to manage its proceedings, vindicate its authority, and effectuate its decrees." Kokkonen v. Guardian Life Ins. Co. of Am., 511 U.S. 375, 380 (1994). This proposition has been applied consistently for over 200 years. See, e.g., United States v. Hudson, 11 U.S. (7 Cranch) 32, 34 (1812) (recognizing the contempt power as an "implied power" necessary to a court's three sources of jurisdiction involve the power of federal courts to hear separate claims .
Unlike those sources, ancillary enforcement jurisdiction relates to the power of a federal court to exercise jurisdiction over separate proceedings. Although not mentioned in § 1367, this common-law doctrine has survived the codification of supplemental jurisdiction and remains independent of the statute. See, e.g., Kokkonen v. Guardian Life Ins. Co. of Am., 511 U.S. 375, 379 (1994); Peacock, 516 U.S. at 356; Nat'l City Mortg. Co. v. Stephen, 647 F.3d 78, 85 (3d Cir. 2011); Robb Evans & Assocs., LLV v. Holibaugh, 609 F.3d 359, 363 (4th Cir. 2010).
proper functioning); Bank of the United States v. Halstead, 23 U.S. (10 Wheat.) 51, 53 (1825) ("The authority to carry into complete effect the judgments of the Courts, necessarily results, by implication, from the power to ordain and establish such Courts."); Cooter & Gell v. Hartmarx Corp., 496 U.S. 384, 395 (1990) (listing proceedings for costs and attorneys' fees as collateral issues "that a federal court may consider after an action is no longer pending").
Nor does ancillary enforcement jurisdiction end when a court renders a judgment on the merits or dismisses a case. As Chief Justice Marshall recognized: "[t]he jurisdiction of a [c]ourt is not exhausted by the rendition of its judgment, but continues until that judgment shall be satisfied." Wayman v. Southard, 23 U.S. (10 Wheat.) 1, 23 (1825); see also Riggs v. Johnson Cnty., 73 U.S. (6 Wall.) 166, 187 (1867) ("Process subsequent to judgment is as essential to jurisdiction as process antecedent to judgment, else the judicial power would be incomplete and entirely inadequate to the purposes for which it was conferred by the Constitution."). "It is well established that a federal court may consider collateral issues after an action is no longer pending," including "motions for costs or attorney's fees." Cooter & Gell, 496 U.S. at 395; see also White v. N.H. Dep't of Emp. Sec., 455 U.S. 445, 451 n.13 (1982) (explaining that, even "years after the entry of a judgment on the merits," a federal court may award counsel fees); Nat'l City Mortg. Co., 647 F.3d at 85 (holding the District Court had ancillary jurisdiction after judgment was entered in order to give effect to the remedy it granted).
These precedents lead us to conclude that the District Court had ancillary enforcement jurisdiction over the dispute between Thompson and Paddick. The Supreme Court has indicated that ancillary enforcement jurisdiction extends to attorney fee disputes. White, 455 U.S. at 447–48, 452, 454 (resolving a post-judgment motion for attorney's fees under 42 U.S.C. § 1988 more than four months after the parties settled the case and the district court approved a consent decree); Sprague v. Ticonic Nat'l Bank, 307 U.S. 161, 170 (1939) (holding that because a petition for fees is "an independent proceeding supplemental to the original," the suggestion "that it came after the end of the term at which the main decree was entered and [is] therefore too late" was unavailing). Numerous federal courts have recognized the same. See, e.g., K.C. ex rel. Erica C. v. Torlakson, 762 F.3d 963, 968 (9th Cir. 2014) ("There is no debate that a federal court properly may exercise ancillary jurisdiction over attorney fee disputes collateral to the underlying litigation." (internal quotation omitted)); In re Austrian & German Bank Holocaust Litig., 317 F.3d 91, 98 (2d Cir. 2003) (same); Zimmerman v. City of Austin, 969 F.3d 564, 568 (5th Cir. 2020) (same); WRIGHT & MILLER § 3523.2 ("One of the best-established uses of ancillary jurisdiction is over proceedings concerning costs and attorney's fees."). As discussed, jurisdiction over attorney fee disputes continues after the resolution of the underlying case.
This Court has addressed the role of ancillary enforcement jurisdiction in the realm of legal fee disputes on several occasions, most importantly in Novinger v. E.I. DuPont de Nemours & Co., 809 F.2d 212 217–18 (3d Cir. 1987), and In re Community Bank of Northern Virginia Mortgage Lending Practices Litigation, 911 F.3d 666, 671–74 (3d Cir. 2018). In Novinger, we upheld the district court's exercise of ancillary jurisdiction over a fee dispute between a client and the client's former counsel following a settlement agreement in the client's underlying case (but before the district court had approved the settlement and dismissed the action). Novinger, 809 F.2d at
213, 217. Because the former counsel was attempting to obtain a portion of the client's fund, the underlying case could not be fully resolved without a determination as to the fees. Federal courts, we noted, have a "vital interest" in resolving fee disputes in such a case "because they bear directly upon the ability of the court to dispose of cases before it in a fair manner." Id. at 217. The district court's ability to enforce and effectuate the settlement agreement, then, "necessarily includes the power to resolve disputes with respect to the payment of attorneys' fees and expenses." Id.
Thirty years later we circled back to a question left unresolved in Novinger: whether "ancillary jurisdiction extends to the resolution of a post settlement fee dispute between two attorneys, only one of whom was attorney of record." Id. at 218 n.4. We held ancillary jurisdiction did not exist. In re Cmty. Bank, 911 F.3d at 672. That was because the district court "ha[d] no control over the [settlement] funds" and "the fee-splitting dispute ha[d] no impact on the timing or substance of the litigants' relief in the underlying case." Id.
This case differs from In re Community Bank in meaningful ways. Most notably, both Paddick and Thompson were counsel-of-record to the Clients. Another significant difference is that the District Court here has control over the disputed funds. It first ordered Thompson to maintain "[t]he contested portion" in an "escrow account pending resolution of the motion," Dist. Ct. Dkt. No. 321, at 2, and later ordered Thompson, "[a]s custodian of the escrow account," to release the funds to Paddick, Dist. Ct. Dkt. No. 357, at 2. And because Thompson argued then (and now) that Paddick's fees must come from the Clients' portion of the settlement fund, the resolution of the fee dispute could have "impact[ed] . . . the timing or substance of the litigants' relief." In re Cmty. Bank,
911 F.3d at 672. Had the District Court agreed with Thompson that any fees due to Paddick were to be collected from the Clients' share, they would have received roughly $54,000 less. Such a reduction would have had a significant impact on the Clients' relief.
Given the abundance of caselaw supporting the application of ancillary enforcement jurisdiction to attorney's fee disputes—even after disposition of the underlying case where jurisdiction was not explicitly retained—we hold the District Court did not err in exercising such jurisdiction over this fee dispute that was raised for the first time after dismissal of the underlying case but was necessary to effectuate the Court's judgment.
III
Having concluded the District Court properly exercised jurisdiction over the fee dispute, we turn to the merits of Thompson's remaining arguments. The District Court correctly addressed each at length in its thorough and wellreasoned opinion. See Butt, 2018 WL 1991737, at *2–21.
A
Thompson claims the District Court erred when it awarded Paddick fees because the doctrines of duress and unclean hands bar him from any recovery. We disagree.
1
Thompson's duress argument is based on the notion that the Clients signed contingency agreements with Paddick only after he approached them the night before their Third Circuit argument and threatened to not appear. According to
Thompson, "perceiving the impending threat and danger to their appeal," the Clients "were induced into retaining Paddick." Butt Br. 33. These facts render the agreements void, Thompson claims.
The District Court rejected this argument, finding the Clients failed to produce clear and convincing evidence of "a wrongful act or threat by [Paddick] that left the [Clients] no reasonable alternative." Butt, 2018 WL 1991737, at *5 (quoting Seal v. Riverside Fed. Sav. Bank, 825 F. Supp. 686, 695 (E.D. Pa. 1993)). The Court pointed to evidence of a positive relationship between the Clients and Paddick after the Third Circuit argument. It also emphasized that the Clients did not exercise their rights to terminate their agreements with Paddick until over two years after signing them. Finally, after weighing conflicting testimony from the Clients and Paddick as to Paddick's alleged threat to not appear for oral argument, the Court found "Paddick's testimony on this point more credible than that which was offered by the Former Clients." Id. at *6. Because these factual findings were not clearly erroneous, see Fields v. Speaker of Pa. House of Reps., 936 F.3d 142, 149 (3d Cir. 2019), we agree with the District Court that Thompson failed to establish duress by clear and convincing evidence. Cooper v. Oakes, 629 A.2d 944, 948 (Pa. Super. Ct. 1993) ("The proponent of avoiding the agreement then bears the burden of proving . . . duress by clear and convincing evidence." (emphasis omitted)).
2
Even if the agreements were valid when entered, Thompson argues, Paddick is still barred from quantum meruit recovery under the doctrine of unclean hands. Thompson provides a laundry list of alleged missteps Paddick made at various stages of his representation of the Clients. See Butt Br. 34–40. Considered together, Thompson asserts, Paddick's failures bar recovery of fees.
As the District Court aptly noted, "inadequacy in [Paddick's] representation of the [Clients] goes to the amount of quantum meruit recovery." Butt, 2018 WL 1991737, at *14 (quoting Mulholland v. Kerns, 822 F. Supp. 1161, 1170 (E.D. Pa. 1993)). Without "convincing evidence that Paddick ha[d] committed illegal acts in his representation of the Former Clients," Paddick was not barred from reasonable compensation for the value of his services. Id.
Paddick may not have provided the Clients flawless representation. But his acts do not constitute unconscionable conduct such that recovery should be precluded. See, e.g., In re Est. of Pedrick, 482 A.2d 215, 222–23 (Pa. 1984). We agree with the District Court that any such shortcomings in performance go to the amount he deserves under the equitable doctrine of quantum meruit. Imperfect representation does not necessarily bar Paddick from recovery.
B
Thompson's fallback position is that even if Paddick is entitled to fees, they must be paid from the Clients' share of the settlement fund. Under her contingency fee agreement with the Clients, Thompson "limited her liability as substituting counsel for any of Paddick's actions or inactions." Butt Br. 42 (emphasis omitted). Thompson cites the language in her agreements—coupled with the fact Paddick filed his motion against the Clients instead of Thompson—to show that Paddick's fee cannot be taken from Thompson.
In a separate order and opinion following a hearing, the District Court rejected Thompson's argument, holding that the fees must come from Thompson's $133,000. See Paddick v. Butt, 2018 WL 2359401 (E.D. Pa. May 24, 2018). "The consequence of what Thompson would like us to do," the District Court wrote, "would leave her clients with just over . . . half (51%) of their settlement proceeds." Id. at *5. Relying on a Massachusetts Supreme Court case as persuasive authority, the District Court held that Thompson's request was "manifestly unjust," id., because a client "should never be made to pay twice," id. (quoting Malonis v. Harrington, 816 N.E.2d 115, 123 (Mass. 2004)) (District Court's emphasis). 4
For the reasons set forth in the District Court's thorough opinion, we will affirm the Court's order that Paddick's fees must come from Thompson's portion of the settlement fund.
C
Thompson's final argument—that Magistrate Judge Strawbridge "abused his discretion in failing to recuse himself," Butt Br. 46—also fails. 5 Thompson made many accusations of partial behavior in her motion for recusal (and
4 The District Court expressed a similar view during the hearing. See App. 748 ("It is inconceivable to me that any prudent lawyer would not expect that there's a possibility of an attorney lien coming and if there's an attorney lien coming [you must] calculate that [when negotiating your fee].").
5 In May 2017, the parties consented to proceed before United States Magistrate Judge David Strawbridge. See 28 U.S.C. § 636(c)(1).
the accompanying affidavit and brief). On appeal, Thompson focuses on three examples of alleged bias by Magistrate Judge Strawbridge: (1) on a phone call with Thompson and counsel for one of the defendants, he "offered reasons why he was 'frustrated' with Thompson"; (2) he "strongly suggested to Thompson that Paddick would recover [on Paddick's lien] and it would come from her fee"; and (3) he "acted as former clients' advocate throughout the [lien] hearing." Butt Br. 46– 47. 6 When considered together, Thompson concludes, Magistrate Judge Strawbridge's "impartiality might reasonably be questioned" so recusal was required under 28 U.S.C. § 455(a). Butt Br. 47.
The District Court, relying heavily on the Supreme Court's decision in Liteky v. United States, 510 U.S. 540 (1994), disagreed, holding that no "reasonable observer considering the totality of the circumstances would believe that the Court was acting based upon bias, prejudice, or any other improper motive." Butt, 2018 WL 1991737, at *21. Our independent review of the record revealed no evidence of bias by Magistrate Judge Strawbridge. The negative comments he made reflected his views on the merits of Thompson's arguments, not prohibited bias.
As to the first allegation—that the judge expressed frustration with Thompson—the District Court correctly noted:
6 In her Reply Brief, Thompson claims the Court "acted as Paddick's advocate against former clients." Reply Br. 19. Regardless of whether Thompson believed the Court was serving the Clients' or Paddick's interests (or both), her common refrain is that the Court was acting against her interests.
"judicial remarks during the course of a trial that are critical or disapproving of, or even hostile to, counsel . . . ordinarily do not support a bias or partiality challenge," Liteky, 510 U.S. at 555, and do not support such a challenge here. Thompson's second allegation—that the Court suggested Paddick would recover his fee from Thompson—is likewise not grounds for recusal. "[O]pinions formed by the judge on the basis of facts introduced or events occurring in the course of the current proceedings, or of prior proceedings, do not constitute a basis for a bias or partiality motion." Id. A remark as to the perceived strength of the case after a day of testimony would not, to a reasonable observer, "reflect[] a fixed or immovable view about the merits of Paddick's request for a counsel fee." Butt, 2018 WL 1991737, at *20. Finally, Thompson's claim that Judge Strawbridge acted as counsel against her when he questioned witnesses is equally unavailing. "A judge's ordinary efforts at courtroom administration" are "immune" from a recusal challenge. Liteky, 510 U.S. at 556.
The District Court accurately described the governing law set forth in Liteky and correctly applied it here. The Court did not abuse its discretion when it denied Thompson's recusal motion. See Edelstein v. Wilentz, 812 F.2d 128, 131 (3d Cir. 1987).
* * *
For the reasons we have explained, the District Court had ancillary enforcement jurisdiction over the fee dispute between Paddick and Thompson. And because Thompson's other claims lack merit, we will affirm the judgment of the District Court.
|
Service Awards for Research Training, National Institutes of Health, HHS)
Dated: January 5, 2004.
LaVerne Y. Stringfield,
Director, Office of Federal Advisory Committee Policy.
[FR Doc. 04–743 Filed 1–13–04; 8:45 am]
BILLING CODE 4140–01–M
DEPARTMENT OF HEALTH AND HUMAN SERVICES
National Institutes of Health
Center for Scientific Review; Notice of Closed Meetings
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice is hereby given of the following meetings.
The meetings will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
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Agenda:
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This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
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Frm 00043 Fmt 4703 Sfmt 4703 E:\FR\FM\14JAN1.SGM 14JAN1
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Time: 8 a.m. to 1 p.m.
Agenda: To review and evaluate grant applications.
Place: The Fairmont Washington, 2401 M Street, NW., Washington, DC 20037.
Contact Person: Sandy Warren, DMD, MPH, Scientific Review Administrator, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 5134, MSC 7840, Bethesda, MD 20892. (301) 435–1019; firstname.lastname@example.org.
Name of Committee: Risk, Prevention and Health Behavior Integrated Review Group, Psychosocial Development, Risk and Prevention Study Section.
Date: February 12–13, 2004.
Time: 8 a.m. to 6 p.m.
Agenda: To review and evaluate grant applications.
Place: Holiday Inn Georgetown, 2101 Wisconsin Avenue, NW., Washington, DC 20007.
Contact Person: Victoria S. Levin, MSW, Scientific Review Administrator, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3172, MSC 7848, Bethesda, MD 20892. (301) 435– 0912; email@example.com.
Name of Committee: Endocrinology, Metabolism, Nutrition and Reproductive Sciences Integrated Review Group, Nutrition Study Section.
Date: February 12–13, 2004.
Time: 8:30 a.m. to 3 p.m.
Agenda: To review and evaluate grant applications.
Place: Hyatt Regency Bethesda, One Bethesda Metro Center, 7400 Wisconsin Avenue, Bethesda, MD 20814.
Contact Person: Sooja K. Kim, Phd. RD, Scientific Review Administration, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 6182, MSC 7804, Bethesda, MD 20892. (301) 435– 1780.
Name of Committee: Center for Scientific Review Special Emphasis Panel, CommunityLevel Health Promotion—Non-Interventions.
Date: February 12–13, 2004.
Time: 9 a.m. to 3 p.m.
Agenda: To review and evaluate grant applications.
Place: The Washington Terrace, 1515 Rhode Island Ave., NW., Washington, DC 20005.
Contact Person: Ellen K. Schwartz, EDD, Scientific Review Administrator, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3168, MSC 7770, Bethesda, MD 20892. (301) 435– 0681; firstname.lastname@example.org.
Name of Committee: Biobehavioral and Behavioral Processes Initial Review Group, Biobehavioral Mechanisms of Emotion, Stress and Health Study Section.
Date: February 12–13, 2004.
Time: 9 a.m to 5 p.m. Agenda: To review and evaluate grant applications.
Place: St. Gregory Hotel, 2033 M Street, NW., Washington, DC 20036.
Frm 00044 Fmt 4703 Sfmt 4703 E:\FR\FM\14JAN1.SGM 14JAN1
Contact Person: Thomas A. Tatham, PhD, Scientific Review Administrator, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3178, MSC 7848, Bethesda, MD 20892. (301) 594– 6836; email@example.com.
Name of Committee: Health of the Population Integrated Review Group, Community-Level Health Promotion Study Section.
Date: February 12–13, 2004.
Time: 9 a.m. to 5 p.m.
Agenda:
To review and evaluate grant applications.
Place: Holiday Inn Select Bethesda, 8120 Wisconsin Ave., Bethesda, MD 20814. Contact Person: Bob Weller, PhD, Scientific Review Administrator, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3160, MSC 7770, Bethesda, MD 20892. (301) 435– 0694; firstname.lastname@example.org.
Name of Committee: Health of the Population Integrated Review Group, Epidemiology of Chronic Diseases Study Section.
Date: February 12–13, 2004.
Time: 9 a.m. to 4 p.m.
Agenda:
To review and evaluate grant applications.
Place: Holiday Inn Select Bethesda, 8120 Wisconsin Ave., Bethesda, MD 20814.
Contact Person: Scott Osborne, MPH, PhD, Scientific Review Administrator, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 4114, MSC 7816, Bethesda, MD 20892. (301) 435– 1782; email@example.com.
Name of Committee: Endocrinology, Metabolism, Nutrition and Reproductive Sciences Integrated Review Group, Biochemical Endocrinology Study Section.
Date: February 13, 2004.
Time: 8 a.m. to 5 p.m.
Agenda: To review and evaluate grant applications.
Place: Holiday Inn Select Bethesda, 8120 Wisconsin Ave, Bethesda, MD 20814.
Contact Person: Michael Knecht, PhD, Scientific Review Administrator, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 6176, MSC 7892, Bethesda, MD 20892. (301) 435– 1046.
Name of Committee: Center for Scientific Review Special Emphasis Panel, F10 (29L): Minority Disability F31'S: Physiology and Pathology.
Date: February 13, 2004.
Time: 9 a.m. to 5 p.m.
Agenda: To review and evaluate grant applications.
Place: The Governor's House Hotel, 1615 Rhode Island Avenue, NW., Washington, DC 20036.
Contact Person: Peter J. Perrin, PhD, Scientific Review Administrator, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 2183, MSC 7818, Bethesda, MD 20892. (301) 435– 0682; firstname.lastname@example.org.
Name of Committee: Center for Scientific Review Special Emphasis Panel, ZRG1 SRB– J 50R:PAR03–032:Bioengineering Research Partnerships.
Date: February 13, 2004. Time: 2 p.m. to 5 p.m. Agenda: To review and evaluate grant applications.
Place: Catamaran Resort Hotel, 3999
Mission Boulevard, San Diego, CA 92109. Contact Person: Behrouz Shabestari, PhD, Scientific Review Administrator, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 5106, MSC 7854, Bethesda, MD 20892. (301) 435– 2409; email@example.com.
Name of Committee: Center for Scientific Review Special Emphasis Panel, ZRG1 SRB– J 50R:PAR03–032:Bioengineering Research Partnerships.
Date: February 13, 2004.
Time: 5 p.m. to 5:30 p.m.
Agenda:
To review and evaluate grant applications.
Place: Catamaran Resort Hotel, 3999
Mission Boulevard, San Diego, CA 92109.
Contact Person: Behrouz Shabestari, PhD, Scientific Review Administrator, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 5106, MSC 7854, Bethesda, MD 20892. (301) 435– 2409; firstname.lastname@example.org.
(Catalogue of Federal Domestic Assistance Program Nos. 93.306, Comparative Medicine; 93.333, Clinical Research, 93.306, 93.333, 93.337, 93.393–93.396, 93.837–93.844, 93.846–93.878, 93.892. 93.893, National Institutes of Health, HHS.)
Dated: January 7, 2004.
LaVerne Y. Stringfield,
Director, Office of Federal Advisory Committee Policy.
[FR Doc. 04–736 Filed 1–13–04; 8:45 am]
BILLING CODE 4140–01–M
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Substance Abuse and Mental Health Services Administration
Agency Information Collection Activities: Proposed Collection; Comment Request
In compliance with section 3506(c)(2)(A) of the Paperwork Reduction Act of 1995 concerning opportunity for public comment on proposed collections of information, the Substance Abuse and Mental Health Services Administration will publish periodic summaries of proposed projects. To request more information on the proposed projects or to obtain a copy of the information collection plans, call the SAMHSA Reports Clearance Officer on (301) 443–7978.
Comments are invited on: (a) Whether the proposed collections of information are necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (b) the accuracy of the agency's estimate of the burden of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology.
Proposed Project: Confidentiality of Alcohol and Drug Abuse Patient Records—(OMB No. 0930–0092, extension, no change)—Statute (42 U.S.C. 290dd–2) and regulations (42 CFR part 2) require federally conducted, regulated, or directly or indirectly assisted alcohol and drug abuse programs to keep alcohol and drug abuse patient records confidential. Information requirements are (1) written disclosure to patients about Federal laws and regulations that protect the confidentiality of each patient, and (2) documenting ''medical personnel'' status of recipients of a disclosure to meet a medical emergency. The annual burden estimates for these requirements are summarized in the table below.
| Disclosure, 42 CFR 2.22 ................................................................................. Recordkeeping, 42 CFR 2.51 .......................................................................... Total .......................................................................................................... | 11,250 11,250 | 130 2 | .175 .170 |
|---|---|---|---|
| | 11,250 | ........................ | ........................ |
VerDate jul<14>2003 14:29 Jan 13, 2004 Jkt 203001 PO 00000 Frm 00045 Fmt 4703 Sfmt 4703 E:\FR\FM\14JAN1.SGM 14JAN1
|
Ambedkar University Delhi Office of the Dean Student Services Candidates Shortlisted for Interview MA Environment and Development
The following candidates have been shortlisting to appear in the interview for MA in Environment and Development. The interviews for the shortlisted candidates will take place on 23 rd and 24 th November via ZOOM Video Conferencing Tool. The ZOOM link for interview will be sent to the candidate's registered e-mail ID. The candidates are requested to keep the entrance Admit Card and a photo identity proof for the purpose of verification. While appearing for the interview, it is mandatory for the candidate to switch on their video. The details of the contact person are given below, in case of difficulty in accessing the Interview link, the candidates can contact the following person.
Contact E-mail: email@example.com and firstname.lastname@example.org
Contact Telephone: 011-23864876 and +91-7982907983 [Please call only during office
hours; between 9 AM and 5:30 PM on 23
rd
and 24
th
November]
| SL No. | Application No. | Roll No. | Name of the Candidate | Day/ Date/ Time |
|---|---|---|---|---|
| 1 | 2020PG00005909 | 20100085 | JENTHAILUNG KAMEI | Monday, 23rd November, 9:30 to 10:30 AM |
| 2 | 2020PG00006078 | 20100198 | SAMARTH LAKRA | |
| 3 | 2020PG00006194 | 20100001 | AADYA KALIA | |
| 4 | 2020PG00005799 | 20100265 | U A S | |
| 5 | 2020PG00006246 | 20100235 | SONAM SAROHA | Monday, 23rd November, 10:30 to 11:30 AM |
| 6 | 2020PG00000667 | 20100007 | AKANSHA RAWAT | |
| 7 | 2020PG00006201 | 20100014 | AMIT KUMAR | |
| 8 | 2020PG00005181 | 20100004 | ABHISHEK ANAND | |
| 9 | 2020PG00006107 | 20100021 | ANMOL UTTAM | Monday, 23rd November, 12:00 to 1:00 PM |
| 10 | 2020PG00006464 | 20100022 | ANSHUL | |
| 11 | 2020PG00000738 | 20100023 | ANUJ KUMAR GUPTA | |
| 12 | 2020PG00004288 | 20100026 | ANUSHREE OJHA | |
| 13 | 2020PG00000448 | 20100027 | APOORVA JHA | |
| 14 | 2020PG00004708 | 20100030 | ARUNDHUTI DEY | |
| 15 | 2020PG00005614 | 20100031 | ARUSHI SHARMA | |
| 16 | 2020PG00005098 | 20100034 | AVNEET KAUR | |
SL No. Application No. Roll No. Name of the
Day/ Date/ Time Panel
| 18. | 2020PG00005469 | 20100038 | BHAWNA TANWAR | |
|---|---|---|---|---|
| 19 | 2020PG00000874 | 20100041 | CHAYANIKA BHARADWAJ | Monday, 23rd November, 4:00 PM to 5:00 PM |
| 20 | 2020PG00005833 | 20100148 | PAVITHRA CHANDRASEKAR | |
| 21 | 2020PG00003423 | 20100171 | PURNABHA | |
| 22 | 2020PG00004075 | 20100063 | FAHIYA FAHMIN CHOUDHURY | |
| 23 | 2020PG00003997 | 20100221 | SHREYA ROY CHOWDHURY | Monday, 23rd November, 9:30 to 10:30 AM |
| 24 | 2020PG00004183 | 20100042 | DAMNAM JINI | |
| 25 | 2020PG00000351 | 20100237 | SRISTI DAS | |
| 26 | 2020PG00001565 | 20100044 | DEBORAH MC | |
| 27 | 2020PG00006206 | 20100049 | DEVANSHI SRIVASTAVA | Monday, 23rd November, 10:30 to 11:30 AM |
| 28 | 2020PG00003364 | 20100048 | DEV DARSHAN MAHANTA | |
| 29 | 2020PG00001921 | 20100055 | DISHA DAS | |
| 30 | 2020PG00005276 | 20100052 | DIKSHA PUNIA | |
| 31 | 2020PG00001057 | 20100060 | EKSHA CHADALAVADA | Monday, 23rd November, 12:00 to 1:00 PM |
| 32 | 2020PG00003262 | 20100061 | EKTA | |
| 33 | 2020PG00004217 | 20100125 | MUSKAN ARYA | |
| 34 | 2020PG00001558 | 20100064 | GAURAV UPPAL | |
| 35 | 2020PG00003873 | 20100045 | DECHEN CHODEN GONSARPA | Monday, 23rd November, 2:00 PM to 3:30 PM |
| 36 | 2020PG00003335 | 20100065 | GEETA BHARDWAJ | |
| 37 | 2020PG00000986 | 20100201 | SANGHAMITHRA E P | |
| 38 | 2020PG00000535 | 20100067 | GUNJANA BORUAH | |
| 39 | 2020PG00002843 | 20100243 | SUMIT PRAKASH | |
| 40 | 2020PG00005533 | 20100223 | SHRISHTI SINGH | |
| 41 | 2020PG00004642 | 20100094 | KARTIK KUMAR | Monday, 23rd November, 4:00 PM to 5:00 PM |
| 42 | 2020PG00004911 | 20100187 | RITTIKA CHOUDHRY | |
| 43 | 2020PG00005595 | 20100077 | INDU PERIODI | |
| 44 | 2020PG00003148 | 20100084 | JAYA SINGH | |
| 45 | 2020PG00002061 | 20100090 | JYOTSNA JITANI | |
| 46 | 2020PG00005924 | 20100087 | JYOTI PAL | |
| 47 | 2020PG00000245 | 20100089 | JYOTI PUNIA | |
SL No. Application No. Roll No. Name of the
Day/ Date/ Time Panel
| 49. | 2020PG00000410 | 20100102 | LAXMAN KUMAR RAJAK | Monday, 23rd November, 10:30 to 11:30 AM |
|---|---|---|---|---|
| 50. | 2020PG00000550 | 20100105 | MAHIMA SHARMA | |
| 51. | 2020PG00004701 | 20100112 | MANSI RANA | |
| 52. | 2020PG00002043 | 20100113 | MANSI RAY | |
| 53. | 2020PG00003096 | 20100114 | MARIAM FATIMA | Monday, 23rd November, 12:00 to 1:00 PM |
| 54. C | 2020PG00001251 | 20100144 | PANKI PHUTANI MEPO | |
| 55. | 2020PG00000010 | 20100106 | MAITRI GAUTAM | |
| 56. | 2020PG00004070 | 20100116 | MAYANK KUMAR CHAUHAN | |
| 57. | 2020PG00004986 | 20100096 | KHUSHBOO | Monday, 23rd November, 2:00 PM to 3:30 PM |
| 58. | 2020PG00005552 | 20100123 | MUSKAAN ARORA | |
| 59. | 2020PG00003197 | 20100126 | MUSKAN | |
| 60. | 2020PG00006552 | 20100191 | S NAGARAJU | |
| 61. | 2020PG00003287 | 20100130 | NAMITA TIWARI | |
| 62. | 2020PG00005581 | 20100059 | DURGESH NANDANI | |
| 63. | 2020PG00005085 | 20100131 | NATASHA CHOUDHARY | Monday, 23rd November, 4:00 PM to 5:00 PM |
| 64. | 2020PG00001153 | 20100132 | NEELOTPAL SHUBHAM | |
| 65. | 2020PG00001427 | 20100133 | NEERAJ BRAHMA BORO | |
| 66. | 2020PG00001165 | 20100138 | NILOTPAL ADITYA | |
| 67. | 2020PG00005947 | 20100035 | AYUSH PAL | Tuesday, 24th November, 9:30 to 10:30 AM |
| 68. | 2020PG00005983 | 20100143 | PALLAVI PATEL | |
| 69. | 2020PG00001316 | 20100247 | SURBHI PAREEK | |
| 70. | 2020PG00003459 | 20100145 | PARIDHI NEGI | |
| 71. | 2020PG00001801 | 20100146 | PARIVARTAN PANDIA | Tuesday, 24th November, 10:30 to 11:30 AM |
| 72. | 2020PG00004250 | 20100074 | HIMANSHU PATARIYA | |
| 73. | 2020PG00000021 | 20100150 | PRACHI SINGH | |
| 74. | 2020PG00002833 | 20100155 | PRAKRITI PILANIA | |
| 75. | 2020PG00000220 | 20100156 | PRAKSHI VERMA | Tuesday, 24th November, 12:00 to 1:00 PM |
| 76. | 2020PG00001242 | 20100159 | PRASHANT SEHRAWAT | |
| 77. | 2020PG00004026 | 20100162 | PRERNA | |
| 78. | 2020PG00004598 | 20100163 | PRERNA SHAHARWAL | |
| 79. | 2020PG00002778 | 20100168 | PRIYANSHI | |
| 80. | 2020PG00006342 | 20100196 | SAKSHI PURI | |
SL No. Application No. Roll No. Name of the
Day/ Date/ Time Panel
| 82. | 2020PG00001954 | 20100032 | ASHISH RAJ | | |
|---|---|---|---|---|---|
| 83 | 2020PG00002607 | 20100212 | SHIBANGI BHATTACHARYA | | |
| 84 | 2020PG00002685 | 20100248 | SWATI | | |
| 85 | 2020PG00006070 | 20100174 | RAHUL KUMAR | Tuesday, 24th November, 9:30 to 10:30 AM | B |
| 86 | 2020PG00002800 | 20100189 | ROOPAM SINGH | | |
| 87 | 2020PG00006341 | 20100188 | ROBIN SINGH | | |
| 88 | 2020PG00002176 | 20100178 | RAZZAQ R YOUHANA | | |
| 89 | 2020PG00003760 | 20100193 | SABIHA SABNAM | Tuesday, 24th November, 10:30 to 11:30 AM | B |
| 90 | 2020PG00001969 | 20100070 | HARSHITA SHARMA | | |
| 91 | 2020PG00000101 | 20100205 | SHABNAM HUSSAIN | | |
| 92 | 2020PG00001850 | 20100206 | SHAIJU SHARAF | | |
| 93 | 2020PG00001592 | 20100210 | SHEILJA THAKUR | Tuesday, 24th November, 12:00 to 1:30 PM | B |
| 94 | 2020PG00006548 | 20100149 | PERKA SHIVAJI | | |
| 95 | 2020PG00003303 | 20100218 | SHIVI MAURYA | | |
| 96 | 2020PG00006109 | 20100222 | SHREYA BANERJEE | | |
| 97 | 2020PG00005831 | 20100230 | SIDDHANT GAUTAM | | |
| 98 | 2020PG00006222 | 20100231 | SIDDHARTH | | |
| 99 | 2020PG00001682 | 20100213 | SHIKHA SINGH | Tuesday, 24th November, 4:30 to 5:30 PM | B |
| 100 | 2020PG00005940 | 20100013 | AMAN S MASIH | | |
| 101 | 2020PG00006235 | 20100220 | SHREYA MEHRA | | |
| 102 | 2020PG00001840 | 20100233 | SNEHA BORA | | |
| 103 | 2020PG00002725 | 20100234 | SONAL | Tuesday, 24th November, 9:30 to 10:30 AM | C |
| 104 | 2020PG00002665 | 20100225 | SHRUTI SHARMA | | |
| 105 | 2020PG00000295 | 20100175 | RAJNI PAL | | |
| 106 | 2020PG00004368 | 20100240 | SUHAIL HAIDER | | |
| 107 | 2020PG00000081 | 20100245 | SURABHI BAIJAL | Tuesday, 24th November, 10:30 to 11:30 AM | C |
| 108 | 2020PG00004097 | 20100249 | SWEETY SINGH | | |
| 109 | 2020PG00000707 | 20100209 | SHEETAL YUMNAM | | |
| 110 | 2020PG00005336 | 20100255 | TANYA | | |
| 111 | 2020PG00001371 | 20100258 | TARUSHI JADON | Tuesday, 24th November, 12:00 to 1:00 PM | C |
| 112 | 2020PG00000203 | 20100260 | TEESTA SHUKLA | | |
| 113 | 2020PG00003239 | 20100261 | THONJILIU | | |
| 114 | 2020PG00000900 | 20100251 | TADDO TAYENG | | |
| 115 | 2020PG00006487 | 20100266 | UDBHAV MISHRA | | |
| 116 | 2020PG00005535 | 20100271 | VAGISH | | |
| 117 | 2020PG00004397 | 20100273 | VAIBHAV RAJ | | |
| 118 | 2020PG00003093 | 20100278 | VIDUSHI VISEN | | |
| 119 | 2020PG00006550 | 20100280 | VISHAL SAHARAN | | |
|
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This book presents a practical approach to pro-environmental challenges faced by companies in the process of restructuring. It contains a broad variety of case studies from different economic sectors, and small and large businesses, in four European countries: Ukraine, Romania, Germany and Poland. The studies are the results of surveys of companies that had either already restructured or were planning to, and reveal both the weaknesses and strengths in these practices. The book is divided into three parts: explorations of how political and legal factors are embedded in a company's strategy and how they influence the company's behaviour; analyses of companies' activities on matching restructuring with ecology; and approaches to ecoinnovations within the companies. The case studies throughout the book show that the restructuring of a company is an opportunity for the implementation
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of proecological action and "green" business models. The authors trust that the experiences and good practices of others will prove valuable both for future businessmen (i.e. students), but also for academics and representatives of local government, central environmental agencies, owners and managers of enterprises to be restructured.
The threat from the degradation of materials in the engineered products that drive our economy, keep our citizenry healthy, and keep us safe from terrorism and belligerent threats has been well documented over the years. And yet little effort appears to have been made to apply the nation's engineering community to developing a better understanding of corrosion and the mitigation of its effects. The engineering workforce must have a solid understanding of the physical and chemical bases of corrosion, as well as an understanding of the engineering issues surrounding corrosion and corrosion abatement. Nonetheless, corrosion engineering is not a required course in the curriculum of most bachelor degree programs in MSE and related engineering fields, and in many programs, the subject is not even available. As a result, most bachelor-level graduates of materials- and design-related programs have an inadequate background in corrosion engineering principles and practices. To combat this problem, the book makes a number of short- and long-term recommendations to industry and government agencies, educational institutions, and communities to increase education and awareness, and ultimately give the incoming workforce the knowledge they need.
The Latest Methods for Preventing and Controlling Corrosion in All Types of Materials and Applications Now you can turn to Corrosion Engineering for expert coverage of the theory and current practices you need to understand water, atmospheric, and high-temperature corrosion processes. This comprehensive resource explains step-by-step how to prevent and control corrosion in all types of metallic materials and applications-from steel and aluminum structures to pipelines. Filled with 300 illustrations, this skills-building guide shows you how to utilize advanced inspection and monitoring methods for corrosion problems in infrastructure, process and food industries, manufacturing, and military industries. Authoritative and complete, Corrosion Engineering features: Expert guidance on corrosion prevention and control techniques Hands-on methods for inspection and monitoring of corrosion problems New methods for dealing with corrosion A review of current practice, with numerous examples and calculations Inside This Cutting-Edge Guide to Corrosion Prevention and Control • Introduction: Scope and Language of Corrosion • Electrochemistry of Corrosion • Environments: Atmospheric Corrosion • Corrosion by Water and Steam • Corrosion in Soils • Reinforced Concrete • High-Temperature Corrosion • Materials and How They Corrode: Engineering Materials • Forms of Corrosion • Methods of Control: Protective Coatings • Cathodic Protection • Corrosion Inhibitors • Failure Analysis and Design Considerations • Testing and Monitoring: Corrosion Testing and Monitoring
Ductile iron pipe (DIP) was introduced about 50 years ago as a more economical and better-performing product for water transmission and distribution. As with iron or steel pipes, DIP is subject to corrosion, the rate of which depends on the environment in which the pipe is placed. Corrosion mitigation protocols are employed to slow the corrosion process to an acceptable rate for the application. When to use corrosion mitigation systems, and which system, depends on the corrosivity of the soils in which the pipeline is buried. The Bureau of Reclamation's specification for DIP in highly corrosive soil has been contested by some as an overly stringent requirement, necessitating the pipe to be modified from its as-manufactured state and thereby adding unnecessary cost to a pipeline system. This book evaluates the specifications in question and presents findings and recommendations. Specifically, the authoring committee answers the following questions: Does polyethylene encasement with cathodic protection work on ductile iron pipe installed in highly corrosive soils? Will polyethylene encasement and cathodic protection reliably provide a minimum service life of 50 years? What possible alternative corrosion mitigation methods for DIP would provide a service life of 50 years?
David A. Scott provides a detailed introduction to the structure and morphology of ancient and historic metallic materials. Much of the scientific research on this important topic has been inaccessible, scattered throughout the international literature, or unpublished; this volume, although not exhaustive in its coverage, fills an important need by assembling much of this information in a single source. Jointly published by the GCI and the J. Paul Getty Museum, the book deals with many practical matters relating to the mounting, preparation, etching, polishing, and microscopy of metallic samples and includes an account of the way in which phase diagrams can be used to assist in structural interpretation. The text is supplemented by an extensive number of microstructural studies carried out in the laboratory on ancient and historic metals. The student beginning the study of metallic materials and the conservation scientist who wishes to carry out structural studies of metallic objects of art will find this publication quite useful.
This book offers a diversification model of transplanted languages that facilitates the exploration of external factors and internal changes. The general context is the New World and the variety that unfolded in the Central Highlands and the Gulf of Mexico, herein identified as Mexican Colonial Spanish (MCS). Linguistic corpora provide the evidence of (re)transmission, diffusion, metalinguistic awareness, and select focused variants. The tridimensional approach highlights language data from authentic colonial documents which are connected to socio-historical reliefs at particular periods or junctions, which explain language variation and the dynamic outcome leading to change. From the Second Letter of Hernán Cortés (Seville 1522) to the decades preceding Mexican Independence (1800-1821) this book examines the variants transplanted from the peninsular tree into Mesoamerican lands: leveling of sibilants of late medieval Spanish, direct object (masc. sing.] pronouns LO and LE, pronouns of address (vos, tu, vuestra merced plus plurals), imperfect subjunctive endings in -SE and -RA), and Amerindian loans. Qualitative and quantitative analyses of variants derived from the peninsular tree show a gradual process of attrition and recovery due to their saliency in the new soil, where they were identified with ways of speaking and behaving like Spanish speakers from the metropolis. The variants analyzed in MCS may appear in other regions of the Spanish-speaking New World, where change may have proceeded at varying or similar rates. Additional variants are classified as optimal residual (e.g. dizque) and popular residual (e.g. vide). Both types are derived from the medieval peninsular tree, but the former are vital across regions and social strata while the latter may be restricted to isolated and / or marginal speech communities. After one hundred years of study in linguistics, this book contributes to the advancement of newer conceptualization of diachrony, which is concerned with the development and evolution through history. The additional sociolinguistic dimension offers views of social significant and its thrilling links to social movements that provoked a radical change of identity. The amplitude of the diversification model is convenient to test it in varied contexts where transplantation occurred.
Twenty years after its first publication, Corrosion Science and Technology continues to be a relevant practical guide for students and professionals interested in material science. This Third Edition thoroughly covers the basic principles of corrosion science in the same reader-friendly manner that made the previous edition invaluable, and enlarges the scope of the content with expanded chapters on processes for various metals and new technologies for limiting costs and metal degradation in a variety of commercial enterprises not explored in previous editions. This book also presents expertly developed methods of corrosion testing and prediction.
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WORKING WITH THE PRIVATE SECTOR: guidelines for LSHTM staff
June 2001
Introduction
In the face of increasing public sector collaboration with the private sector, an ad hoc group 1 of London School of Hygiene and Tropical Medicine staff has been considering what principles should guide staff in such collaborations. These guidelines 2 have been drawn up by Gill Walt, Ruairi Brugha and Barbara Judge, in response to the increasing opportunities for LSHTM staff to undertake research in collaboration with the private commercial sector.
While recognising the support and intellectual stimulation that might occur from such partnerships, staff are concerned to avoid arrangements that might compromise the School's intellectual principles, freedom of enquiry and public mission. These draft guidelines lay out some of the issues staff may want to consider before embarking on working with the private sector.
An appendix of experiences of staff provides additional insight into some of the positive aspects of collaborations, as well as some of the concerns.
It would be helpful to get feedback from those who have had some experience with industry collaboration in research, to see how far these guidelines might or might not have been helpful, and what amendments should be considered. Please address comments and suggestions to Gill Walt, Ruairi Brugha or Barbara Judge.
1 Ruairi Brugha, David Bradley, Steve Bennett, Simon Croft, Liz Corbett, Val Curtis, Alison Grant, Heiner Grosskurth, Andy Haines (the Dean) Kara Hanson, Shabbar Jaffar, Barbara Judge, Jo Lines, Ruth McNerney, Sylvia Meek, John Porter, Peter Smith, Neil Stoker, Gill Walt, Deborah WatsonJones, Gill Walt, Brendan Wren
2 These Guidelines are based on information from a number of different sources: An Approach to Public Health Agency Collaboration with Private Industry (Marks and the Industry Guidelines Working Group, Centers for Disease Control, Atlanta) 1999; Research Participation Agreements, Stanford University (http://corporate.stanford.edu/research/biotech/rpa.html) 2001; Faculty of Medicine statement on Research Sponsored by Industry, Harvard University, (http://www/hms.harvard.edu/integrity/industry.html) 2001; Procedures implementing Board of Regents Policy on Conflicts of Interest in Research or Development; Guidelines on working with the private sector, World Health Organisation 2000. A number of universities in the UK were contacted by telephone (Cambridge, Oxford, Nottingham) but none had any formal guidelines.
Preamble
The mission of the School is to contribute to the improvement of health worldwide through the pursuit of excellence in research, postgraduate teaching, advanced training and consultancy in international public health and tropical medicine. In working towards its mission, the School collaborates with many different organisations, and bases its relationships with other organisations on principles which promote sound, and independent science; proper use and stewardship of all funds; and benefits to society that are greater than those to the School alone.
Pre-requisites to considering a collaboration
1. LSHTM should be clear about how the potential collaboration fits within its overall mission and priorities, and consider the following issues:
* The centrality of the project to LSHTM's research goals and priorities.
* Initiation, whether internal or external, may influence the control and direction of the project. [For example, Stanford University differentiates between collaborations where the intellectual direction of the research comes from the private sector, with the staff member overseeing the project; and collaborations where university staff initiate the partnership].
* The advantages (explicit and implicit) to the private sector partner of working with LSHTM.. Are these compatible with LSHTM's mission? Is a collaboration likely to involve reciprocal action by LSHTM that would be incompatible with the School's mission?
* The use of resources (especially staff time – inputs) and the extent to which they are fully recoverable. Will the likely outputs (quality of the research, publications etc) justify LSHTM's investment?
2. LSHTM must be comfortable with the partner's broad mission and public image, and potential public health impact, not just in the area of mutual interest. For controversial issues, multiple collaborators should be sought, to represent a broad spectrum of opinions and interests. In most cases, it is desirable to avoid collaborations with a single partner, especially where a corporate sponsor is supporting the major portion of a staff member's research.
◊ Core standards on labour relations, especially with regard to ethical standards and management of work-forces in developing countries
* While the partnership will share a common goal, there will be other aspects of the partner's activities that are not necessarily shared. It will be worth reviewing the overall activities and perception of the partner in deciding the appropriateness of the collaboration. Companies might be asked to provide information on social responsibility. Criteria might include
◊ Worker health and safety standards
◊ Social, ethical and environmental principles
◊ Public relations activities, and the amount of resources allocated to such activities (although this is a difficult criterion, it might give an indication of how important image is, or what might be expected from researchers – meeting the press for example)
◊ A review of the public face of the company, for example on company web-sites, and consultation with others, for example a LSHTM review body (see 7 and 8), may provide additional perspectives.
3. LSHTM should avoid participating in indirect collaboration unless it is comfortable with a direct relationship with the partners
* Indirect relations may occur when LSHTM serves as an advisory group for another project in which LSHTM does not directly participate. There may be advantages to indirect relationships, for example, as a way of maintaining scientific independence, but these should be entered into with open eyes. They should be subject to the same criteria as for entering a direct collaboration. As is the case in some of the new global public-private partnerships, advisory roles that involve multiple collaborators including international health agencies entail less risk than indirect single-partner collaborations.
4. LSHTM should not work directly or indirectly with companies whose activities or interests threaten public health, but will need to decide where to draw the line. While the examples below may be absolutely unacceptable, there may be others that require careful consideration and discussion:
* Arms dealing or manufacturing
* Tobacco and tobacco related products
Terms and conditions of contracts
5. Independence and objectivity of scientific judgement should be paramount, and should be considered in relation to scientific independence and utilisation of outputs (including conferences, publications and intellectual property rights). Issues to be considered and formally agreed include the following:
* LSHTM will control decisions with regard to publication, dissemination of results and materials. The form of such agreements will need to be made with companies, to allow them to comment on or ask for changes, or delays, in publications and written documents. It may be necessary to agree pre-conditions about anonymisation of commercial entities. [eg Harvard says 'With principal investigator approval, sponsors may be given an advance period of 30 days to review manuscripts before they are submitted for publication …if necessary to permit the preparation and filing of patent applications before publication, the principal investigator may agree to delay submission for an additional period of up to 30 days. Agreements with industry may not otherwise restrict the rights of investigators to publish their findings nor to communicate their research results freely….']. It may be necessary to negotiate over the number of days, but this should be done before contracts are signed.
* LSHTM would have control over the research design, implementation and data analysis, in order to defend the work scientifically.
* LSHTM will only agree to keeping information from industry sponsors confidential when all partners agree that it is appropriate to do so.
* LSHTM staff should always acknowledge any relations with partners in publications and other material.
* LSHTM will have control over messages – review and approve any public statements or dissemination about the project, its findings and implications.
* Consideration and agreements will be drawn up regarding patents, intellectual property rights. See paper by Professor Paul Kaye and group entitled Intellectual property: options for the future.
Agreement on these issues should be made in advance and form part of a signed contract. Once in the public domain reports and publications will be subject to the normal scientific debate and media scrutiny.
6. Private partners should be informed that the relationship will be made a matter of public record
* LSHTM must ensure that any stand taken on issues of public health importance is not in any way compromised by other interests or activities of the private sector partner.
* To meet the highest standards of conduct, both LSHTM and partners must be comfortable with disclosing the nature of the relationship in the public domain.
* LSHTM staff should always seek advice from the Head of Department and Dean, and be prepared to declare any financial gain, current or future, potential or actual, resulting from the collaboration, except where it is part of School policy (eg in relation to consultancy fees).
* LSHTM should assess how any collaboration might be portrayed by the media, and whether this might be damaging to the School's reputation.
* LSHTM should assess how its name will be used, and whether such usage is consistent with the School's mission and public role. Both partners should agree how the collaboration might be publicised, and LSHTM should have the opportunity to review and approve if and how its name might be used.
* Questions around endorsements of products must be identified early, negotiated and agreed. Normally LSHTM, as an institution, does not endorse specific products.
7. Mechanisms should be put in place to protect independence and objectivity
* The current group (see names at the end) should be called upon to advise on, or oversee collaborations where requested, and act as an appeal body in case of disagreement.
LSHTM Screening and Monitoring Procedures
8. Potential collaborations should be reviewed and monitored using existing processes – through an amendment to the Pink Form, which shows that the chief investigator has read these guidelines. LSHTM researchers embarking on partnerships should draw on the ad hoc group to:
* Advise staff on the negotiable and non-negotiable terms and conditions for such a collaboration
* Examine the proposed collaborations and advise LSHTM staff on whether the partner fulfils the pre-requisites for a collaboration with LSHTM
* Review the proposed collaboration, prior to LSHTM entering into a contract
Appendix: Staff experiences working with the private sector
Some members of staff have been involved in research collaborations with industry in a variety of different projects. The points below come from short extracts describing experiences (from Alison Grant, Liz Corbett; Jo Lines, Kara Hanson, Sylvia Meek; Steve Bennett; David Bradley; Ruth McNerney; Debby Watson-Jones; Brendan Wren; Simon Croft; Neil Stoker and Shabbar Jaffar). The large majority have been positive, but some have posed restrictions, or had negative effects. In reviewing these different experiences, a number of broader concerns were raised.
* The positive aspects of collaborations with the private sector mentioned included
* Rapid implementation of interventions perceived to be valuable;
* New opportunities to tackle research problems relevant to developing countries, but with unusually good infrastructure and data systems;
* Professional, accommodating, and rapid two-way communication;
* Fast turnaround of decisions and contracts.
* Opening up of research opportunities in companies allied to the original;
Concerns were expressed around the following experiences
* Attempts by the company to dictate the research agenda
* Potential conflicts of interest, leading to delays, and withdrawal of companies
* Some blurring of the line between research and implementation
* Dishonest dealings over patents
* Inaccurate claims made for a diagnostic test
* Unauthorised use of individual staff and the School's name
* Attempts to restrict dissemination of work done at the School, but funded by other bodies
* Dispute over Intellectual Property Rights (IPR)
* Huge amounts of time in meetings giving help and expertise, all unpaid
Potential dilemmas were expressed about the following
* A lack of clarity with regards to who owns IPR and what the expected deliverables are (especially in case of students)
* Under what circumstances it is legitimate to accept or seek pharmaceutical funding
* Understanding what the motivations are of companies funding the research
* What confidentiality issues are legitimate in restricting presentations (internal seminars) and publications
* Under what circumstances payments to staff, or staff shares in small companies were legitimate
* Small companies are often less professional and less experienced in setting the boundaries for collaboration
For future collaborations, staff should review this document, and contact members of the ad hoc group where they feel the need to discuss the implications of any potential collaboration. See footnote on page 1 of the Guidelines for the names of members of the ad hoc group.
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Price Guide
Effective from: 1.7.2021
To check whether this Price Guide applies to you, please visit three.co.uk/paygSIM
Contents
How to contact us
About this Price Guide
3
Your rights – complaints
3
31
About this Price Guide
This Price Guide defines the prices of our Pay As You Go services, details of which can be found at three.co.uk/paygSIM.
This Price Guide is effective from the date of publication. In the event of a difference between this Price Guide and the information published elsewhere, other than the customer terms, this Price Guide will take precedence.
Our customer terms may be found online at three.co.uk/paygSIM.
All prices in this Price Guide Prices include VAT, where applicable.
How to contact us
You can contact Three Customer Services by Live chat (available 24 hours each day), through either our website or our Three Pay As You Go app.
If you would like a copy of this Price Guide in an alternative format (eg Braille or large print) please contact Three Customer Services or call our Accessibility Services team on 0333 338 1012 between 9am and 6.30pm Monday to Friday.
For more information on Three's accessibility services please see three.co.uk/accessibility.
Using your phone
To use your phone you can either top up with credit and pay for your usage with our standard rates, or you can buy a Pack.
3
Standard rates
Our standard rates for voice calls, texts, data and MMS in the UK are as follows:
If within a 180 days you have not made any chargeable events or activities (for example, made telephone calls, sent text or photo messages, accessed content using the internet or any other Three Services for which a charge is made), we may also suspend our Services or disconnect you.
4
How we charge for Standard rates
* Call durations are rounded up to the nearest minute and are charged per minute.
* Charges for individual voice calls are rounded to the nearest tenth of a penny.
* We charge for data sent and received. Amounts are calculated to the nearest kilobyte (kB).
* Call Return calls (when you return a call directly to someone who has left a voicemail message, by keying # at the end of the message) are charged at your standard rates as if you had made the call directly. Any call-barring restrictions you have will also apply.
* Charges are taken from your Pay As You Go credit or from any allowance you have.
* Each text message can accommodate up to 160 characters. Long messages will be sent across numerous text messages and these will be charged separately.
* Where a message contains nonstandard characters (such as emojis), the message may be sent as an MMS. Separate charges apply for MMS.
* You can only return one call directly from the voicemail service. As soon as you finish the call you will be disconnected and will have to redial into voicemail if you wish to continue listening to your voicemail.
* If you divert your incoming calls to another number, we'll charge you for each redirected call. The cost of the redirected call depends on the type of number you're calling.
* When you send messages to several recipients at the same time you will be charged separately for each recipient.
* We may end any calls that you make that are longer than 2 hours' duration, in order to prevent you from incurring excessive, inadvertent costs. If this does happen, and you wish to continue your call, please redial.
For details of how we charge for special charges, calls to directory enquiries, when making international calls and sending texts from the UK, and for using your phone abroad, refer to the appropriate section in this guide.
5
Top-up amounts
Top-up credit is available in the following amounts:
£15 £20 £25
£10 £30
£40 £50
£5
£27.50
£35
£60 £90
Data Packs and Add-ons
Our Data Packs give you an allowance of data, plus voice minutes and texts and offer greater value for money. If you've used all the data allowance in your Pack, you can buy a Data Add-on.
Data Packs
6GB Data Pack available on a 24 month minimum term, from selected resellers only.
Data Packs can be used in the UK to create personal hotspots. For details of how Data Packs can be used when roaming abroad, see "Using your phone abroad".
6
Data Add-ons
If you've used all the data allowance in your Pack, you can buy a Data Add-on.
1 day Add-ons start on activation and last for 24 hours. A Data Add-on can only be applied when a Data Pack is active.
7
How we charge for Data Packs and Add-ons
* Unlimited data with a Data Pack or Data Add-on means you have unlimited data. There are no hidden "fair use policies" within the UK. See "Using your phone abroad" for details of what this means when abroad.
* Data will always be consumed from a Data Add-on (if you have one), or Data Pack before any available credit is used.
* What we mean by a calendar month One calendar month is the length of time from a date in any month to the same date in the following month. When activation occurs on the last day of the month and the following month has fewer days, the calendar month ends on the last day of that month.
* Data usage is calculated based on the amount of data that travels over the data network. Please note that usage may include re-sent data packets and packets added to control the flow of data over the network.
* Each text message can accommodate up to 160 characters. Long messages will be sent across numerous text messages and these will be deducted from any allowance or charged separately.
* Where a message contains non-standard characters (such as emojis), the message may be sent as an MMS. Separate charges apply for MMS.
* When you send messages to several recipients at the same time you will be charged separately for each recipient.
* Call Return calls (when you return a call directly to someone who has left a voicemail message, by keying # at the end of the message) are charged at your standard rates or deducted from any Add-on allowance, as if you had made the call directly. Any call-barring restrictions you have will also apply.
* You can only return one call directly from the voicemail service. As soon as you finish the call you will be disconnected and will have to redial into voicemail if you wish to continue listening to your voicemail.
* If you divert your incoming calls to another number, we'll charge you for each redirected call. The cost of the redirected call depends on the type of number you're calling.
* We may end any calls that you make that are longer than 2 hours' duration, in order to prevent you from incurring excessive, inadvertent costs. If this does happen, and you wish to continue your call, please redial.
8
Packs expire one day before the end of the calendar month at 11:59pm
* A 1-month Pack activated at 3:30pm on 10 January will last until 11:59pm on 9 February.
* A 1-month Pack activated at 3:30pm on 30 or 31 January will last until 11:59pm on 28 February (29 February in a leap year).
Add-ons expire one calendar month later at one minute before the activation time
* A 1-month Add-on activated at 3:30pm on 10 January will last until 3:29pm on 10 February.
* A 1-month Add-on activated at 3:30pm on 30 or 31 January will last until 3:29pm on 28 February (29 February in a leap year).
* Your credit will be consumed for any usage you make in the limited time between purchase of a Data Pack or Add-on, and it taking effect. This will be:
* Data: A maximum of 5MB or 10 minutes, which ever happens first.
* Voice: A maximum of 5 minutes or the end of the current call, whichever happens first
If you don't have any credit, usage will not be permitted until your Data Pack or Add-on takes effect. We will let you know when the Pack or Add-on has been applied, but you can also check this on the Three UK App.
Data Packs and Add-ons cannot be used for the following purposes:
* International calls and messages from the UK
* Premium rate calls and messages (including text shortcode messages)
* Reverse charges
* Message alert services
* Directory services calls
* Non-geographic numbers (starting 087, 084) and special numbers (090, 070)
9
Charges for calls from the UK to Special Numbers
Some calls and other services within the UK fall outside our standard rates and aren't included in any allowances you may have. They're shown below.
If you'd like to know about specific numbers and to check the specific price of any call, please go to three.co.uk/specialcall
10
Non-standard 07 numbers
* Both charges apply from the start of the call.
How we charge for these special calls and charges
For calls to numbers starting 084, 087, 09:
* The Access Charge has a one minute minimum charge.
* Call durations are rounded up to the nearest minute and are charged per minute
Charges are not included in any allowance you may have and are taken from your Pay As You Go credit.
12
Calls to Directory enquiries
There are many different directory enquiry services and the table below does not reflect the full list of available services. Call charges for other directory services
If the 195 operator then connects you to a number you've searched for, your call will be charged at the standard rate for your price plan, or will come out of any available allowance you have.
Free text message with the number(s) you've requested.
How we charge for calls to Directory enquiries
For calls to Directory enquiries numbers:
* The Access Charge has a one minute minimum charge.
* Call durations are rounded up to the nearest minute and are charged per second.
Call charges for other directory services can be found online at three.co.uk/nts
Charges are not included in any allowance you may have and are taken from your Pay As You Go credit.
Other services
14
Calls from the UK or abroad to international special numbers
International calls and messages from the UK
If you're using your device to call or send messages to an international number from the UK, the cost will depend on which country you're contacting. You won't be charged to receive a call from an international number when in the UK.
The band for each destination is listed in the table on pages 16 to 18.
How we charge for standard international calls and messages from the UK
* Call durations are rounded up to the nearest minute and are charged per minute.
* International calls and messages from the UK are not included in any allowance you may have, and charges are taken from your Pay As You Go credit.
Charge bands for international destinations
Destinations
Afghanistan
Albania
Aland Islands
Algeria
Andorra
American Samoa
Angola
Antigua and Barbuda
Anguilla
Argentine Republic
Aruba
Armenia
Ascension
Austria
Australia
Azerbaijan
Bahamas
Azores
Bahrain (State of)
Bangladesh
Balearic Islands
Barbados
Belgium
Belarus
Belize
Bermuda
Benin
Bhutan
Bolivia
Botswana
Brazil
Brunei Darussalam
16
3 2
3
2 3
3
3
3
1
3
3
3
2
3
1
3
2
3
3
3
3
3
3
3
2
2
3
3
3
3
2
3
3
3
3
3
2
2
2
1
2
2
2
2
2
1
1
1
2
2
2
2
2
2
2
2
1
2
1
2
2
2
2
2
1
2
2
2
17
Charge bands for international destinations (continued)
Destinations
18
2
3
Using your phone abroad
When you use your phone abroad to call, text and get online, charges depend on the country you are in and the country you are contacting.
Go Roam destinations
(Go Roam in Europe and Go Roam Around the World)
Go Roam lets you roam abroad at no extra cost in more than 70 destinations, whether using your Top-up credit with our standard rates (10p/ minute; 10p/ text; 5p/ MB) or with one of our Packs. To enjoy Go Roam on Pay As You Go with a Pack, all you need to do is convert your Top-up credit into a Pack to get an allowance of voice minutes, texts and data which may be used either in the UK or in our Go Roam destinations. Your allowance and Fair Usage Policy refreshes each calendar month. You can then use the allowance in the UK and any Go Roam destination to call and text the UK, and use the Internet, just like you would back home. Plus, in our Go Roam in Europe destinations you can also use your voice and text allowances to make calls and send texts to local numbers in Go Roam destinations.
Go Roam destinations are shown in the table on page 26.
When dialling international special numbers and in destinations not covered by Go Roam, additional costs will be incurred. How much these are, depend on where you are, and where the person you're contacting is. You can find out more about International Special Numbers on page 11 of this Price Guide.
Roaming in other destinations
If you have purchased a Data Pack or a Data Add-on, your allowance doesn't cover roaming in other destinations. You will need to top up your credit to use your phone in these destinations and usage will be charged according to the table below.
Charges whilst roaming abroad
Go Roam charges
The table below shows how your Top-up credit will be used when you're roaming in a Go Roam destination. If you have a Data Pack or Data Add-on, we've highlighted in grey how your data allowance(s) calls and texts to standard landline and mobile numbers can be used at no extra cost. You'll only be charged if your allowance runs out. And remember, it's free to receive calls, texts (SMS) and photo messages (MMS) in all our Go Roam destinations.
(per message)
40p/message
Other roaming charges
Data Pack or Data Add-on allowances can't be used to make calls, send texts or use the Internet if you're roaming anywhere else in the world (i.e. travelling outside a Go Roam destination). Usage is always charged and taken from available top up credit. The exact charge depends upon the Roaming Band the country you're in (see table on pages 22 – 24).
Data Packs and Add-ons can be used when roaming in different destinations according to the table below. Fair use policies will apply when roaming in our Go Roam destinations.
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Charge bands whilst abroad
Go Roam destinations in Europe
Go Roam destinations Around the world
Aland Islands Austria Azores Balearic Islands Belgium Bulgaria Canary Islands Croatia Cyprus Czech Republic Denmark Estonia Finland France French Guiana Germany Gibraltar Greece Guadeloupe Guernsey Hungary Iceland Ireland Isle of Man Italy Jersey Latvia Liechtenstein Lithuania Luxembourg Madeira Malta Martinique Mayotte
Norway Poland Portugal Réunion Romania Saint Barthélemy Saint Martin San Marino Slovakia Slovenia Spain Sweden Switzerland The Netherlands Vatican City
Australia Brazil Chile Colombia Costa Rica El Salvador Guatemala Hong Kong Indonesia Israel Macau New Zealand Nicaragua Panama Peru Puerto Rico Singapore Sri Lanka Uruguay The US Virgin Islands The USA Vietnam
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3
3
Charge bands whilst abroad (continued)
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How we charge whilst you're abroad
* Calls to standard landlines and mobile numbers made in an EU country are charged by the second and have a 30-second minimum charge.
* Calls made in a non-EU country are charged per minute.
* Calls received in a non-EU country are charged by the second and have a one minute minimum charge.
* Voice minutes, to standard landlines and mobile numbers, Texts and Data will always be consumed from an available Add-on before any available credit is used.
* If you do not have an appropriate allowance (Data Pack or Add-on), charges will come from available credit.
* To help you manage your roaming costs when travelling, we'll send you a text message about call charges and roaming rates for each country you visit.
* If you pick up your voicemail while you're abroad, you will be charged at your standard roaming rate.
* If you need to contact us while you're abroad, you will be charged at your standard roaming rate.
* Visit three.co.uk/roaming for more information.
Note:
To use your phone abroad you need to have connected to our network in the UK before you travel. Put your SIM into the phone; turn your phone on; wait until your phone has connected to our network.
Our Fair Usage policy
If you're travelling within one of our Go Roam destinations using an allowance of voice minutes, texts or data from a Data Pack or Add-on, monthly fair use policies apply. These are shown in the table below. Usage above these amounts for voice minutes, texts and data will be charged at the rates specified in the "Go Roam charges" table on page 20 and 21.
Note:
To use your phone abroad you need to have connected to our network in the UK before you travel. Put your SIM into the phone; turn your phone on; wait until your phone has connected to our network.
Worldwide data roaming limit
We've set up a worldwide data roaming limit of £45 to stop you spending too much. If you would like this limit removed, please contact Three Customer Services.
Internet and data usage abroad
When you roam onto other international networks where data roaming is available, the charges below will apply. However, if you're in a Go Roam destination, and have a suitable allowance (Data Pack or Data Add-on), you can use your allowance to call and text the UK and use your data without paying a penny more subject to our fair use policies.
The speed and availability of Internet access when abroad will depend on a number of factors, including which network you are roaming on and the services they have available for example, 4G networks may not be available, in which case you may only be able to enjoy 3G speeds. Other factors which may affect the speeds that you'll experience include your distance from the nearest mast, your location in a building, local geography and the type of device you're using. Certain services such as audio and/ or video streaming may be slower as a result than in the UK. For information on which countries you can roam in, and on which networks, visit three.co.uk/roaming
How do you measure data usage?
Data usage is measured in bytes, this is then aggregated up into large units of measure
* Megabyte (MB) = 1024kB
* Kilobyte (kB) = 1024 bytes
* Gigabyte (GB) = 1024MB
* Petabyte (PB) = 1024TB
* Terabyte (TB) = 1024GB
All current data tariffs are charged and purchased as part of an inclusive allowance and / or as part of an Add-on which provides a specified amount of data you can use for a fixed price. Data usage is calculated based on the amount of data that travels over the data network. Please note that usage may include re-sent data packets and packets added to control the flow of data over the network.
Data is charged at each full MB level. Any partial MB usage will then be prorated as per the customer plan.
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What other useful information is there for using Go Roam?
Everything you may need to know about Go Roam can be found at three.co.uk/go-roam but some key bits of information can be found below:
* You can choose to use your top-up credit, a Pack allowance or a Data Add-on allowance at no extra cost in any of our Go Roam destinations – both in Europe and Around the World.
* If you've chosen to convert your Top-up into a Pay As You Go Data Pack or Data Addon, you can use a portion of your allowance in our Go Roam destinations, subject to our fair use policies. These fair use policies differ depending on whether you are roaming in a Go Roam in Europe or Go Roam Around the World destination and may be updated from time to time:
* If you're roaming in our Go Roam in Europe destinations, you can use a portion of your Data Pack or Data Add-on's allowance each month at no extra cost. If that allowance is greater than 12GB, you can use up to 12GB of data each month to get online. If you use 12GB and still have remaining data allowance available, you can continue to use your data, but this is subject to a surcharge – currently 0.3p/MB.
Go Roam in Europe
* There are no fair use limits for calls made or texts sent from any available allowance to standard landline or mobile numbers within our Go Roam in Europe destinations or back to the UK.
* You can use your Pay As You Go credit or allowance to create a personal hotspot in a Go Roam in Europe destination.
* If you're roaming in our Go Roam Around the World destinations and you have a Data Pack or Add-on, you can use a portion of your allowance of voice minutes, texts and data each month at no extra cost:
Go Roam Around the World
* If you have more than 12GB data included in your allowance, you can use up to 12GB of data each month to get online.
* If you have more than 3,000 texts included in your allowance, you can send up to 3,000 texts back to the UK each month from a Go Roam Around the World destination.
* If you have 3,000 or more minutes included in your allowance, you can talk for up to 3,000 minutes on calls made to standard UK landlines or mobile numbers each month.
* If you exceed any of these fair use limits, you'll be charged in accordance with the rates specified in the "Go Roam charges" table on pages 20 and 21.
* You can use your Pay As You Go credit to create a personal hotspot in a Go Roam Around the World destination.
Go Roam in Europe and Go Roam Around the World
* Go Roam is intended for our UK customers, who are UK residents visiting one of the destinations for short periods, like holidays or business trips. It isn't designed for people who live abroad or stay for extended periods.
* As such, if you roam exclusively in one or more of our Go Roam destinations (including both Go Roam in Europe and Go Roam Around the World) for any two complete months in a rolling 12-month period, we may suspend international roaming on your account, meaning you will no longer be able to use your phone or device abroad. Of course, we'll let you know in advance if this is likely to happen.
* If you spend a full month abroad but some of that time is spent in a destination that isn't included in Go Roam, this fair use policy won't apply.
Pay As You Go customers are required to activate their account by inserting their SIM the UK in order to use Go Roam. Go Roam is designed for Three customers to enjoy their allowances both at home and in our Go Roam destinations. As such, use of a SIM card exclusively to receive inbound calls in a specific Go Roam destination may result in suspension of that SIM card. Our systems are designed to identify this automatically. If you believe that your account may have been incorrectly suspended because of this, please contact us.
You can find out more about Go Roam at three.co.uk/go-roam. And just so you know, we reserve the right to extend, withdraw or modify the terms of Go Roam and/or the destinations of service included at any time.
Please note: Three reserves the right to suspend this service if we reasonably believe that you are in contravention of our fair use requirements set out in our Terms and Conditions. We reserve the right to extend, withdraw or modify the terms, including this Price Guide, or Go Roam and/or the destinations or service included at any time. See three.co.uk/go-roam/information for full details on how this service works and additional details that may be of interest.
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Other charges
Limits on third party charges
We've automatically applied limits to the amount you spend on third party digital content and premium rate calls (including directory enquiries) and texts (including SMS shortcode messages). The spend limits are £40 per single payment transaction and the cumulative sum of £240 for payment transactions made over the course of a calendar month. These limits are set by law and can't be changed. For more information, including confirmation of what types of transactions are affected, visit three.co.uk/spendlimits
Charges for used, damaged or missing accessories
If you've bought a Pay As You Go handset and you return it to us under our returns policy, we may make the following charges:
Please note. If you return your phone used or damaged under our returns policy, we will charge you a fee based on the particular make and model, this could be as high as £234.
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Your rights – complaints
Remember, if you're unhappy about any aspect of our services, you can register your complaint:
* via Live chat with a member of our Customer Relations Team at three.co.uk/support/how-to-complain;
* by writing to Three Customer Complaints, Hutchison 3G UK Ltd, PO Box 333, Glasgow.
* by calling 333 from your Three phone (0333 338 1001 from any other phone); or
We'll investigate any complaint in accordance with our customer complaints code, after which we'll contact you with the results. A copy of our customer complaints code can be viewed on our website at three.co.uk/complaints or is available upon request.
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A Mobile Health App (WYZ) for Engagement in Care and Antiretroviral Therapy Adherence Among Youth and Young Adults Living With HIV: Single-Arm Pilot Intervention Study
Parya Saberi 1 , PharmD, MAS; Nadra E Lisha 2 , PhD; Xavier A Erguera 1 ; Estie Sid Hudes 1 , PhD; Mallory O Johnson 1 , PhD; Theodore Ruel 3 , MD; Torsten B Neilands 1 , PhD
1 Department of Medicine, University of California, San Francisco, San Francisco, CA, United States
2
Center for Tobacco Control Research and Education, University of California, San Francisco, San Francisco, CA, United States
3 Department of Pediatrics, University of California, San Francisco, San Francisco, CA, United States
Corresponding Author:
Parya Saberi, PharmD, MAS Department of Medicine University of California, San Francisco 550 16th street San Francisco, CA, 94143 United States
Phone: 1 415 502 1000 ext 17171
Email: email@example.com
Abstract
Background: Youth are globally recognized as being vulnerable to HIV. Younger age has been correlated with worse health outcomes. Mobile health (mHealth) interventions have the potential to interact with youth where they are, using a device they already access.
Objective: Using predefined benchmarks, we sought to evaluate the feasibility and acceptability of WYZ, an mHealth app, for improved engagement in care and antiretroviral therapy (ART) adherence among youth and young adults living with HIV. WYZ was designed and developed with input from youth and young adults living with HIV using a human-centered design approach and was based on the information, motivation, and behavioral skills framework to address common barriers to care and ART adherence among youth and young adults living with HIV.
Methods: We recruited youth and young adults living with HIV (18-29 years old) from the San Francisco Bay Area to take part in a 6-month pilot trial. Their participation included completing baseline and exit surveys, and participating in seven phone check-ins about their use of WYZ.
Results: Youth and young adults living with HIV (N=79) reported high levels of feasibility and acceptability with WYZ use. We met predefined benchmarks for recruitment (79/84, 94%), mean logins per week (5.3), tracking ART adherence (5442/9393, 57.9%), posting chat topics per week (4.8), and app crashes reported per week (0.24). The ease of app download, install, and setup, and comfort with security, privacy, and anonymity were highly rated (all over 91%). Additionally, participants reported high satisfaction for a research project that was remotely conducted. Participants used the app for shorter timeframes compared to the predefined benchmark.
Conclusions: We noted high feasibility and acceptability with WYZ. Further research to examine the efficacy of WYZ will enable youth and young adults living with HIV and their providers to make informed decisions when using, recommending, and prescribing the app for improved engagement in HIV care and ART adherence.
Trial Registration: ClinicalTrials.gov NCT03587857; https://clinicaltrials.gov/ct2/show/NCT03587857
(JMIR Form Res 2021;5(8):e26861) doi: 10.2196/26861
KEYWORDS
youth living with HIV; mobile health; mobile app; engagement in care; antiretroviral therapy adherence; pilot
Introduction
In the United States, youth and young adults carry a significant burden of HIV. Youth and young adults living with HIV experience disparities at all steps of the HIV care continuum, including higher HIV incidence, lower linkage and retention in care, suboptimal antiretroviral therapy (ART) adherence, and lower virologic suppression [1-6]. The consequences of continued disparities include poor health outcomes, development and transmission of drug-resistant viruses, a future generation of adults who are more susceptible to developing AIDS, and further widening of these health disparities. Youth and young adults living with HIV experience many individual, structural (eg, transition to adult health care, inexperience with medical systems, and lack of insurance), social (eg, poverty, unstable housing, food insecurity, social isolation, and stigma), and biological (cognitive developmental stages) challenges that impact their abilities to access and adhere to oral ART [2,3,7-9]. However, there are few effective and tailored interventions that address ART adherence and engagement in HIV care for youth and young adults living with HIV.
In the United States, over 96% of youth and young adults living with HIV own smartphones [10], over two-thirds have downloaded mobile health (mHealth) apps [11], and over 90% are social media users [12]. The nearly ubiquitous access to and use of smartphones represents a powerful platform for the delivery of mHealth interventions to this population. Additionally, given the reduction in transportation costs, time constraints, potential stigma associated with participation in in-person HIV research [13], and missing data, mHealth technology can surmount common barriers, increasing the reach and generalizability of findings. Several mHealth apps are in various stages of development for people living with HIV [14-17], as we have previously summarized [18]. However, despite technology-based behavioral interventions showing promise in older adults living with HIV [19], few interventions have shown efficacy in addressing the unique aspects of youth developmental phases, youth culture, and gravitation of youth toward the use of technology [20]. In this study, we pilot tested an mHealth app to address barriers to engagement in care among youth and young adults living with HIV.
Methods
Study Design and Sample
From July 2019 to May 2020, we conducted a 6-month single-arm pilot study to evaluate the feasibility and acceptability of an mHealth app, named WYZ (pronounced "wise"), to address barriers to engagement in HIV care among individuals aged 18 to 29 years living with HIV in the San Francisco Bay Area [18]. WYZ was designed and developed using a human-centered design (HCD) approach [21-24]; formative research with youth and young adults living with HIV [18,20,25-27]; the information, motivation, and behavioral skills (IMB) [28-30] framework; and mHealth designers and developers from the University of California, San Francisco (UCSF) School of Medicine Technology team (SOM Tech). HCD focuses on creating approaches and delivering solutions
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to problems based on efforts to understand the specific needs and perspectives of the users. Therefore, HCD seeks to gain insights into the needs of the beneficiaries of an innovation, and creates approaches and delivers solutions to meet their needs.
Details of WYZ design and development, as well as the pilot study protocol, have previously been published [18]. In short, WYZ contains three main features, My Health, My Team, and My Community. My Health allows users to keep track of their ART medication information, visualize their adherence and laboratory data, and understand their health; My Team provides community resources and facilitates communication with health care team members; and My Community allows for social support from peers through anonymous and moderated discussion forums and allows users to stay up-to-date on health-related news. These features were developed with guidance from youth and young adults living with HIV and further refined through focus groups with youth and young adults living with HIV and iterative field testing with our Youth Advisory Panel (YAP), and were chosen to address specific barriers to ART adherence and engagement in HIV care (eg, social isolation and lack of community support).
WYZ design, development, and technological support were provided by UCSF's SOM Tech. To ensure Health Insurance Portability and Accountability Act (HIPAA) compliance, we used Salesforce as the backend service and for storing sensitive data in a secure cloud-based database. Data about app usage were collected using Flurry (a mobile analytics tool) and Salesforce analytics. To enhance the security and privacy of WYZ, we used a two-step authentication process for downloading, password protection (with each log in), aliases, deletion of all communications over 30 days old, and remote revocation of app access in case of theft, loss, or misuse.
Participants were recruited using various strategies, including flyers at clinics and community-based organizations, emails to clinicians at clinics serving youth and young adults living with HIV, peer referral, and contacting prior study participants who had consented to being notified of future research. Information about the study was also disseminated through the YAP.
Individuals aged 18 to 29 years living with HIV, who lived or received medical care in the San Francisco Bay Area, spoke English, and had access to an Android or iOS smartphone, were included. Those with any evidence of severe cognitive impairment or active psychosis that impeded their ability to provide informed consent were excluded. To confirm an individual's age and HIV serostatus, the potential participant text messaged a photo identification showing their date of birth and either a clinician's letter of HIV diagnosis, a copy of laboratory test results (for HIV antibody or HIV viral load), or their ART medication vial. These photos were sent via text message to an encrypted and secure study phone for verification by study staff.
All study activities, including recruitment, screening, enrollment, study assessments, provision of incentives, and exit interviews, were conducted remotely using text message, telephone, email, and videoconference. Participants received a check-in at weeks 1, 2, and 4, followed by monthly check-ins, and up to US $215 for completion of all study activities. All procedures were
reviewed and approved by the UCSF Institutional Review Board with a requirement for electronic consent. At baseline and 6 months, participants completed study assessments using a Qualtrics survey.
Measures
Demographics
Demographic data, including date of birth, sex at birth, sexual identity, race/ethnicity, perceived financial security, and work status (full time, part time, or not working), were collected.
Feasibility Metrics
Feasibility metrics were collected using Flurry and Salesforce analytics. Metrics were based on predefined thresholds [18], including how many people were recruited for the study, mean logins to the app, mean minutes in the app, and use of specific features in the app.
Acceptability Metrics
Acceptability metrics were collected using a Qualtrics survey administered during the last study visit at 6 months. The survey included questions related to satisfaction with WYZ, ease of WYZ use, and satisfaction with the study. Additionally, we asked participants about WYZ acceptability using the System Usability Scale (SUS), with scores ranging from 0 to 100 and scores >68 being considered above average [31,32]. A threshold of 70% or greater satisfaction on all questions was used to determine acceptability.
HIV and Psychosocial Outcomes
HIV and psychosocial outcomes were measured at baseline and 6 months. These included self-reported HIV viral load (detectable or undetectable) [33], self-reported ART adherence [34], depression (Patient Health Questionnaire-9 [PHQ-9]) [35], resilience [36], social provisions [37], social isolation (Patient-Reported Outcomes Measurement Information System [PROMIS]) [38], health care empowerment [39], and unmet subsistence needs and instrumental support [40].
Data Analysis
Descriptive statistics of the baseline demographics of WYZ study participants were calculated. Next, we examined
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descriptive statistics for feasibility metrics and compared them to predefined benchmarks. We then calculated frequencies for all of our acceptability metrics measured at the exit survey. Lastly, frequencies for HIV and psychosocial outcomes were calculated at baseline and the exit survey (6 months). For these data evaluated at both baseline and 6 months, we compared data from those who were retained in the study until 6 months and the entire group to examine divergent results. Given that this was a pilot study with limited statistical power, based on guidance from the National Institutes of Health and literature regarding wide confidence intervals and instability of effect sizes from pilot studies, tests of statistical significance and the efficacy of the intervention to compare HIV clinical outcomes preintervention and postintervention were not evaluated [41-44]. All analyses were completed using SAS 9.2 (SAS Institute).
Results
Demographics
Demographics of the study participants are presented in Table 1. At baseline, there were 79 participants (mean age 26.9 years, SD 2.9 years). Among the 79 participants, 69 (87%) identified as male, 48 (61%) identified as gay, 33 (43%) identified as Latino, and 16 (21%) identified as Black. Although nearly 57% (45/79) of participants were working, financial insecurity was relatively common, as 62% (49/79) of participants noted "barely getting by" or "not getting by" on the money they have.
Feasibility metrics are presented in Table 2. Of the 92 individuals who were screened, 84 were eligible. Of these 84 individuals, 79 (94%) consented to participate in the study, and 69 (87%) of those who enrolled completed the exit survey at 6 months. All predefined benchmarks were met (Table 2), except for mean minutes in the app per week (benchmark=15 min/week, actual=8.7 min/week). The mean number of logins per week was 5.3 (SD 5.6). In My Health, ART adherence tracking was conducted in 57.9% (5442/9393) of the inquiries. Moreover, the mean number of postings of chat topics on the My Community chat per person per week was 4.8 (range, 1-42), and the number of reported app crashes was less than once per week (0.24).
JMIR FORMATIVE RESEARCH
Table 1. Baseline demographics of the study participants.
a Missing n ranged from 0 to 6 for each item.
Table 2. Feasibility metrics, prespecified threshold for each metric, and actual outcome.
a ART: antiretroviral therapy.
Acceptability metrics are presented in Table 3. Among the 69 participants who completed the study, 77% (n=53) rated their overall experience with the app as excellent to very good, 91% (n= 63) reported the app to be extremely to somewhat easy to download and install, and 96% (n=66) reported that WYZ setup was extremely to somewhat easy. All participants reported being extremely to somewhat comfortable with the security, privacy, and anonymity of WYZ. Moreover, approximately 83% (n=57) stated that they would be extremely to somewhat likely to continue to use WYZ and 94% (n=64) were extremely to somewhat likely to participate in a similar study in the future. Furthermore, 86% (n=59) of participants rated their overall experience with participation in the WYZ study as excellent to very good and 90% (n=62) reported excellent to very good
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experience with participating in a completely remotely conducted study. The mean SUS score was 75.6, which is considered to be well above average.
HIV and psychosocial metrics are presented in Table 4. At baseline and 6 months, 9% (7/79) and 4% (3/69) of participants, respectively, reported a detectable HIV viral load. During this time, self-reported ART adherence was unchanged. From baseline to 6 months, participants reporting mild depressive symptoms decreased by 9% (30/79, 38% to 19/66, 29%). Moreover, the mean social isolation score decreased by 12.1 points. Overall, we did not note divergent patterns with regard to the HIV and psychosocial metrics between baseline data from the entire sample (N=79) and those who were retained until 6 months (N=69).
JMIR FORMATIVE RESEARCH
Table 3. Acceptability metrics exit survey findings.
Metrics
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Value
a
(N=69), n (%)
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JMIR FORMATIVE RESEARCH
Saberi et al
Metrics
Value a (N=69), n (%)
Overall, how helpful was the My Community module in supporting your ability to feel connected to other youth living with HIV?
Extremely to very helpful
34 (52)
Moderately helpful
20 (30)
A little to not at all helpful
12 (15)
How satisfied were you with the news feature within WYZ (ie, being able to see the latest HIV and health news in WYZ)?
Extremely to somewhat satisfied
52 (84)
Extremely to somewhat unsatisfied
10 (16)
How satisfied were you with the private calendar (ie, being able to add appointments and community events within WYZ)?
Extremely to somewhat satisfied
44 (70)
Extremely to somewhat unsatisfied
Overall, how helpful was the private calendar in supporting your ability to keep your health appointments?
Extremely to very helpful
Moderately helpful
A little to not at all helpful
What is your comfort level with the security, privacy, and anonymity provided by WYZ?
Extremely to somewhat comfortable
Extremely to somewhat uncomfortable
How likely are you to continue to use WYZ after your participation in the study ends?
Extremely to somewhat likely
19 (30)
35 (56)
14 (20)
13 (23)
67 (100)
0 (0)
57 (83)
Extremely to somewhat unlikely
12(17)
In the future, how likely would you be to participate in a similar study where you are asked to use a mobile health app like WYZ on a regular basis?
Extremely to somewhat likely
64 (94)
Extremely to somewhat unlikely
How would you rate your overall experience with participation in the WYZ study?
Excellent to very good
Good
Fair
4 (6)
59 (86)
10 (15)
0 (0)
Poor to very poor
0 (0)
How would you rate your experience participating in a study where everything was conducted remotely (ie, you did not have to come into a clinic or office to complete study activities)?
Excellent to very good
62 (91)
Good
Fair
5 (7)
1 (1)
Poor to very poor
0 (0)
How would you rate your experience with having to schedule and complete regular check-ins over the phone with a study coordinator?
56 (82)
Excellent to very good
10 (15)
Good
2 (3)
Fair
0 (0)
Poor to very poor
How would you rate your experience with receiving compensation for your study participation using a reloadable debit card (ie, ClinCard)?
Excellent to very good
60 (87)
Good
6 (9)
JMIR FORMATIVE RESEARCH
a Missing n ranged from 0 to 14 for each item.
Table 4. HIV and psychosocial outcomes at baseline and 6 months.
a Baseline data for participants who were retained until the end of the study (6 months).
b ART: antiretroviral therapy.
c PHQ-9: Patient Health Questionnaire-9.
Discussion
Principal Findings
The use of WYZ was highly feasible and acceptable among youth and young adults living with HIV in the San Francisco Bay Area. We met predefined benchmarks for recruitment, mean logins per week, tracking ART adherence, posting chat topics, and app crashes reported. The ease of app download, installation, and setup, and the overall comfort with security, privacy, and anonymity were highly rated. Additionally, participants reported high satisfaction for a research project that was remotely conducted. These findings demonstrate high potential for uptake and app functionality, indicating a promising role for WYZ as an intervention for engagement in HIV care and ART adherence among youth and young adults living with HIV.
Participants used the app for shorter timeframes than were predefined; however, our predefined benchmark may have been an overestimate. Additionally, due to the ability to log ART adherence using out-of-app notifications, some of the interactions with WYZ were not captured in the analytical tools used. In the next phase of this study, we will ask participants to further elaborate about app use during exit qualitative interviews.
Small changes in self-reported HIV and psychosocial metrics from baseline to 6 months highlight the limitations of pilot studies, in which examination of the intervention's "preliminary impact" is not meaningful due to wide confidence intervals [41-44]. However, we noted improvements in the social isolation score, which, along with the high level of activity in the My Community Chat section, underscore the importance of this feature and deserve further evaluation in future research.
There are currently few mHealth apps in the early stages of development and pilot testing for enhanced engagement in HIV care, ART adherence, and communication with health care teams for people living with HIV [14-17]. The limitations of some of these mHealth apps include lack of specification of a theoretical framework, limited feasibility and acceptability metrics with no predefined benchmarks, small sample size (N<30), wide age range (≥18 years), and availability for either iOS or Android (not both). We have previously summarized these studies [ 18 ]. In developing and pilot testing WYZ, we have addressed these limitations.
In this pilot study, we were able to recruit a diverse group of participants with regard to race/ethnicity; however, participants were mainly gay cis-gender men. The other limitations of our study include a single-arm design (ie, no control group) and a relatively small convenience sample of participants from the San Francisco Bay Area who had access to a smartphone and most of who had an undetectable HIV viral load; therefore, study findings may not be generalizable to other populations. The loss to follow-up was approximately 13%, which is lower than estimates among youth and young adults living with HIV in the HIV Research Network (20%) [45] and in other studies in this population (up to 55%) [46]. We believe that the relatively low loss to follow-up may have been due to the fact that this research was conducted completely remotely, which allowed for flexibility for participation. Since the completion of this pilot study, we have resolved all minor bugs and smartphone compatibility challenges. Additionally, we are updating My Health for those who may use long-acting injectables in the near future and the My Team resources section based on user geolocation.
Conclusion
Youth and young adults living with HIV represent a population that is disproportionately impacted by HIV and requires tailored youth-friendly interventions. There is a dearth of technology-based interventions that address the changing needs of youth and young adults living with HIV. In future research, we will examine the efficacy and effectiveness of WYZ in improving engagement in HIV care and ART adherence among a larger sample of youth and young adults living with HIV taking into account findings from this study. Given the speed of technological advancement and the need for evidence-based solutions for improved HIV health outcomes among youth and young adults living with HIV, we believe that more funding should be allocated to technology-based interventions to move the National Institutes of Health's Behavioral and Social Sciences Research agenda forward.
Acknowledgments
The authors' work was supported by the National Institute of Mental Health (award number R34MH114604). The content is solely the responsibility of the authors and does not necessarily represent the official views of the National Institutes of Health.
Authors' Contributions
PS conceptualized the study and received grant funding. PS and XAE collected the data. PS, ESH, and NEL ran the analyses. PS and NEL wrote the first draft of the study. TBN guided the design study and analysis plan. TR and MOJ guided grant funding and study design. All authors read and approved the final manuscript.
Conflicts of Interest
None declared.
References
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JMIR FORMATIVE RESEARCH
44. Eldridge SM, Lancaster GA, Campbell MJ, Thabane L, Hopewell S, Coleman CL, et al. Defining Feasibility and Pilot Studies in Preparation for Randomised Controlled Trials: Development of a Conceptual Framework. PLoS One 2016 Mar 15;11(3):e0150205 [FREE Full text] [doi: 10.1371/journal.pone.0150205] [Medline: 26978655]
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Abbreviations
ART: antiretroviral therapy
HCD: human-centered design
mHealth: mobile health
SUS: System Usability Scale
UCSF: University of California, San Francisco
YAP: Youth Advisory Panel
Edited by G Eysenbach; submitted 31.12.20; peer-reviewed by JM Simoni, M Medich, P Athilingam; comments to author 02.03.21; revised version received 07.03.21; accepted 26.07.21; published 31.08.21
Please cite as:
Saberi P, Lisha NE, Erguera XA, Hudes ES, Johnson MO, Ruel T, Neilands TB
A Mobile Health App (WYZ) for Engagement in Care and Antiretroviral Therapy Adherence Among Youth and Young Adults Living With HIV: Single-Arm Pilot Intervention Study
JMIR Form Res 2021;5(8):e26861
URL: https://formative.jmir.org/2021/8/e26861
doi: 10.2196/26861
PMID:
©Parya Saberi, Nadra E Lisha, Xavier A Erguera, Estie Sid Hudes, Mallory O Johnson, Theodore Ruel, Torsten B Neilands. Originally published in JMIR Formative Research (https://formative.jmir.org), 31.08.2021. This is an open-access article distributed under the terms of the Creative Commons Attribution License (https://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work, first published in JMIR Formative Research, is properly cited. The complete bibliographic information, a link to the original publication on https://formative.jmir.org, as well as this copyright and license information must be included.
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Cc:
Scott Reiner, M.S. Executive Director
Ms. Susan Aylor, CPMT Chair Orange County School System Taylor Education Adm. Complex 200 Dailey Drive Orange, VA 22960
Dear Ms. Aylor
Please find enclosed the final interim report for the audit completed of the Orange County Children's Services Act (CSA) Program. A quality improvement plan (QIP) addressing the observations outlined in this report is required. You will receive, via email, a QIP template that can be used to facilitate this process. The completed quality improvement plan must be received by this office no later than Thursday, December 31, 2020.
On behalf of the Office of Children's Services, we would like to express our sincere appreciation to the Orange County CSA Office and the CPMT for their patience, cooperation, and assistance throughout the audit process. Please feel free to contact our office if you have any questions, concerns, and/or require additional information pertaining to this audit.
Respectfully,
________________________
Annette E. Larkin, MBA Program Auditor
Scott Reiner, Executive Director Theodore L. Voorhees, County Administrator Dawn W. Herndon, CPMT Fiscal Agent Letitia Douthit, CSA Coordinator
OFFICE OF CHILDREN'S SERVICES
Administering the Children's Services Act
November 16, 2020
CHILDREN'S SERVICES ACT PROGRAM AUDIT
INTERIM REPORT
Orange County
Audit Report No. 13-2020
November 16, 2020
TABLE OF CONTENTS
Interim Report Disclaimer
Due to the COVID -19 pandemic, CSA audits are temporarily limited to remote desk reviews of CPMT governance activities. These measures were taken to ensure OCS fulfills its responsibility for program oversight and to provide CPMT with relevant and timely information for program improvement, where applicable. Governance activities include, but are not limited to, CPMT policy/procedure development, CPMT actions as evidenced by meeting minutes, continuous quality improvement, and monitoring of fiscal management and program outcomes, strategic planning, adherence to established federal, state, and local compliance criteria pertaining to CSA (where validations may be completed remotely). This interim report does not address compliance pertaining to child/family referrals for service planning and funding as the confidential nature of such reviews would necessitate an on-site review of client case files and accompanying financial records, which cannot be accomplished at this time. A full and final report will be issued at a later date, once on-site visits and/or related audit validation procedures can be resumed.
EXECUTIVE SUMMARY
The Office of Children's Services has completed a partial audit of the Orange County Children's Services Act (CSA) program. The Orange County CSA program provided services and/or funding to 96 eligible youth and families in fiscal year (FY) 2019. The audit included review and evaluation of management oversight, operational, and fiscal practices. Based upon established statewide CSA performance measures reported as of FY 2019, significant achievements for the Orange County CSA program were:
- Approximately 85% of youth served received community-based services out of all the youth served in Orange County.
- Approximately 94% of children that exited foster care were placed in a permanent living arrangement, which approximately 8% above the target and 18% above the statewide average.
- Approximately 71% of youth had a decrease in the Child and Adolescent Needs and Strengths (CANS) Assessment school domain, which is approximately 25% above the statewide average. Decreases in CANS score are indicative of improved functioning.
There are opportunities to effect quality improvement in other areas of the CSA program. The audit concluded that there were deficiencies in compliance and internal controls, particularly in reference to CPMT governance. Conditions were identified that could adversely affect the effective and efficient use of resources and compliance with statutory requirements. The following issues were identified:
- Internal controls established by CSA statutes were not effectively implemented by the CPMT in order to safeguard against potential conflicts of interest in the referral for services and approval of CSA pool funds for eligible youth and their families. Statement of Economic Interest (SOEI) forms were not completed by non-public serving members of the CPMT and FAPT as required per the Code of Virginia (COV) § 2.2-5205 and § 2.2-5207.
- Adequate measures were not always consistently applied to ensure effective and efficient use of financial resources that could be used to offset the costs incurred for CSA pool funded services and/or to meet the needs of the children and families. Orange County has not ensured child support collections from the Department of Social Services are reported as refunds to CSA for CSA eligible clients.
The Office of Children's Services appreciates the cooperation and assistance provided on behalf of the CPMT and other CSA staff. Formal responses from the CPMT to the reported audit observations are included in the body of the full report.
_________________________________ __________________________________
Stephanie S. Bacote, CIGA Program Audit Manager
Annette E. Larkin, MBA Program Auditor
INTRODUCTION
The Office of Children's Services has completed a financial/compliance audit of the Orange County Children's Services Act program. The audit was conducted in conformance with the International Standards for the Professional Practice of Internal Auditing (Standards). The standards require planning and performance of the audit pursuant to stated audit objectives in order to provide a reasonable basis for audit observations, recommendations, and conclusions. The audit was completed on November 16, 2020 and covered the period March 1, 2019 through February 29, 2020. The objectives of the audit were:
- To determine whether adequate internal controls have been established and implemented over CSA expenditures.
- To determine the adequacy of training and technical assistance by assessing local government CSA staff knowledge and proficiency in implementing local CSA programs.
- To assess whether operations have maintained high standards for sound fiscal accountability and ensured responsible use of taxpayer funds by evaluating fiscal activities of the local CSA program.
- To assess the level of coordination among local government CSA stakeholders and efforts to improve CSA performance by evaluating the local CSA program's operational and utilization review practices.
- Assess implementation of quality improvement plans addressing prior audit observations reported by OCS on and/or identified in the prior self-assessment evaluation completed by the Orange County. The audit report dates were May 19, 2014 and August 3, 2017.
The scope of the audit included a review of CPMT policy/procedure, CPMT board meeting minutes, continuous quality improvement, monitoring of fiscal management and program outcomes, strategic planning, and adherence to established federal, state, and local compliance criteria pertaining to CSA (where validations could be completed remotely).
BACKGROUND
Orange County, located in the north central piedmont region of Virginia and founded 1734, was named after Prince William IV of Orange. Orange County borders the counties of Madison (northwest), Culpeper (north), Spotsylvania (east), Louisa (south) Albemarle (southwest) and Greene (west). According to the US Census Bureau Quick Facts, the estimated population in 2019 was 37,051 and the median household income from 2014-2018 was $68,481.
The Children's Services Act (CSA) is a law enacted in 1993 that establishes a single state pool of funds to purchase services for eligible youth and their families. The state funds, combined with local community funds, are managed by a local interagency team, referred to as the Community Policy and Management Team (CPMT) that plans and oversees services to youth. The CPMT is supported by a Family Assessment and Planning Team (FAPT) responsible for recommending appropriate services to eligible children and families, an Account Clerk, a FAPT Coordinator and a CSA Coordinator. Expenditure demographics for fiscal 2017 to 2019 are depicted below.
Source: CSA Continuous Quality Improvement (ICQ) Dashboard
OBSERVATIONS AND RECOMMENDATIONS
A) CPMT GOVERNANCE
Observation #1:
Criteria:
Compliance and Internal Control - Repeat Observation
Internal controls established by CSA statutes were not effectively implemented by the CPMT in order to safeguard against conflicts of interest. The non-public members serving on both the CPMT and FAPT did not complete the statement of economic interest (SOEI) form in accordance with the requirements set forth in COV §2.2-5205 and §2.2-5207. Non-public members completed the Financial Disclosure ("short form") form in lieu of the Statement of Economic Interest ("long form"). The Financial Disclosure form is less comprehensive than the SOEI, and thus may not reflect full disclosure of all financial interest. The effectiveness of the controls to ensure accountability and appropriate use of CSA pool funds are reduced based on the increased opportunity for individuals to not disclose all personal and financial interest.
OCS Administrative Memo #18-02 dated January 16, 2018 provided guidance to local CSA programs regarding filing requirements. The guidance states that upon appointment non-public members must complete the "long" form as prescribed in (COV) §2.2-3117. This audit observation was reported in the audit report dated August 3, 2017. A quality improvement plan had been submitted and indicated as completed in the spring of 2019. The CPMT started including the SOEI form in the application to join CPMT and FAPT. However, the wrong form was provided.
Recommendations:
1. The CSA Office should ensure the appropriate form is included with the materials provided to individuals interested in serving as non-public officials of CPMT and FAPT.
2. The CPMT should ensure all of the CPMT and FAPT members not representing a public agency complete the SOEI forms (long form) upon appointment and maintain the filing in accordance with the OCS Administrative Memo 18-02 dated January 16, 2018.
Client Comment:
No Comment
Observation #2: Criteria:
Internal Control - Repeat Observation
Orange County CPMT By-Laws adopted December 19, 2017, state: "a member of the CPMT who fails to personally attend at least 75% of the regular meetings within a calendar year shall be reported to Orange County Board of Supervisors (BOS)." The designated Community Services Board (CSB) representative was not present for 58% of the meetings during the review period and 50% of the meetings during a calendar year, as determined through member attendance documented in CPMT minutes. Nor was there an alternate/designee in attendance on their behalf. Local representatives attributed the absences to staffing changes (retirement/new hire). The absence of the CSB representative of the governing body responsible for the administration and implementation of the local CSA program represents a material weaknesses in oversight and governance of the program, which may ultimately impede the intent of CSA to create a collaborative system of services that is contingent upon the participation of the member agencies to provide the expertise in their respective areas. This internal control weakness was identified in the August 3, 2017 audit report.
Recommendations:
1. The CPMT should name an alternate for each public serving member of the team to ensure each agency is represented at the regularly scheduled CPMT meeting.
2. All matters with absenteeism should be reported to the Orange County BOS as stated in the CPMT By-laws.
Client Comment:
No Comment
B) FISCAL ACTIVITIES
Observation #3:
Criteria:
Compliance and Internal Control
Adequate measures were not always consistently applied to ensure effective and efficient use of financial resources that could be used to offset the costs incurred for CSA pool funded services and/or to meet the needs of the children and families. SEC Policy 4.5.2 Pool Fund Reimbursement requires localities to report at least quarterly all CSA eligible expenditures and applicable refunds in accordance with appropriate expenditure-reporting categories and refund classification. A review of the Local Expenditure, Data and Reimbursement System (LEDRS) Refund Reports for FY17 – FY20 indicates that Orange County has not reported any Child Support Enforcement recoveries (Refer to Exhibit A). However, other data collected by OCS for Orange County denotes CSA funded services on behalf of 23-49 foster care clients. Upon inquiry, the Orange County CSA Office advised that they had not received any child support funds from the Department of Social Services.
Exhibit A
Recommendations:
In accordance with SEC Policy 4.5.2, the CPMT should determine if there were any child support collections for the current and previous fiscal years and report the refund in LEDRS with their next pool reimbursement.
Client Comment:
No Comment
CONCLUSION
Our audit concluded that there were deficiencies in compliance and internal controls over the Orange County CSA program, particularly in reference to CPMT governance. Conditions were identified that could adversely affect accountability and oversight, as well as compliance with statutory requirements. An exit conference was conducted on October 27, 2020, to present the interim audit results to the Orange County CPMT. Persons in attendance representing the Orange County CPMT were as follows:
Susan Aylor, CPMT Chair, Director of Special Education Marc Moore, Former CPMT Chair, Court Services Unit Supervisor Taisha Chavez, Program Manager, Community Service Board Alisha Vines, Director Office on Youth, Local Government Representative Crystal Hall, Director of Social Services Wade Kartchner, MD, Department of Health Joseph Nagle, Private Provider Letitia Douthit, CSA Coordinator
Representing the Office of Children's Services was Annette Larkin, Program Auditor. We would like to thank the Orange County CPMT and related CSA staff for their cooperation and assistance on this audit.
REPORT DISTRIBUTION
Scott Reiner, Executive Director
Office of Children's Services
Theodore L. Voorhees, Orange County Administrator
Susan Aylor, CPMT Chair, Director of Special Education
Dawn Watson, CPMT Fiscal Agent
Letitia Douthit, CSA Coordinator
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summer wellness activity guide
Unit 3: The World Through My Eyes (Social/Emotional)
Oregon Afterschool & Summer for Kids Network ASK
5-9 ages
THE WORLD THROUGH MY EYES EMOTION GARDEN
ACTIVITY DESCRIPTION AND PURPOSE: To increase emotional awareness and help students understand the meaning of empathy and its importance. Studies suggest when we are able to empathize with others we take prosocial steps to improve their situation. Empathy is a skill that can be learned throughout one's life that aides in our ability to show compassion and understanding of others. This activity will give participants the opportunity to check-in with their feelings, which can lead to higher emotional awareness.
SUPPLIES:
* Scissors
* Color pencils
* Glue Stick
* Blank sheet of paper
* Floral prints (provided)
STEPS:
2. Once you finish drawing your garden, take the floral print sheet and think about how you are feeling.
1. On a blank sheet of paper, start by drawing a garden with the colored pencils.
3. Write one word that describes how you are feeling on each flower.
5. Cut out each flower and paste onto the garden you first drew.
4. Color in each flower with the color you think fits best with the emotion on that flower.
6. Share and discuss emotions on the flowers and what makes you feel that way with relatives or peers.
ADAPTATIONS:
A virtual adaptation can be performed by using the Autodesk Sketchbook app for iPhone and Android to draw the garden and flowers. They can save their work and share it with others if they would like to.
HOW TO EXPAND:
2. The Neuroscience of Empathy
1. If you want to reinforce what it means to have empathy with your kids you can watch this clip of Understanding Empathy
3. The Science of Empathy
DISCUSSION QUESTIONS:
2. Can we learn empathy? If so, how?
1. What does empathy mean in your own words?
SHARING HEARTS
ACTIVITY DESCRIPTION AND PURPOSE: It is important to have meaningful relationships with others because it helps provide a sense of community and helps buffer the effects of stress. Research has shown that being kind to others has a positive effect on our mental wellbeing. In this activity, participants will have the opportunity to enhance and create relationships with their peers or neighbors by making a thoughtful gesture in the form of a paper heart.
SUPPLIES:
* Scissors
* Paper
* Pen or pencil
* Color crayons
STEPS:
2. Think about three individuals in your neighborhood
1. On a sheet of paper draw three medium-sized hearts
3. Write one compliment inside each heart meant for the individuals in your neighborhood
ADAPTATIONS:
A virtual adaptation can be performed by using the Autodesk Sketchbook app for iPhone and Android to draw the hearts and color them in, along with the text. They can save their work and share it virtually with others if they would like to.
HOW TO EXPAND:
2. To Learn How to Give a Compliment click here
1. Giving for Mental Health
3. Compassion and the Science of Kindness
DISCUSSION QUESTIONS:
2. What is something to remember about compliments?
1. When was the last time you have given someone a compliment?
3. Should they be genuine?
4. Do you always have to give a compliment?
COPING BINGO
ACTIVITY DESCRIPTION AND PURPOSE: Identifying healthy and productive ways to manage our mental health are cardinal ways to make sure we stay in optimal health. When we don't know how to cope or do so in negative ways, it can lead to us getting sick. This activity is designed to introduce participants to healthy coping strategies in the face of stress, as they create their own bingo card.
Coping definition: to face and deal with responsibilities, problems, or difficulties, especially successfully or in a calm or adequate manner
SUPPLIES:
* Ruler
* Blank sheet of paper
* Pen or pencil
* Candy or plastic little figures
* Colored markers (optional)
STEPS:
2. Turn the paper in a vertical direction and draw 5 vertical lines 1 inch apart from each other and that connects with the first 5 lines.
1. On a horizontal blank sheet of paper, use your ruler to make 5 horizontal lines, one inch apart from each other.
3. Once you have connected the lines, you have created a bingo card and can now begin to think about ways to cope with mental health that can be placed in each box.
4. Label the center box "Free"
Examples of strategies to cope with mental health: take a deep breath, go for a walk, positive self-talk, practicing gratitude, optimistic mindset, etc.
ADAPTATIONS:
For a virtual adaptation, a participant can click this website to create their own Bingo card with their own texts in each box.
HOW TO EXPAND:
2. Ways to Unwind
1. To find out more about stress and coping mechanisms click here, page 484
3. Coping with Stress
4. For more information on the definition of cope click the following link
DISCUSSION QUESTIONS:
2. How do you know you are feeling stressed?
1. When can stress be a positive thing?
THE CAREER FOR ME
ACTIVITY DESCRIPTION AND TITLE: By having career exposure during the early years of childhood, children are more likely to be curious about different careers. This activity is designed to introduce different career opportunities for kids with the hopes that they can see themselves pursuing some of these careers.
SUPPLIES:
* Professions worksheet
* Career tools worksheet
* Scissors
* Cardboard poster?
* Glue stick
STEPS:
2. Cut out the professional icons from the 'Professions' worksheet
1. Cut out the tools on the 'Career tools' worksheet
3. Paste the tools to the cardboard poster near the corresponding profession
Examples: stethoscope for a doctor or nurse, etc., a computer with coding for computer scientists, a brain for a psychologist?
ADAPTATIONS:
For a virtual adaptation, you can click on this website which will lead to games where participants can "work" in different settings.
HOW TO EXPAND:
1. To find out how early career exposure can affect children click here.
DISCUSSION QUESTIONS:
2. Is there something that interests you right now?
1. What kind of person would you like to be?
CREATE YOUR OWN FLIPBOOK
ACTIVITY DESCRIPTION AND PURPOSE: To help children link facial expressions with corresponding emotions
SUPPLIES:
* 1 binder clip
* 26 flashcards
* pencil
STEPS:
2. On the corner of each flashcard, write one emotion per flashcard with a pencil.
1. The 27 emotions are: admiration, adoration, aesthetic appreciation, amusement, anxiety, awe, awkwardness, boredom, calmness, confusion, craving, disgust, empathetic pain, entrancement or enchantment, envy, excitement, fear, horror, interest, joy, nostalgia, romance, sadness, satisfaction, sympathy, and triumph.
3. Next, draw a face that represents that emotion.
5. Hold the binder clip as you flip through the flashcards and see the change in facial expressions.
4. When you have finished your drawings, place the binder clip on the side of the flashcards where you did not draw or write on.
ADAPTATIONS:
To create a virtual stop motion video, download the "Stop Motion" app for iPhone and Android. It's free!
HOW TO EXPAND:
1. For an amusing video about emotional awareness and facial expressions click here. Emotional Intelligence and the Recognition of Emotion from Facial Expressions
DISCUSSION QUESTIONS:
2. Did anything surprise you?
1. Which emotions do you feel most often?
NAME THAT STATE'S CAPITAL
ACTIVITY DESCRIPTION AND PURPOSE: Wellness is a multifaceted and dynamic process that includes dimensions such as: spiritual, financial, physical, vocational, emotional, intellectual, and social dimensions. Intellectual wellness can be described as stimulating one's creativity and expanding their knowledge. This activity is designed to expand participant's knowledge over the capitals of each of the 50 states in America.
SUPPLIES:
* Scissors
* "50 states and capitals" Handout
* Cloth String
* Hole Puncher (optional)
STEPS:
2. Once participants have finished filling out what they know, go over the handout answers by using this website.
1. Allow participants to fill out as much of the handout as possible
ADAPTATIONS:
For a virtual adaptation, visit this link to play an online game over the states and their capitals.
HOW TO EXPAND:
2. The Six Dimensions of Wellness
1. Change your habits, change your life
3. Sesame Street 'Curiosity' Video
DISCUSSION QUESTIONS:
2. Which state is the biggest?
1. Which capital do you think is the biggest?
ALL ABOUT ME
ACTIVITY DESCRIPTION AND TITLE: With self-awareness, we can create new habits that maximize our chances for success. In this activity, participants will have the opportunity to reflect on their favorite things, who they are, and who they would like to become by filling out an "All About Me" handout.
SUPPLIES:
"It's All About Me" handout Writing utensils
STEPS:
2. Encourage participants to share what they put in their handout with the rest of the group
1. Allow participants to complete the handout.
ADAPTATIONS:
For a virtual adaptation visit this link for an All About Me online game
HOW TO EXPAND:
2. "What I Am" Sesame Street Video
1. Change your Habits, change your life
DISCUSSION QUESTIONS:
2. What kind of leader would you like to be and why?
1. Did you think any of these questions were hard?
ALL ABOUT ME HANDOUT
MY NAME TAG AND PRONOUNS
ACTIVITY DESCRIPTION AND PURPOSE: An individual's gender identity can be communicated through the use of pronouns. Therefore, it's important to respect pronouns because it validates a person's identity. By practicing the use of pronouns, you are also creating an inclusive environment. Participants will have the opportunity to practice using pronouns in this activity, by creating their own name tags and stating their pronouns on their name tags.
SUPPLIES:
* Pencil
* Flashcards
* Marker
* Tape
* Color pencils
* Handout provided
STEPS:
2. Next, you will create your own name tag with your pronouns. You can use any pronouns that suit you.
1. By reading the handout provided, we can gain understanding about the meaning of pronouns and what they are used for. Let's begin by reading the handout.
3. On a flashcard, create a name tag, add your pronouns, and personalize it! It can include your favorite color, your favorite cartoon, favorite food, or more.
4. Share with your relatives or peers.
ADAPTATIONS:
For a fill-in-the-blank activity on pronouns, visit this link.
HOW TO EXPAND:
2. For more information on why gender pronouns are important, visit this link
1. Gender Identity and Pronouns- What will you teach the world?
DISCUSSION QUESTIONS:
2. How does using pronouns create an inclusive environment?
1. What does gender mean to you?
WHAT ARE PRONOUNS?
Pronouns are used to replace a noun in a sentence so that you won't have to repeat the name of the noun too many times. As a reminder, a noun describes a person, place, or thing. For example, in the following sentence:
Susy loves to play volleyball.
Susy is the person, so Susy is the noun. As we keep talking about Susy in more sentences, it becomes easier to replace their name with a pronoun. Pronouns can be: she, he, they, ze, and more. There are more pronouns, but we can focus on these just for now. For places or things, you can use 'it' or 'that.' In the following sentences you will see that Susy has been replaced with a pronoun:
Susy loves to play volleyball. She is one of the best players in her high school volleyball team.
The name 'Susy' has been replaced with the noun 'she.' Pronouns make it easier for authors to write and for people to speak more fluently. Pronouns are also associated with gender. Gender can be described as a person's sense of self regarding how much they align with the perception of femininity or masculinity. It has nothing to do with how they look. At times, a person may appear to be a certain gender, but they may identify a different way. We must respect others' identity to provide an inclusive environment. A simple way of doing so is to ask the individual what their pronouns are!
You can start a
conversation with "Hi I am______, and my pronouns are _______________.
What are yours?" This says that you are aware of the gender implication when using
pronouns and are allowing them to tell you how they want to be addressed.
|
NDIC QUARTERLY, SEPTEMBER-DECEMBER ,2013 VOL. 24 NOS 3&4
NDIC QUARTERLY
EDITORIAL BOARD
Chairman
Dr. J. A. Afolabi
Editor
R. W. Ogunleye
Members
Dr.U.M. Wali H.I Ahmed B.M. Yakubu Dr. K.S. Katata Dr. T.W.O Alasia
Editorial Assistants
M. J. Isah
Haruna Abubakar Deba
The NDIC Quarterly is a publication of the Nigeria Deposit Insurance Corporation, Enquiries should be addressed to the Editor, NDIC Quarterly, Research Department, Nigeria Deposit Insurance Corporation, P.M.B 284, Abuja, Nigeria. The Views expressed in these articles are those of the authors and do not necessarily represent the official position of the Corporation.
1
NDIC
VOLUME 24 SEPTEMBER-DECEMBER 2013 NOS 3 & 4
QUARTERLY
TABLE OF CONTENTS
Content
Page No
Review of Developments in Banking and Finance in the Third and Fourth Quarters of 2013 By Research, Policy & International Relations Department
The banking sector experienced a number of remarkable developments during the third and fourth quarters of 2013. Some of these developments included the revocation of operating license of Express Discount Limited, Circulars and Guidelines issued by Central Bank of Nigeria (CBN), approval of new name for Police Mortgage Institutions by the CBN, and CBN cashless policy took off in Nigeria's Capital Abuja, among others.
Other developments during the quarters included: the appointment of new MD/CEO by Jaiz Bank, banks to identify customers by fingerprints next year, Union Bank dismissed workers to stabilize the bank, and Sterling Bank begins non-interest banking window. Details of these and other developments are contained in this report.
Financial Condition and Performance of Insured Banks in the Third and Fourth Quarters of 2013 By Research, Policy & International Relations and Insurance & Surveillance Departments
In the third and fourth quarters of 2013, the overall condition of Nigeria's banking industry has witnessed some improvements in most of the relevant financial indices.
The overall capital position of the banking industry during the two quarters where above the required 10%, however, two banks remained undercapitalized as at the end of the third quarter while one bank remained under-capitalized as at the end of fourth quarter of 2013. Also, Average Liquidity Ratio remained above the 30% minimum requirement while asset quality and profitability improved significantly during the two quarters under review.
Building Blocks to Sustainable Banking Practice in Nigeria By Umaru Ibrahim mni, FCIB Managing Director/CEO Nigeria Deposit Insurance Corporation (NDIC)
In this paper, the author gave detailed insights into the building blocks for sustainable banking practice in Nigeria by analysing the Nine (9) Over-Arching Principles called "Nigeria Sustainable Banking Principles (NSBP)".
THE IMPACT OF INTEREST RATE DEREGULATION ON FINANCIAL DEEPENING IN NIGERIA
By Nura Umar Galadima
Assistant Manager, Research, policy & International Relations Department, Nigeria Deposit Insurance Corporation.
This paper examines the relationship between interest rate deregulation and financial deepening in Nigeria. The paper uses co-integration and error correction methods to distinguish between the long-run and short-run impact of deposit rate, inflation rate and per capita income on financial deepening in Nigeria.
The paper finds that deposit rate is statistically insignificant at 5% and 10% levels, indicating that an increase in deposit rate does not permanently affect financial deepening in Nigeria; inflation rate is positive and statistically significant in the model while real per capita income is negative but statistically significant.
The Impact of Mergers and Acquisition on the Growth and Survival of Banks in Nigeria: A Case Study of UBA and Access Bank Nig. Plc.
By Utaan Cordelia Angbiandoo
Management Assistant, Research, policy International Relations Department, Nigeria Deposit Insurance Corporation.
This paper examines the use of Mergers and Acquisition (M&A) as a business strategy for the growth and survival option of Nigerian banks from 2003 to 2010 using UBA and Access banks as case studies. Countries experiences from India and USA were reviewed and lessons drawn were highlighted. Key performance ratios such as profitability, earnings, asset quality and capital adequacy were applied as causative factors using ratio analysis model.
Findings revealed that the adoption of Mergers and Acquisition by Banks in Nigeria has led to the survival of merged entities but did not necessarily bring about growth to the banks.
FINANCIAL CONDITION AND PERFORMANCE OF INSURED BANKS IN THE THIRD AND FOURTH QUARTERS OF 2012
BY
RESEARCH AND OFF-SITE SUPERVISION DEPARTMENTS
1.0 INTRODUCTION
The banking industry, remained in a good state of health during the period under review, as its performance was relatively stable as depicted by relevant indices.
The Industry Total Assets stood at N20.06 trillion as against the N19.55 trillion recorded in the third quarter of 2012, thereby indicating an increase of 2.61%. Total Loans and Advances on the other hand experienced a marginal increase of 2.18% between the third and fourth quarters from N7.33trillion to N7.49 trillion. The quality of these assets remained relatively stable during the period as the ratio of Non Performing Credits to Total Credits showed a slight improvement of 0.57 percentage points from 4.08% in the third quarter to 3.51% in the fourth quarter. The industry experienced a significant improvement in profitability as Profit-Before-Tax showed an increase of 336.73% between the third and fourth quarters moving from N120.29 billion to N525.34 billion. The capital adequacy ratio also remained strong as the Capital to Risk-Weighted Asset Ratio increased marginally by 0.18 percentage points from 17.89% in the third quarter to stand at 18.07%, in the fourth quarter, above the prudential requirement of 10%. The industry liquidity position followed suit with the average Liquidity Ratio increasing by 7.53 percentage points from 60.48% to 68.01% and all remaining well above the prudential requirement of 30% in the third and fourth quarters respectively.
Apart from this introduction, the rest of this paper comprises of three sections. Section 2 presents the Structure of Assets and Liabilities; Section 3 assesses the financial condition of insured banks, while Section 4 forms the concluding part.
2.0 STRUCTURE OF ASSETS AND LIABILITIES
The Total Assets of the industry increased by 2.61% from N19.55 trillion in the third quarter to N20.06 trillion in the Fourth quarter. The structure of industry total assets and liabilities at the end of the third and fourth quarters of 2012 are presented in Table 1 and Charts 1A and 1B below.
TABLE 1 STRUCTURE OF BANKS' ASSETS AND LIABILITIES AS AT
THE ENDS OF SEPTEMBER AND DECEMBER 2012
| Assets (%) | 4th Quarter 2012 | 3rd Quarter 2012 | Liabilities (%) | 4th Quarter 2012 |
|---|---|---|---|---|
| Cash and Due from other Banks | 19.86 | 20.50 | Deposits | 71.73 |
| Inter-bank Placements | 2.13 | 4.48 | Inter-bank Takings | 0.32 |
| Government Securities | 20.29 | 16.21 | CBN Overdraft | 0.04 |
| Other Short-term Funds | 0.73 | 0.61 | Due to Other Banks | 0.72 |
| Loans and Advances | 37.33 | 37.50 | Other Borrowed Funds | 0 |
| Investments | 11.98 | 11.97 | Other Liabilities | 10.85 |
| Other Assets | 4.43 | 5.45 | Long-term Loans | 4.34 |
| Fixed Assets | 3.25 | 3.28 | Shareholders’ Funds (Unadjusted) | 0.94 |
| | | | Reserves | 11.05 |
| Total | 100.00 | 100.00 | Total | 100 |
Source: Banks Returns
NOTE:
TOTAL ASSETS (N Trillion)
3 rd Quarter 2012 = 19.54
4 th Quarter 2012 = 20.06
OFF BALANCE SHEET
ENGAGEMENTS
(N Trillion)
3 rd Quarter 2012 = 4.06
4 th Quarter 2012 = 4.53
CHART 1B: STRUCTURE OF BANKS' LIABILITIES FOR THE 3
rdAND 4thQUARTERS OF
The largest proportion of total assets during the two quarters under review was Loans and Advances with this component accounting for 37.50% and 37.33% in the third and fourth quarters respectively. Government Securities was 16.21% and 20.29% in the third and fourth quarters respectively followed, alongside Cash and Advances whose contribution decreased from 20.50% to 19.86% between the two quarters. For the other components of the industry total assets; Interbank Placements decreased from 4.48% in the third quarter to 2.13% in the fourth quarter, Other Assets fell from 5.45% in the third quarter to 4.43% in the fourth quarter, Fixed Assets decreased marginally from 3.28% in the third quarter to 3.25% in the fourth quarter, while Other Short Term Funds increased from 061% to 0.73% during the period under review.
On the liabilities side of the balance sheet, Deposits remained the largest proportion accounting for 68.79% in the third quarter and increased marginally by 2.94 percentage points to 71.73% in the fourth quarter, Reserves which was next in size of contribution to Total Liabilities declined from 11.30% to 11.05% between the two quarters and Other Liabilities also showed a marginal decline of 0.66 percentage point between the two quarters with 11.51% in the third quarter and 10.85% in the fourth quarter. Long Term Loans was next accounting for 4.67% in the third quarter, falling marginally to 4.34% in the fourth quarter, and Interbank Takings falling from 1.91% to 0.32% between the two quarters.
3.0 ASSESMENT OF THE FINANCIAL CONITION OF INSURED BANKS
3.1 Asset Quality
The industry's total Loans and Advances experienced an 8.65% increase between the third and fourth quarters from N7.33 trillion to N7.49 trillion. The quality of these assets continued to improve as the industry ratio of non performing credits to total credits improved by 0.77 percentage points from 4.08% in the third quarter to 3.51% in the fourth quarter. Ratio of non-performing credits to shareholders' fund remained relatively stable although showing a slight decline from 13.80% to 14.34% between the two quarters. During the period under review, the ratio of provision for non-performing loans to total non-performing loans however decreased by 4.30 percentage points from 123.14 to 118.84. Table 2 and Chart 2 present the indicators of insured banks Asset Quality for the third and fourth quarters of 2012.
TABLE 2 INDICATORS OF INSURED BANKS' ASSET QUALITY FOR THE 3 rd AND 4 th QUARTERS OF 2012
| Asset Quality Indicator (%) | |
|---|---|
| | 4th Quarter 2012 |
| Non-performing Credit to Total Credit | 3.51 |
| Provision for Non-performing Loans to Total Non-performing Credit | 118.84 |
| Non-performing Credit to Shareholders' Funds | 14.34 |
Source: Banks Returns
Non-performing Credit to Total Credit
Provision for Non-performing Loans to Total Non-performing Credit
Non-performing Credit to Shareholders' Funds
3.2Earnings and Profitability
The industry recorded significant improvement in profitability between the third and fourth quarters of 2012. Profit-Before-Tax stood at N525.35billion as at the end of the fourth quarter, showing a 336.73% increase from the N120.29 billion recorded at the end of the third quarter of 2012. In the fourth quarter, these were composed of Interest Income of N1.74 trillion, Non-Interest Income of N575.75 billion and Operating Expenses of N1.19 trillion billion in the fourth quarter. These and other indices are depicted in Table 3 and Chart 3.
TABLE 3 INSURED BANKS' EARNINGS AND PROFITABILITY rd th
| Earnings/Profitability Indicator | |
|---|---|
| | 4th Quarter 2012 |
| Return on Assets (%) | 2.62 |
| Return on Equity (%) | 22.20 |
| Net Interest Margin | 7.58 |
| Yield on Earning Assets (%) | 11.92 |
| Profit Before Tax (N' billion) | 525.34 |
| Interest Income (N' billion) | 1,743.36 |
| Operating Expenses (N' billion) | 1,193.28 |
| Non-Interest Income (N' billion) | 575.75 |
INDICATORS FOR THE 3 AND 4 QUARTERS OF 2012
Source: Banks Returns
As can be seen from the above, Return on Assets (ROA) also increased significantly by 2.00 percentage points between the third and fourth quarters of 2012. Both Return on Equity (ROE) and Yield on Earning Asset (YEA) also followed the same upward trend; with Return on Equity (ROE) showing a significant 17.11 percentage points difference and Yield on Earning Asset (YEA) 5.60 percentage points difference.
3.3Liquidity Profile
The industry liquidity position remained positive and stable during the period under review. The average liquidity ratio increased by 7.53 percentage points from 60.48% to 68.01% between the third and fourth quarters, both remaining above the required 30% minimum requirement. The net credit to deposit ratio fell marginally by 2.22 percentage points from 56.51% to 54.29%, while interbank takings to deposits ratio also decreased noticeably by 2.32 percentage points from 2.77% to 0.45%. All banks in the system met the required liquidity ratio of 30% within the period. This is as shown in the table below.
TABLE 4
INDICATORS OF INSURED BANKS' LIQUIDTY PROFILE FOR
THE 3 rd AND 4 th QUARTERS OF 2012
| Liquidity | Period | |
|---|---|---|
| | 4th Quarter 2012 | 3rd Quarter 2012 |
| Average Liquidity Ratio (%) | 68.01 | 60.48 |
| Net Loans to Deposit Ratio (%) | 54.29 | 56.51 |
| Inter-bank taking to Deposit Ratio (%) | 0.45 | 2.77 |
| No of Banks with Liquidity Ratio below the prescribed 30% | 0 | 0 |
Source: Banks Returns
3.4Capital Adequacy
In the periods under review, the capital adequacy position of the industry was strong recording capital adequacy ratios of 17.89% and 18.07% in the third and fourth quarters respectively, all of which met the required minimum of 10%. These and other capital adequacy indicators are as depicted in Table 5.
TABLE 5 INDICATORS OF INSURED BANKS' CAPITAL ADEQUACY
POSITION FOR THE 3 rd AND 4 th QUARTERS OF 2012
| Capital Adequacy Indicator | |
|---|---|
| | 4th Quarter 2012 |
| Capital to Risk weighted Average Ratio (%) | 18.07 |
| Capital to Total Asset Ratio (%) | 8.89 |
| Adjusted Capital to Loan Ratio (%) | 5.59 |
Source: Banks Returns
4 CONCLUSION
In summary from the above it can be seen that the condition and performance of the insured banks showed positive stability between the third and fourth quarters of 2012. This was as indicated by the strong liquidity and capital positions as well as the positive changes in asset quality and profitability recorded during the period under review.
BUILDING BLOCKS TO SUSTAINABLE BANKING PRACTICE IN 1
NIGERIA
By
Umaru Ibrahim mni, FCIB Managing Director/CEO Nigeria Deposit Insurance Corporation (NDIC)
1.0. INTRODUCTION
The journey towards embracing sustainable banking practice in Nigeria could be said to have formally commenced with the release of a written declaration on it by the Bankers' Committee in October 2011. The declaration states: "We hereby sign this Joint Commitment Statement with the aim of developing a set of sustainable banking principles for the Nigerian banking sector, to drive long-term sustainable growth whilst focusing on development priorities, safeguarding the environment and our people, and delivering measurable benefits to society and the real economy" (Bankers' Committee, 2012). The Committee pledged to adopt these principles in recognition of the Nigerian banking sector's role and responsibility to deliver positive development that impacts the society whilst protecting the communities and environments in which they operate.
Subsequent to the work that followed the above declaration of commitment, the Central Bank of Nigeria (CBN), on September 24, 2012, passed a circular on the implementation of Sustainable Banking Principles by banks, discount houses and development finance institutions in Nigeria. The accompanying documents were, without doubt, comprehensive and exhaustive and left no room for ambiguity. Issues covered there-in included highlights of the nine sustainable banking principles and their contextualisation to fit the Nigerian environment; guidance notes to the principles; and sector guidelines that covered the three sectors, namely: power, agriculture and oil and gas; as well as the related laws and regulations that govern their operations. The document as well as the decision to adopt it as a policy represented a significant development and indeed, a watershed in the history of banking in Nigeria.
The purpose of this paper is therefore to provide further insights into the building blocks for sustainable banking practice in Nigeria. For ease of
1 Paper Presented at The 13th National Seminar on Banking and Allied Matters for Judges, Organized by CIBN at National Judicial Institute, Mohammed Bello Centre, Abuja, November 13 - 14, 2013.
appreciation, the rest of this paper is organized into six sections. In Section 2, we provide a review of the concept of sustainable banking practice. A discussion on sustainable banking practice in Nigeria, including the development of the nine cardinal principles of sustainable banking comes up in Section 3. Section 4 discusses the major building blocks to sustainable banking practice in Nigeria, including the roles of regulatory authorities towards the implementation of the principles. In Section 5, some of the initiatives of CBN and NDIC are highlighted. Section 6 examines some implementation challenges for sustainable banking in Nigeria while the paper is concluded in Section 7.
2.0. CONCEPT OF SUSTAINABLE BANKING PRACTICE
Sustainable banking is an approach that recognises the role of banks in driving long-term economic development that is not only economically viable but also environmentally responsible and socially relevant. It is a value system which ensures that banks' commercial activities do not only benefit its staff, shareholders, customers and the economy, but also prevents or minimises any unintended effects on the society and natural environment. It is also about guaranteeing human rights and life in dignity, free from want and poverty. Sustainable banking was introduced in realisation that If banks integrate sustainability criteria in their risk assessment and decision making procedures, they will strengthen their financial soundness and improve financial stability.
Sustainable banking might sound like a recent phenomenon in the global financial circle. However, it is as old as banking itself, as it started in the medieval period (around 16 th century) with Italian banks being operated based on religious ethics (such as avoidance of usury) and community-support local finance businesses. This metamorphosed into Credit Unions and Cooperative Banks addressing the need of financial services for the new middle class and entrepreneurs. Over time, the concept of community finance or local business fizzled out, as transnational banks started to control the global financial industry. However, such transnational institutions were criticized for their way of doing business which involved the creation of financial products that did not support the real economy and did not take into account the socio-economic and environmental impact of the communities in which these institutions operated. In the 1980s, a regulation of liabilities on contaminated sites was introduced in the Americas. Similar regulations with respect to soil, water and air pollution were introduced in Europe at that time. That changed the relationship between the financial sector and the environment significantly. In cases which lenders had used sites as collateral, the value of the collateral could be diminished by contaminations and clean-up costs for which lenders were held liable. In order to mitigate these risks, lenders started to integrate environmental issues into credit risk (Weber, 2012).
Sustainable banking by conventional financial service institutions was heralded with the management of environmental risks that negatively affected the financial institutions especially with regard to credit risk. After this phase of risk management, the financial sector took the business opportunities offered by integrating environmental and social issues into consideration as well. Sustainability then became a business case in the financial sector, as financial institutions explored ways to influence sustainable development in a positive way. They developed products and services taking sustainability issues into account.
Sustainability issues can be viewed from three dimensions namely, economic, social and environmental. The economic dimension considers how a bank manages the impact of its products and services on economic development with minimal negative impact on the environment and society. The social dimension focuses on meeting the financing needs of the society cheaply and employing staff from different backgrounds irrespective of tribe, race, religion and gender while the environmental dimension looks at the impact of the bank's activity on the surrounding/climate.
In addition to the three dimensions through which sustainability could be viewed, there are other sustainability issues that need to be taken into account when implementing sustainable banking practice in any banking system. Such issues include Corporate Governance and Risk Management. The consequences of weak governance or poor risk management in this regard have been identified to be serious. For instance, if a bank is found to be treating customers unfairly or its activities end up harming communities or the environment, not only will its commercial image suffer, its reputation for sustainability will be damaged and could end up in tatters (SAS, 2013). Regulatory and reputational risk management are two sides of the same coin. If a bank fails in one, it fails in the other. Environmental and social risks of lending could be high and that explains why banks need to develop environmental and social risk management (ESRM) policies and units to assess the risks and advise on appropriate mitigants, including, if necessary, rejecting certain deals (SAS, 2013). Banks should also commission specialist audit and assurance firms to provide independent verification of their sustainability reporting. Sustainability approach improves overall risk management and business performance. According to the Dutch financial conglomerate, ING notes, in one of its Corporate Social Responsibility reports:
"We believe that acting responsibly results in better and more comprehensive risk management, a higher degree of employee pride, a greater attraction of ING for talented people and new business opportunities" (SAS, 2013).
3.0 SUSTAINABLE BANKING PRACTICE IN NIGERIA
The Nigerian banking community through the Bankers' Committee indicated the desire to adopt sustainable banking practice in 2011. That was based on their belief that such an approach, is consistent with their individual and collective business objectives, and can stimulate further economic growth and opportunity as well as enhance innovation and competitiveness. They agreed to work towards being a driving force for good in the communities and natural environment in which they operate.
To facilitate the introduction of the practice in the system, the Bankers' Committee assigned the responsibility for the development of the sustainability principles and sector guidelines to its subcommittee on Economic Development, chaired by the MD/CEO of Access Bank Plc, who in turn set up a Strategic Sustainable Workgroup (SSWG), made up of members from the Banks, Discount Houses, CBN, NDIC, Federal Ministry of Environment, Nigeria Electricity Regulatory Commission, National Energy Commission, International Finance Corporation (IFC), The Netherlands Development Finance Company (FMO), Federal Ministry of Water Resources and Federal Ministry of Agriculture. Each of these members equally constituted the Sustainability Champions. In addition to that, a consultant on sustainability was hired to anchor and facilitate the development of the sustainable banking principles and sector guidelines for the Nigerian banking system. The workgroup and sustainability champions met several times at the secretariat provided by Access Bank, and came up with the Sustainable banking Principles and Guidelines for the three chosen sectors of the economy, namely: Agriculture, Oil & Gas and Power. The choice of the three sectors was informed by the fact that they constitute the critical sectors that drive the Nigerian economy and the fact that the banks in Nigeria are more exposed to the sectors.
At the end of the intensive work by the SSWG, Nine (9) Over-Arching Principles were developed and are called "Nigeria Sustainable Banking Principles (NSBP)". The NSBP are based on leading international sustainable finance standards and established industry best practice. They were developed in line with Nigerian context and development needs. The Principles are: Principle 1: Managing environmental and social risk in business decisions; Principle 2: Managing the bank's own environmental and social footprint; Principle 3: Safeguarding Human Rights; Principle 4: Promoting women's economic participation/empowerment; Principle 5: Promoting financial inclusion of communities and groups with limited or no access to the formal financial sector; Principle 6: Meeting the imperatives for good governance, transparency and accountability; Principle 7: Supporting capacity building in the sector; Principle 8: Promoting collaborative partnerships to accelerate sector progress and Reporting to take stock of sector progress and attendant needs; and Principle 9: reporting (CBN, 2012).
The NSBP requires each bank to develop an Environment and Social Risks (E&S) management system which incorporates the Principles and balances the identification of E&S risk and opportunities (CBN, 2012). The degree and level of E&S management should commensurate with the scale and scope of a bank's business activities and operations. Each bank will also apply the Principles to its domestic operations.
In addition, banks are expected to develop and submit to the CBN an overarching Sustainable Banking Commitment, which articulates how they will apply the Principles and Guidelines, how E&S risk management considerations have been integrated into the enterprise risk management framework and their implementation targets and milestones, including a five-year plan. Furthermore, they are required to make regular submissions regarding the implementation and compliance of the Principles and Guidelines to their Board of Directors and regulatory authorities, engage their respective Board of Directors on the Principles and Guidelines, designate a sustainable banking desk or unit responsible for implementation and begin capacity building with relevant stakeholders, amongst other responsibilities.
Essentially, the implementation of the NSBP is in five phases with the last phase expected to be implemented by end December, 2014. The CBN had since directed full adoption and implementation of these principles by all members of the Bankers' Committee and had also promised to provide incentives, as necessary, to those institutions that take concrete measures to incorporate the provisions of these principles and guidelines into their operational enterprise risk management and other governance frameworks.
The adoption of the principles and guidelines by the relevant institutions in Nigeria signify the integration of social and environmental considerations into their operations, policies, processes, procedures, as well as provision of structural mechanism to support implementation at the industry level. The principles would be interpreted and applied by each bank in a manner that provides for and is appropriate with the bank's core values, business model and enterprise risk management framework.
Until now, the model for Nigeria's banking industry was "unsustainable" as the industry provides minimal support for growth and gives less attention to the social and environmental conditions of communities in which it operates. This in turn, threatens its future as service businesses. Accordingly, banks should aim to be of service at the most cost-effective manner to the users of their services. They should integrate sustainability criteria in all lending, financing and investment decision making processes. The current model where the only goal seems to be 'profit maximization' even at the expense of the customer or environment leaves much to be desired (UNEP, 2011).
4.0. BUILDING BLOCKS TO SUSTAINABLE BANKING PRACTICE IN NIGERIA
Virtually everything contained in the document on sustainable banking practice in Nigeria is critical and need to be holistically appreciated and implemented taking into account individual banks' circumstances. However, below are some extracts considered to be very crucial to Nigeria's journey to evolve sustainable banking practice in the country.
4.1. Leadership Commitment
The starting point in the journey to a sustainable banking culture is the expression of leadership commitment. Introducing sustainable banking practices in a bank is certainly a major organisational change and failure to make and implement effective change management strategies can have costly results to the bank, which may include putting the very future of the organization at risk. Management literature reveals that effective change management must be spearheaded by senior leaders who should have full commitment and comprehensive awareness of the different roles and capabilities at all levels of the organization (Schroeder-Saulnier, 2009). They must also be able to define and measure success and periodically assess progress. Structurally, therefore, leadership commitment should begin from the topmost level and cascade down to various leadership levels in the organisation. The commitment should not only be internalised but should find expression in policies and decisions to be made, which should facilitate implementation of the principles.
4.2. Policy Framework
A robust policy framework must be developed to define the bank's commitment and approach to sustainable banking and the implementation of the principles. The framework should include:
4.2.1. Modalities of Application
Clear articulation should be made of how the principles will be relevant to the various activities and operations of the banks and how they can be applied on them without creating dislocations. Justifying the relevance and how they will be applied will no doubt facilitate understanding and buy-in as well as continuous commitment of the various internal stakeholders.
4.2.2. Review of decision-making processes
The new dispensation will necessitate a review of the decision making processes of the bank to allow for appropriate integration of the sustainable banking principles into the existing internal processes as well as, where applicable, a bank's enterprise risk management framework. The new system is expected to provide for assessment criteria and decision framework that accommodates E&S management system.
4.2.3. Application of relevant international E&S standards and industry best practice
In addition to compliance with local laws, all banks shall apply, where relevant, international E&S standards and industry best practice such as the International Finance Corporation (IFC) Performance Standards, the Equator Principles for project finance, the World Bank Group Environmental, Health and Safety Guidelines for lending to different sector activities. For instance, the IFC performance standards, which are directed towards clients provide guidance on how to identify risks and impacts, and are also designed to help avoid, mitigate, and manage risks and impacts as a way of doing business in a sustainable way, including stakeholder engagement and disclosure obligations of the client in relation to project activities (IFC, 2012). Similarly, Equator Principles (2013) is a recognised risk management framework, adopted by financial institutions, for determining, assessing and managing environmental and social risk in projects and is primarily intended to provide a minimum standard for due diligence to support responsible risk decision-making. International standards are often evidence-based and derived from several experiences.
4.2.4. Establishment of Clear Governance Structures
The governance structures should clearly address the new business direction, which takes into account environmental and social (E&S) considerations. Governance and its structures have been clearly recognised in recent times to determine success or failure of establishments. Thus, roles and responsibilities, practices and standards, codes of conduct, performance-linked incentives, audit procedures and disclosure requirements must be clearly spelt out. In the new dispensation, client disclosure obligations must include, where necessary, environmental and social impact assessment.
4.2.5. Capacity Building Requirements
As a bank signed up to the challenge of sustainable banking, it should correspondingly brace up to the challenge of capacity building as it will be essential if we are to successfully attain the goals the sustainable banking promises to offer not just to the industry but to the larger society. The nine principles which sustainable banking in Nigeria stand for, which involve a complex interplay between economic, environmental and socio-cultural considerations, will out of necessity require innovative thinking, new approaches, and, very fundamentally, the capacity to implement them. Capacity building in this context should be holistic, encompassing a number of activities that include building abilities, relationships and values that will enable the banks individually and collectively improve their performance and achieve the objectives of sustainable banking. There will be need to engender willingness on the part of staff to play new developmental roles; strengthen the legal infrastructure and other processes and systems, develop new institutional mechanisms and deploy new and appropriate technologies to facilitate implementation.
By implication therefore, capacity building should be central to the sustainable banking agenda and should focus on acquisition of up-to-date information, knowledge, tools and skills to address various issues without ignoring or sacrificing main banking functions and services. A bank will be expected to provide the necessary resources and support to equip and train employees on E&S management approaches based on roles, responsibilities and functions. Indeed, as part of its sustainable banking policy and E&S management system, a bank should develop a sector-specific E&S approach and competencies for the three priority sectors of power, agriculture and oil and gas to fast track its implementation. It is important to note that developing competencies that will ensure the success of sustainable banking practices must cover top levels of management and all relevant employees in the organisation and will have to be on a continuous basis.
4.2.6. Stakeholder collaboration
Stakeholder cooperation has come to be seen as very critical in organisational game of survival, continuity and success. Stakeholders are defined as "those groups without whose support the organization would cease to exist" or "any group or individual who can affect or is affected by the achievement of an organisation's objectives". In wider organisational context therefore, stakeholders are seen to include owners, customers, competitors, employees, suppliers, governments, local community organizations, special interest groups, environmentalists, consumer advocates, media, unions, trade associations, financial community and political groups. The concept of stakeholder cooperation therefore underscores the need for collective efforts, at varying degrees, to ensure survival and sustainability. Thus, for sustainable banking in Nigeria to take root, it must involve the participation of all key stakeholders who should recognise the need for interdependence and for synergy in their respective roles. Such collaboration should find expression in four basic value considerations, namely:
Transparency (Full disclosure of financial and non-financial information);
Accountability (Ensuring that management is effectively overseen by competent governing body);
Fairness (Equitable treatment of clients in line with provisions of sustainable banking principles) and;
Responsibility (ensuring banks fulfil their proper roles in society)
At structural levels stakeholder cooperation must be seen in the following contexts:
within individual banks (through entrenchment of sustainable banking culture and institutionalising good corporate governance which ensures that banks take into account the interest of a wide range of constituencies as well as of the communities within which they operate);
between banks (through healthy competition, fair play and joint decisions as may be necessary);
banks and the public (through social responsibility endeavours that earn respect for the banks from members of the public who may be willing to reciprocate the good gesture of the banks as and when necessary or desirable);
government agencies (through facilitating improvement in social and environmental issues);
businesses/clients (through proper disclosure that saves time and energy in related credit appraisal and analysis by banks);
supervisory agencies (through effective supervision and prompt corrective action as may be necessary); and
international level (through the bank's active participation in international and multi-stakeholder initiatives so as to benefit from exposure, as well as contribute, to international standards and best practice).
4.2.7. Self-Regulation
For the purpose of our discussion, we see self regulation as a system where an institution or an association to which an institution belongs, imposes on itself certain standards that facilitate the achievement of its objectives within the framework of existing legislative provisions. Self-regulation is no doubt one of the foremost factors in achieving organizational discipline and, of course, organisational sustainability. It facilitates effective monitoring and modification of behaviour to attain a given goal. It allows for responsible service, engenders consumer trust, increases patronage and allows for healthy competition. The strength of self-regulation is anchored on the fact that managers see the organisations as their pets, which they should nurture and protect whether or not external regulators and supervisors keep watch.
Sustainable banking in Nigeria can benefit immensely by banks operationalising the concept of self-regulation through the processes of effective goal setting, monitoring and motivation. Our banking institutions should demonstrate that responsibility that goes with self-regulation matters as irresponsible banking gives little or no sustained return. We are aware of how in the past banks in the country that ignored self-regulation and operated in manners that attracted regulatory intervention eventually could not survive. Sustainability therefore, will require our banking institutions to go extra miles in the area of self-regulation and self assessment, which can be achieved through additional dedication, patience and internal consensus. Efforts of individual banking institutions in this regard will almost certainly contribute to nation-wide sustainable banking practices in the country.
4.2.8. Legislative/Regulatory Imperative
Despite the relevance and, in fact, desirability of self regulation, the nature and limitations of human beings who run organisations have always necessitated the need for legislations and regulations to protect public interest and foster welfare and economic development. Thus, although self regulation is highly canvassed, it is not an alternative to government statutory regulation and its effective deployment. Regulation and its relevance have been aptly captured in the literature and redefined in the contemporary world to include in-puts and/ or considerations of interactions from industry associations, international bodies, non-governmental organisations and community groups, and involves mechanisms ranging from rules, codes, monitoring and sanctions. The success of sustainable banking in Nigeria will therefore also be hinged significantly on the extent to which regulatory agencies carry out their supervisory and oversight functions on various aspects of banking services. This will require development and/or enhancement of appropriate supervisory capacity on the part of the regulators. Efforts should therefore be intensified in the adoption of risk-based and consolidated supervision and prompt corrective actions as may be necessary. However, because sustainable banking goes beyond simple relationship between banks and their clients to include social and environmental concerns, other institutional stakeholders should see the development or enhancement of their respective sector regulations and their effective deployment as a matter of great importance to, among other things, facilitate sustainable banking in the country.
4.2.9. Measuring and Reporting Implementation Progress
In order to keep track of their performance, banks would be expected to articulate objectives, performance indicators and milestones. Performance tracking enables a bank to measure its progress in implementing the Principles as well as its Sustainable Banking policies and procedures. As part of its public commitment to adopting the Principles, it is required that a bank reports publicly its implementation progress on an annual basis. Specifically, after a bank has established appropriate Sustainable Banking commitment and implementation plan, it is expected to develop a reporting template that: (a) is consistent with the objectives and reporting requirements of each Principle; and (b) is aligned with the core values and business model of the bank.
5.0 INITIATIVES OF CBN AND NDIC IN PROMOTING SUSTAINABLE BANKING
Both the CBN and NDIC are members of the Bankers' Committee that pledged their commitment to the adoption and implementation of the NSBP. For this reason they are under obligation to lead by example, which means that, they should adopt and implement the principles in their operations as entities. Accordingly, the CBN and NDIC individually commenced the process of ensuring that they comply with the requirements of the NSBP where practicable.
In the case of CBN and as part of the process of implementing the Principles through its operations, it came up with the following initiatives (Mahmood, 2013):
Developed a sustainability implementation plan
Set up a sustainability committee to drive the implementation of the principles in the Bank
Commenced training of the members of the CBN sustainability committee
Sensitized departmental heads and branch controllers on sustainable banking
Raised awareness of employees on sustainability via intranet/bank net
On the part of the NDIC, it has recognized the fact that it is one of the major stakeholders in the drive towards achieving banking sustainability in the country. Some of the efforts by the Corporation towards facilitating the implementation of the principles through its operations include the following, among others:
Obtained Board buy-in for the implementation of NSBP.
Sensitized the Board on sustainability during the 2012 and 2013 NDIC Board Retreats.
Set-up sustainability desk in the Managing Director's office.
Appointed a coordinator to oversee the implementation of the NSBP in the Corporation.
Set-up a committee on sustainability to facilitate the implementation of NSBP in the Corporation.
Organized an awareness sessions on sustainable banking for the staff of the Corporation in Abuja and Lagos.
Commenced discussion with an expert on sustainability for indepth training programmes for staff of the Corporation.
With regards to the adoption and implementation of NSBP by the banking industry players, the CBN and NDIC as regulators and supervisors have the responsibility for ensuring that members of Bankers' Committee comply with the requirements of the sustainability principles. In this regard, the CBN, which is the lead regulator in the industry came up with the following initiatives (Mahmood, 2013):
Developed a reporting template, which had been exposed to the department dealing with the returns from the industry.
Engaged government MDAs such as Ministry of Environment, Nigeria Security Printing and Minting Plc, etc.
Discussed with Development Finance Institutions (DFIs) such as International Finance Corporation (IFC), The Netherlands Development Finance Company (FMO), for training programmes to build institutional capacity of the industry and IFC seems to have obliged.
Discussed with the local training institutions such as Financial Institutions Training Centre (FITC), Chartered Institute of Bankers of Nigeria (CIBN), Lagos Business School, for customized training for the industry.
In the process of setting up a sustainability (centre of excellence) website
The NDIC on the other hand, came up with the following initiatives towards ensuring that the banking industry implements the sustainable banking principles:
Made input into the reporting template developed by the CBN.
Engaged a consultant to run capacity building programmes for the NDIC examiners who would ensure the compliance of the industry.
6.0 CHALLENGES OF IMPLEMENTING NSBP
Several challenges could be encountered in the course of implementing the Nigeria Sustainable Banking Principles (NSBP). These challenges include, but not limited to, the following:
i. Dearth of Capacity: There is need for capacity building by both the regulators and operators on such areas as identification, assessment and management of environmental and social (E&S) risks; E&S costbenefit analysis; integration of sustainability criteria in operations, etc.
ii. Compliance and Enforcement: Regulators should put in place an enabling operating environment for operators, including incentives for compliance. Regulators should also apply sanctions to defaulting institutions as a means of ensuring strict compliance.
iii. Public Awareness: Since sustainable banking is novel in our jurisdiction, there is the challenge of having to educate both the staff of banks and the banking public on the new approach to banking practice. This will go a long way in facilitating the implementation of the principles in the system.
iv. Exposure to clients/projects with poor track records on environmental and social performance would result to higher levels of risk in such portfolios (credit risk, legal risk, reputational risk).
7.0 CONCLUSION:
Perhaps there is no better conclusion for this presentation than to once again call on the various stakeholders in the Sustainable Banking drive to sustain the joint commitment. We are aware that not less than 30 institutions made up of sector regulators, banking institutions and discount houses signed the commitment to sustainable banking in Nigeria. With such a level of buy-in, by the relevant and critical institutions, there is no doubt that the new banking system and approach has come to stay in the country. What is needed is the sustainability of that commitment, which is crucial to the realisation of the goals of sustainable banking in Nigeria.
REFERENCES
Bankers' Committee (2012), "Nigerian Bankers' Committee Set to Develop Sustainable Banking Principles", investAdvocate, Thursday January 19 www.investadvocate.com.ng
Central Bank of Nigeria (2012), "Circular to all Banks, Discount Houses and Development Finance Institutions", September 24.
Equator Principles (2013), www.equator-principles.com/index
International Finance Corporation (2012), Performance Standards on Environmental and Social Sustainability, January.
Mahmood, A. U. (2013), "Update on Implementation of Nigerian Sustainable Banking", Paper presented at the Sensitization programme for NDIC staff.
SAS (2013), "White Paper on Sustainable Banking", ww.sas.com/reg/wp/24356
Schroeder-Saulnier, D. (2009), Responding to Change Agility: The Leader's Role, Right Management.
United Nations Environment Programme, UNEP (2011), F1 Guide to Banking & Sustainability, October.
Weber, O (2012), "Sustainable Banking – History and Current Developments", Working Paper, School of Environment, Enterprise and Development (SEED), University of Waterloo, ON.
THE IMPACT OF INTEREST RATE DEREGULATION ON FINANCIAL DEEPENING IN NIGERIA
Nura Umar Galadima
Abstract
This paper examines the relationship between interest rate deregulation and financial deepening in Nigeria.The paper uses cointegration and error correction methods to distinguish between the long-run and short-run impact of deposit rate, inflation rate and per capita income on financial deepening in Nigeria. The paper finds that deposit rate is statistically insignificant at 5% and 10% levels, indicating that an increase in deposit rate does not permanently affect financial deepening in Nigeria; inflation rate is positive and statistically significant in the model while real per capita income is negative but statistically significant.
1.0 INTRODUCTION
The neo –Keynesian analysis dominated the arena of finance and growth literature until the 1960s. The main thesis of the neo-Keynesian analyses is predicated on the view that interest rates should be kept low in order to promote capital formation (Sen and Vaidya, 1997). During this period, emphasis was laid more on expansionary measures in credit programmes and contractionary measures on interest rates as far as planning is concerned in Less Developing Countries. These became popular as a means of allocating scarce resources to 'preferred sectors' at low cost. The proponents of financial reform (Mckinnon and Shaw) argued that interest rate liberalization leads to significant economic benefits through a more effective domestic saving mobilization, financial deepening and efficient resource allocation.
Restrictions on bank behavior imposed by government often ushered in negative real interest rates and an excess demand on credit, compelling banks to ration their lending coupons. Therefore, the government in Nigeria deregulated interest rate in 1987 as part of its Structural Adjustment Programme (SAP). The government position then was that interest rate deregulation would, among other things result in modestly positive real interest rates. The consequence is an increase in the resources available to the financial system by attracting savings previously held outside the formal financial sector. Indeed, positive real interest rates would provide an incentive for borrowers to invest in more productive activities, thereby improving the productivity of the economy as a whole.
Furthermore, whether interest rates deregulation in Nigeria had positive influence on financial deepening as postulated by the proponents of interest rate liberalization remains an issue of empirical investigation. Most studies (Ndekwu 1989, Nzotta and Okereke 2009, Tennant et al 2007, Ndebbio 2004, Nicholas 2010) in this area were either limited by insufficient data coverage in other countries or had relied on panel data to examine the causal relationship between interest rate deregulation and financial development. It is clear that cross-sectional studies by lumping countries that are at different strata, profiles and stages of financial and economic development may not satisfactorily address the country specific effects.
The aim of this paper is to investigate the impact of interest rate deregulation on financial deepening in Nigeria. The rest of the paper is organized as follows: Section 2 reviews relevant literature available while section 3 deals with estimation techniques and empirical analysis while the last section concludes the paper.
2.0 LITERATURE REVIEW
2.1 CONCEPT OF FINANCIAL DEEPENING
Shaw (1993) defined financial deepening as the increased provision of financial services with a wider choice of services geared to all levels of society. Financial deepening is often understood to mean that sectors and agents are able to use a range of financial markets for savings and investment decisions, including long maturities; financial intermediaries and markets are able to deploy larger volumes of capital and handle larger turnover, without necessitating large corresponding movements in asset prices (King and Levine, 1993).
Beck et.al (2009) identified six indicators of financial deepening which include:
1) Current Liabilities to GDP: It equals currency in circulation plus demand and interest bearing liabilities of banks and other financial intermediaries divided by GDP.
2) Currency outside Banking System to Base Money: is an indicator of monetization of the economy, as it shows which share of base money is not held in the form of deposits within the banking system.
3) Financial Systems Deposits to GDP : is the ratio of all demand, saving and time deposits in banks and bank-like financial institutions to economic activity and is a stock indicator of deposit resources available to financial sector for its lending activities.
4) Credit to the Private Sector by Deposit Money Banks (DMBs) and Other Financial Institutions to GDP: is defined as claims on the private sector by deposit money banks and other financial institutions divided by GDP.
5) Stock Market Capitalization to GDP: it refers to the value of listed shares divided by GDP.
6) Corporate Bond Market Capitalization to GDP: refers to the total amount of outstanding domestic debt securities issued by private or public domestic entities divided by GDP.
In this paper we use the ratio of Current Liabilities to GDP as proxy for financial deepening.
2.2 REVIEW OF EMPIRICAL LITERATURE
A number of studies have been carried out on interest rate deregulation, financial development and economic growth. These studies can be broadly classified based on the econometric procedures and the types of data such as time series data, cross sectional data, or panel data.
Ndekwu (1989) investigated the impact of interest rate deregulation on bank deposits and the implication of that to the growth of the Nigerian economy and banking system. The author analyzed eleven-equation model for testing the relationship between interest rates and bank deposits via these theories: loanable funds theory; liquidity preference theory; monetarist theory; and structuralist theory. Ordinary Least Square Method was employed for estimating the equations. The study used monthly time series data, which covered the period of 1984-1988. The explanatory variables in the models were saving deposit rate, time deposit rate and demand deposit rate. The study reveals that high interest rate on savings deposit has stimulated an increase in the supply of savings in the banking system, whereas high cost of borrowing in the form of high lending rates may discourage borrowers especially the private sector producers and investors to source loan from financial institutions for investment thereby affecting productivity. Although the contribution of interest rates to inflation in Nigeria was yet to be determined, there was strong belief that high cost of borrowing working capital increases cost of production and hence prices through a mark-up pricing system. Ndekwu concluded that the McKinnon's (1973) claim that financial liberalization facilitates financial development and economic growth was yet to be conclusively established in the case of Nigeria.
Similarly, Mohsin et.al (2001) investigated the impact of inflation on financial depth in 168 countries (comprising both industrial and developing countries) and covers the period 1960-1999. The authors found that there is a threshold level of inflation below which inflation has a positive effect on financial depth, but above which the effect turns negative. The result indicated that the threshold level of inflation is generally between 3 and 6 percent a year, depending on the specific measure of financial depth that is used.
Furthermore, Bittencourt (2008) examined the impact of inflation on financial development in Brazil using data covering 1985 to 2002. The results based on different data sets, and on a range of estimators and financial development measures, suggest that inflation clearly reduced financial development in Brazil within the period. Therefore, the authors concluded that low and stable inflation, and all that it encompasses, is a necessary first step to achieve a deeper and more active financial sector with all its attached benefits.
Nicholas (2010) conducted an empirical investigation using two equation model to examine interest rate deregulation on bank development and economic growth in South Africa from 1969 to 2006, using co-integration and error correction techniques. In the first model equation, three explanatory variables: real income and deposit rate were identified whereas financial deepening served as the dependent variable. In the second equation model, the dynamic causal relationship between financial deepening and economic growth was examined, by including investment as an intermittent variable in the bivariate setting , thereby creating a simple trivariate causality model. The paper found a strong support for the positive impact of interest rate reforms on financial development in South Africa. However, the paper realized that financial development does not granger cause investment and economic growth. But there was unidirectional causal flow from investment to financial development, while no causal flow of investment to economic growth.
2.3 THEORETICAL FRAMEWORK
The theoretical specification of the financial deepening equation draws on the literature of finance and development, which postulates a symbiotic relationship between the evolution of the financial system and the development of the real economy. The literature on this relationship predicts that financial deepening depends on real income and real interest rate Nejib, (2005).
However, the theory of interest rate liberalization McKinnon and Shaw (1973) is based on the premise that the higher the real interest rate, the greater the degree of financial deepening, the more saving there will be, and financial savings will be allocated and invested more efficiently than if saving is invested directly in the sector in which it takes place, without financial intermediation Robin, (2008).
Up to the 1960s, the dominant view in the finance and growth literature was the neoKeynesian perspective, which argues that interest rates should be kept low in order to promote capital formation Sen and Vaidya, (1997). During this period, the guiding philosophy of governments in the less developed economies was one of economic planning with directed credit programmes and interest rate controls. These became popular as a means of allocating scarce resources to 'preferred sectors' at low cost.
McKinnon (1973) and Shaw (1973) challenged the Neo-Keynesian perspective, which argues that interest rates should be kept low in order to promote capital formation. They termed developing economies as financially repressed. Their central argument was that financial repression lead to indiscriminate "distortions of financial prices including interest rates and foreign exchange rates" Fry, (1995). In other words, financial repression, a combination of heavy taxation, interest rates controls and government participation in the credit allocation process would lead to both a decrease in the depth of the financial system and a loss of efficiency, with which savings are intermediated Sen and Vaidya, (1997). The proponent of interest rates deregulation McKinnon, (1973) argues that interest rate liberalization tends to raise ratio of domestic private savings to income. Therefore, interest rate liberalization will lead to significant economic benefits through a more effective domestic savings mobilization, financial deepening and efficient resource allocation McKinnon, (1973). This study adopted the Ronald McKinnon and Edward Shaw view in order to assess the interest rate liberalization policy in Nigeria.
3.0 ESTIMATION TECHNIQUES AND EMPIRICAL ANALYSIS
3.1 FINANCIAL DEEPENING MODEL
In this section, the relationship between interest rate deregulation and financial deepening is examined by regressing the financial depth variable on deposit rate, per capita income and real inflation rate. The research question in this case is whether deposit rate and inflation rate positively or negatively affect financial depth in Nigeria? The model can be expressed as follows:
Where: FDN = financial deepening variable proxied by M2/GDP; DR= deposit rate (nominal); IR= inflation rate; PIC = real per capita income; Ut = white noise and normally distributed with mean zero and variance of one; and Ut-1= speed of adjustment, where βο, β1, β2, and β3, are the parameters of the model. The βο refers to the intercept coefficient, while β1, β2 and β3 are the slope coefficients.
The rationale for including different variables in the financial deepening model is based on the assumption that the inclusion of deposit rate is expected to capture the impact of interest rate deregulation on financial deepening. The coefficient of deposit rate in the model is expected to be positive and statistically significant. The inclusion of inflation rate is meant to capture the impact of inflation on the various components of money. According to Mohsin et al (2001) inflation rate above threshold has a negative effect on financial deepening but below the threshold it has a positive effect to financial deepening. Therefore the coefficient for inflation rate is expected to be negative and statistically significant. However, the inclusion of real GDP per capita is supported by the life circle hypothesis and the coefficient is expected to be positive and statistically significant.
3.2 DATA SOURCE AND DEFINITION OF VARIBLES
3.2.1 DATA SOURCE
Nigerian time series data, which covers the period (1981- 2011), is used in this study. The data used are obtained from different sources, including CBN Statistical bulletin and National Bureau of Statistics.
3.2.2 DEFINITION OF VARIABLES
i)
Financial depth
Financial depth = M2/ GDP
Where: M2= broad money stock; and GDP= gross domestic product
ii) Nominal deposit rate = interest rate on 3months deposit in commercial banks.
iii) Inflation rate = consumer price index
iv) Real per capita income:
The real per capita income is computed below Real GDP per capita (PIC) = Real GDP/total population
3.3 EMPIRICAL ANALYSIS
3.3.1 Stationarity Test
A unit root test has been used to determine the order of integration of the variables used in the study. Table 3.1 presents unit root test carried out to determine the stationarity of the data.
Table 3.1: Unit Root Test
| Variab les | ADF | | Phillip Perron | | DF GLS | | |
|---|---|---|---|---|---|---|---|
| | Level | 1st Dif. | Level | 1st Dif. | Level | 1st Dif. | Level |
| Lfdn | -2.1513 c | - 4.9133b | -2.3011 c | -13.3482 c | -2.0630 c | -4.9089 c | 0.2515b |
| Ldr | -3.2950 a | - 7.3763c | -2.6194 a | -6.6888 c | - 2.4266b | - 7.3562a | 0.2271a |
| Lpic | -0.7834 b | -4.1972 b | -3.1630 b | -15.8783 b | -0.5037 b | -2.8706 b | 0.2983 b |
| Lcpi | -1.6331 a | - 9.4133b | -1.6565 a | - 10.3059b | - 1.0609b | - 8.8562b | 0.2964b |
Note a => with intercept b => with trend and intercept
c => with none
Table 3.1 reports that all variables in the model are non-stationary at level but stationary at first difference. Having established that the variables included in the financial deepening model are integrated, the next step is to test the possibility of cointegration among the variables in the equation. The results of cointegration test are reported in Table 3.2.
Table 3.2: Cointegration Test Using Engle Granger Approach
| | Dependent Variable | | |
|---|---|---|---|
| | LFDN | LDR | LCPI |
| z-statistic | -33.30488 | -26.72350 | -22.34921 |
| Prob. | 0.0252 | 0.0904 | 0.1871 |
| No. of observations | 119 | 122 | 119 |
The results of cointegration presented in Table 3.2 show that there is long-term or equilibrium relationship between dependent variable (financial deepening LOG (FDN)) and explanatory variables (inflation rate, per capita income and deposit rates).This is because the probability value for dependent variable is (0.0252), below 5%. Table 3.3 presents Long run Estimation using cointegration method.
Table 3.3: Long Run Estimation.
| variable | Coefficient | Std. Error | t-Statistic |
|---|---|---|---|
| LOG(DR) | -0.05124 | 0.13082 | -0.391681 |
| LOG(PIC) | 1.137707 | 0.283680 | 4.010527 |
|---|---|---|---|
| Constant | -6.94152 | 1.95737 | -3.54636 |
The long run estimation results reported in Table 3.3 show that the coefficients of inflation rate, per capita income are statistically significant at 5% while the coefficient of deposit rate is statistically insignificant at 5% and 10 % levels, indicating that an increase in deposit rates does not permanently affect financial deepening. Although the coefficients of inflation and per capita income are statistically significant with the exception of deposit rates in the model, the estimated results suffer from autocorrelation problem because the Durbin Watson statistic is very low at 0.603861.
To resolve the problem of autocorrelation there is need to introduced error correction term in the short run so as to determine whether the model converge all the variables in the model. In this case, we lagged all the variables once including error term. Table 3.4 reports on short run estimation.
Table 3.4: Short run Estimation
| variable | Coefficient | Std. Error | t-Statistic | Prob. |
|---|---|---|---|---|
| D(LOG(DR)) | 0.024463 | 0.085374 | 0.286537 | 0.775 |
| D(LOG(CPI)) | 0.338728 | 0.141003 | 2.40227 | 0.0179 |
| D(LOG(PIC)) | -0.389526 | 0.130305 | -2.98935 | 0.0034 |
| ECM | -0.13238 | 0.046102 | -2.87149 | 0.0049 |
R-squared 0.220732
Adjusted R-squared 0.194090
Durbin-Watson stat 2.134216
F-statistic 8.285211
The short run estimation results reported in Table 3.4 show that the coefficients of inflation rate, per capita income and ECM are statistically significant while the coefficient of deposit rate is statistically insignificant at 5% and 10% levels, indicating that an increase in deposit rate does not permanently affect financial deepening in Nigeria. The coefficient of inflation rate is (0.34), suggesting that, holding other variables constant, if inflation goes up by 1%, the mean financial deepening goes up by about 34%. However, the coefficient of per capita income (-0.39), meaning that if per capita income goes up by 1%, mean financial deepening goes down by 39%, again holding other variables constant.
The coefficient of error correction term (ECM) is (-0.13), suggesting that 13 % of the discrepancy between long term and short term financial deepening is corrected within a quarter. As regard the overall fitness of the model, the F- statistic value (8.29) is statistically significant at 5%level, suggesting that, collectively, all the variables have a significant impact on financial deepening in Nigeria. Furthermore, the Durbin-Watson statistic (2.13) is within the acceptable region, suggesting that the model is free from autocorrelation problem.
4.0 FINDINGS OF THE STUDY
The findings reveal that deposit rate is statistically insignificant at 5% and 10% levels, indicating that an increase in deposit rate does not permanently affect financial deepening in Nigeria; inflation rate is positive and statistically significant in the model while real per capita income is negative but statistically significant. However, the coefficient of error correction term (ECM) is (-0.13), suggesting that 13 % of the discrepancy between long term and short term financial deepening is corrected within a quarter. In a nutshell, about 53 per cent of the disequilibrium between long-term and short-term is adjusted in one year. This means that discrepancy can be corrected between the two periods within just two years.
Based on the findings from this study, the following recommendations are proffered:
I. There is need to conduct further research to ascertain threshold level of inflation so as to ensure continued positive effect of inflation on financial deepening in Nigeria. According to Mohsin, et al (2001) asserted that there is a threshold level of inflation below which it has a positive effect on financial deepening, but above which the effect turns negative. The estimated threshold level of inflation is between 3 and 6 percent a year, depending on the specific measure of financial deepening that is used. Based on this, the finding of this study reveals that inflation rate has positive effect on financial deepening.
II. The findings reveal that deposit rate is positive but statistically insignificant at 5% and 10% levels, indicating that an increase in deposit rate does not permanently affect financial deepening in Nigeria. Experience has shown that interest rate deregulation has failed to ensure competition for deposits in Nigeria.
III. Surprisingly, contrary to economic theory per capita income has no positive effect on financial deepening in Nigeria. One possible explanation to this might be due to absent of effective and efficient utilization of resources in the country for economic development. The government should re-strategize it plans and policies toward achieving sustainable growth and development in the economy.
5.0 CONCLUSION
This paper presents evidence of cointegration among financial deepening variable (M2/GDP), deposit rate, inflation rate and per capita income. The paper finds that there is a close, stable relationship among these four macroeconomic variables. Indeed, the discrepancy between long term and short term financial deepening is corrected within two years.
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THE IMPACT OF MERGERS AND ACQUISITION ON THE GROWTH AND SURVIVAL OF BANKS IN NIGERIA. A CASE STUDY OF UBA AND ACCESS BANK NIG. PLC.
BY UTAAN CORDELIA ANGBIANDOO (RESEARCH DEPT.)
ABSTRACT
This paper examines the use of Mergers and Acquisition (M&A) as a business strategy for the growth and survival option of Nigerian banks from 2003 to 2010 using UBA and Access banks as case studies. Countries experiences from India and USA were reviewed and lessons drawn were highlighted. Key performance ratios such as profitability, earnings, asset quality and capital adequacy were applied as causative factors using ratio analysis model.
Findings revealed that the adoption of Mergers and Acquisition by Banks in Nigeria has led to the survival of merged entities but did not necessarily bring about growth to the banks. Though significant growth was achieved in terms of asset size, profit after tax, market share and capital base, it was not enough to conclusively assert absolute growth. The paper recommends that M&A should be adopted as a survival option in Nigeria by banks and other similar organizations based on the findings of the case studies.
1.0 INTRODUCTION
To be sound, the Nigerian banking sector has undergone remarkable changes over the years in terms of the number of institutions, structure of ownership, as well as depth and breadth of operations (Akpan, 2007). These changes have been influenced mostly by the challenges posed by deregulation of the financial sector, globalization, technological innovations, and implementation of supervisory and prudential requirements that conform with international regulatory standards. Soludo (2004) posits that these reforms of the banking sector is part of the government's transformation agenda aimed at repositioning and integrating the Nigerian banking sector into the African regional and global financial system. The objective was to make the banking industry sound competitive and carry out its core functions of financial intermediation.
The Central Bank of Nigeria (CBN) in order to reposition the banking industry increased the minimum capital requirement of banks from N2 billion to N25 billion in July 2004, with December 31, 2005 as deadline. As a result, more than half of the 89 banks in Nigeria as at July 2004 were engaged in some form of merger and acquisition to meet the capital requirement. Some banks sourced additional capital through public offer while others explored a combination of merger, acquisition and public offering. The CBN's policy to increase the shareholder's fund was to amongst other things, strengthen the financial capacity and effectiveness of the Nigerian banking sector. The banking consolidation process (which was regulatory induced) in the Nigerian banking sector in 2004 and 2005 resulted in the reduction of the number of operating insured banks from 89 to 25 as at December 31, 2005. Another round of consolidation started in 2009 after the apex supervisory body unearthed the rot in the banking industry following conclusion of an assessment of the consolidation exercise. The CBN waded in to forestall any systemic collapse. This made some of these banks to again consider Merger and Acquisition as a survival strategy. The number of banks further reduced to 20 from 25. Although not entirely new, M&A trend is gradually gaining ground in Nigeria as a viable option of bank capitalization and survival. Therefore, the focus of the paper would be a case study on Access bank Plc and UBA bank Plc.
The main questions that the paper seeks to answer include the following: Do mergers and acquisition bring about improved earnings, increased liquidity, profitability and asset quality of the banks? Have the banks grown in terms of gross earnings and total assets?
Considerable number of studies have been carried out to ascertain whether M&A result in successful improvement of banks' profitability and efficiency (Berger and Humphrey 1992; Rafferty 2000 and Koetter et al. 2007). A wide range of performance indicators have been applied in these studies, ranging from simple Balance Sheet and Profit and Loss ratios to more advanced statistical efficiency measures. Some of these studies find little or no evidence of M&A-enabled productivity gains (Berger and Humphrey 1992; Lang and Welzel 1999; Rafferty 2000). For instance, Koetter et al. (2007) focused on the German banking market, observed that many mergers serve as a preemptive distress resolution measure and therefore does not necessarily bring about superior financial performance afterwards.
Studies by (Ekundayo 2008; Soludo 2006 and Soludo 2008) also show that the consolidation of the Nigerian banking sector through M&A and organic growth resulted in a remarkable improvement in the sector as a whole. The balance sheet size and Profit and Loss profile of most banks in Nigeria have more than doubled since December 2005 to date. It is evident from large number of studies conducted on M&A that it is the most widely used strategic option adopted by organizations for growth purpose (Goyal and Vijay, 2011).
However, the results of these studies are generalistic as it shows sectorial improvements rather than specific aspects or causatic factors. A gap therefore exists in determining whether M & A lead to growth and survival of banks in Nigeria with particular reference to performance ratios such as; profitability, earnings, asset quality and capital adequacy as the causative factors for the growth.
The purpose of the study is therefore to examine the impact of mergers and acquisitions on the growth and survival of Nigerian banks with key reference to Access bank Plc and UBA Plc. The specific objectives of the study are to:
I. Examine the level of growth in terms of gross earnings and total assets of the banks after a merger and acquisition deal has been executed.
II. Establish if mergers and acquisitions are a means of gaining increased liquidity, profitability, improvement in capital adequacy ratio and asset quality in banks.
In order to achieve this purpose, the paper has been organized into five (5) sections. Section 2 reviews related literature. This consists of definition of the subject matter and motives of motives of mergers and acquisition. It also reviews some empirical studies and other relevant literature in the field of this study. Section 3 discusses research methodology, i.e the methodology selected by the researcher. It will highlight the sources of data, data analysis technique, research design, sample procedure and data collection. Section 4 gives a vivid presentation and analysis of data collected and findings of the study. While section 5 outlines the summary, conclusions and recommendations.
2.0 LITERATURE REVIEW
2.1. What is Merger and Acquisitions?
The encyclopaedia (Encarta, 2005) defines mergers as ''efforts to organize an industry in order to achieve practical monopoly control'', while acquisitions are ''the takeover by one company of sufficient shares in another company to give the acquiring company control over that other company''. In the case of mergers, such actions are commonly voluntary and often result in a new organizational name. While in the case of acquisitions, such actions can be hostile or friendly and the acquirer maintains control over the acquired firm (Jimmy 2008; Alao 2010). Similarly, Gaughan (2007) defines merger as a combination of two or more corporations in which only one corporation survives.
Sudarsanam (2003) states that the terms such as merger, acquisition, buyout and take over are used interchangeably and are all part of the merger and acquisition parlance, the author opined that merger is the process whereby corporations come together to combine and share their resources to achieve common objectives with the shareholders of the merged firms still retaining part of their ownership. This may sometimes lead to a new entity being formed while acquisition resembles more of an arm's length transaction with one firm purchasing the assets of the other and the shareholders of the acquired firm ceasing to be owners of the new firm.
CAMA (1990) defines a merger as 'an amalgamation of the undertaking or any part of the undertakings or interest of two or more companies or the undertakings or part of the undertakings of one or more companies and one or more corporate bodies'. Simply put, a merger is a form of business combination whereby two or more companies join together with one being voluntarily liquidated by having its interest taken over by the other and its shareholders becoming shareholders in the other enlarged surviving company.
Musa (2005) goes further to state that; mergers are 'integration of companies such that shared resources and shared specialization are jointly utilized for rapid economic growth and development, while acquisition is the takeover by one company of sufficient shares in another company to give the acquiring company control over that other company. Greg (1990) refers to mergers as an aspect of corporate restructuring where the assets and shares of a target company are taken over by that acquiring firm.
A critical look at the various definitions show a convergence of opinion and meaning of mergers and acquisitions as corporate strategies aimed at achieving economies of scale and synergy.
2.2 Motives of Mergers and Acquisitions
There are three motives of mergers and acquisitions These motives include; Synergy motive, Hubris motive and the Agency motive. Each motive has its own implication in association with the benefits to the participant organizations in the mergers and acquisitions process.
The synergy motive (Becher 2000; Lensink and Maslennikova 2008; Carline et al. 2009) suggests that mergers and acquisitions occur when the combination of the two organizations results in economic gains. These could arguably arise because of the synergy created by the combination of the business entities.
The Hubris motive of mergers and acquisitions suggests that managers may over value the target as a result of valuation errors (Becher 2000; Lensink and Maslennikova 2008). Lensink and Maslennikova (2008) further argued that the acquirer mistakenly believes that the value of the target is higher than its actual market value. As a result, the bidder overpays and realises negative gains while shareholders of the target company profits.
The agency hypothesis as a motive for mergers and acquisitions argues that managers pursue their own interests to engage in takeover activity at the expense of shareholders (Lensink and Maslennikova, 2008). Carline et al. (2009) also posited that managers may aim to satisfy their own interests by increasing firm size. Managers may also increase perquisite consumption that may damage firm value.
This research work is focussed on the synergy motive for mergers and acquisitions where the economic gains of business combination could or has enhanced economic growth and survival of the merged entities.
Ravichandran et al (2010) studied the efficiency and performance of banks and found that profitability and total advances to deposits ratio had improved positively after a M & A activity had taken place. Olokoyo & Umoren (2007) analyzed the performance ratio of a sample of 13 banks in Nigeria and found that on average, bank consolidation resulted in improved performance. Similarly, Yener & Ibanez (2004) compared pre-and-post merger performance in a comprehensive sample of European Union banks from 1992 to 2001. The findings revealed that bank mergers in the European Union resulted in improved returns on capital and performance
In a related study by Koetter et al. (2007), which focused on the German banking market, it was observed that many mergers serve as pre-emptive distress resolution measures. Studies by Avkiran (1999) and Worthington (2004) also support the relative efficiency hypothesis. Support for a 'reverse' Relative Efficiency Hypothesis is provided by Resti (1998) who stated that, merger among Italian bank between 1987 and 1995, showed that the acquirers appeared even less efficient than their targets. While in a study of the US market, Wheelock and Wilson (2000) found that, contrary to the low efficiency hypothesis, inefficient banks are less likely to be acquired. This finding contradicts an earlier study by Hadlock et al. (1999) who opined that poorly performing banks are more likely to be acquired
Jimmy (2008) evaluated organic growth and mergers and acquisitions as strategic growth options in the Nigerian banking sector between 2003 to 2007 using performance ratios such as profitability, capital adequacy and earnings to ascertain which resulted in superior performance. It was found that the merged bank witnessed a higher growth rate than the other bank that grew organically.
2.3 Types of Mergers and Acquisitions
Three types of M&A are consistently discussed in the economic and financial literature. They are: Horizontal, Vertical and Conglomerate mergers. However, Cartwright and Cooper (1992) and other writers mentioned and discussed a fourth type, which is Concentric mergers (Gaughan 2007; Brealey et al. 2006 and Okonkwo 2004).
Vertical merger is a merger in which one firm supplies its products to the other.
A vertical merger results in the consolidation of firms that have actual or potential buyer-seller relationships (Coyle 2000; Fitzroy et al. 1998 and Gaughan 2007).
On the other hand, a conglomerate merger occurs when unrelated enterprises combine or firms which compete in different product markets, and which are situated at different production stages of the same or similar products combine, to enter into different activity fields in the shortest possible time span to reduce financial risks through portfolio diversification (Brealey et al. 2006; Cartwright and Cooper 1992; Gaughan 2007 and Okonkwo 2004).
A horizontal merger is the merger of two or more companies operating in the same field and in the same stages of process of attaining the same commodity or service (Gaughan 2007; Brealey et al. 2006; Okonkwo 2004). In other words, a horizontal merger is the combination of firms that are direct rivals selling substitutable products within overlapping geographical markets. The purpose of this type of merger is to eliminate a competitor company, to increase market share, buy up surplus capacity or obtain a more profitable firm in order to gain a competitive advantage. Notwithstanding such benefits, this type of mergers has the drawbacks of restricting new entrants into the market (Gaughan, 2007).
Typical examples of horizontal mergers in Nigerian M&As are: IBTC-Chartered Bank merger with Stanbic Bank Nigeria Limited, Access Bank's merger with Capital Bank and Marina International Bank, and Platinum Bank Limited merger with Habib Nigeria Bank Limited in Nigeria (Adesida 2008; CBN 2005; Ekundayo 2008).
Concentric M&A involves firms which have different business operation patterns. Although divergent, the firms may be highly related in production and distribution technologies. The acquired company represents an extension of the product lines, market participation, or technologies of the acquiring firm under concentric M&A (Cartwright and Cooper, 1992).
2.4 Benefits, Limitations and Challenges of Merger and Acquisition
The gains arising from merger include; an enlarged balance sheet and customer base for the bank, profitability and increased branch network which results in adequate presence across the country. Others are economies of scale, improved perception of the bank by all stakeholders and most importantly synergy-strength and capital base.
Acquisitions can result in the destruction of value if management reinvests the firm's resources, or free cash flows, for their own personal interest in inefficient projects.
Amihud and Lev (1981) who empirically examined the motives for the widespread and persisting phenomenon of conglomerate mergers conclude that managers are engaging in conglomerate mergers 'to decrease their largely undiversified employment risk. According to Jensen (1986), agency costs occur when there are substantial free-cash flows that are reinvested inefficiently by the managers, instead of redistributing them directly to their shareholders through dividend payments. Manager-specific investments also provide the opportunity for managers to extract higher wages and to have more control over the corporate strategy of the company (Shleifer and Vishny, 1989).
Another limitation of M&A is value-destruction that results from poor postmerger integration (Stewart, 2006). Data integrity and transparency in the conduct of mergers is also a critical success factor which either facilitates quick integration or affects a smooth take over process.
The challenges of M&A include; technology integration, human resource/manpower management issues, integrating new manpower resources and managing organizational culture. Others are; rising operating expenses due to the cost of business combination, change management with all stakeholders and the challenges in absorbing and managing the increased branch network
2.5 Experiences of India and U.S.A on M&A
Two countries -the U.S.A and India are discussed below to have a broader understanding of the concept and experience in these economies in mergers and acquisitions of business entities. The choice of these two countries is as a result of USA being a model for best practice in merger and acquisition activities. On the other hand, India being an emerging economy shared similarities with Nigerian economy as well as the financial restructuring the country achieved using this form of business strategy.
2.5.1 Mergers and Acquisitions waves in U.S.A.
Mergers and acquisitions have often occurred in waves, with different motives behind each wave. Five M&A waves in the United States of America between 1897 and 2004 were characterised by cyclic activities, caused by a combination of economic, regulatory, and technological shocks (Gaughan 2007; Mitchell & Mulherin 1996; Sudarsanam 2003). Some of today's business giants such as USX Corporation, DuPoint Inc, General Electric, Standard Oil (ExxonMobil, Chevron and Amoco) and Eastman Kodak are results of M&A (Gaughan 2007; Sudarsanam 2003). In all the waves, market share, survival and strategic restructuring were the motive of the merging entities.
2.5.2 Mergers and Acquisitions waves in India
The banking sector of India is considered as a booming sector and the soundness of the banking system has been vital to the development of the country's economy. The growth of the economy by over 9% in the last three years has made India to be regarded as the next world economic power house. Various challenges and problems faced by the Indian banking sector and the economy have made mergers and acquisition activity not an unknown phenomenon in the Indian banking industry, (Ravichandran et al., 2010).
There were about 196 rural banks in 1989 that were consolidated into 103 by merging themselves into commercial banks. In 2000, about 17 urban cooperative banks were merged with state owned commercial banks. Since about 75% of the Indian banking system consists of public sector banks, more consolidations began to take place in the late 2000 (Ravichandran et al., 2010). Indian banking institutions began facing competition when the regulators started allowing foreign banks to enter into the local banking market. Feeling this pressure, many private banks began to merge with foreign banks for reasons such as survival, building up their financial strength, capturing larger portion of the growing retail business and securing regional presence, (Ravichandran et al., 2010)
Benefits of M& A to Indian banks include; distressed banks survived after merger. It also led to enhanced branch network. Geographically, M&A led to larger customer base (rural reach), increased market share and attainment of infrastructure (Goyal and Vijay, 2011).
2.5.3 Lessons drawn from other jurisdictions
Based on the experience of the jurisdictions discussed, a few critical lessons which can be drawn by organizations in Nigeria that have engaged or have intentions to engage in this form of business combination. These lessons include: the need to establish clear reasons and objectives for the merger, the need for proper appraisal of the entity to be acquired or merged so as to avoid over-valuation hence high merger/combination cost, need to integrate and manage new human resources and the necessity to make the deal very professional. It is also very important that when two organizations are merging, one entity should also be stronger and more viable than the other i.e two sick or distressed banks should not merger.
2.6 Mergers and Acquisitions Activities in the Nigerian Banking Industry
The Nigerian Banking industry dating back to 1894 has gone through a lot of transformations as regards mergers and acquisitions. M&A had occurred involving the acquisition of African Banking Corporation in 1894 by the British Bank for West African (now First Bank of Nigeria Plc) and Union Bank of Nigeria's acquisition of City Trust Merchant Bank in 1995. Between July 6, 2004 and December 31, 2005, the number of banks in Nigeria reduced from 89-25 through mergers and acquisitions and revocation of banking license from institutions that were unable to achieve the new paid-up capital of N25 billion. Out of the 25 banks that met the N25 billion requirements, fourteen of them were the product of mergers and acquisitions involving sixty nine banks while only six grew organically (Central Bank of Nigeria, 2005). For a complete list of banks that merged from 1894 to 2009, the reader should consult CBN Annual Report 2005.
3.0 RESEARCH METHODOLOGY
To address the above stated objectives, the study will rely on simple statistical tools such as percentages and ratios to analytically review financial performance and market valuation of pre and post merger and acquisition period of the selected case studies.
In order to analyze the volume of data, the percentage ranking of variables would be used instead of their absolute values. Although financial ratios have their own limitations Casu et al (2006) and the volume of numbers in a bank's financial statements can be intimidating sometimes, but with financial ratio analysis, these can be presented in an organised form to minimise such limitations (Rees, 1995).
Multiple performance indicators such as liquidity; profitability (return on assets, return on equity and return on capital employed); size (the levels and growth rates of total assets and revenue) and capital adequacy ratios would be used to undertake the study. Jimmy (2008), Hirthle (1991) and Mishkin (2006) at different times had used these multiple performance indicators in previous merger and acquisition studies.
3.1 Sources of Data
The study relied primarily on secondary data from the published accounts of the sampled banks from 2003 to 2010. This will to a large extent guarantee the validity and reliability of empirical data. Although the use of the banks' own data eliminate to a large extent biases from the researcher, it has the inherent problem of providing information that favours the reporting bank. Therefore, where necessary, additional information from third party sources such as banking regulatory authorities (CBN and NDIC) and stock market information were used.
3.2 Definition of Key Performance Indicators
This part of the study gives an analysis of the key performance ratios in analysing Access Bank Plc and UBA Plc financial statements for the period 2003 to 2010 as the case studies. These banks were analysed using liquidity, profitability, capital adequacy, asset quality and growth rate as parameters. The ratios used to analyze these parameters are:
3.2.1 Liquidity ratio
Liquidity ratio measures a bank's capability to meet its maturing short-term debt obligations. This study used current liquidity ratio with the formula: cash and short term funds to current liabilities and loan to deposit ratio.
3.2.2 Profitability ratio
Profitability ratio gives users a good understanding of how well the bank utilised its resources in generating profit and shareholder value. Return on equity (ROE), return on capital employed (ROCE) and return on asset (ROA) are used in the data analysis.
22.214.171.124 Return on equity
Return on equity (ROE) ratio indicates how profitable a company is by comparing its net income to its shareholders' equity (Mishkin, 2006). The ratio measures how much the shareholders earn for their investment in the company. The higher the ratio, the more efficient management is in utilising its equity base and the better return is to shareholders. ROE is computed as: Net profit after taxes divided by Average shareholders' equity.
126.96.36.199 Return on capital employed (ROCE)
The return on capital employed (ROCE) expressed as a percentage, complements the return on equity (ROE) ratio by adding a company's debt liabilities, or funded debt, to equity to reflect a company's total "capital employed". This measure narrows the focus to gain a better understanding of a company's ability to generate returns from its available capital base (Jimmy, 2008). ROCE is calculated as Net profit after taxes divided by Capital Employed.
188.8.131.52 Return on Assets
This ratio shows how profitable a company is relative to its total assets (Mishkin, 2006).The return on assets ratio illustrates how well management is employing the company's total assets to generate profit. The higher the return, the more efficient management is in utilising its asset base. The ROA ratio is calculated by comparing net income to average total assets, and is expressed as a percentage.
ROA = Net profit after taxes / Total Assets
4.0 DATA PRESENTATION
Data was collected from 2003 to 2010 financial statements of the banks which covered three years before the merger of Access Bank with Capital Bank and
Marina International Bank Limited and four years post-merger. Financial ratios and other valuation techniques were used for the analysis and the results are presented in tables and graphs with necessary explanations. The same thing was done for UBA.
4.1 An Overview of the Case Studies
4.1.1. Access Bank Nigeria Plc
Access Bank Plc was incorporated in Nigeria as a private limited liability company in February 1989 and commenced commercial banking operations in May 1989. Consequent to the bank conversion to a public limited liability company on March 1998, its shares were listed on the Nigerian Stock Exchange in November 1998. Following the unification of banking activities in Nigeria, the CBN issued Access Bank Plc a universal banking licence in February 2001. From a modest beginning in 1989, Access Bank Plc grew its Balance Sheet size to almost N70 billion and shareholders' equity N14.07 billion with a fully paid share capital of N4.056 billion comprising 8.1 billion ordinary shares of 50 kobo each as at March 31, 2005. Following the review of minimum capital base to N25 billion by the CBN, the bank acquired Capital Bank International Limited and Marina International Bank Limited on November 1, 2005 through share exchange consideration and continued trading as Access Bank Plc. Presently the bank has again merged with intercontinental bank in the second round of consolidation 2011.
4.1.2 Rationale for the Merger
The merger was driven by the need to meet the new minimum capital requirement of N25 billion as set by the CBN with a December 31, 2005 deadline. It also provided Access Bank Plc with an inorganic growth opportunity to achieve its strategic objective of being one of the top banks in Nigeria by 2007 (Access, Capital & Marina Scheme of Merger 2005). The merging banks were expected to benefit from the followings:
* Wider geographical spread of branch network;
* Economies of scale resulting from cost reduction and increased product scale;
* Brand enhancement and improved market positioning; and
* Leveraging on the combined bank's balance sheet size and shareholders' funds to provide more credit to a larger spectrum of customers.
Table 4.1 and 4.2 below shows the summary of Access Bank's financial statements from 2003 to 2010.
Table 4.1 Summary of Access Bank's 8 Years Profit & Loss Account
| | 2010 (N’m) | 2009 (N’m) | 2008 (N’m) | 2007 (N’m) | 2006 (N’m) | 2005 (N’m ) | 2004 (N’m ) | 2003 (N’m) |
|---|---|---|---|---|---|---|---|---|
| Gross Earnings | 79,847,752 | 75,847,752 | 57627098 | 27,881 | 13,360 | 7,495 | 5,515 | 4,368 |
| Interest and Discount Income | 59388433 | 61836721 | 40535737 | 16,894 | 8,733 | 3,929 | 2,746 | 2,530 |
| Interest Expense | 19,538,807 | 28,722,991 | 14,588,859 | -4,952 | -2,472 | - 1,577 | - 1,445 | -1,183 |
| Net Interest Income | 39,849,626 | 33,113,730 | 25,946,878 | 11,942 | 6,261 | 2,353 | 1,301 | 1,347 |
| Provision for Risk Assets | 142816 | 4658203 | 3515397 | -1,775 | -1,386 | -984 | -386 | -328 |
| | | | | 10,167 | 4,876 | 1,368 | 915 | 1,019 |
| Other Income | 89,181 | 138,606 | 17091361 | 10,988 | 4,628 | 3,566 | 2,769 | 1,838 |
| Operating Expense | 38797403 | 26253003 | 20112197 | -13,111 | -8,384 | - 4,183 | - 2,732 | -1,846 |
| PBT & Exceptional items | | | | | | | | 1,011 |
| Exceptional items | | | | - | - | - | - | -200 |
| PBT | 17,688,584 | 41723 | 19,042,106 | 8,043 | 1,119 | 751 | 952 | 811 |
| Taxation | 4,737,143 | 922,475 | 2,985,642 | -1,960 | -382 | -250 | -314 | -254 |
| Profit After Taxation | 12,931,441 | (880752) | 16,056,464 | 6,083 | 737 | 502 | 637 | 557 |
| Earnings Per Share (Kobo) | 72k | 5k | 173k | 87k | 7k | 12k | 21k | 21k |
Source: Access bank annual reports
Table 4.2 Highlights of Access Bank's 8 Years Balance Sheet
| Total Assets | 726,960,58 0 | 647,574,71 9 | 1,03184202 1 | 328,61 5 | 174,55 4 | 66,91 8 | 31,34 2 |
|---|---|---|---|---|---|---|---|
| Total Liabilities | 544,455,76 6 | 474,423,69 6 | 859,839,99 5 | 300,23 0 | 145,66 0 | 52,84 6 | 28,33 9 |
| Shareholder s' fund | 182,504,81 4 | 173,151,02 3 | 172,002,02 6 | 28,384 | 28,894 | 14,07 2 | 3,003 |
| Liabilities and equity | 726960580 | 647574719 | 103184202 1 | 328,61 5 | 174,55 4 | 66,91 8 | 31,34 1 |
| Commitmen | 194,451,93 | 125636911 | 155,035,76 | 80,130 | 30,091 | 14,76 | 31,34 |
Source: Access Bank Annual Reports
4.1.3 UBA Plc
Today's United Bank for Africa Plc (UBA) is the product of the merger of Nigeria's third (3rd) and fifth (5th) largest banks, namely the old UBA Nigeria Plc and the erstwhile Standard Trust Bank Plc (STB) respectively, and a subsequent acquisition of the erstwhile Continental Trust Bank Limited (CTB). The union emerged as the first successful corporate combination in the history of Nigerian banking.
UBA's history dates back to 1948 when the British and French Bank Limited ("BFB") commenced business in Nigeria and the erstwhile STB and CTB both in 1990. Following Nigeria's independence from Britain, UBA was incorporated in 1961 to take over the business of BFB. Although today's UBA emerged at a time of industry consolidation induced by regulation, the consolidated UBA was borne out of a desire to lead the domestic sector to a new era of global relevance by championing the creation of the Nigerian consumer finance market, leading a private/public sector partnership at supporting the acceleration of Nigeria's economic development. It grew as a growing institution from a banking to a one-stop financial services institution, with expansion across Africa to earn the reputation as the face of banking in the continent. The bank's operations has grown to spread across 21 countries with one of the largest distribution networks in Nigeria comprising of 726 branches.
4.1.4 Rationale for the Merger
The two banks (UBA and STB) believe that the emergent institution would be well-positioned to achieve strong and stable financial performance and increased shareholder value through a more balanced business mix, greater economies of scale and enhanced efficiency and competitiveness.
Table 4.3 and 4.4 presents a summary of UBA financial statements from 2003 to 2010 financial years.
4.3 Summary of UBA's 8 Year Profit and Loss Account
| | 2010 (N’m) | 2009 (N’m) | 2008 (N’m) | 2007 (N’m) | 2006 (N’m) | 2005 (N’m) | 2004 (N’m) | 2003 (N’m) |
|---|---|---|---|---|---|---|---|---|
| Gross Earnings | 157,666 | 219,843 | 154,093 | 101,106 | 86,079 | 25,506 | 23928 | 23,720 |
| Interest and Discount Income | 106,597 | 163,456 | 111118 | 68575 | 57,207 | 14456 | 15,155 | 15,183 |
| Interest Expense | 43,670 | 54,920 | 39,800 | (26531) | (24,879 ) | (3490) | (3107) | (3,676) |
| Net Interest Income | 62927 | 108,536 | 71318 | 42044 | 10,966 | 32,328 | 12048 | 8,302 |
| Provision for Risk Assets | 1548 | 32568 | 15179 | (3163) | (5,174) | (40) | 761 | (3,205) |
| Other Income | 1224 | 2110 | 42974 | 32531 | 56,026 | 11,050 | 8773 | 8,537 |
| Operating income | 113996 | 163274 | 112744 | 71412 | 28872 | 21976 | | 16,839 |
| Operating Expense | 82458 | 107717 | 58107 | (5788) | (43,512 ) | (15,737 ) | 13099 | 10,880 |
| PBT & Exceptional items | 16359 | 22989 | 54637 | 28615 | 12,514 | 6,239 | 5608 | 4816 |
| Exceptional items | 12666 | 7025 | 8786 | (5788) | - | - | - | - |
| PBT | 3693 | 15964 | 45,851 | 22827 | 12,514 | 6,239 | 5608 | 4816 |
| Taxation | 1526 | 3,075 | 5303 | (2996) | (1,046) | (1,586) | (1423) | (1307) |
| Profit After Taxation | 2167 | 12,889 | 40002 | 19831 | 11,468 | 4,653 | 4185 | 2989 |
| Earnings Per Share (Kobo) | 8 | 60 | 305 | 241 | 186K | 249K | 164K | 80k |
| Dividend Per Share (Kobo) | | | | - | 100K | 60K | 60K | 45k |
Source: UBA bank annual reports
Table 4.4 Highlights of UBA 8 Years Balance Sheet
| | 2010 | 2009 | 2008 | 2007 (N’m) | 2006 (N’m) | 2005 (N’m) | 2004 (N’m) |
|---|---|---|---|---|---|---|---|
| Total Assets | 1,432,63 2 | 1,400,87 9 | 152009 3 | 110234 8 | 851,241 | 248,92 8 | 20880 6 |
| Shareholders' fund | 187,730 | 187,719 | 188155 | 164821 | 47,621 | 17,702 | 18059 |
|---|---|---|---|---|---|---|---|
| Liabilities and equity | 1,432,63 2 | 1,400,87 9 | 152009 3 | 110234 8 | 898862 | 266630 | 20542 1 |
| Commitment s and Contingencie s | 628,253 | 684,047 | 446754 | 372325 | 167,184 | 81,821 | 81719 |
| Total Assets and Contingencie s | 2060885 | 2084926 | 196684 7 | 147467 3 | 101842 5 | 330749 | 29052 5 |
Source: UBA Bank Annual Reports
5.0 ANALYSIS OF FINDINGS AND DISCUSSION.
Presented in this section are the findings and discussions of the study. Key performance indicators discussed in the previous section were analysed to show whether M&A had enhanced growth and survival in the two banks.
5.1 Liquidity.
Table 5.1 showed the proportion of customers' deposit given out as loans by the banks. The table shows that Access Bank had a deposit-loan ratio of 70%, 51% and 53% while UBA had 32%, 37% and 35% in 2003, 2004 and 2007 respectively.
Loan to deposit ratio, shows whether a bank is over or under trading. A higher loan to deposit ratio is an indication that most deposits are given out as loans, implying that should there be a surge in the number of depositors calling for their deposits; the bank will be faced with a temporary illiquidity until it is able to recall its risk assets or investments or seek a temporary liquidity support.
Table 5.1 also shows the ratio of cash and short-term investment to current liabilities. The table shows both Access and UBA banks as having surpassed the regulatory liquidity benchmark of 40% as set by the Central Bank of Nigeria CBN (CBN, 2005).
The data also revealed that Access bank witnessed a significant drop in liquidity in 2005. This might not be unconnected with the consolidation in the banking sector during the period as depositors' diversified/withdrew their cash from banks for investments in other financial assets with higher return. Due to liquidity squeeze in 2005, Access Bank's ratio was below the required prudential ratio of 40%. However, in 2006 financial year (first year postmerger), Access Bank recorded a significant improvement in liquidity ratio from 38% in 2005 to 59% in 2006 financial year. The drop to 31% in 2009 is attributed to the added liabilities and challenges of the process of the acquisition of Intercontinental bank Plc. While, the drop in 2010 could be attributed to the AMCON activities.
Table 5.1 Loan to Deposit Ratio and Cash and Short term Funds to Current Liabilities)
| | ACCESS BANK | UBA | ACCESS BANK |
|---|---|---|---|
| YEAR | LOAN: DEPOSIT (%) | LOAN: DEPOSIT (%) | CASH & SHORT TERM FUNDS: CURRENT LIABILITIES (%) |
| 2003 | 70 | 32 | 47.8 |
| 2004 | 51 | 37 | 48.1 |
| 2005 | 50 | 33 | 37.7 |
| 2006 | 49 | 14 | 58.6 |
| 2007 | 53 | 35 | 66.6 |
| 2008 | 70 | 32 | 81 |
| 2009 | 88 | 50 | 31 |
Source: Access Bank and UBA Annual Reports
5.2 Profitability Ratios
In this section, the study assessed the profitability and efficiency of both banks to ascertain if M&A had enhanced profitability and produced better results. Key performance indicators such as return on assets (ROA), return on equity (ROE) and return on capital employed (ROCE) were used in the analysis. These indicators are considered as measures of a bank's profitability and efficiency.
Table 5.2 presented hereunder indicated that the performance of UBA bank was mixed, ROA increased from 1.5% in 2003 to 2% in 2004 and decreased to 1.9% in 2005 pre-merger years. UBA's ROA further declined from 1.5% in 2003 to 1.3% in 2006 due to post integration challenges but recovered briefly in 2007 and plunged again to 1.6 in 2008. In 2009, the ratios declined sharply due to the cleaning up of bad loans in the banks. The bank had not fully recovered as at 2010 with a ratio of 0.2%.
Access Bank's ROA declined from 2.5% in 2003 to 0.4% in 2006 (the first post-merger year). This could be attributed to post merger integration shocks but increased significantly to 1.9% in 2007 with a sharp decline in 2009 again due also to post integration shocks of the Bank's merger with Intercontinental Bank Plc.
Table 5.2 Return on Assets
| | ACCESS BANK | | | UBA | | |
|---|---|---|---|---|---|---|
| Year | Profit after tax (N’m) | Total Assets (N’m) | % PAT:TA | Profit after tax (N’m) | Total Assets (N’m) | % PAT:TA |
| 2003 | 557 | 22,582 | 2.5 | 2,989 | 200,995 | 1.5 |
| 2004 | 637 | 31,342 | 2.0 | 4,185 | 208,806 | 2.0 |
| 2005 | 502 | 66,918 | 0.7 | 4,653 | 248,928 | 1.9 |
| 2006 | 737 | 174,554 | 0.4 | 11,468 | 851,241 | 1.3 |
| 2007 | 6,083 | 328,615 | 1.9 | 19,831 | 1102348 | 1.8 |
| 2008 | 16,056,464 | 1,031842021 | 1.6 | 40002 | 1520093 | 2.6 |
| 2009 | (880,752) | 647,574,719 | (0.14) | 12,889 | 1,400,879 | 1.0 |
| 2010 | 12,931,441 | 726,960,580 | 1.8 | 2167 | 1,432,632 | 0.2 |
Source: Access Bank and UBA Annual Reports
Access Bank recorded improvement in profitability in 2007 which was attributed to strong growth in volume that lifted non-interest earnings and improved efficiencies. This served as a buffer which narrowed net interest margins, which had been negatively impacted by increasing competition and maintaining a highly liquid balance sheet due to poor investment outlets. However, in 2008, the bank's ROA decreased to 1.6% and in 2009 the bank recorded a loss with ratio of -0.14% as a result of huge additional provisions the bank was required to make due to recommendations of the special examination carried out on all banks. In 2010, ROA rose to 1.8% because at this time, the bank having cleared their books started making profits.
Analysis of the data showed that merger has led to growth in profitability due to growth in absolute terms in profit after tax and total assets overtime but when the ratios are analyzed individually, merger couldn't have led to growth in profitability using ROA as proxy in the banks under study.
Computed returns on equity and returns on capital employed (not shown due to space constraint) also exhibited the same pattern as ROA. A low ROE will tend to decrease a bank's access to new capital that may be necessary to expand and maintain a competitive position in the market. Net interest income of both banks witnessed a steady decline between 2003 to 2007 as shown in Table 5.3. UBA's net-interest to total asset margin declined from 4.1% in 2003 to 1.3% in 2006 while Access Bank net interest declined from 6% to 3.5% between 2003 and 2005 but marginally increased to 3.6% during 2006 and 2007 financial years. ROCE measures the returns that a company is realizing from the application of its capital. This ratio is expected to always be higher than the rate at which the company borrows; otherwise any increase in borrowing will reduce shareholders' earnings. In 2009, the ratio was negative for Access bank depicting the loss after tax recorded for the year after the Intercontinental Bank merger.
Table 5.3 Net Interest Income: Total Asset Margin
| | ACCESS BANK | | | UBA | | |
|---|---|---|---|---|---|---|
| YEAR | Net Interest Income (N’m) | Total Asset (N’m) | % NII:TA | Net Interest Income (N’m) | Total Asset (N’m) | % NII:TA |
| 2003 | 1,347 | 22,582 | 6.0 | 8302 | 200995 | 4.1 |
| 2004 | 1,301 | 31,342 | 4.1 | 12048 | 208806 | 5.8 |
| 2005 | 2,353 | 66,918 | 3.5 | 32328 | 248928 | 13 |
| 2006 | 6,261 | 174,554 | 3.6 | 10966 | 851241 | 1.3 |
| 2007 | 11,942 | 328,615 | 3.6 | 42044 | 1102348 | 3.8 |
| 2008 | 25,946,878 | 1,031842021 | 3 | 71318 | 1520093 | 5 |
| 2009 | 33,113,730 | 647,574,719 | 5 | 108,536 | 1,400,879 | 8 |
Source: Access Bank and UBA Annual Reports
5.3 CAPITAL ADEQUACY
Capital Adequacy Ratio (CAR) is a measure of the amount of a bank's capital, expressed as a percentage of its loan exposures or assets. The minimum CAR ratio prescribed by the CBN is 10%. This implies that a bank's capital must cover at least 10% of its risk-weighted assets. It is used as a measure of a bank's financial strength and stability. Therefore a lower CAR below 10% could imply that the bank does not have sufficient capital to cushion or withstand abnormal losses not covered by current earnings which is an indication of imminent distress. While a negative CAR implies that the banks' capital had been eroded and needs fresh capital injections.
UBA's equity grew from N1.3billion in 2003 to N16.4billion in 2007 and to N18.7billion in 2010. But equity to asset ratio as a measure of capital adequacy fluctuated within the years under review. UBA witnessed a slight decrease in capital adequacy from 8.6% in 2004 to 7.1% in 2006 but increased to 15% in 2007 with fluctuations in the subsequent years. (See Table 5.4 and Figure 5.1 below).
Access Bank also recorded a phenomenal growth in equity from N2.3 billion in 2003 to N28.3 billion in 2007 and N18billion in 2010. This increase represents the additional shareholders of the resulting entity from the Access/Intercontinental merger. But equity to asset ratio as a measure of capital adequacy indicates a fluctuation for the respective years. Access Bank recorded a drop in capital adequacy from 21% to 16.6% and further to 8.6% for 2005, 2006 and 2007 financial years, respectively. However, the ratios for 2009 and 2010 improved due to increased assets from the resulting entity.
Table 5.4 Equity to Total Asset Ratio
| YEAR | Equity (N’m) | Total Assets (N’m) | % Equity:TA | Equity (N’m) | Total Assets (N’m) |
|---|---|---|---|---|---|
| 2003 | 2365 | 22,582 | 10.5 | 13767 | 200995 |
| 2004 | 3,003 | 31,342 | 9.6 | 18059 | 208806 |
|---|---|---|---|---|---|
| 2005 | 14,072 | 66,918 | 21 | 17,702 | 248,928 |
| 2006 | 28,894 | 174,554 | 16.6 | 47,621 | 851,241 |
| 2007 | 28384 | 328,615 | 8.6 | 164821 | 1102348 |
| 2008 | 172,002,026 | 1,031842021 | 17 | 188155 | 1520093 |
| 2009 | 173,151,023 | 647,574,719 | 27 | 187,719 | 1,400,879 |
| 2010 | 182,504,814 | 726,960,580 | 25 | 187,730 | 1,432,632 |
Source: Access Bank and UBA Annual Reports
The lower capital adequacy ratios of Access Bank are as a result of the quantum leap in loans and advances against the growth of capital for the period. Also, the drop in Access Bank's equity to assets ratio was due to a write-off of N6.59 billion balance of goodwill arising from consolidation against its reserve (Access Bank, 2007). When measured against the minimum capital adequacy (equity to total assets) requirement of 10% as set by the Central Bank of Nigeria (CBN, 2005). UBA did not meet the minimum capital adequacy requirement for the period - 2003, 2004, 2005 and 2006, but attained it in
2007 and has maintained values above the required figure; while Access Bank surpassed the minimum capital adequacy of 10% in 2003, 2005 and 2006 but failed to meet the minimum requirement in 2004 and 2007.
Table 5.5 Equity to Loans
| ACCESS BANK | | | | | |
|---|---|---|---|---|---|
| YEAR | Equity (N’m) | Total Loans (N’m) | % Equity:Total Loans | Equity (N’m) | Total Loans (N’m) |
| 2003 | 2365 | 6,508 | 36.3 | 13767 | 46076 |
| 2004 | 3,003 | 11,507 | 26.1 | 18059 | 56136 |
| 2005 | 14,072 | 16,334 | 86.2 | 17,702 | 67610 |
| 2006 | 28,894 | 54,407 | 53.1 | 47,621 | 107194 |
| 2007 | 28384 | 108,775 | 26.1 | 164821 | 320229 |
| 2008 | 172,002,026 | 244,595,621 | 70 | 188155 | 405,540 |
| 2009 | 173,151,023 | 360,387,649 | 40 | 187,719 | 573,465 |
| 2010 | 182,504,814 | 403,178,957 | 45 | 187,730 | 569,312 |
Source: Access Bank and UBA Annual Reports
5.4 ASSET QUALITY
Asset quality is determined by the ratio of non-performing loans (NPL) to total loans. A lower ratio means high quality risk assets while a higher ratio implies poor asset quality using the previous pre-merger regulatory benchmark of 20% and current ratio of 5%. When asset quality was measured using nonperforming loans to total loans as indices.
UBA's non-performing loans to total loans ratio was 92% and 41% in 2003 and 2004 respectively in pre-merger period. During the merger year, it dropped slightly to 36% all above the regulatory benchmark of 20% (CBN, 2005). After the merger deal, NPL declined to 14% meaning that the bank had improved its management of their loan portfolio and made more provisions for loans losses. In 2007 financial year, NPL ratio to total loans was 44% and 38% in 2008. Although the ratios had improved, they were still above regulatory benchmark. NPL to total loans further improved to 6.9% and 7%. The ratios achieved in 2009 and 2010 were as a result of the special examination of 24 banks in 2009. Also, bad loans were bought by the Asset Management Corporation of Nigeria (AMCON) to ensure a clean start for the banks and enhance financial stability. This regulatory activity also required banks to make more provisions for bad loans.
Access Bank's non-performing loans to total loans improved significantly from 119% in 2003 to 8% in 2010. In 2005 financial year which was the merger year, NPL was 107%. At this point the bank's management of its loan portfolio was poor compared to the 20% regulatory benchmark at that time. After the merger, in 2006 the first post merger year, the bank was still grappling with post integration issues and the bad debts inherited from the other banks due to the combination of the entities hence the poor NPL to loans of 149%. The second post merger year witnessed a significant improvement of 99%. This trend continued to 2008. The significant improvement in loan efficiency in 2009 and 2010 can be attributed to the efforts of AMCON and the regulatory authorities' activities.
Figure 5.2 showed that loan loss provisions took a greater percentage of Access Bank's profit before tax; showing that better loans quality could lead to improved profitability. However, with the coming of AMCON, and mopping up of bad loans, the 2009 and 2010 positions of both banks improved. A higher level of non-performing loans reduces profit and may affect capital in the future.
Table 5.6 Non Performing loans to Total loans
| | ACCESS BANK | | | UBA | | |
|---|---|---|---|---|---|---|
| YEAR | Non- Performing Loans (NPL) (N’m) | Total Loans (N’m) | % NPL:TL | Non- Performing Loans (N’m) | Total Loans (N’m) | % NPL:TL |
| 2003 | 7,748 | 6,508 | 119 | 4246 | 46076 | 92 |
| 2004 | 8,673 | 11,507 | 75 | 2286 | 56136 | 41 |
| 2005 | 1,752,2 | 16,334 | 107 | 2,420 | 67610 | 36 |
| 2006 | 8,092,4 | 54,407 | 149 | 14,997 | 107194 |
|---|---|---|---|---|---|
| 2007 | 10,741,4 | 108,775 | 99 | 14,087 | 320229 |
| 2008 | 9,588,685 | 244,595 ,62 | 39 | 15,579 | 405,540 |
| 2009 | 61,764,163 | 360,387 ,649 | 17 | 39637 | 573,465 |
Source: Access Bank and UBA Annual Reports
5.5 Growth Rates
The paper used annualised growth rate to evaluate the performance of the two banks. Annualised growth rate is the hypothetical constant year-to-year growth rate necessary to take the beginning-year value of a series to its ending-year value. Growth rates in gross earnings, profit before tax, deposit, shareholders' equity and total assets/contingencies were measured to ascertain the overall performance of the banks.
5.5.1 Gross Earnings
This measured the growth in gross earnings (interest income and other operating income) between one period and the other. Figure 5.8 showed Access Bank achieved a 78% increase in gross earnings in 2006 while UBA recorded 237.5% increase. An analysis of gross earnings at pre and post merger showed that gross earnings of both banks improved post merger. An improved gross earnings by both banks is a manifestation of the synergy derived from their respective mergers in 2005. While the sharp drop in the earnings of UBA in 2007, 2009 and 2010 shows the effects of the acquisition of Gulf Bank and Liberty Bank under purchase and assumption arrangement when the bank had not stabilized its earnings position due to integration issues.
5.5.2 Profit before Tax Growth rate.
Table 5.7 shows that both Banks' profit before tax growth rate surpassed their pre-merger achievement. Access bank had a growth rate of 4,733 which decreased to 17 in 2004 and further decreased to -21% in 2005. The bank however, achieved a growth of 618% after the first round of consolidation and -58 in the year after its merger with intercontinental bank in 2007 and 2010 respectively compared with UBA's growth rate of 11%, 82% and -77% during the same period. The drop in UBA's 2005 growth rate could be attributed to instability in the bank due to the integration of the merging entities. The drop in PBT from 2009 of Access bank can be attributed to the combination cost of Access bank and Intercontinental bank merger.
Table 5.7 Profit before Tax
| | ACCESS BANK | | | UBA | |
|---|---|---|---|---|---|
| YEAR | Current Year PBT (N’m) | Preceding Year PBT (N’m) | % | Current Year PBT (N’m) | Preceding Year PBT (N’m) |
| 2003 | 811 | -17 | 4,733 | 4816 | 2238 |
| 2004 | 952 | 811 | 17 | 5608 | 4816 |
| 2005 | 751 | 952 | -21 | 6,239 | 5608 |
| 2006 | 1,119 | 751 | 49 | 12,514 | 6239 |
| 2007 | 8,043 | 1,119 | 618 | 22827 | 12514 |
|---|---|---|---|---|---|
| 2008 | 19,042 | 8,043 | 136 | 45,851 | 22827 |
| 2009 | 41723 | 19042 | 119 | 15964 | 45851 |
Source: Access Bank and UBA Bank Annual Reports
5.5.3 Deposit Growth Rate
From Table 5.8, Access Bank's deposit grew from N32.6 billion to N205.2 billion and N440.5billion in 2005, 2007 and 2010 respectively which showed a very impressive growth. Access Bank's deposit mobilisation capacity was enhanced through increased branch network and the synergy of business combination with erstwhile Capital Bank and Marina Bank in November 2005 and intercontinental bank in 2009 While UBA grew its deposits from N151 billion to N757 billion and N115 billion in 2005, 2007 and 2010 respectively representing a steady and significant increase in deposit in the years after the merger. The growth is also attributed to the synergy of business combination and wider market coverage of the resulting entity. While the fall in actual growth rates of both banks, can be attributed to the further reforms introduced in the banking sector such as withdrawal of public sector deposits.
Table 5.8 Deposits Growth Rate
| | ACCESS BANK | | | UBA | |
|---|---|---|---|---|---|
| YEAR | Current Year Total Deposit(N’m) | Preceding Year Total Deposit(N’m) | % Growth rate | Current Year Total Deposit(N’m) | Preceding Year Total Deposit (N’m) |
| 2003 | 9,309 | 6,475 | 44 | 142427 | 131866 |
| 2004 | 22,724 | 9,309 | 144 | 151929 | 142427 |
| 2005 | 32,608 | 22,724 | 43 | 205110 | 151,929 |
| 2006 | 110,879 | 32,608 | 240 | 757407 | 205110 |
| 2008 | 351,789,279 | 205,235,734 | 71 | 1,258,036 | 897651 |
|---|---|---|---|---|---|
| 2009 | 409,349,424 | 351789279 | 16 | 1,151,086 | 1258036 |
| 2010 | 440,542,115 | 409349424 | 8 | 1,119,063 | 1151086 |
Source: Access Bank and UBA Annual Reports
5.5.4 Shareholders' Equity
Figure 5.3 show that the two sampled banks achieved significant growth in shareholders' equity in 2005. However, much of the growth could not be traced to retained earnings but fresh capitalisation in the form of public offerings and gains of business combinations through mergers. Access bank raised fresh capital through public offers in 2005 and 2006 in which it realised N12.1 billion after the merger with Capital and Marina bank which was paid for by way of share exchange (Access Bank, 2006). The drop in Access bank's shareholders' equity by 2% in 2007 was due to a write-off of the unexpired goodwill of almost N6.6 billion against share premium reserve (Access Bank, 2007). The drop in UBA's shareholders' equity in 2005 can be attributed to write off of bad loans.
However, shareholders equity growth rate fell for both banks due to the business combination of Access bank and the fall in profit after tax of UBA leading to a fall in shareholder equity in 2009 and 2010.
5.5.5 Total Assets plus Contingencies
Table 5.9 presented hereunder showed a steady growth in total asset plus contingencies by Access bank between 2004 and 2006. Access Bank's balance sheet size increased each year since merger by 151% but declined slightly to 100% in 2006 and 2007 The surge in the assets growth rate of Access bank in 2009 is attributed to the addition of assets from Intercontinental bank through acquisition while UBA's balance sheet size also grew but had a slight fluctuation in 2005 due to write off of assets and bad loans as contained in the scheme of merger. UBA's growth however was closely related to the growth in shareholders' equity and increased deposit mobilisation. However, UBA's growth rate fell sharply in 2009 and 2010 due to the sale of bad assets to AMCON.
The post merger growth show that the banks' key indicators improved after mergers when compared to pre-merger positions.
Table 5.9 Total Assets plus Contingencies
| | ACCESS BANK | | | UBA | | |
|---|---|---|---|---|---|---|
| YEAR | Current Year Total Assets (N’m) | Preceding Year Total Assets(N’m) | % Growt h | Current Year Total Assets (N’m) | Preceding Year Total Assets (N’m) | % Growth |
| 2003 | 28,959 | 14,079 | 106 | 249336 | 221223 | 13 |
| 2004 | 44,735 | 28,959 | 54 | 290525 | 249336 | 17 |
| 2005 | 81,681 | 44,735 | 83 | 330749 | 290525 | 14 |
| 2006 | 204,645 | 81,681 | 151 | 1018425 | 330749 | 208 |
| 2007 | 408,745 | 204,645 | 100 | 1474673 | 1018425 | 45 |
| 2008 | 1,198,501 | 408,745 | 193 | 1966847 | 1474673 | 33 |
| 2009 | 773,212 | 118,688 | 551 | 2084926 | 1966847 | 6 |
| 2010 | 921,413 | 773,212 | 19 | 2060885 | 2084926 | -1 |
Source: Access Bank and UBA Annual Reports
5.6 Investment Valuation ratios
Analyzed data not presented shows that decline in EPS of Access Bank during the merger years was as a result of loss of confidence by the public in the banking stocks at that time and the resulting reduction of trade involving such stocks. However, growth stabilized in 2007 after public confidence was restored business activities after the bank addressed challenges involved with merger implementation.
The EPS of UBA also declined in the immediate post-merger year due to post merger integration shocks.
Table 5.10 showed that the key performance indicators of the two banks increased from 2008 to 2010 (post merger) after merger shocks had been addressed. The result is a further testimony that mergers and acquisition is a good business decision if taken at the right time and should be encouraged in the Nigerian banking industry.
Table5.10 Key Performance Indicators
| Key Indicators | 2008 N | | 2009 N | | |
|---|---|---|---|---|---|
| | ACCESS | UBA | ACCESS | UBA | ACCESS |
| Gross Earnings | 57,627,098 | 154,093 | 75,847,752 | 220,467 | 79,065,123 |
| Total Assets | 1,043,465,021 | 1,520,093 | 647,574,719 | 1,400,879 | 726,960,580 |
| Total Deposits | 351,789,279 | 1,258,035 | 405,836,092 | 1,151,086 | 440,542,115 |
| Loans and Advances | 244,595,621 | 421,748 | 360,387,649 | 543,289 | 403,178,957 |
| Liabilities | 871,462995 | 1,331,938 | 474,423,696 | 1,213,160 | 544,455,766 |
| Shareholders’ Funds | 172,002,026 | 188,155 | 173,151,023 | 187,719 | 182,504,814 |
6.0 CONCLUSION
The study evaluated mergers and acquisitions as a strategic growth option in the Nigerian banking sector, with Access bank Plc and UBA Plc as case studies. It was aimed at evaluating if M&A leads to growth and survival of banks in Nigeria using performance ratios such as; profitability, earnings, asset quality and capital adequacy as the causative factors for the growth. The following major findings were highlighted in the study:
a. Liquidity: Both banks maintained adequate levels of liquidity. However, the banks' ability to manage liquidity was mixed with fluctuations after the merger year.
b. Profitability: Evaluating profitability on the basis of ROA and ROE, both banks profitability indices improved in absolute terms year after year, after merger. This implies that, M&A resulted to an increase in PAT and total assets in absolute terms but did not actually bring about growth in real terms with reference to the ratios. Therefore M&A could not adequately bring about growth in profitability of the banks.
c. Capital Adequacy as a measure of performance showed that both banks attained better quality assets post merger.
d. Growth: Both banks witnessed higher growth rate being an indication that M&A resulted in superior financial performance. The loss recorded in 2010 represents the growth rate after the cleaning of the books was carried out by the regulatory authorities.
e. Asset Quality: the analysis indicated that although both banks recorded better quality assets in absolute terms after merging, they didn't meet the regulatory benchmark for the 2006, 2007 and 2008 post merger years. However, the two banks surpassed regulatory benchmark of 5% in 2009 and 2010. Therefore making it possible to conclude that the quality of bank assets in the long run had improved after M&A in the long run.
We also find that, M&A leads to survival but not necessarily growth in banks. While the result of the study provides a testimony of the merits of M&A to Nigerian banks, it is worthy of note that such definitive conclusion should be drawn after a higher population of study is conducted of the banking industry.
We recommend that M&A of banks in Nigeria should be encouraged as a survival but not necessarily a growth strategy. We also recommend that Corporate entities especially banks should engage healthier institutions on M&A processes to preserve shareholders value and as a survival strategy. Furthermore, it is recommended that researchers undertaking similar studies in the Nigerian banking sector should evaluate the performance of at least 75% of banks using quantitative studies after a time period that can allow for more analysis so as to enable a higher generalization of the outcome.
M&A is therefore more importantly a survival strategy. However, caution and high professionalism should be employed in this form of business combination strategy so as to enhance the gains of the strategy and achievement of the purpose.
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IN the Supreme Court of the United States
_________
MAYO COLLABORATIVE SERVICES (D/B/A MAYO MEDICAL LABORATORIES) AND MAYO CLINIC ROCHESTER,
Petitioners,
v.
PROMETHEUS LABORATORIES, INC., Respondent. _________
On Writ of Certiorari To The United States Court of Appeals For the Federal Circuit
_________
BRIEF OF AMICI CURIAE AARP AND PUBLIC PATENT FOUNDATION IN SUPPORT OF PETITIONERS
_________
DANIEL B. RAVICHER Counsel of Record PUBLIC PATENT FOUNDATION BENJAMIN N. CARDOZO SCHOOL OF LAW 55 Fifth Avenue New York, NY 10003 (212) 796-0570 email@example.com
STACY CANAN AARP FOUNDATION LITIGATION MICHAEL SCHUSTER AARP 601 E Street, NW Washington, DC 20049 (202) 434-2060 firstname.lastname@example.org
Counsel for Amici Curiae
TABLE OF CONTENTS
TABLE OF AUTHORITIES
CASES
INTEREST OF AMICI CURIAE 1
Amicus AARP is a nonpartisan, nonprofit membership organization dedicated to addressing the needs and interests of people age 50 or older. AARP has a long history of advocating for access to affordable health care and for controlling costs without compromising quality. Affordable and quality health care is particularly important to the older population because of its higher rates of chronic and serious health conditions. Patents that claim medical correlations prohibit diagnosis and treatment, and discourage communication of medical information between a patient and physician. AARP works at the state and national levels for laws and policies that ensure greater freedom and competition in the healthcare marketplace. AARP supports this petition because allowing patents on pure medical correlations raises costs of and denies access to critical health services.
Amicus Public Patent Foundation ("PUBPAT") at Benjamin N. Cardozo School of Law is a not-forprofit legal services organization that represents the public interest in the patent system, and most particularly the public interest in protecting against the harms caused by undeserved patents and unsound patent policy. PUBPAT provides the
1 The parties have consented to the filing of this brief. In accordance with Supreme Court Rule 37.6, AARP and the Public Patent Foundation state that: (1) no counsel to a party authored this brief, in whole or in part; and (2) no person or entity, other than amici, their members and counsel has made a monetary contribution to the preparation or submission of this brief.
general public and specific persons or entities otherwise deprived of access to the patent system with representation, advocacy, and education. PUBPAT has argued for sound patent policy before this Court, the Court of Appeals for the Federal Circuit, various district courts, the United States House of Representatives, the United States Patent and Trademark Office (USPTO), the United Nations, the European Union Parliament, and other judicial, governmental and political bodies. PUBPAT has also requested that the USPTO reexamine specifically identified undeserved patents causing significant harm to the public. The USPTO has granted each such request. These accomplishments have established PUBPAT as a leading provider of public service patent legal services and one of the loudest voices advocating for comprehensive patent reform. PUBPAT supports petitioner because of PUBPAT's interest in ensuring that laws of nature like medical correlations are not patented.
SUMMARY OF ARGUMENT
Amici Curiae AARP and the Public Patent Foundation submit this brief in support of petitioners and reversal of the judgment of the United States Court of Appeals for the Federal Circuit because that judgment stems from the application of an approach to patentable subject matter that is inconsistent with this Court's precedent and with both health and patent policy. Allowing patents on pure medical correlations (i.e. that an overly high or low level of some chemical in the body correlates to an unhealthy condition) threatens doctors with claims of patent infringement should they discuss mere laws of nature with their patients, burdens the public with excessive health
care costs, and dulls incentives for real innovation in medical care.
The patenting of medical correlations – which are nothing more than expressions of laws of nature – has led to severe restraint on the provision of medical care and a greatly increased cost and reduced availability of vital medical services, damaging the public health of the nation. Federal Circuit decisions upholding medical correlation patents fail to abide by this Court's prohibition on the patenting of laws of nature. As a result, there are now countless patents on medical correlations, including the patent in this case and patents on correlating genetic mutations with a person's increased risk for a particular disease. The Federal Circuit has latched on to trivial steps beyond mental processes, such as the "administering" step in this case, to uphold patents that effectively preempt all uses of laws of nature. This is not a substantive analysis, but rather the application of a formulaic rule that saves any patent claim drafted with some "transformative" step – no matter how trivial. This directly conflicts with this Court's precedent that prohibits both the actual and effective patenting of laws of nature.
ARGUMENT
I. Medical Correlations Are Laws Of Nature And Thus Unpatentable.
The patenting of medical correlations, which are mere expressions of laws of nature, has led to severe restraint on the provision of medical care and a greatly increased cost and reduced availability of vital medical services, damaging the public health of the nation. As just one example, medical correlation patents have been used to prevent patients contemplating surgery to remove their breast and ovaries from getting independent verification that they have genetic mutations corresponding to an increased predisposition for diseases affecting those body parts. Ass'n for Molecular Pathology v. U.S. Patent and Trademark Office, 2009 U.S. Dist. LEXIS 101809, *16-17 (S.D.N.Y. 2009) ("AMP") (owner of patents on medical correlations prevented patients from receiving medical services from physicians). But nature creates medical correlations, such as that between genetic mutations and predisposition for disease, not man. Thus, any patent that effectively preempts use of a medical correlation is invalid subject matter even if the patented correlation was only recently discovered by man. Gottschalk v. Benson, 409 U.S. 63 (1972); Parker v. Flook, 437 U.S. 584 (1978).
Rather than examine the effect of patents relating to medical correlations to determine whether they preempt all effective uses of the underlying law of nature, the Federal Circuit has instead relied on a formulaic rule to erroneously uphold medical correlation patents. As it did in this case, so long as there is some trivial "transformation of matter" included in the patent claim, the Federal Circuit holds that all concerns about patenting laws of nature disappear. It does no further analysis to see whether a law of nature is nonetheless being effectively preempted by the patent.
As a result, there are now countless patents on medical correlations, including the patent in this case and patents on correlating genetic mutations with an increased predisposition for a particular disease. See., e.g., AMP (involving patents claiming the correlation between mutated BRCA genes and an increased propensity for developing breast cancer). According to the Federal Circuit, one can get a patent on correlating fair skin with an increased risk of sunburn, being a woman with an increased risk of becoming pregnant, and being elderly with an increased risk of suffering from Alzheimer's disease so long as some trivial step involving a transformation of matter is added.
In an attempt to abide by this Court's guidance in Bilski v. Kappos, 130 S. Ct. 3218 (2010), the Federal Circuit held in the AMP gene patent case that the challenged correlation claims there, which contained "only abstract mental processes," were ineligible subject matter. Ass'n for Molecular Pathology v. U.S. Patent and Trademark Office, 2011 U.S. App. LEXIS 15649, at *67 (Fed. Cir. July 29, 2011) ("We conclude that Myriad's claims to 'comparing' or 'analyzing' two gene sequences fall outside the scope of § 101 because they claim only abstract mental processes"). However, in doing so, it continued to apply its strict rule that is easily circumvented by adding any trivial non-mental step to a patent claim. Id. Thus, while the Federal Circuit reached the correct result in AMP, finding the correlation claims involving "only abstract mental processes" were invalid, it did so by continuing to follow the same improper test that it applied in this case, which condones medical correlation patents that have the effect of preempting all uses of an underlying law of nature, even if they are not purely abstract.
By completely failing to protect laws of nature from patents that effectively proscribe all use thereof, the Federal Circuit's rule is contrary to this Court's long established precedent that prohibits the patenting of laws of nature. Diamond v. Chakrabarty, 447 U.S. 303, 309 (1980) (citations omitted). This Court has repeatedly held that laws of nature cannot meet the threshold for qualifying as "inventions patentable" under 35 U.S.C. § 101 because "[s]uch discoveries are 'manifestations of . . . nature, free to all men and reserved exclusively to none."' Id. quoting Funk Bros. Seed Co. v. Kalo Inoculant Co., 333 U.S. 127 (1948). "[T]he reason for the exclusion is that sometimes too much patent protection can impede rather than 'promote the Progress of Science and useful Arts,' the constitutional objective of patent and copyright protection." Lab. Corp. of Am. Holdings v. Metabolite Labs., Inc., 548 U.S. 124, 126-27 (2006) (J. Breyer, dissenting).
This Court has also repeatedly rejected formulaic rules on issues in patent law, particularly what constitutes patentable subject matter. Bilski (rejecting the Federal Circuit's "machine or transformation" test for patent eligibility). Despite this, the Federal Circuit below again retreated to implement a formulaic rule-based analysis, finding as patentable subject matter anything that involves a transformation of matter, regardless of whether that transformation is central to the patented invention or whether the claim effectively preempts all uses of the underlying law of nature.
The "administering" step at issue in this case is of trivial importance, as there is no requirement in the claims of the patent in this suit that the amount of drug being administered cause any chemical change in the patient to whom the drug is being administered. 2 J.A. 16 (U.S. Pat. No. 6,355,623, cl. 1).
This is in stark contrast to most pharmaceutical patents that require a "therapeutically effective amount" of a drug be administered. Here, the "administering" step may result in no change whatsoever to the patient's condition, but the Federal Circuit nonetheless latched on to it to uphold the patent as not being on a law of nature. This was not a substantive analysis, but rather the application of a formulaic rule that any transformation of matter – no matter how trivial – is sufficient to make a claim patent eligible, regardless of whether the claim still preempts all pragmatic uses of a law of nature.
Had the Federal Circuit correctly applied the pragmatic preemption analysis mandated by this Court, it would unquestionably have found that the claim has the practical effect of preempting all uses of the law of nature that underlies the claim, namely that between the presence of certain metabolite levels and the presence of a drug. That medical correlation is not an invention of the patentee. It is the result of nature's handiwork. But the existence of the patent forecloses all effective use by others of the law of nature. Thus, it is unpatenable under this Court's precedent.
CONCLUSION
For the foregoing reasons, the decision of the Court of Appeals should be reversed.
Counsel for Amici Curiae
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Lamarck and Darwin: two divergent visions of the living world
Auteur :
BREGLIANO Jean-Claude, Professeur honoraire, Université Blaise Pascal, Clermont-Ferrand et Université de la Méditerranée Marseille Luminy
27-05-2019
The last two decades have seen an accumulation of scientific data on so-called epigenetic phenomena, changes in the expression of genes induced by the environment and transmitted temporarily to the offspring. This has led some authors to make the connection with Lamarckism, some even go so far as to propose the elaboration of a new synthetic theory of evolution combining the theories of Lamarck and Darwin. A comparison of the basic principles of these two theories shows that their visions of the living world are too divergent to be reconcilable. This does not detract from the fact that research on epigenetic phenomena will certainly lead to an enrichment of Darwinian theory.
1. Conflicts and confusion between Lamarckism and Darwinism
Encyclopédie de l'environnement
The first coherent and solidly supported theory on the evolution of life was established in 1800 by Jean-Baptiste Lamarck (1744-1829), a great French naturalist, and published in 1809 in his book Philosophie zoologique (Figure 1).
Fifty years later, in England, The Origin of Species was published in which Charles Darwin (1809-1882) developed his own theory on the transformation of species by "descent with modification" (Figure 2) (see focus Darwin).
The great common point between the theories of these two great naturalists is the affirmation of the evolutionary fact, which goes against creationism, universally accepted until then. But their conceptions of the living world diverge radically on such essential issues as the origin of life and the very mechanisms of evolution. Genetics, born at the very beginning of the 20 th century, provided Darwin theory with knowledge that was sorely lacking. In the 1940s, it made it possible to develop the synthetic theory of evolution or neodarwinism. One might have thought that the debate between Lamarkism and Darwinism was over.
This is not the case, these two theories are still the subject of conflicts and confusion. For the general public, evolution - when it is accepted, which is far from always being the case [1] - is generally understood in a Lamarckian way. That is, evolutionary changes occur under the more or less direct influence of the environment. The Darwinian process, which implies that fortuitous
Encyclopédie de l'environnement
genetic variations may be the basis for significant biological transformations (see below), strikes common sense.
Surprisingly enough, these conflicts and confusions are also found among biologists, philosophers and science historians. Conflicts that are often linked to a deep rejection of Darwinism, for non-scientific motivations (seeTheory of Evolution: misunderstandings and resistance). Confusions that are due to misunderstandings or difficulties of interpretation. This is particularly the case with some of Lamarck's writings on the appearance of life, which are ambiguous, if not contradictory [2].
This situation has been accentuated over the past two decades with the importance acquired by the epigenetic imprints of the genome, which is discussed in several articles in this encyclopedia (see Adaptation: Responding to environmental challenges; Epigenetics, the genome and its environment; The adaptation of organisms to their environment). Very briefly, these imprints involve chemical changes in DNA (or the proteins surrounding it), but do not change the sequence of nucleobases (so they are not mutations) and are reversible. They are usually triggered by stressful situations and influence gene expression, often in an adaptive sense. They can be transmitted to offspring for a few generations, referred to as epigenetic memory or transgenerational effect. This type of phenomenon, known for a long time, has been the subject of renewed studies since the beginning of the century (see Epigenetics, the genome and its environment).
This transgenerational effect, although transitory, may recall the heredity of the acquired traits discussed later. A phenomenon that is often, and wrongly, considered to be the main characteristic of Lamarck's theory. This has led biologists to re-launch the debate on a possible update of this one. Some even go so far as to mention the need for a synthesis between the two theories. We will see that the considerable differences between them do not argue in favour of such an idea.
This subject will be treated here from the strict biological point of view, by comparing the basic principles of these theories and the visions of the living world that flow from them, particularly on the origin of life and on the mechanisms of transformation of species. An article by Laurent Loison and Francesca Merlin, which addresses this problem from the perspective of the history and philosophy of science, can also be found in the Encyclopaedia Universalis [3].
2. The origin of living beings and their genealogical relationship
In Lamarck's vision, the "simplest" or "most imperfect" organisms always appear as "spontaneous generation" or "direct generation". He writes in Zoological Philosophy: "In its march, nature began, and continues to do so every day [underlined by the author of this article] by forming the simplest organized bodies and it only forms directly those, that is to say, these first drafts of the organization, which have been designated by the expression of spontaneous generations".
It should be noted in passing that in the light of our current knowledge on the extraordinary complexity of the most elementary living cells and on the origin of life, this idea of permanent spontaneous generation makes people smile. As well as the qualifier "simple" for living organisms (Read the articles The Origin of Life as seen by a geologist who loves astronomy; Once upon a time there was life... and Origin of the first cells: the engineer's point of view).
Lamarck imagines that these primitive organisms gradually become more complex over the course of geological time to reach all existing living beings. A complexity that is synonymous for him with perfection and which would result from an inherent property of the living beings to which we will return later.
Thus, for Lamarck, spontaneous generations would occur frequently and, each time, the process of complexification would be
Encyclopédie de l'environnement
repeated (although on these two points his writings are somewhat ambiguous). Thus, since the origin of the planet, the simplest organisms would spontaneously appear from the inert matter and would repeatedly initiate series that would evolve in parallel (Figure 3). Within each of these lines, filiation exists, from the simplest to the most complex, but there can be no genealogical relationship between the lines.
Lamarck also postulates that primitive plants and animals appear in two independent ways. It also allowed two separate routes for animals. One is relatively short, starting with what were then called "infusoria" (unicellular microorganisms) and the other is longer, starting with the simplest worms and leading to the vertebrates (Figure 3). In short, in Lamarckian theory, the living world would be composed of multiple successive and independent lines. There would be no single common ancestor.
Darwin, for his part, does not speak of the appearance of life in The Origin of Species, except to say that the knowledge of his time did not allow him to approach it. It is sometimes mentioned in his correspondence, notably in a letter from 1871 to his best friend Joseph Hooker. "It is often said that all the conditions for the first production of a living organism are present, which could ever have been present. But if (and oh! what a big if!) we could conceive in some warm little pond, with all sorts of ammonia and phosphoric salts, light, heat, electricity, etcetera present, that a protein compound was chemically formed, ready to undergo still more complex changes, at the present day such matter would be instantly devoured or absorbed, which would not have been the case before living creatures were formed.".
So for Darwin, the appearance of life could only have occurred in a world that was still abiotic, through a very slow process. He refuses the idea of permanent spontaneous generation, which has been universally accepted since Pasteur [4]. As a result, all living beings on the planet are derived from this ancestral form of life (Figure 4). In the conclusion of The Origin of Species he writes:"...all the organic beings which have ever lived on this earth have descended from some one primordial form, into which life was first breathed. ".
Encyclopédie de l'environnement
This vision is fully in line with modern scientific research that is trying to understand the characteristics of this primordial ancestral form, called LUCA for Last Universal Common Ancestor (Figure 5). On this subject, we can consult the videos of the remarkable symposium "The Origins of Life" organized in 2013 by the french Academy of Sciences [5].
We can therefore see that from the outset, on the very origin of life, Lamarck and Darwin's theories are based on two very different visions of the structure of the living world.
There are at least two other important differences between these theories. As they both concern the modalities of evolution, they are very intertwined; but for the sake of clarity we will present them separately.
3. The mechanisms of evolutionary transformations
We are entering into what is really the heart of the two theories. According to Lamarck, the variations of the individuals who are at the root of the transformation of species occur under the effect of external circumstances leading to "needs", themselves at the origin of "actions" or "efforts", which will create "habits". Let us quote him: "The second conclusion is my own: it assumes that, by the influence of circumstances on habits, and then by the influence of habits on the condition of the parts of the animal, and even on that of the organization, each animal can receive in its parts and its organization, changes that can become very significant. ».
In the same Chapter VII of Zoological Philosophy it states a first law: "In any animal which has not gone beyond the end of its development, the more frequent and sustained use of any organ gradually strengthens, develops, enlarges (...) this organ; while the constant defect of such an organ, imperceptibly weakens and deteriorates it, gradually reduces its faculties and eventually makes it disappear".
In plants, Lamarck is led to propose an even more direct influence of the environment on the organism because, of course, we cannot talk about efforts and habits in plants! In his theory, variations are therefore always induced, more or less directly, under the influence of external conditions.
Since the discovery of genetic mutations at the beginning of the 20 th century, neolamarckians have had to integrate the idea that these mutations are at the root of variations. They then imagined that they had to be directed by the environment, on specific genes, to adapt the organism to its environment. But this idea is in contradiction with all the experimental research carried out since the 1940s. The most recent and one of the most demonstrative was published in 1997 by an American team [6]. We will come back to this later.
Based on these induced variations, the transformation of species would be driven by a trend towards increasing complexity, at least in animals. This trend would have the role of "driving" in the evolution. But where would this trend come from? It would be an immanent property of living beings that irreversibly pushes them towards ever greater complexity. It is therefore a law of nature that requires no explanation. It should be noted in passing that, in the same logic, Lamarck did not believe in the extinctions of species, except those destroyed by human actions. For him, species are transformed by becoming more complex but do not become extinct.
Lamarck, however, wanted to be very materialistic and often repeats that the living obey only physical laws. It can be admitted
Encyclopédie de l'environnement
that the reference to the "Supreme Author of all things", frequent in his writings, is a matter of political opportunism (Napoleon did not appreciate that the role of God was neglected!). Nevertheless, this push towards complexity, which according to him is the exclusive property of the living world, is a singular reminder of vitalism{ind-text}Philosophical doctrine which establishes the existence of a vital principle distinct from both the thinking soul and the physico-chemical properties of the body, governing the phenomena of life (André Lalande's definition).{end-tooltip}.
It should be noted that this trend towards complexity, as well as the influence of the environment on changes, both function as an anti-hasard. The share of randomness in the transformation of species is therefore limited in Lamarck. This is what seduces many people in his theory, including biologists and philosophers of science.
Darwin, for his part, strongly contests that external conditions are the cause of the variations. In the introduction to The Origin of Species, he writes: "Naturalists continually refer to external conditions, such as climate, food, etc., as the only possible cause of variation. In one very limited sense, as we shall hereafter see, this may be true; but it is preposterous to attribute to mere external conditions, the structure, for instance, of the woodpecker, with its feet, tail, beak, and tongue, so admirably adapted to catch insects under the bark of trees. ... ». He also refuses the idea of a force pushing for increasing complexity, which he finds "silly".
In Darwinian theory, the main forces at play are "spontaneous and accidental" hereditary variations from which natural selection operates (see Figure 4; see Theory of Evolution: Misunderstandings and Resistance). It is the latter that plays the role of "engine" of evolution, accidental variations are only the basic "material". Darwin writes: "I am convinced that Natural Selection has been the main but not exclusive means of modification".
The Darwinian evolutionary process therefore does not imply any finality. The combination of accidental variation and selection results in the best adaptation of a population at a given time in a given environment, with a significant proportion of hazards (see Focus The ups and downs of evolution: the role of small numbers). By itself, this process does not imply any tendency towards complexity, let alone perfection. There may be acquisition of new functions but also loss of functions, thus simplification, which is often observed in parasites. Not to mention the extinctions of species, or even entire zoological groups, , not accepted by Lamarck. Darwinian evolutionists readily say that if evolution were to begin again, there is no reason to believe that it would follow the same path. Here again, there is a wide gap between the Lamarckian and Darwinian visions.
4. Transmission of changes to progeny
Let us return to the question already mentioned of the inheritance of acquired characteristics, an expression often associated with Lamarck, but which is in fact much later. This third point is much less different between the two theories than the previous ones, but still important with regard to the knowledge accumulated in genetics.
Under the pen of biologists or science historians, this inheritance of acquired characteristics is sometimes presented as an analogy between Lamarck and Darwin's theories and sometimes as the only major difference between them. It is therefore difficult for non-specialists to find their way around. Let's try to clarify.
First of all, let us recall that in both Lamarck's and Darwin's time, we knew nothing about the mechanisms of heredity [7]. So we had to try to understand why dogs don't make cats..., among other things!
Encyclopédie de l'environnement
Since, in Lamarckism, variations occur under the influence of the environment, they are not, from the outset, hereditary (today we say: they are not genetic, but only phenotypic). However, for them to play a role in the transformation of species, they must absolutely be heritable, hence Lamarck's second law: "Everything that nature has caused to be lost or acquired through the influence of circumstances in which their race has long been exposed (...) it retains by generation to new individuals from them, provided that the changes acquired are common to both sexes or to those who produced these new individuals".
Thus the characters acquired under the influence of the environment would be transmitted to the progeny. This was not a hypothesis specific to Lamarck, he took up an idea considered in his time, and already since antiquity, as self-evident, but contradicted by the research carried out over the last century.
Darwin does not totally exclude that certain traits acquired under the direct influence of the environment may become heritable. He had even brought to light a very old hypothesis (the pangenesis{ind-text}Hypothesis inspired by very old ideas and proposed by Darwin to explain heredity, but also reproduction and development. Very small particles (gemmules) would be produced by the different parts of the body and transmitted to the reproductive organs. Darwin himself considered it to be very speculative and provisional. {end-tooltip}), dating from Hippocrates (460-370 BC), to explain heredity in general and who could also explain this heredity of the acquired characters. But for him it could only be, at best, a secondary mechanism. Concerning pangenesis, he himself wrote that this hypothesis was very speculative and provisional. He considered that the only significant variations for the transformation of species are those that are heritable, those that are now called "genetic" (see The genome between stability and variability). He wrote, from the first chapter of The Origin of Species: "Any variation which is not inherited is unimportant for us". A phrase that can be used by breeders and agronomists who create new breeds and varieties.
In short, the inheritance of acquired characteristics is absolutely necessary to Lamarck's theory. From Darwinian perspective, it is not an integral part of the theory, although Darwin does not exclude it completely in some cases.
5. The multiple resistances to Darwinism
This brief overview of the essential differences between the two theories shows that they are based on visions of the living world that are difficult to reconcile (see Table). To speak of a new synthesis between Darwinism and Lamarckism based on epigenetic phenomena is therefore irrelevant and can only be a source of confusion. Nevertheless, these phenomena will certainly lead to the enrichment of synthetic theory, as discussed in another article on this site (see The adaptation of organisms to their environment), but it is still too early to say more.
Table. Some major differences between Lamarck's and Darwin's ideas
But here we need to broaden the debate on this propensity to challenge the basic mechanisms of Darwinian theory. It is nothing new, it is a recurrent phenomenon since the publication of The Origin of Species in 1859, relaunched after the development of synthetic theory in the 1940s. As soon as new experimental facts seem to disagree with this theory, journalists, but also scientists, seize the opportunity to question it, even when the authors of these works recognize themselves in the Darwinian current.
Two recent examples are very emblematic of this trend. The first concerns the work of a Japanese researcher, Motoo Kimura, published from 1968 onwards. He published a summary of his work in 1983 in a book entitled The neutral theory of molecular evolution, which was published in 1990 [8]. In short, Kimura emphasizes that many of the DNA mutations revealed by biochemical techniques must be neutral with regards to natural selection. At the time, journalists and biologists (who had obviously not read his texts) used it against neodarwinism on the theme: "all mutations are neutral so natural selection plays no role in evolution". It was the central pillar of Darwinian theory that was targeted.
Kimura issued very strong denials because he never wrote that all mutations were neutral. His work is not at all outside Darwinian theory; a whole chapter of his book is devoted to natural selection. Its conclusions are now widely accepted by evolutionists and population geneticists (see Genetic Polymorphism and Selection).
Encyclopédie de l'environnement
The second example is more recent and even more edifying. It is based on the 1987 experiments on the colibacillus carried out by a famous American geneticist, John Cairns. He used a strain carrying a defective gene responsible for a nutritional sugar deficiency, a deficiency that prevents bacteria from reproducing but does not kill them. He observes that the rate of reverse mutations (gene that has become functional again) is much higher under deficiency conditions than under normal conditions. It was then legitimate to wonder whether this abnormal rate of reversion would not be due to mutations directed by the medium, targeted precisely on the defective gene to make it functional again. Many laboratories have tackled the problem and a high-level scientific controversy has been ongoing for 10 years.
It was decided in 1997 by the remarkable experiences of Susan M. Rosenberg's team, already mentioned above [6]. This team demonstrated that the rapidity of onset of reverse mutations was due to the induction, by the deficiency situation, of an unusually high mutagenesis rate; but it operated throughout the genome, without any targeting of the defective gene. A result that is in line with neodarwinism. This increase in the mutation rate, triggered by stress conditions, is also discussed in another article on this site, about the "SOS response" (see The genome between stability and variability).
What is particularly significant is that during the first years of the controversy, articles of extreme virulence against neodarwinism, described among other things as "an absurd theory from which we would finally be rid", were published in specialized scientific journals, which were considered serious.
We will note that the attacks provoked by these two types of work go to the very heart of the differences between Darwinism and Lamarckism: natural selection in the first case and the random nature of mutations in the second. It is difficult not to see in it a desire to return to Lamarckism. Some of the reactions to epigenetics may well be in the same vein.
Elements of explanation on this persistent craze for the Lamarckian vision have been mentioned in another article already mentioned (see Theory of Evolution: Misunderstandings and Resistance). On the one hand, Lamarck's role in adaptation through effort is more in line with common sense and social morality, and therefore easier to accept. As for the immanent tendency towards the living to become ever more complex, it may suggest a certain spiritualism (reinforced by Lamarck's frequent reference to "the Supreme Author of all things"), which may reassure those who are unhappy with Darwinian materialism. Feelings rarely go hand in hand with science.
References and notes
Cover image. A tropical forest with monkeys and snakes (Henri Rousseau, 1910). [National Gallery of Art, Washington, USA, Public Domain]
[1] "Les Pieds dans le plat" website; http://www.lespiedsdansleplat.me/la-montee-en-puissance-des-ideologies-creationnistes/
[2] Pietro Corsi, Jean Gayon, Gabriel Gohau & Stéphane Tirard (2006) Lamarck, philosopher of nature, Ed. PUF
[3] Laurent Loison & Francesca Merlin, "Épigénétique et Théorie de l'Évolution", Encyclopædia Universalis [online], accessed 22 September 2017. URL: http://www.universalis.fr/encyclopedie/epigenetique-et-theorie-de-l-evolution/
[4] Spontaneous generation is an Aristotelian notion that implies the appearance of living beings from inanimate matter, without ascendants. This idea was long part of common sense: it was believed that maggots were born from rotten meat. Challenged by scientists as early as the 17 th century, it was not until the 19 th century (when it also took the name "heterogeny") that it was abandoned. On April 7, 1864, at a public conference in the "Grand amphitheatre" of the Sorbonne, Louis Pasteur presented the result of 6 years of research on the subject and refuted the spontaneous generation. The french Academy of Sciences will then officially declare that spontaneous generation does not exist.
[5] Website of the french Academy of Sciences; http://www.academie-sciences.fr/archivage_site/video/v160913.htm
[6] Torkelson J. et al (1997) Genome-wide hypermutation in a subpopulation of stationary-phase cells underlies recombination-dependent adaptive mutation. EMBO J. 16(11):3303-11.
[7] The work of the Czech monk and botanist Gregor Mendel (1822-1884), who first experimentally established the laws governing biological heredity, is contemporary with Darwin. However, the publication of Mendel's work in 1866 went unnoticed at the time. It was only 35 years later, at the beginning of the 20 th century, that the Dutchman Hugo de Vries, the German Carl
Encyclopédie de l'environnement
Erich Correns and the Austrian Erich von Tschermak independently rediscovered the laws of heredity, and recognized in Mendel their discoverer. Before Mendel, genetics was much less advanced than physics was before Newton.
[8] Motoo Kimura (1990), Théorie neutraliste de l'évolution, Paris, Flammarion, (ISBN 2-082-11153-9).
L'Encyclopédie de l'environnement est publiée par l'Université Grenoble Alpes - www.univ-grenoble-alpes.fr
Pour citer cet article: Auteur : BREGLIANO Jean-Claude (2019), Lamarck and Darwin: two divergent visions of the living world, Encyclopédie de l'Environnement, [en ligne ISSN 2555-0950] url : http://www.encyclopedie-environnement.org/?p=6809
Les articles de l'Encyclopédie de l'environnement sont mis à disposition selon les termes de la licence Creative Commons Attribution - Pas d'Utilisation Commerciale - Pas de Modification 4.0 International.
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OFFICE OF THE SECRETARY OF STATE
BEV CLARNO
SECRETARY OF STATE
JEFF MORGAN INTERIM DEPUTY SECRETARY OF STATE
PERMANENT ADMINISTRATIVE ORDER
ARCHIVES DIVISION
STEPHANIE CLARK
DIRECTOR
800 SUMMER STREET NE
SALEM, OR 97310
503-373-0701
FILED
DOF 3-2020 CHAPTER 629 DEPARTMENT OF FORESTRY
11/19/2020 4:11 PM ARCHIVES DIVISION SECRETARY OF STATE & LEGISLATIVE COUNSEL
FILING CAPTION: Expanding water rules on small and medium salmon, steelhead and bull trout Siskiyou Georegion streams.
EFFECTIVE DATE: 01/01/2021
AGENCY APPROVED DATE: 11/04/2020
CONTACT: Greg Wagenblast
503-945-7382
firstname.lastname@example.org
2600 STATE ST BLDG D
SALEM,OR 97310
Filed By:
Hilary Olivos-Rood
Rules Coordinator
RULES:
629-642-0105, 629-642-0110
AMEND: 629-642-0105
RULE TITLE: General Vegetation Retention Prescriptions for Type SSBT Streams
NOTICE FILED DATE: 08/18/2020
RULE SUMMARY: The rule amendment adds the Siskiyou Georegion to the existing OAR 629-642-0105(2) that provides for streamside shade buffers with Salmon, Steelhead or Bull Trout streams, and to the Geographic Regions included in Table five.
RULE TEXT:
(1) The purpose for the vegetation retention prescriptions in this section is to ensure that, to the maximum extent practicable, forest operations will not impair the achievement and maintenance of the protecting cold water criterion described in OAR 340-041-0028(11).
(2) The vegetation retention requirements for Type SSBT streams apply to harvest type 2 or harvest type 3 units in the following Geographic Regions as described in OAR 629-635-0220: Coast Range, South Coast, Interior, Western Cascades, and Siskiyou. Use rules in OAR 629-642-0100 for Type 1 harvests along SSBT streams.
(3) Operators shall apply the vegetation retention requirements described in this rule to the riparian management area of the following streams:
(a) Type SSBT streams.
(b) The main stem of any Type F stream upstream of the mapped end of SSBT use to the higher of:
(A) The upstream boundary of the harvest unit containing SSBT, or
(B) The upstream boundary of any adjacent upstream harvest unit commenced within a year of completing harvest of the unit containing SSBT.
(c) For the purpose of this rule, "main stem" means the stream with the largest annual average flow at a confluence of two or more streams. The State Forester shall determine average annual flow by indexing average annual flow to the upstream drainage area and average annual precipitation as described in Forest Practices Technical Note 1 dated April 11, 1994. The State Forester may substitute field evaluations of average annual flow for the calculated flows described
in the technical note.
(4) Segments of Type SSBT streams that are different sizes within an operation shall not be combined or averaged together when applying the vegetation retention requirements.
(5) Trees left to meet the vegetation retention requirements for one stream type shall not count towards the requirements of another stream type.
(6) Operators shall retain:
(a) All understory vegetation within 10 feet of the high water level;
(b) All trees within 20 feet of the high water level; and
(c) All trees leaning over the channel.
(7) Operators shall retain all downed wood and snags that are not safety or fire hazards within riparian management areas and streams. Snags felled for safety or fire hazard reasons shall be retained where they are felled unless used for stream improvement projects.
(8) Notwithstanding the requirements of section (6) of this rule, vegetation, snags and trees within the riparian management area of the stream may be felled, moved or harvested as allowed in other rules for road construction, yarding corridors, temporary stream crossings, or for stream improvement while maintaining required basal area and live conifer tree count.
(9) When harvesting in the riparian management area of a Type SSBT stream, an operator shall apply one of the following prescriptions, except as noted for Type SSBT Prescription 3 in section (12).
(a) Operators may apply Type SSBT Prescription 1 on any Type SSBT riparian management area as described in section (10) of this rule.
(b) If the basal area of trees six inches or greater DBH within the riparian management area but more than 20 feet from the high water level of the Type SSBT stream exceeds the total basal area target shown in Table 5, the operator may apply Type SSBT Prescription 2, described in section (11) of this rule.
(c) If a Type SSBT stream segment at least 200 feet in length meets the standards in Type SSBT Prescription 3, the operator may apply that prescription on the north side of the stream segment, as described in section (12) of this rule. (d) If live conifer basal area within the riparian management area of a Type SSBT stream is less than half the standard target for a small or medium Type F stream in Table 2, the operator may apply the appropriate Alternative Prescription described in OAR 629-642-0600.
(e) For the riparian management area of any Type SSBT stream, the operator may propose a site-specific prescription in a plan for an alternate practice. Plans for alternate practices are subject to the review and approval of the State Forester. Site-specific prescriptions are described in OAR 629-642-0700.
(10) Type SSBT Prescription 1:
(a) Retain all trees within 60 feet of the high water level of a small stream.
(b) Retain all trees within 80 feet of the high water level of a medium stream.
(c) Where SSBT Prescription 1 is applied, operators may count as wildlife leave trees all trees that meet wildlife leave tree requirements:
(A) Within 20 feet of the high water level.
(B) In the remainder of the riparian management area, up to 50 percent of the basal area trees used to meet the basal area target in Table 5.
(C) Any trees within the area described in (B) in excess of the basal area target in Table 5.
(11) Type SSBT Prescription 2:
(a) Operators shall retain trees that are well-distributed by length and width of the riparian management area beyond 20 feet of the high water level of the stream, minimize the creation of large gaps, favor small openings in the canopy, and leave residual trees in a manner that promotes understory as well as diameter and crown growth. Operators shall satisfy these requirements by meeting the following minimum standards:
(A) For small Type SSBT streams, the riparian management area length will be measured in 500-foot segments. Within each 500-foot segment at least 25 percent of the required basal area target, rounded up to the nearest whole number,
and 50 percent of the required live conifer trees, rounded up to the nearest whole tree, shall be located between:
(i) 20 feet and 40 feet of the high water level, see Table 5; and
(ii) 40 feet and 60 feet of the high water level, see Table 5.
(B) For medium Type SSBT streams, the riparian management area length will be measured in 500-foot segments.
Within each 500-foot segment at least 25 percent of the required basal area target, rounded up to the nearest whole number, and 50 percent of the required live conifer trees, rounded up to the nearest whole tree, shall be located between:
(i) 20 feet and 50 feet of the high water level, see Table 5; and
(ii) 50 feet and 80 feet of the high water level, see Table 5.
(b) For stream segments that are less than 500 feet, the required basal area and live conifer trees are reduced proportionally.
(c) The operator shall provide a description in the written plan and map where the measurement for the 500-foot stream segments begin and end.
(d) Operators shall retain live conifer trees:
(A) For small Type SSBT streams, at least 8 live conifer trees per 500 feet along the stream, located between 20 feet and 60 feet from the high water level. Live conifer trees must be at least 8 inches DBH to count toward these requirements, see Table 5.
(B) For medium Type SSBT streams, at least 15 live conifer trees per 500 feet along the stream, located between 20 feet and 80 feet from the high water level. Live conifer trees must be at least 8 inches DBH to count toward these requirements, see Table 5.
(e) Operators shall retain hardwood and conifer trees and snags six inches or greater DBH to meet the following basal area requirements:
(A) For small Type SSBT streams, conifer and hardwood basal area target is shown in Table 5.
(B) For medium Type SSBT streams, conifer and hardwood basal area target is shown in Table 5.
(C) Up to 10 percent of the basal area requirements may be comprised of sound conifer snags at least 30 feet tall.
(f) Where Type SSBT Prescription 2 is applied, operators may count as wildlife leave trees all trees that meet wildlife leave tree requirements:
(A) Within 20 feet of the high water level.
(B) In the remainder of the riparian management area, up to 50 percent of the basal area trees retained to meet the basal area target in Table 5.
(C) Any trees within the area described in (B) in excess of the basal area target in Table 5.
(12) Type SSBT Prescription 3:
(a) This prescription applies to Type SSBT streams where the stream valley direction is between 60 and 120 degrees east and 240 and 300 degrees west on a compass bearing of 0 and 360 degrees as north. Operators shall:
(A) Retain all trees within 40 feet of the high water level on the north side of a Type SSBT stream where the stream valley direction criteria are met.
(B) The operator shall describe in a written plan and map where the alternative prescription is intended to be implemented.
(b) Where Type SSBT Prescription 3 is not applied, the operator shall apply either Type SSBT Prescription 1 or 2.
(c) The State Forester shall maintain a map showing stream valley direction for applying Type SSBT Prescription 3.
(d) The State Forester may substitute field evaluations of stream valley direction instead of the map.
(A) The field-based evaluation shall measure the stream valley direction with a minimum of 200-foot stream segments.
(B) The stream segment must meet the stream valley direction criteria listed above to apply SSBT Prescription 3.
(e) Where Type SSBT Prescription 3 is applied, operators may count all trees that meet the wildlife leave tree requirements retained within 40 feet of the high water level as wildlife leave trees.
(13) Notwithstanding the requirements indicated in this rule, operators may conduct pre-commercial thinning and other release activities to maintain the growth and survival of conifer reforestation within riparian management areas.
Such activities shall contribute to and be consistent with enhancing the stand's ability to meet the desired future condition.
(14) When determining the basal area of trees, the operator may use the average basal area for a tree's diameter class, as shown in Table 4, or determine an actual basal area for each tree. The method for determining basal area must be consistent throughout the riparian management area.
(15) When applying the vegetation retention requirements described in this rule to the riparian management areas, if an operator cannot achieve the required retention without leaving live trees on the upland side of a road that may be within the riparian management area and those trees pose a safety hazard to the road and will provide limited functional benefit to the stream, the State Forester may approve a plan for an alternate practice to modify the retention requirements on a site specific basis.
STATUTORY/OTHER AUTHORITY: ORS 527.710, 527.630(3), 527.714, 526.016(4)
STATUTES/OTHER IMPLEMENTED: ORS 527.630(5), 527.674, 527.714, 527.715, 527.765, 527.710, 527. 919(9)
Table 5. Type SSBT Prescription 2. Vegetation Prescription for Type SSBT Streams: Streamside Tree Retention for Harvest Type 2 or Type 3 Units (OAR 629-642-0105(11)).
| | BASAL AREA TARGET: Square feet of basal area per each 500-foot stream segment, each side of the stream (any combination of conifers and hardwoods 6 inches or greater DBH) | | | | |
|---|---|---|---|---|---|
| Geographic Region | | Medium Type SSBT | Small Type SSBT RMA = 60 feet | | Medium Type SSBT |
| | | RMA = 80 feet | | | RMA = 80 feet |
| Coast Range, South Coast, Interior, Western Cascades, and Siskiyou | | | | | |
| | | 20 to 50 feet: | 20 to 40 feet: minimum 10 sq. ft. | | 20 to 50 feet: |
| | | minimum 18 sq. ft. | | | minimum 7 trees |
| | | 50 to 80 feet: | 40 to 60 feet: minimum 10 sq. ft. | | 50 to 80 feet: |
| | | minimum 18 sq. ft. | | | minimum 7 trees |
| | RMA Total (20 to 80 feet) = 69 sq. ft. | RMA Total (20 to 80 | RMA Total (20 to 60 feet) = 37 sq. ft. | RMA Total (20 to 80 feet) = 15 trees | RMA Total (20 to 80 |
| | | feet) = 69 sq. ft. | | | feet) = 15 trees |
Notes for Table 5
1. Distances are measured from the high water level of the Type SSBT stream.
2. Up to 10% of the basal area requirement may be comprised of sound conifer snags six inches or greater DBH and at least 30 feet tall.
AMEND: 629-642-0110
RULE TITLE: Relief for General Vegetation Retention Prescriptions for Type SSBT Streams
NOTICE FILED DATE: 08/18/2020
RULE SUMMARY: The rule amendment adds the Siskiyou Georegion to the existing OAR 629-642-0110 Geographic Regions included in Table six.
RULE TEXT:
(1) Upon written request from a landowner, relief is available if the additional encumbered forested stream area due to Type SSBT classification is 8% or more of the forested portion of any parcel. The additional encumbered forested stream area is measured by the increase in acres of the Type SSBT vegetation prescription over the vegetation prescription for Type F streams. To determine the additional percentage forested stream area encumbered, the increase in acres is divided by the forested parcel acres.
(2) "Parcel" as described in this section means a contiguous single ownership recorded at the register of deeds within the county or counties where the property is located, including any parcel(s) touching along a boundary, but a railroad, road, stream, or utility-right-of-way may intersect the parcel. Single ownership is defined in ORS 527.620(14).
(3) If a landowner qualifies for relief, the landowner may utilize:
(a) Type SSBT Relief Prescription 1 which is Type SSBT Prescription 1, as described in OAR 629-642-0105(10), within a
reduced riparian management area of 50 feet or 70 feet for small and medium Type SSBT streams, respectively; or (b) Type SSBT Relief Prescription 2 which is Type SSBT Prescription 2, as described in OAR 629-642-0105(11), within a reduced riparian management area of 50 feet or 70 feet for small and medium Type SSBT streams, respectively. See Table 6 for reduced basal area targets and live conifer tree requirements.
(4) Type SSBT Relief Prescription 1:
(a) Retain all trees within 50 feet of the high water level of a small stream.
(b) Retain all trees within 70 feet of the high water level of a medium stream.
(c) Where Type SSBT Relief Prescription 1 is applied, operators may count as wildlife leave trees all trees that meet wildlife leave tree requirements:
(A) Within 20 feet of the high water level.
(B) In the remainder of the riparian management area, up to 50 percent of the basal area trees used to meet the basal area target in Table 6.
(C) Any trees within the area described in (B) in excess of the basal area target in Table 6.
(5) Type SSBT Relief Prescription 2:
(a) Operators shall retain trees that are well-distributed by length and width of the riparian management area beyond 20 feet of the high water level of the stream, minimize the creation of large gaps, favor small openings in the canopy, and leave residual trees in a manner that promotes understory as well as diameter and crown growth. Operators shall satisfy these requirements by meeting the following minimum standards:
(A) For small Type SSBT streams, the riparian management area length will be measured in 500-foot segments. Within each 500-foot segment at least 25 percent of the required basal area target, rounded up to the nearest whole number, and 50 percent of the required live conifer trees, rounded up to the nearest whole tree, shall be located between:
(i) 20 feet and 35 feet of the high water level, see Table 6; and
(ii) 35 feet and 50 feet of the high water level, see Table 6.
(B) For medium Type SSBT streams, the riparian management area length will be measured in 500-foot segments. Within each 500-foot segment at least 25 percent of the required basal area target, rounded up to the nearest whole number, and 50 percent of the required live conifer trees, rounded up to the nearest whole tree, shall be located between:
(i) 20 feet and 45 feet of the high water level, see Table 6; and
(ii) 45 feet and 70 feet of the high water level, see Table 6.
(b) For stream segments that are less than 500 feet, the required basal area and live conifer trees are reduced
proportionally.
(c) The operator shall provide a description in the written plan and map where the measurement for the 500-foot stream segments begin and end.
(d) Operators shall retain live conifer trees:
(A) For small Type SSBT streams, at least 6 live conifer trees per 500 feet along the stream, located between 20 feet and 50 feet from the high water level. Live conifer trees must be at least 8 inches DBH to count toward these requirements, see Table 6.
(B) For medium Type SSBT streams, at least 13 live conifer trees per 500 feet along the stream, located between 20 feet and 70 feet from the high water level. Live conifer trees must be at least 8 inches DBH to count toward these requirements, see Table 6.
(e) Operators shall retain hardwood and conifer trees and snags six inches or greater DBH to meet the following basal area requirements:
(A) For small Type SSBT streams, conifer and hardwood basal area target is shown in Table 6.
(B) For medium Type SSBT streams, conifer and hardwood basal area target is shown in Table 6.
(C) Up to 10 percent of the basal area requirements may be comprised of sound conifer snags at least 30 feet tall.
(f) Where Type SSBT Relief Prescription 2 is applied, operators may count as wildlife leave trees all trees that meet wildlife leave tree requirements:
(A) Within 20 feet of the high water level.
(B) In the remainder of the riparian management area, up to 50 percent of the basal area trees retained to meet the basal area target in Table 6.
(C) Any trees within the area described in (B) in excess of the basal area target in Table 6.
(6) The State Forester will identify those parcels that potentially qualify for relief.
(7) The State Forester will make the final determination on whether a parcel qualifies for relief.
STATUTORY/OTHER AUTHORITY: ORS 527.710, 527.630(3), 527.714, 526.016(4)
STATUTES/OTHER IMPLEMENTED: ORS 527.630(5), 527.674, 527.714, 527.715, 527.765, 527.710, 527. 919(9)
Table 6. Type SSBT Relief Prescription 2. Vegetation Retention for Type SSBT Streams: Streamside Tree Retention for Harvest Type 2 or Type 3 Units (OAR 629-642-0110).
| | BASAL AREA TARGET: Square feet of basal area per each 500-foot stream segment, each side of the stream (any combination of conifers and hardwoods 6 inches or greater DBH) | | | | |
|---|---|---|---|---|---|
| Geographic Region | | Medium Type SSBT | Small Type SSBT RMA = 50 feet | | Medium Type SSBT |
| | | RMA = 70 feet | | | RMA = 70 feet |
| Coast Range, South Coast, Interior, Western Cascades, and Siskiyou | | | | | |
| | | 20 to 45 feet: | 20 to 35 feet: minimum 7 sq. ft. | | 20 to 45 feet: |
| | | minimum 15 sq. ft. | | | minimum 6 trees |
| | 45 to 70 feet: minimum 15 sq. ft. | 45 to 70 feet: | 35 to 50 feet: minimum 7 sq. ft. | 45 to 70 feet: minimum 6 trees | 45 to 70 feet: |
| | | minimum 15 sq. ft. | | | minimum 6 trees |
| | RMA Total (20 to 70 feet) = 58 sq. ft. | | RMA Total (20 to 50 feet) = 28 sq. ft. | RMA Total (20 to 70 feet) = 13 trees | |
Notes for Table 6
1. Distances are measured from the high water level of the Type SSBT stream.
2. Up to 10% of the basal area requirement may be comprised of sound conifer snags six inches or greater DBH and at least 30 feet tall.
|
USCA Case #11-1324 Document #1364133 Filed: 03/16/2012 Page 1 of 41
ORAL ARGUMENT NOT YET SCHEDULED
____________________________________
NO. 11-1324
__________________________________________________
UNITED STATES COURT OF APPEALS FOR THE DISTRICT OF COLUMBIA CIRCUIT
__________________________________________________
ALI HAMZA SULIMAN AHMAD AL BAHLUL,
Petitioner, v.
UNITED STATES,
Respondent.
__________________________________________________
On Petition for Review of the United States Court of Military Commission Review (CMCR No. 09-001)
___________________________________________________
BRIEF OF THE NATIONAL INSTITUTE OF MILITARY JUSTICE AS A MICUS C URIAE IN SUPPORT OF THE PETITIONER
__________________________________________________
STEPHEN I. VLADECK 4801 Massachusetts Avenue, N.W. Room 386 Washington, DC 20016 (202) 274-4241 firstname.lastname@example.org
AGNIESZKA FRYSZMAN COHEN, MILSTEIN, SELLERS & TOLL, P.L.L.C. 1100 New York Avenue, N.W. West Tower—Suite 500 Washington, DC 20005 (202) 408-4600 email@example.com
Counsel for Amicus Curiae March 16, 2012
USCA Case #11-1324 Document #1364133 Filed: 03/16/2012 Page 2 of 41
ERTIFICATE AS TO
C
P
ARTIES
, R
ULINGS,
AND
R
ELATED
C
ASES
Pursuant to Circuit Rule 28(a)(1), the undersigned counsel of record certifies as follows:
A. Parties andAmici Curiae
All parties, intervenors, and amici curiae
appearing in this Court are listed in the Brief of Petitioner.
Amicus curiaeNational Institute for Military Justice
("NIMJ") is a District of Columbia nonprofit corporation. Pursuant to Rule 26.1, amicus
certifies that, other than NIMJ, none of the entities filing this brief are corporate entities or are owned in whole or in part by other corporate entities.
B. Rulings Under Review
References to the rulings at issue appear in the Brief of Petitioner.
C. Related Cases
Counsel is unaware of any cases related to this appeal other than those listed in the Brief of Petitioner.
D. Relevant Statutes and Regulations
Counsel is unaware of any statutes or regulations related to this appeal other than those provided in the Addendum to Petitioner’s Brief.
Dated: March 16, 2012
/s/ Agnieszka Fryszman
Counsel forAmicus Curiae
i
USCA Case #11-1324 Document #1364133 Filed: 03/16/2012 Page 3 of 41
OMPLIANCE
C
W
ITH
R
ULE
29
A. Consent to File
Pursuant to Fed. R. App. P. 29(a) and Circuit Rule 29(b), amicus
that all parties have consented to the filing of this brief.
B. Authorship and Funding
Pursuant to Fed. R. App. P. 29(c)(5), amicus
certifies that this brief was authored by
amicus and counsel listed on the front cover. No party or party’s
counsel authored this brief, in whole or in part. No party or party's counsel contributed money that was intended to fund preparing or submitting this brief. No
other person besides amicus
and their counsel contributed money that was intended to fund preparing or submitting this brief.
C. Not Practical To Join in Single Brief
Pursuant to Circuit Rule 29(d), amicus
certifies that it is not practicable to join all other
amici in this case in a single brief. We do not claim expertise in the
other issues addressed by amici
, and believe it would be inappropriate to address matters upon which we do not have particular expertise.
Dated: March 16, 2012
/s/ Agnieszka Fryszman
Counsel for
Amicus Curiae ii
certifies
USCA Case #11-1324 Document #1364133 Filed: 03/16/2012 Page 4 of 41
TABLE OF CONTENTS
USCA Case #11-1324 Document #1364133 Filed: 03/16/2012 Page 5 of 41
CONCLUSION........................................................................................................29
USCA Case #11-1324 Document #1364133 Filed: 03/16/2012 Page 6 of 41
TABLE OF AUTHORITIES 1
CASES
1 Authorities on which amicus principally relies are marked with asterisks (*).
USCA Case #11-1324 Document #1364133 Filed: 03/16/2012 Page 7 of 41
USCA Case #11-1324 Document #1364133 Filed: 03/16/2012 Page 8 of 41
Martin v.
Mott,
USCA Case #11-1324 Document #1364133 Filed: 03/16/2012 Page 9 of 41
OTHER AUTHORITIES
INTEREST OF AMICUS CURIAE
The National Institute of Military Justice ("NIMJ") is a District of Columbia nonprofit corporation organized in 1991 to advance the fair administration of military justice and foster improved public understanding of the military justice system. NIMJ's advisory board includes law professors, private practitioners, and other experts in the field, none of whom are on active duty in the military, but nearly all of whom have served as military lawyers—several as flag officers.
NIMJ appears regularly as an amicus curiae before the U.S. Court of Appeals for the Armed Forces, and appeared in the U.S. Supreme Court as an amicus in support of the government in Clinton v. Goldsmith, 526 U.S. 529 (1999), and in support of the petitioners in Rasul v. Bush, 542 U.S. 466 (2004), Hamdan v. Rumsfeld, 548 U.S. 557 (2006), and Boumediene v. Bush, 553 U.S. 723 (2008). NIMJ has also appeared as an amicus before the Court of Military Commission Review in this case and in United States v. Hamdan, 801 F. Supp. 2d 1247 (Ct. Mil. Comm'n Rev. 2011).
NIMJ is actively involved in public education through its website, http://www.nimj.org, and through publications including the ANNOTATED GUIDE TO PROCEDURES FOR TRIALS BY MILITARY COMMISSIONS OF CERTAIN NON-UNITED STATES CITIZENS IN THE WAR AGAINST TERRORISM (2002), two volumes of MILITARY COMMISSION INSTRUCTIONS SOURCEBOOKS (2003–04), and the
MILITARY COMMISSION REPORTER (2009–). Although NIMJ has generally avoided taking a position on the legality of the military commissions established by the Military Commissions Acts of 2006 and 2009, its interest in this case derives from its concern that the decisions under review neglected well-settled constitutional principles concerning the limits on the jurisdiction of military tribunals. For the reasons set forth below, NIMJ believes that the government's position and the decisions below would jeopardize these well-settled principles.
SUMMARY OF ARGUMENT
The Supreme Court has consistently understood Congress's power to subject particular conduct to trial by a military tribunal as turning on two distinct, but often related, constitutional authorities: (1) Congress's Article I authority to define the offense in question; and (2) its separate power to subject the offender to trial before a non-Article III military court. See, e.g., United States ex rel. Toth v. Quarles, 350 U.S. 11, 14 & n.5 (1955). This bifurcation is largely a byproduct of the jury-trial protections of Article III and the Fifth and Sixth Amendments, which, subject to carefully circumscribed exceptions, generally require trial in a civilian court for all prosecutions under federal law. Relying on these provisions, the Court has repeatedly identified constitutional constraints on military jurisdiction—not because Congress lacks the power to proscribe the relevant conduct, but because, except in cases in which a recognized exception to the jury-trial provisions applies,
military jurisdiction is foreclosed regardless of Congress's power to define the underlying offense.
In the context of courts-martial, the Court has tied military jurisdiction to the text of the Grand Jury Indictment Clause of the Fifth Amendment, which exempts from the requirement of presentment or grand jury indictment "cases arising in the land or naval forces." U.S. CONST. amend. V. And in the context of military commissions, the Court has identified a distinct—and atextual—exception to the jury-trial provisions for "offenses committed by enemy belligerents against the law of war." Ex parte Quirin, 317 U.S. 1, 42 (1942). Thus, Quirin did not turn merely on the fact that Congress had exercised its power under the Define and Punish Clause of Article I; it turned on the separate—but equally important—holdings that (1) the Constitution's jury-trial protections do not extend to enemy belligerents charged with international war crimes; and (2) the defendants were enemy belligerents charged with violating the international laws of war.
In light of this settled understanding, it is clear that no exception to the jurytrial provisions applies in the instant case. The Supreme Court has never recognized a categorical exception to the jury-trial protections for non-citizens detained—and tried—outside the territorial United States. Nor can it be argued that this case "arises in the land or naval forces." Time and again, the Court has suggested that a case only "arises in the land or naval forces" when the defendant
is formally part of those forces. As Chief Justice Stone put it in Quirin, the "objective" of the textual carve-out was "to authorize the trial by court martial of the members of our Armed Forces for all that class of crimes which under the Fifth and Sixth Amendments might otherwise have been deemed triable in the civil courts," 317 U.S. at 43, and nothing more.
Because this case does not "arise[] in the land or naval forces," the validity of military jurisdiction turns not only on whether Congress has the Article I power to define the offenses Petitioner was convicted of committing, but also whether an atextual exception to the jury-trial protections applies. And yet, the government conceded in Hamdan that "the offense of providing material support to terrorism has not attained international recognition at this time as a violation of customary international law." Brief for the United States at 55–56, Hamdan v. United States, No. 11-1257 (D.C. Cir. to be argued May 3, 2012) [hereinafter "U.S. Hamdan Brief"].
Perhaps in light of this concession, the government in Hamdan has focused its argument instead on the claim that, in the Military Commissions Acts of 2006 and 2009, "Congress has codified the longstanding historical practice of the Executive Branch . . . of trying by military commission individuals who join with, and provide aid and assistance to, unprivileged belligerents in the context of an armed conflict against the United States." Id. at 27.
The problems with this argument are three-fold: First, the Supreme Court has never recognized a separate and distinct exception to the jury-trial protections for such offenses; the exception recognized in Quirin logically and necessarily extends only to violations of the international laws of war. Second, the examples on which the government relies in support of its claim all pre-date the relevant Supreme Court jurisprudence recognizing the central role of the jury-trial provisions to the constitutionality of military jurisdiction. Third, and finally, even if they have not been overtaken by subsequent events, a cursory review of the Civil War examples marshaled by the government in its Hamdan brief reveals that evidence of such a common-law practice is itself equivocal.
Unless this Court recognizes a new and unprecedented exception to the Constitution's jury-trial protections, military commissions may only exercise jurisdiction over cases "arising in the land or naval forces" or offenses committed by enemy belligerents against the international laws of war. Neither scenario is presented here.
ARGUMENT
I. THE PRINCIPAL CONSTITUTIONAL LIMITS ON MILITARY JURISDICTION ARE THE JURY TRIAL PROTECTIONS IN ARTICLE III AND THE FIFTH AND SIXTH AMENDMENTS
a. The Supreme Court Has Repeatedly Distinguished Between Congress's Power To Define Offenses and Its Power To Subject Offenders to Military Jurisdiction
Although military jurisdiction pre-dates the Constitution, see WILLIAM WINTHROP, MILITARY LAW AND PRECEDENTS 953–75 (2d ed. Beard Books 2000) (1896), the Supreme Court has consistently understood Congress's power to subject particular conduct to trial by a military tribunal as turning on two distinct, but often related, constitutional authorities: (1) Congress's Article I authority to define the offense in question; and (2) its separate power to subject the offender to trial before a non-Article III military court. See, e.g., United States ex rel. Toth v. Quarles, 350 U.S. 11, 14 & n.5 (1955). See generally Earl Warren, The Bill of Rights and the Military, 37 N.Y.U. L. REV. 181, 185–92 (1962) (grounding the Court's policing of military jurisdiction in the need to give effect to constitutional boundaries between military and civilian authority).
This bifurcation is largely a byproduct of the jury-trial protections of Article III and the Fifth and Sixth Amendments. See U.S. CONST. art. III, § 2, cl. 3 ("The Trial of all Crimes, except in Cases of Impeachment, shall be by Jury . . . ."); id.
amend. V ("No person shall be held to answer for a capital, or otherwise infamous crime, unless on a presentment or indictment of a Grand Jury, except in cases arising in the land or naval forces, or in the Militia, when in actual service in time of War or public danger . . . ."); id. amend. VI ("In all criminal prosecutions, the accused shall enjoy the right to a speedy and public trial, by an impartial jury of the State and district wherein the crime shall have been committed . . . .").
Subject to carefully circumscribed exceptions, 2 the Constitution's three jurytrial provisions generally require trial in a civilian court for all prosecutions under federal law. 3 Thus, Congress's power to subject particular offenders to military jurisdiction does not turn solely on the Article I authority on which the offense is predicated, but on whether one of the recognized exceptions to the jury-trial protections also applies.
2. As the Court explained in Duncan v. Louisiana, 391 U.S. 145 (1968), "there is a category of petty crimes or offenses which is not subject to the Sixth Amendment jury trial provision." Id. at 159; see also Dist. of Columbia v. Clawans, 300 U.S. 617, 628 (1937). Relatedly, the Court has held that the trial of criminal contempt does not require a jury, at least where the maximum possible sentence is six months or less. See Codispoti v. Pennsylvania, 418 U.S. 506 (1974); Cheff v. Schnackenberg, 384 U.S. 373 (1966).
3. Indeed, the jury trial protections even apply to federal prosecutions in the non-Article III D.C. Superior Court. See, e.g., Dist. of Columbia v. Cotts, 282 U.S. 63, 72–73 (1930); Callan v. Wilson, 127 U.S. 540, 557 (1888); United States v. Seals, 130 F.3d 451, 457 n.6 (D.C. Cir. 1997) (citing United States v. Moreland, 258 U.S. 433 (1922)).
In Reid v. Covert, 354 U.S. 1 (1957), for example, the Supreme Court rejected Congress's power to court-martial the spouse of a servicemember, at least for a capital offense committed during peacetime. At the heart of Justice Black's analysis for a four-Justice plurality 4 was his conclusion that the jury-trial provisions applied to trials of U.S. citizens outside the territorial United States— and therefore precluded the exercise of military jurisdiction. See id. at 6–14 (plurality opinion). Pointedly, the question was not whether Congress lacked the power to subject civilian dependents accompanying U.S. forces in the field to any criminal liability. Cf. Military Extraterritorial Jurisdiction Act, 18 U.S.C. § 3261(a) (authorizing civilian trials of individuals "employed by or accompanying the Armed Forces outside the United States" for conduct that would constitute a federal felony if committed within the "special maritime and territorial jurisdiction of the United States"). Instead, as Justice Black wrote,
Under the grand design of the Constitution civilian courts are the normal repositories of power to try persons charged with crimes against the United States. And to protect persons brought before these courts, Article III and the Fifth, Sixth, and Eighth Amendments establish the right to trial by jury, to indictment by a grand jury and a number of other specific safeguards.
4. Justices Frankfurter and Harlan separately concurred in the judgment to provide a majority for the result, although both would have limited the holding to bar military jurisdiction over civilians only in capital cases. See Reid, 354 U.S. at 41–64 (Frankfurter, J., concurring in the result); id. at 65–78 (Harlan, J., concurring in the result).
Reid, 354 U.S. at 21 (plurality opinion); see also id. at 9 n.12 ("It is common knowledge that the fear that jury trial might be abolished was one of the principal sources of objection to the Federal Constitution and was an important reason for the adoption of the Bill of Rights."); id. at 10 ("Trial by jury in a court of law and in accordance with traditional modes of procedure after an indictment by grand jury has served and remains one of our most vital barriers to governmental arbitrariness. These elemental procedural safeguards were embedded in our Constitution to secure their inviolateness and sanctity against the passing demands of expediency or convenience.").
Three years later, when a majority of the Court followed Justice Black and extended Reid to bar court-martial jurisdiction over all peacetime offenses by civilians, it reasoned that "This Court cannot diminish and expand [Congress's power under the Make Rules Clause], either on a case-by-case basis or on a balancing of the power there granted Congress against the safeguards of Article III and the Fifth and Sixth Amendments." Kinsella v. United States ex rel. Singleton, 361 U.S. 234, 246 (1960). In other words, the constitutionality of military jurisdiction could not turn on the difference between capital and non-capital offenses, see id., or between civilian employees and dependents, see McElroy v. United States ex rel. Guagliardo, 361 U.S. 281 (1960); Grisham v. Hagan, 361 U.S. 278 (1960), because the Constitution's jury-trial protections themselves brook
no such distinction, cf. United States v. Averette, 19 U.S.C.M.A. (41 C.M.R.) 363 (1970) (interpreting UCMJ provision authorizing court-martial jurisdiction over civilian contractors during "time of war" to require a declared war, which Vietnam was not, in order to avoid serious constitutional question). See generally EUGENE R. FIDELL ET AL., MILITARY JUSTICE: CASES AND MATERIALS 335–444 (2d ed. 2012) (summarizing the relevant jurisprudence).
Instead, except in cases in which a recognized exception to the jury-trial provisions applies, military jurisdiction is foreclosed regardless of the underlying substantive offense or the specific source of Congress's power to define it. See Stephen I. Vladeck, The Laws of War as a Constitutional Limit on Military Jurisdiction, 4 J. NAT'L SEC. L. & POL'Y 295, 308 (2010) ("[T]hese cases do not just support the conclusion that Congress only has the authority to 'make rules' for individuals in the armed forces; they establish the equally important idea that the validity of military (versus civilian) jurisdiction turns on the inapplicability of the grand- and petit-jury trial rights in Article III and the Fifth and Sixth Amendments.").
b. The Supreme Court Has Conditioned Court-Martial Jurisdiction on a Specific Exception to the Jury-Trial Protections of Article III and the Fifth and Sixth Amendments
In the context of courts-martial, the Supreme Court has relied on the text of the Grand Jury Indictment Clause of the Fifth Amendment, which exempts from
the requirement of presentment or grand jury indictment "cases arising in the land or naval forces, or in the Militia, when in actual service in time of War or public danger." U.S. CONST. amend. V; see, e.g., Johnson v. Sayre, 158 U.S. 109, 115 (1895); Ex parte Reed, 100 U.S. 13 (1879); Dynes v. Hoover, 61 U.S. (20 How.) 65 (1857); Martin v. Mott, 25 U.S. (12 Wheat.) 19 (1827); Houston v. Moore, 18 U.S. (5 Wheat.) 1 (1820); Wise v. Withers, 7 U.S. (3 Cranch) 331 (1806). 5 To that end, when the Supreme Court in Solorio v. United States, 483 U.S. 435 (1987), abandoned the "service connection" test 6 in favor of the proposition that servicemembers may be tried by court-martial for any offense Congress prescribes, that conclusion reflected not just the "natural meaning" of the Make Rules Clause, but also "the Fifth Amendment's exception for 'cases arising in the land or naval forces.'" Id. at 439.
5. Although Justice Marshall has suggested that the "actual service" clause may have meant to modify both prior clauses in the Fifth Amendment (and therefore constrain all military jurisdiction to a "time of War or public danger"), see Solorio v. United States, 483 U.S. 435, 451 n.2 (1987) (Marshall, J., dissenting), the Court has long-since rejected that view, holding that the "actual service" proviso only applies to—and circumscribes military jurisdiction over—the militia, see, e.g., Sayre, 158 U.S. at 115.
6. The Court had articulated the "service connection" test in O'Callahan v. Parker, 395 U.S. 258 (1969), holding that the Constitution only authorized military jurisdiction over servicemembers for offenses directly related to their military service, id. at 272–74.
To be sure, Article III and the Sixth Amendment include no comparable textual exception for trial by petit jury in cases arising in the land and naval forces. Nevertheless, the courts have consistently held that an atextual carve-out to those provisions is necessarily reflected in (and follows from) the text of the Grand Jury Indictment Clause. See, e.g., Johnson v. United States, 700 A.2d 240, 243 (D.C. 1997) ("In cases involving the right to a jury trial, the Supreme Court has never distinguished the claims brought under the Due Process Clause, the Sixth Amendment, and Article III." (citing Callan v. Wilson, 127 U.S. 540 (1888); and Natal v. Louisiana, 139 U.S. 621 (1891))); see also Ex parte Quirin, 317 U.S. 1, 39 (1942) ("The Fifth and Sixth Amendments, while guaranteeing the continuance of certain incidents of trial by jury which Article III, § 2 had left unmentioned, did not enlarge the right to jury trial as it had been established by that Article."). As thenJustice Rehnquist summarized in Middendorf v. Henry, 425 U.S. 25 (1976),
Dicta in Ex parte Milligan said that "the framers of the Constitution, doubtless, meant to limit the right of trial by jury, in the sixth amendment, to those persons who were subject to indictment or presentment in the fifth." In Ex parte Quirin, it was said that "'cases arising in the land or naval forces' . . . are expressly excepted from the Fifth Amendment, and are deemed excepted by implication from the Sixth."
Id. at 33–34 (citations omitted). Because the Supreme Court has thereby assumed that the jury-trial provisions should be read in pari materia, the question of whether court-martial jurisdiction is appropriate has reduced in every case to
whether the dispute "arises in the land or naval forces." And in light of Solorio, in cases involving active-duty servicemembers, the jury-trial question merges with the question of Congress's Article I power; per Chief Justice Rehnquist's analysis, any conduct Congress could validly proscribe through the Make Rules Clause necessarily involves a case "arising in the land or naval forces." In other contexts, however, those questions have remained analytically distinct. 7
c. The Supreme Court Has Conditioned Military Commission Jurisdiction on Implicit Exceptions to the Jury-Trial Protections of Article III and the Fifth and Sixth Amendments
Although the dataset is far smaller, the Supreme Court has followed a similar, bifurcated approach to the constitutional parameters of military commission jurisdiction. Thus, in Ex parte Milligan, 71 U.S. (4 Wall.) 2 (1866), the Court rejected the assertion of military jurisdiction over a civilian accused of plotting to steal Union weapons and liberate Confederate prisoners from Union POW camps. In so holding, the gravamen of the majority's constitutional objection was not that Congress could not proscribe Milligan's substantive conduct in the
7. For example, next month, the Court of Appeals for the Armed Forces will hear argument in an appeal challenging the constitutionality of Article 2(a)(10) of the Uniform Code of Military Justice, which authorizes court-martial jurisdiction over "persons serving with or accompanying an armed force in the field" "[i]n time of declared war or a contingency operation." 10 U.S.C. § 802(a)(10) (emphasis added); see United States v. Ali, 70 M.J. 514 (Army Ct. Crim. App. 2011), review granted, 70 M.J. 418 (Ct. App. Armed Forces to be argued Apr. 5, 2012). The constitutional question in Ali is whether the exercise of military jurisdiction in his case violates the Fifth and Sixth Amendments. See 70 M.J. at 418 (mem.).
abstract, but rather the central role of the jury-trial protections, see, e.g., id. at 123, along with the inapplicability of any exception based on martial rule, since the civilian courts were open and their processes unobstructed, see id. at 127. 8
To whatever extent the Court in Quirin otherwise backtracked from some of its broader pronouncements in Milligan, it again embraced this differentiated approach to the constitutionality of military jurisdiction. Thus, Chief Justice Stone separately addressed whether Congress had in fact validly prohibited the conduct in question and whether the exercise of military—rather than civilian—jurisdiction was appropriate. To the former, the opinion focused on Article 15 of the Articles of War (present-day Article 21 of the UCMJ, 10 U.S.C. § 821). Through that provision, Chief Justice Stone explained,
Congress has explicitly provided, so far as it may constitutionally do so, that military tribunals shall have jurisdiction to try offenders or offenses against the law of war in appropriate cases. Congress, in addition to making rules for the government of our Armed Forces, has thus exercised its authority to define and punish offenses against the law of nations by sanctioning, within constitutional limitations, the jurisdiction of military commissions to try persons for offenses which, according to the rules and precepts of the law of nations, and more particularly the law of war, are cognizable by such tribunals.
8. In his four-Justice concurrence in Milligan, Chief Justice Chase disagreed with the majority as to whether Congress could authorize military commissions in appropriate circumstances, see, e.g., Milligan, 71 U.S. (4 Wall.) at 136–37 (opinion of Chase, C.J.). Nevertheless, the concurring Justices appeared to agree that the reason why President Lincoln could not unilaterally so provide was the jury-trial protections relied upon by the majority, see, e.g., id. at 137.
Id. at 28. In other words, Congress had "incorporated by reference, as within the jurisdiction of military commissions, all offenses which are defined as such by the law of war, and which may constitutionally be included within that jurisdiction." Id. at 30.
Critically, though, the conclusion that Congress had validly exercised its power under the Define and Punish Clause of Article I, see U.S. CONST. art. I, § 8, cl. 10 (empowering Congress "[t]o define and punish . . . Offences against the Law of Nations . . . ."), did not resolve the validity of military jurisdiction over such offenses. Instead, because of Milligan, the Court separately had to assess whether the exercise of military jurisdiction was inconsistent with the Constitution's jurytrial protections:
We may assume, without deciding, that a trial prosecuted before a military commission created by military authority is not one "arising in the land . . . forces," when the accused is not a member of or associated with those forces. But even so, the exception [in the Grand Jury Indictment Clause] cannot be taken to affect those trials before military commissions which are neither within the exception nor within the provisions of Article III, § 2, whose guaranty the Amendments did not enlarge. . . . An express exception from Article III, § 2, and from the Fifth and Sixth Amendments, of trials of petty offenses and of criminal contempts has not been found necessary in order to preserve the traditional practice of trying those offenses without a jury. It is no more so in order to continue the practice of trying, before military tribunals without a jury, offenses committed by enemy belligerents against the law of war.
Id. at 41 (emphasis added; alteration and first omission in original).
Thus, based on a combination of policy considerations and an enigmatic statutory precedent, 9 see Vladeck, supra, at 318 & nn.124–25, the Court in Quirin recognized an exception to the jury-trial provisions for "offenses committed by enemy belligerents against the law of war," an exception the application of which necessarily turned on the Court's separate conclusion that the charged offenses were war crimes. See Quirin, 317 U.S. at 30–38; accord. In re Yamashita, 327 U.S. 1, 7–9 (1946); cf. 10 U.S.C. § 818 ("General courts-martial also have jurisdiction to try any person who by the law of war is subject to trial by a military tribunal and may adjudge any punishment permitted by the law of war.").
Put another way, the constitutionality of the commissions in both Quirin and Yamashita did not turn merely on the fact that Congress had exercised its power under the Define and Punish Clause of Article I; it turned on the separate—but
9. In particular, Quirin relied on an 1806 statute in which Congress had subjected alien spies to military jurisdiction. See 317 U.S. at 41–42. As Chief Justice Stone wrote, "[t]his enactment must be regarded as a contemporary construction of both Article III, § 2, and the Amendments as not foreclosing trial by military tribunals, without a jury, of offenses against the law of war committed by enemies not in or associated with our Armed Forces." Id. at 41.
It is quite clear in retrospect, however, that Quirin was simply incorrect on this point—that whether or not the jury-trial protections include an exception for offenses against the law of war, spying is not such an offense—and was not at the time. See Richard R. Baxter, So-Called "Unprivileged Belligerency": Spies, Guerrillas, and Saboteurs, 28 BRIT. Y.B. INT'L L. 323, 333 (1951). Whether a separate jury-trial exception justifies military jurisdiction over alien spies is therefore a separate question—one not raised in Quirin or here.
equally important—holdings that (1) the Constitution's jury-trial protections do not extend to enemy belligerents charged with international war crimes; and (2) the defendants in those cases were enemy belligerents charged with violating the international laws of war. Because the commissions in both cases therefore properly exercised jurisdiction, there was nothing more for the civilian courts to resolve via collateral habeas corpus review. See, e.g., Yamashita, 327 U.S. at 8 ("[O]n application for habeas corpus we are not concerned with the guilt or innocence of the petitioners. We consider here only the lawful power of the commission to try the petitioner for the offense charged."); cf. Burns v. Wilson, 346 U.S. 137 (1953) (plurality opinion) (expanding the scope of collateral habeas in military cases after Quirin and Yamashita to include whether the military courts "fully and fairly" considered the defendant's claims).
II. NO EXCEPTION TO THE CONSTITUTION'S JURY-TRIAL PROTECTIONS SUPPORTS THE ASSERTION OF MILITARY JURISDICTION IN THIS CASE
As Part I summarized, the constitutionality of the assertion of military jurisdiction in a particular case turns on both Congress's Article I power to define the relevant offense and the inapplicability of the jury-trial protections of Article III and the Fifth and Sixth Amendments. In this Part, amicus turns to why no exception to the jury-trial provisions justifies the assertion of military jurisdiction in this case.
a. The Jury-Trial Provisions Apply To Non-Citizens Not Lawfully Present Within the United States
First, although the government has not made this argument, it bears emphasizing that the Supreme Court has never recognized a categorical exception to the jury-trial protections for non-citizens detained—and tried—outside the territorial United States. Instead, the Court's jurisprudence has largely reflected Justice Kennedy's concurrence in United States v. Verdugo-Urquidez, 494 U.S. 259 (1990), which suggested that the constitutional calculus changes dramatically once the United States affirmatively seeks to prosecute non-citizens for extraterritorial conduct. See, e.g., id. at 278 (Kennedy, J., concurring) ("The United States is prosecuting a foreign national in a court established under Article III, and all of the trial proceedings are governed by the Constitution. All would agree, for instance, that the dictates of the Due Process Clause of the Fifth Amendment protect the defendant."); see also United States v. Tiede, 86 F.R.D. 227 (U.S. Ct. Berlin 1979) (holding that non-citizens tried before a U.S. court in Berlin were entitled to a trial by jury). Thus, whether or not non-citizens detained at Guantánamo may affirmatively invoke constitutional protections in civil proceedings, 10 it necessarily follows that the same considerations govern the
10. This Court has suggested that the Due Process Clause does not apply to the Guantánamo detainees. See Kiyemba v. Obama, 555 F.3d 1022, 1026–27 (D.C. Cir. 2009), vacated and remanded, 130 S. Ct. 1235 (2010) (per curiam), reinstated on remand, 605 F.3d 1046 (D.C. Cir. 2010) (per curiam), cert. denied, 131 S. Ct.
constitutionality of military jurisdiction in this case as those identified in Part I, supra.
Further to that point, in both Quirin and Yamashita, the Supreme Court declined to rest its analysis on the conclusion that the jury-trial provisions categorically did not apply to the defendants, who, with one exception, were noncitizens not lawfully present within the United States at the time of their capture. If the jury-trial provisions simply did not apply to non-citizens not lawfully present within the United States, the implicit law-of-war exception recognized in those cases would have been all-but unnecessary. Thus, the fact that Petitioner is a noncitizen detained outside the territorial United States is of no moment in assessing the applicability of the jury-trial provisions.
b. This Case Does Not "Arise in the Land or Naval Forces"
Nor can it be argued that this case "arises in the land or naval forces," and therefore falls within the textual exception to the jury-trial provisions recognized by the Court in its court-martial jurisprudence. As the cases surveyed in Part I demonstrate, the Supreme Court has taken a literal approach to the scope of this textual exception, holding, for example, that conduct by civilian employees of the
1631 (2011). Nevertheless, no subsequent decision has relied on this holding, and other cases have assumed without deciding that the Fifth Amendment does apply. See, e.g., Kiyemba v. Obama, 561 F.3d 509, 514 n.4 (D.C. Cir. 2009), cert. denied, 130 S. Ct. 1880 (2010).
military and servicemember dependents does not "arise in the land or naval forces" even when it takes place while those individuals are accompanying the armed forces in the field. As Justice Clark explained in Singleton, "If civilian dependents are included in the term 'land and naval Forces' at all, they are subject to the full power granted the Congress therein to create capital as well as noncapital offenses." 361 U.S. at 246; see also Reid, 354 U.S. at 22 (plurality) (construing the Grand Jury Indictment Clause alongside the Make Rules Clause, which "does not encompass persons who cannot fairly be said to be 'in' the military service"). Time and again, the Court has suggested that a case only "arises in the land or naval forces" when the defendant is formally part of those forces. As Chief Justice Stone put it in Quirin, the "objective" of the textual carve-out was "to authorize the trial by court martial of the members of our Armed Forces for all that class of crimes which under the Fifth and Sixth Amendments might otherwise have been deemed triable in the civil courts," 317 U.S. at 43, and nothing more.
The only exception the Court has recognized to this rule has no relevance here. Madsen v. Kinsella, 343 U.S. 341 (1952), sustained the use of a military commission in what was then occupied Germany to try the civilian wife of a servicemember for her husband's murder, in violation of the German Criminal Code. In effect, Madsen upheld the constitutionality of "occupation courts" in circumstances in which no civilian jurisdiction was available, see id. at 356–60,
insinuating (albeit without any analysis) that such courts did not offend the jurytrial protections because cases like Madsen's "ar[ose] in the land or naval forces." See id. at 359 & n.26.
To be sure, Madsen is probably better understood as turning on a distinct aspect of Justice Burton's analysis, i.e., that the U.S. occupation courts were consistent with the laws of war in light of the absence of functioning civil judicial authority, see, e.g., id. at 354–55, especially since the Court's construction of the Fifth Amendment was necessarily overtaken by the Court's subsequent—and narrower—approach in Reid and Singleton. In any event, though, Madsen is inapposite here because the tribunals established by the Military Commissions Acts of 2006 and 2009 are not functioning in this case as "occupation courts." As Justice Stevens summarized in Hamdan v. Rumsfeld, 548 U.S. 557 (2006),
Commissions historically have been used in three situations. First, they have substituted for civilian courts at times and in places where martial law has been declared. . . . Second, commissions have been established to try civilians "as part of a temporary military government over occupied enemy territory or territory regained from an enemy where civilian government cannot and does not function." . . . The third type of commission, convened as an "incident to the conduct of war" when there is a need "to seize and subject to disciplinary measures those enemies who in their attempt to thwart or impede our military effort have violated the law of war," has been described as "utterly different" from the other two.
Id. at 595–96 (citations and footnotes omitted); see also id. at 596–97 ("Not only is its jurisdiction limited to offenses cognizable during time of war, but its role is
primarily a factfinding one—to determine, typically on the battlefield itself, whether the defendant has violated the law of war.").
There is no question that martial law has not been declared here. Similarly, the military commission did not exercise jurisdiction in this case "as part of a temporary military government over occupied enemy territory or territory regained from an enemy where civilian government cannot and does not function." Duncan v. Kahanamoku, 327 U.S. 304, 314 (1946). Thus, the exception to the Grand Jury Indictment Clause for cases "arising in the land or naval forces" does not apply.
c. Petitioner is Not Charged With Offenses Against the International Laws of War
Because this case does not "arise[] in the land or naval forces," the validity of military jurisdiction turns on whether Congress has the Article I power to define the offenses of which Petitioner was convicted and whether an atextual exception to the jury-trial protections applies. Although amicus will not here rehearse the extensive arguments offered by Petitioner in his merits brief or by the international law professors in their brief as amici curiae, suffice it to say that there is a serious question whether the charges pursuant to which Petitioner was convicted are in fact recognized violations of the international laws of war such that they fall within Congress's power to "define and punish . . . Offences against the law of nations." U.S. CONST. art. I, § 8, cl. 10. Indeed, the government conceded in Hamdan that "the offense of providing material support to terrorism has not attained
international recognition at this time as a violation of customary international law." U.S. Hamdan Brief at 55–56; see also id. at 48, 61 (same).
The government has nevertheless maintained that an offense need not be so recognized in order for it to fall within the scope of Congress's power under the Define and Punish Clause, see, e.g., id. at 56, or its other Article I authorities. But whether or not the government is correct on this point (a question on which amicus takes no position), its argument elides the critical distinction to which amicus have repeatedly adverted—between Congress's power to define the offense and the existence of an exception to the jury-trial provisions justifying the assertion of military, rather than civilian, jurisdiction. Even if Congress has the abstract power to decide for itself that particular conduct constitutes a violation of the law of nations for purposes of imposing civilian criminal or civil liability, see, e.g., Beth Stephens, Federalism and Foreign Affairs: Congress's Power To "Define and Punish . . . Offenses Against the Law of Nations," 42 WM. & MARY L. REV. 447 (2000), the exception to the jury-trial protections identified by the Supreme Court in Quirin extends only to offenses committed by enemy belligerents against the international laws of war, see, e.g., Quirin, 317 U.S. at 41; see also Vladeck, supra, at 338 ("Congress may have some leeway to subject less well established offenses . . . to prosecution in the civilian criminal courts, but fundamental principles of American constitutional law . . . compel the conclusion that any
exception justifying trial in a military court be founded on the clearest of precedent.").
That is to say, regardless of whether Congress is entitled to interpretive latitude in prescribing criminal offenses under the Define and Punish Clause, such deference does not extend to a determination that the offenses in question are fit for military adjudication. After all, "[t]he caution that must be exercised in the incremental development of common-law crimes by the judiciary is . . . all the more critical when reviewing developments that stem from military action." Hamdan, 548 U.S. at 602 n.34 (plurality); see also Toth, 350 U.S. at 23 n.22 ("Determining the scope of the constitutional power of Congress to authorize trial by court-martial presents another instance calling for limitation to 'the least possible power adequate to the end proposed.'" (quoting Anderson v. Dunn, 19 U.S. (6 Wheat.) 204, 231 (1821))).
Thus, even assuming arguendo that Congress has the constitutional power to define the offenses here at issue, cf. 18 U.S.C. § 2339B (imposing civilian criminal liability for the provision of material support to designated foreign terrorist organizations), the government's concession that such offenses are not recognized by the international laws of war should be dispositive of its ability to subject them to trial by military commission, at least based on the jury-trial exception recognized in Quirin. See Vladeck, supra, at 337–41.
d. No Jury-Trial Exception Exists for Violations of the "Domestic Common Law of War"
Perhaps in light of this understanding, the government in Hamdan has focused its argument instead on the claim that Congress's power to define the offenses in question derives from the "U.S. common law of war," i.e., "U.S. common law traditionally applied in wartime." U.S. Hamdan Brief at 22. Thus, the government argues, in the MCA, "Congress has codified the longstanding historical practice of the Executive Branch . . . of trying by military commission individuals who join with, and provide aid and assistance to, unprivileged belligerents in the context of an armed conflict against the United States." Id. at 27.
The problems with this argument are three-fold: First, and most significantly, the Supreme Court has never recognized a separate and distinct exception to the jury-trial provisions of Article III and the Fifth and Sixth Amendments for such offenses. Thus, even if the government's Article I argument is therefore on stronger footing, it comes at the expense of the jury-trial exception recognized in Quirin, which was necessarily (and logically) limited to offenses against the international laws of war.
Second, the examples on which the government relies in support of its claim all pre-date the jurisprudence discussed in Part I, supra. Indeed, the government cannot point to a single post-Milligan case (let alone a post-Quirin precedent) in which the federal courts approved the use of military commissions to try offenses
against the "U.S. common law of war." Even in Madsen, the Supreme Court held the jury-trial protections inapplicable to occupation courts not because the authority to convene such tribunals derived from common law (even though, based on the Civil War-era precedents surveyed by the government in its brief in Hamdan, it arguably did), but because of its cryptic conclusion that cases before such courts "ar[ose] in the land or naval forces." See Madsen, 343 U.S. at 359 & n.26.
Third, and finally, as even a cursory review of the Civil War examples marshaled by the government in its Hamdan brief reveals, the evidence of such a common-law practice is itself equivocal. For example, General Halleck's General Order No. 1, as the government's brief notes, authorized commissions only for offenses "not triable by courts-martial and not within the jurisdiction of any existing civilian court." See U.S. Hamdan Brief at 31. In other words, whether these tribunals were trying law-of-war offenses or ordinary municipal crimes was immaterial to their jurisdiction, since they functioned as both law-of-war and occupation courts. See Hamdan, 548 U.S. at 608 (plurality opinion) ("[T]he military commissions convened during the Civil War functioned at once as martial law or military government tribunals and as law-of-war commissions. Accordingly, they regularly tried war crimes and ordinary crimes together." (citation omitted)).
And in any event, the Union Army's prosecutions of guerrillas in military commissions, which, as the government concedes, turned on an allegation that the defendant acted independently of the enemy, see U.S. Hamdan Br. at 35–36, were necessarily undermined by Milligan—at least in those cases in which civilian criminal jurisdiction was available. See 71 U.S. (4 Wall.) at 127.
In short, the Civil War examples relied upon by the government all appear to have involved assertions of military jurisdiction that were either (1) as de facto occupation courts; or (2) overtaken by subsequent events, e.g., Milligan. As Justice Stevens explained in Hamdan, "The Civil War precedents must therefore be considered with caution; as we recognized in Quirin, . . . commissions convened during time of war but under neither martial law nor military government may try only offenses against the law of war." 548 U.S. at 596 n.27 (plurality opinion) (citation omitted). Thus, even if the government's examples unequivocally supported military jurisdiction, such jurisdiction must be reconciled with subsequent case law, including Milligan, Quirin, Toth, Reid, and Singleton.
* * *
The government's brief in Hamdan argues that "Because Congress acted within its constitutional authority in codifying the offense of providing material support to terrorism, and because similar offenses committed in the context of armed conflict have traditionally been tried by military tribunals, the offense is
properly triable by military commission." U.S. Hamdan Brief at 46. For the reasons articulated above, the former contention is necessary but insufficient, and the latter is inapposite. Unless this Court recognizes a new and unprecedented exception to the jury-trial protections of Article III and the Fifth and Sixth Amendments, military commissions may only exercise jurisdiction over cases "arising in the land or naval forces" or offenses committed by enemy belligerents against the international laws of war. As Petitioner, amici curiae international law professors, and we have separately explained, neither scenario is presented here.
CONCLUSION
For the foregoing reasons, amicus respectfully submits that the decision below be reversed, and the Petitioner's conviction vacated for lack of jurisdiction.
Dated: March 16, 2012
/s/ Agnieszka Fryszman AGNIESZKA FRYSZMAN COHEN, MILSTEIN, SELLERS & TOLL, P.L.L.C. 1100 New York Avenue, N.W. West Tower—Suite 500 Washington, DC 20005 (202) 408-4600 firstname.lastname@example.org
STEPHEN I. VLADECK 4801 Massachusetts Avenue, N.W. Room 386 Washington, DC 20016 (202) 274-4241 email@example.com
Counsel forAmicus Curiae
CERTIFICATE OF COMPLIANCE WITH RULE 32(A)
Pursuant to Rule 32(a) of the Federal Rules of Appellate Procedure, the undersigned counsel of record certifies as follows:
1. This brief complies with the type-volume limitation of Fed. R. App. P. 32(a)(7)(B) because:
a. This brief contains 6,987 words, excluding the parts of the brief exempted by Fed. R. App. P. 32(a)(7)(B)(iii).
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a. This brief has been prepared in a proportionally spaced typeface using Microsoft Word 2010 in Times New Roman, 14-point font.
Dated: March 16, 2012
/s/ Agnieszka Fryszman Counsel for Amicus Curiae
CERTIFICATE OF SERVICE
I hereby certify that on March 16, 2012, I caused a true and correct copy of the foregoing to be served on the Court and all parties of record via the Court's CM/ECF electronic filing system. I further caused a true and correct copy to be served by commercial carrier upon the following parties:
MICHEL PARADIS CAPT Mary McCormick, JAGC, U.S. Navy MAJ Todd E. Pierce, JA, U.S. Army 1620 Defense Pentagon Washington, DC 20301
Counsel for Petitioner
LISA O. MONACO Assistant Attorney General for National Security J. BRADFORD WIEGMANN Assistant Attorney General STEVEN M. DUNNE Chief, Appellate Unit JOHN F. DE PUE JEFFREY M. SMITH National Security Division U.S. Department of Justice 950 Pennsylvania Avenue, NW Washington, D.C. 20530
Counsel for Respondent
Dated: March 16, 2012
/s/ Agnieszka Fryszman
Counsel for Amicus Curiae
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SUPREME COURT OF QUEENSLAND
CITATION:
Comptroller-General of Customs v Yip; Comptroller-General of Customs v So; Comptroller-General of Customs v Johal [2016] QCA 339
PARTIES:
In Appeal No 18 of 2016
COMPTROLLER-GENERAL OF CUSTOMS
(applicant)
v
YIP, Lun Shing
(respondent)
In Appeal No 19 of 2016
COMPTROLLER-GENERAL OF CUSTOMS
(applicant)
v
SO, Chi Ho
(respondent)
In Appeal No 20 of 2016
COMPTROLLER-GENERAL OF CUSTOMS
(applicant)
v
JOHAL, Jaspreet Singh
(respondent)
FILE NO/S:
CA No 18 of 2016
CA No 19 of 2016
CA No 20 of 2016
DC No 1655 of 2015
DC No 1656 of 2015
DC No 1657 of 2015
DIVISION:
Court of Appeal
PROCEEDING: Application for Leave s 118 DCA (Criminal)
ORIGINATING
COURT:
District Court at Brisbane – [2015] QDC 334
DELIVERED ON: 16 December 2016
DELIVERED AT: Brisbane
HEARING DATE: 14 October 2016
JUDGES:
Margaret McMurdo P and Fraser and Gotterson JJA Separate reasons for judgment of each member of the Court, each concurring as to the orders made
ORDERS:
In each of CA Nos 18, 19 and 20 of 2016:
1. Grant leave to appeal.
CATCHWORDS:
COUNSEL:
2. Allow the appeal.
3. Set aside the orders made in the District Court on 18 December 2015 and 29 January 2016.
4. Dismiss the appeal to the District Court.
5. The respondent is to pay the costs of the appellant, Comptroller-General of Customs, of the appeal to this Court and of the appeal to the District Court on the standard basis.
TAXES AND DUTIES – CUSTOMS AND EXCISE – GENERALLY – INTERPRETATION OF CUSTOMS AND EXCISE LEGISLATION – where the respondents each intentionally failed to declare jewellery and Rolex watches attempting to evade payment of duty after arriving in Brisbane from Hong Kong – where the undeclared jewellery and watches were seized – where the magistrate ordered fines and, in addition, an order for condemnation under s 205D(3) of the Customs Act – where, on appeal, the judge of the District Court concluded that the magistrate failed to give adequate reasons – where the District Court judge, in finding legal error, proceeded on the footing that s 205D(3)(c) reposed in the court a discretion and that it fell to him to exercise the discretion afresh and concluded that a condemnation order ought to be made with respect to the undeclared jewellery but not the watches – where the applicant alleges that the judge of the District Court erred in law in his characterisation of s 205D(3) – whether such a characterisation was infected by legal error
Customs Act 1901 (Cth), s 203, s 203A, s 205A, s 205B, s 205C, s 205D, s 205G, s 229, s 239
Burton v Honan(1952) 86 CLR 169; [1952] HCA 30, cited
L Vogel & Son Pty Ltd v Anderson(1968) 120 CLR 157;
[1968] HCA 90, cited
R v Weller (1988) 37 A Crim R 349, cited
So & Ors v Comptroller-General of Customs [2015] QDC 334, overruled
Whim Creek Consolidated NL v Colgan (1991) 31 FCR 469; [1991] FCA 467, cited
E S Wilson QC, with C K Copley, for the applicant J Hunter QC, with A Braithwaite, for the respondents
SOLICITORS:
Australian Government Solicitor for the applicant Russo Lawyers for the respondents
[1] MARGARET McMURDO P: I agree with Gotterson JA's reasons for granting leave to appeal, allowing the appeal, setting aside the orders below and, instead, dismissing the appeal to the District Court.
[2] This case concerns the construction of s 205D(3)(c)(ii) Customs Act 1901 (Cth) 1 and whether the District Court judge erred in setting aside the Magistrate's order for condemnation of the goods. It is uncontentious that s 205D(3)(a) and (b) were met. The phrase "in all the circumstances of the case" in s 205D(3)(c)(ii) must be construed in light of the long-established meaning of forfeiture and condemnation under the law relating to customs, as discussed by Gotterson JA at [48] – [52]. The phrase ordinarily has a broad meaning but in this legislative context its meaning is very narrow. Gotterson JA has given one example of a relevant circumstance under s 205D(3)(c)(ii) at [54]. Another example is where an innocent third party has an honest claim to the seized goods, for example, the importer has stolen them from the third party. What is clear is that the District Court judge erred in taking into account as relevant "circumstances of the case" under s 205D(3)(c)(ii) the respondents' intention not to sell the goods but merely to show them off; that no duty was payable on the Rolex watches; the potential effect of forfeiture on the respondents' employment; the disparity between the duty payable and the value of the goods; and the penalties imposed.
[3]
This is a harsh result for the respondents. But that is and has long been the effect of customs laws which are deliberately drafted to deter those who would evade the duties and taxes upon which the Commonwealth relies to fund the running of the nation.
[4] I agree with the orders proposed by Gotterson JA.
[5] FRASER JA: I have had the advantage of reading the reasons for judgment of Gotterson JA. I agree with those reasons and with the orders proposed by his Honour.
[6] GOTTERSON JA: Each of Lun Shing Yip, Chi Ho So and Jespreet Singh Johal is a respondent to separate appeals which the Comptroller-General of Customs desires to institute. The appeals are against orders made by a judge of the District Court at Brisbane on 18 December 2015 in three separate proceedings before him. Those proceedings were by way of appeal pursuant to s 222 of the Justices Act 1886 (Qld) from orders made by a magistrate at Brisbane on 22 April 2015 in separate proceedings brought by the Comptroller-General against the current respondents.
Circumstances of the respondents' offending
[7] The respondents arrived at Brisbane on 7 April 2015 on a flight from Hong Kong. They declared certain jewellery on a Carnet 2 which caters for the temporary importation of goods, without duties or taxes, pending their re-exportation. 3 However, the respondents concealed, and failed to declare, some 944 jewellery items 4 and four Rolex watches.
[8] The respondents made certain false written statements on incoming passenger cards. These statements were false by omission to refer to the undeclared jewellery and Rolex watches. 5 They also made certain false oral statements to Customs officers. They told officers falsely that there was no jewellery in their bags that was not listed on the Carnet; that empty watch boxes they were bringing with them were for display; and that they were not bringing in any watches. 6
1 Set out in Gotterson JA's reasons at [13].
2 AB95-107. Some 513 jewellery items were listed on the Carnet.
3 Statement of Facts paras 1-5; AB74.
4 Listed at AB108-128.
5 Statement of Facts para 3. The respondents answered question 3 on their incoming passenger cards "No". This question asked if they were bringing into Australia goods obtained overseas with a combined total price of more than AUD900.
6 Ibid paras 11-13; AB75. On examination, one Rolex watch was found in a computer bag and then Mr So produced three Rolex watches from a jacket pocket: paras 14, 15.
[9] The undeclared jewellery and Rolex watches, once identified, were seized by Customs officers on 20 April 2015 under a seizure warrant as reasonably suspected of being forfeited goods. 7 The value of the jewellery items was $134,848.93 and that of the Rolex watches, $59,270. The duty payable on the jewellery was $6,742.45 whereas no duty was payable on the Rolex watches.
The Magistrates Court proceedings and orders
[10] On 21 April 2015, each respondent pleaded guilty to the following summarilycharged offences:
- on 7 April 2015 intentionally making a written statement to an officer of Customs reckless as to the fact that the statement was false in a material particular, in contravention of s 234(1)(d)(i) of the Customs Act 1901 (Cth);
- on 7 April 2015 intentionally making an oral statement to an officer of Customs reckless as to the fact that the statement was false in a material particular, in contravention of s 234(1)(d)(i) of the Customs Act; and
- on 7 April 2015 attempting to evade payment of the duty payable on 944 articles of jewellery and parts thereof of precious metal or of metal clad with precious metal, in contravention of s 234(1)(a) of the Customs Act.
[11] Prior to the commencement of the hearing, the respondents had been served that day with seizure notices for the undeclared jewellery items and watches. They immediately made claims in writing for return of those goods from Customs officers. 8
[12] A penalty hearing took place after the pleas of guilty were taken. On the following day, the magistrate made orders that:
(i) each respondent be fined $13,484.90 for the attempted evasion offence – this amount was twice the duty payable on the undeclared jewellery items and the minimum fine that could have been imposed;
(ii) the respondent, Mr So, be fined $1,250 in respect of each false statement offence and that the other respondents each be fined $750 in respect of each of those offences – the difference was to reflect "the difference in criminal responsibility and culpability and the slightly different roles"; 9 and
(iii) each respondent pay costs in the amount of $737.50.
[13] Section 205D(3) of the Customs Act provides:
"(3) If:
(a) goods seized otherwise than as special forfeited goods have not been dealt with under section 206; and
(b) proceedings of the kind referred to in paragraph (2)(b) or (c) are commenced in respect of an offence involving the goods; and
7 The warrant was issued under s 203 of the Customs Act.
8 AB29 ll27-30.
9 AB63 ll18-19.
(c) on completion of the proceedings, the court:
(i) finds that the offence is proved; and
(ii) is satisfied, in all the circumstances of the case, that it is appropriate that an order be made for condemnation of the goods as forfeited to the Crown;
the court must make an order to that effect."
(It is common ground that the undeclared jewellery items and watches were not seized as special forfeited goods and that they were not dealt with under s 206. It is also common ground that the proceedings in which the respondents pleaded guilty were proceedings of the kind referred to in s 205D(2)(b) and that they were in respect of offences involving the undeclared jewellery items and watches.)
[14] At the hearing, the magistrate had been asked by the Comptroller-General to make an order under s 205D(3) of the Customs Act for condemnation of the undeclared jewellery items and Rolex watches as forfeited to the Crown, in addition to the fines. A condemnation order to that effect was made. The magistrate gave the following reasons for making it:
"As to the condemnation order, I've considered the provisions in section 239 and section 205D, subsection (3) of the Act. I've also considered the other provisions in the Act about concealed dutiable goods. I have considered the facts of the matters. It seems to me that is what I must squarely consider in determining whether to make a condemnation order and not, as was submitted on your behalf, to consider the penalty otherwise imposed.
I note, in any event, the obligation to pay customs duty is upon the owner of the goods, which actually applies to you men, having regard to the provision in section 4. Having regard to the fact that you were conversant with your obligations to declare and the fact that some jewellery was declared but this jewellery and watches were not, you lied and denied responsibility such that a thorough search had to be undertaken and the amount of duty you attempted to evade was significant, I do consider it appropriate and I will make the order sought to be made." 10
The appeals to the District Court and orders made
[15] On 23 April 2015, each of the respondents appealed to the District Court against the condemnation order made against him. The judge who heard the appeals concluded that the magistrate had failed to give adequate reasons for making the orders. 11 According to his Honour, the magistrate had "failed to refer to the following important circumstances relied on by the appellants' solicitor:
(a) the fact that the intention was not to sell the goods but merely to show them off;
(b) the fact that no duty was payable on the watches;
10 AB65 ll14-27.
11 Reasons [71]; AB278.
(c) the potential effect of forfeiture on their employment;
(d) [t]he disparity between the duty payable and the value of the goods." 12
[16] Furthermore, his Honour was of the view that the magistrate ought to have specifically taken into account the penalties imposed by way of fines in considering whether to make the condemnation orders. 13 This he had not done.
[17] His Honour concluded that the orders below were infected by legal error. He proceeded on the footing that s 205D(3)(c) reposed in the court a discretion and that it fell to him to exercise the discretion afresh. 14
[18] Significantly, his Honour considered that the expression "in all the circumstances of the case" in the section envisaged that the range of circumstances that might be considered in exercising this discretion was a wide one. 15 The penalty imposed was one of them. 16 In addition to the matters he listed as not having been considered by the magistrate, such circumstances would, he thought, include public interest based considerations such as the notorious difficulty in detecting Customs offences, the "porous nature" of Australia's borders, general deterrence and the benefit to the administration of justice in cooperation and pleas of guilty. 17
[19] His Honour concluded that a condemnation order ought to be made in the case of the jewellery but not in the case of the watches. He reasoned to that conclusion in the following way:
"[123] In conclusion my determination is to allow for condemnation of the jewellery but not the watches. In reaching this conclusion I have taken into account the matters mentioned above.
[124] With respect of the jewellery, in particular, it seems to me that the factors in favour of condemnation are that it was of a high value, the amount of duty attempted to be evaded was significant, there was deliberate dishonesty on the part of each of the appellants, it is important that Australia protect its Customs interests, the offences are very difficult to detect and the appellants well knew they were evading duty by engaging in this deception.
[125] On the other hand, it is my determination that the watches not be forfeited. Firstly, even though the watches were referred to in the particulars of charge 1, they were not referred to in charge one obviously enough because no duty was payable. It seems to me that a significant factor to be taken into account was that no duty was payable. Secondly, I also take into account the stated intention in bring the watches into the country. 18
12 Ibid.
13 Reasons [83], [85]; AB280.
14 Ibid.
15 Reasons [114]; AB290; also at [83]; AB280.
16 Reasons [115]; AB290; also at [83]; AB280.
17 Reasons [116], [118]-[122]; AB290.
18 That is the stated intention which was to show them to solicit orders: Reasons [21]; AB271.
[126] As I noted earlier even though the penalty was the minimum on charge 1 it was still a significant sum – two times the duty payable on the jewellery and six times when one considers all appellants.
[127] In those circumstances, in the exercise of the Court's discretion I have determined that no condemnation order should be made regarding the watches." 19
[20] Orders were made on 18 December 2015 in each appeal allowing the appeal, varying the condemnation order by removing the four Rolex watches, but otherwise confirming the condemnation order. Later, on 29 January 2016, orders were made that the Comptroller-General pay costs of $3,000 in each appeal within 30 days. On the same day, his Honour ordered that the costs order be stayed pending the determination of the applications to which I now turn. 20
The applications for leave to appeal to this Court
[21] On 18 January 2016, the Comptroller-General filed applications for leave to appeal to this Court pursuant to s 118(3) of the District Court of Queensland Act 1967 (Qld) against the orders made by the District Court judge on 18 December 2015. 21 These applications are pursued. On 19 January 2016, the respondents filed their own applications for leave to appeal against the same orders. 22 Those applications were abandoned at the hearing of the Comptroller-General's applications on 14 October 2016.
[22] Before setting out the grounds on which each application is based, I propose to refer to certain other provisions of the Customs Act. I do so in order to give legislative context for consideration of the issues of interpretation of s 205D(3) to which those grounds give rise.
Legislative context
[23] The term "forfeited goods" is defined for the purposes of Part XII Division 1 of the Customs Act (ss 183UA-218A inclusive) to mean goods described as forfeited to the Crown under a number of sections of that Act and of the Commerce (Trade Descriptions) Act 1905 (Cth). One of the sections mentioned in the definition is s 229 in Part XIII of the Customs Act.
[24] Section 229(1) of the Customs Act provides that "the following goods shall be forfeited to the Crown". There follows a lengthy list of differently described categories of goods. It is unnecessary to set them out. 23 It is uncontentious here that the undeclared jewellery items and watches fell within at least one of the categories mentioned and were forfeited to the Crown by operation of s 229(1). 24
19 AB291.
20 AB360.
21 AB361-362; 363-364; 365-366.
22 AB367-368; 369-370; 371-372. These applications sought to have the condemnation orders set aside. 23 The list includes unlawfully imported goods (paragraph (a)) and dutiable goods concealed in any manner (paragraph (o)). The undeclared jewellery items and watches were unlawfully imported goods by virtue of the false statements made with respect to their importation. Dutiable goods include all goods in respect of which any duty of Customs is payable: s 4. As goods imported into Australia, duties of Customs were imposed on these jewellery items and watches at the applicable prescribed rates: Customs Tariff Act 1995 (Cth) ("Tariff Act") ss 15, 16. The prescribed rate of duty for the jewellery was five per cent of value and for the watches it was "Free": Tariff Act Schedule 3; s 10(1). The undeclared jewellery items were clearly dutiable goods. Arguably, the undeclared watches were not. 24 Respondent's Outline of Submissions, para 5.
[25] Section 203(1) of the Customs Act 25 authorises a judicial officer to issue a warrant to seize goods on particular premises if satisfied by information on oath, firstly, that an authorised person has reasonable grounds for suspecting that the goods are forfeited goods and are or will, within the next 72 hours, be on the premises and, secondly, that an authorised person has demonstrated the necessity, in all the circumstances, for seizure of the goods. Once a warrant is issued, s 203A authorises seizure of the goods concerned. There is no issue in this case that the undeclared jewellery items and watches were lawfully seized under a validly issued warrant.
[26] Part XII Division 1 Subdivision G of the Customs Act (ss 203SA-s 209A) is concerned with dealing with goods seized as forfeited goods. Section 205(1) therein requires service on the owner of goods of a seizure notice setting out the matters listed in s 205A. The seizure notice must be served within seven days after the seizure. Section 205B of the Customs Act permits a person whose goods are seized under a seizure warrant to make a claim in writing for the return of the goods. As noted, a seizure notice was duly served and a claim for return was duly made in this case.
[27] Section 205C thereof relates to the treatment of goods seized if no claim for return is made. It has no application for the present case. Section 205D, however, is concerned with the circumstance where a claim for return is made in respect of goods seized.
[28] Section 205D(1) states the circumstances that must exist for the section to apply. Relevantly for present purposes, they are that goods are seized under a seizure warrant, a claim for return may be made under s 205B in respect of them; and, within the 30 day period immediately following service of the seizure notice, a claim for return of the goods is made. These circumstances were satisfied in this case.
[29] Section 205D(2) relevantly provides that the authorised person who seized the goods must return them unless, not later than 120 days after the claim for their return is made, proceedings in respect of an offence involving the goods have been commenced and, on completion of the proceedings, a court has made an order for condemnation of the goods as forfeited to the Crown. 26 Thus, a condemnation order made at the completion of the proceedings in respect of the undeclared jewellery items and watches would relieve the authorised person from a statutory obligation to return them. Such an order was made by the magistrate under s 205D(3), the terms of which are set out above.
[30] Sections 205D(4) and (5) deal with goods seized as special forfeited goods. Such goods include narcotics and prohibited imports. 27 It is common ground that the undeclared jewellery items and watches were not special forfeited goods. Whilst these provisions therefore have no application to the seized goods here, it is noteworthy that they are structured differently from s 205D(3) in certain respects. Under these provisions, the court must order condemnation if offence proceedings involving goods seized as special forfeited goods are commenced and if, on a completion of the proceedings, the court is satisfied that the goods are special forfeited goods. The order must be made whether or not the court finds the offence approved.
[31] Section 205G of the Customs Act legislates for the effect of forfeiture. It does so in the following terms:
25 In Part XII Division 1 Subdivision D thereof.
26 Paragraph (b).
27 See definition: s 183UA.
"Where goods are, or are taken to be, condemned as forfeited to the Crown, the title to the goods immediately vests in the Commonwealth to the exclusion of all other interests in the goods, and the title cannot be called into question."
The vesting of title to the exclusion of all other interests ensures that the Commonwealth may subsequently dispose of the goods by conveying a title to them which is free of such other interests.
[32] It remains to mention s 239 in Part XIII of the Customs Act. It provides that all penalties shall be in addition to any forfeiture.
The grounds of the application
[33] The grounds on which the application is based are the same in each case. They are:
"a) The learned judge erred in law, when considering s 205D(3) of the Customs Act 1901, in deciding that 'all the circumstances of the case' was to be characterised widely.
b) The learned judge erred in law, when considering s 205D(3) of the Customs Act 1901, in failing to decide that 'all the circumstances of the case' was to be characterised narrowly, including in accordance with relevant authority.
c) The learned judge erred in law, when considering s 205D(3) of the Customs Act 1901, in deciding that 'all the circumstances of the case' could include, inter alia, the imposition of penalty." 28
[34] It is submitted in each application that leave to appeal to this Court ought to be granted because the appeal involves important questions of law and that leave is necessary to correct a substantial injustice to the applicant Comptroller-General.
The applicant's submissions
[35] The grounds stated in the applications contend that the District Court judge erred in two principal respects. Firstly, he erred as to the scope of the expression "in all the circumstances of the case" in s 205D(3)(c)(ii). 29 Secondly, and relatedly, he erred in concluding that the imposition of a penalty by way of the monetary fines was a circumstance for the purposes of the expression. 30
[36] In written and oral submissions, counsel for the applicant elaborated upon the first error by challenging his Honour's approach of treating s 205D(3)(c) as a provision which confers a discretion. The applicant submits that it does not. The provision requires the court to decide whether it is satisfied that it is appropriate in all the circumstances that a condemnation order be made for the seized goods. If the court is so satisfied, then the provision mandates that it must make the order. No discretionary judgment is involved in deciding the issue on which the court is to be satisfied, nor in making the condemnation order if it is satisfied that such an order is appropriate.
[37] The applicant submitted that the scope of circumstances relevant to satisfaction is a narrow one. They are circumstances relevant to whether the seized goods in question
28 AB362, 364, 366.
29 Grounds (a) and (b).
30 Ground (c).
have been forfeited to the Crown such that the title to the goods which vested in the Crown upon forfeiture is one that is apt to be vested against all other interests by a judgment of the court in rem by way of condemnation.
[38] It was urged for the applicant that when used in s 205D and associated provisions, the words forfeiture and condemnation have the meanings which had been traditionally attributed to them in the law of Customs and that, so interpreted, those words in context implied a narrow scope for the expression in question. There is no indication, it is submitted, in the terms of s 205D, in the legislation which enacted it, 31 or in the extrinsic material, of an intention that those meanings were to be displaced.
[39] So construed, a penalty imposed for the offence is not a relevant circumstance. His Honour's reasoning that because forfeiture "may be considered on the question of penalty, there is no reason why the reverse cannot apply, ie the penalty may be considered on the forfeiture application" 32 is flawed. Moreover, to have regard to the circumstances of the offending relevant to penalty in applying s 205D(3) would have the effect of coalescing condemnation and penalty in disregard for the express provision in s 239 that penalties are in addition to any forfeiture.
Respondents' submissions
[40] The respondents submit that s 205D(3)(c)(ii) clearly confers an exercisable discretion on the court. The combination of the phrases "in all the circumstances of the case" and "it is appropriate" as to whether condemnation should be made can only mean that the court has a discretion to consider any relevant fact of the case in determining whether title to seized goods ought to be "transferred" to the Crown. 33
[41] This submission contends that title to forfeited goods "does not vest in the Commonwealth" until an order for condemnation is made under s 205D. 34
[42] The respondents' reject the notion that traditional concepts of forfeiture and condemnation influence the meaning and application of s 205D(3). This provision was enacted in these terms in 1995 concurrently with the repeal of s 262 of the Customs Act which had provided that where the committal of any offence causes a forfeiture of any goods, the conviction of any person for such offence shall have effect as a condemnation of the goods in respect of which the offence is committed.
[43] The respondents submit that "no amount of statutory construction gymnastics or examination of the history of seized goods being condemned to the Crown can avoid what is… a clear legislative intent to vest discretion in the court". 35
[44] The matters taken into account by his Honour in paragraphs 113 to 122 of the reasons for judgment were properly taken into account in determining whether he was satisfied that a condemnation order was appropriate. Specifically, it was open to him to have regard to penalty. To preclude reliance upon penalty would have required enactment in specific terms as, for example, in s 320 of the Proceeds of Crime Act 2002 (Cth).
Discussion
[45] Substantial amendments were made to Part XII Division 1 of the Customs Act in 1995. 36 They included the repeal of certain provisions and the enactment of Division 1
31 Customs, Excise and Bounty Legislation Amendment Act 1995 (Cth), Schedule 4.
32 Reasons [83]: AB280.
33 Respondents' Outline, paragraph 12.
34 Ibid, paragraph 6.
35 Ibid, paragraph 10.
36 Customs, Excise and Bounty Legislation Amendment Act 1995 (Cth), Schedule 4.
provisions, particularly those in subdivisions beginning D and G thereof to which I have referred. 37 Some of these provisions have themselves been amended since enactment.
[46] The amendments made in 1995 were enacted in legislation which had, since 1901, employed the concepts of forfeiture and condemnation. The amendments themselves used those concepts and, significantly, they did not attribute to them a different meaning or connotation that departed from the meanings historically attributed to them. To the contrary, the terms in which s 205G was enacted reflect the historical meaning of condemnation. 38
[47] In light of these legislative features, I consider it appropriate to have regard to the established meanings of forfeiture and condemnation in order to interpret s 205D(3). I now turn to those meanings.
[48] The meanings of "forfeiture" and "condemnation": Writing in 1904, the learned author, Dr H N P Wollaston said:
"The forfeiture is the statutory transfer or right to the goods at the time the offence is committed. The title of the Crown to the goods forfeited is not consummated until after judicial conviction for a breach of the Act, but the right to them relates backwards to the time the offence was committed." 39
[49] Later, in 1952, Dixon CJ (with whom McTiernan, Webb and Kitto JJ agreed) explained the two concepts in Burton v Honan. 40 His Honour noted 41 that s 229 provided that the goods to which it referred, shall be "forfeited" to the Crown and that s 262 was in the terms to which I have referred. He then proceeded to explain forfeiture in the following way:
"On authority it is clear that under the provisions of s 229, provided the facts exist which justify a forfeiture, the title to the goods vests in the Crown when the forfeiture takes place in consequence of the occurrence of the facts. No further proceedings are requisite to make title, although of course further proceedings may be necessary either to vindicate the title of the Crown or to exclude the claim of some person asserting a right to the goods." 42 (emphasis supplied)
[50] I infer that the Crown of which Dixon CJ, and before him, Dr Wollaston, spoke, is the Crown in the right of the Commonwealth. Consistently with that, s 205G speaks explicitly of title to forfeited goods vesting in the Commonwealth.
37 The Division 1 amendments incorporated a recommendation of the Conroy Report published in December 1993 that, except in the case of prohibited goods, a Customs officer need obtain the sanction of a magistrate or judge in order to seize goods believed to be forfeited goods: Recommendation 6.26. The recommendation is reflected in the warrant requirement for seizure for goods other than special forfeited goods: ss 203B, 203C.
38 Replacement Explanatory Memorandum for the Customs, Excise and Bounty Legislation Amendment Bill 1995 explained that the new s 205G "merely states the case law on the effect of the condemnation of forfeited goods": para 296.
39 Customs Law and Regulations at p132.
40 (1952) 86 CLR 169.
41 At 175-176. Section 229 continues so to provide.
42 At 176.
[51] It is evident that Dixon CJ regarded condemnation as a process by which the Crown's title to goods which had vested on forfeiture, was vindicated by court order. His Honour observed that s 262 introduced the novel concept that a conviction should have effect as a condemnation, explaining that its purpose was to make the conviction of the offender decisive on all matters of fact upon which the forfeiture of the goods depended. 43
[52] The concept of forfeiture as following directly from the existence of facts falling within s 229 of the Customs Act has been frequently endorsed judicially. 44 A notable example is in the decision of the Full Court of the Federal Court of Australia in Whim Creek Consolidated NL v Colgan. 45 In that case, O'Loughlin J (with whom Spender and French JJ agreed) distinguished the act of seizure from forfeiture 46 and went on to state that "the term 'condemnation' refers not to a proceeding which has the effect of vesting title in the Crown, but to a proceeding which determines that upon some cause previously arising title had vested in the Crown". 47 It is noteworthy that the two concepts of immediate forfeiture and subsequent condemnation were historically recognised in the United Kingdom. 48
[53] The interpretation of s 205D(3)(c): When these meanings are applied to s 205D(3)(c), there is, in my view, force in the applicant's submission that the matters about which the court is to be satisfied concern the perfection as a title in rem to goods to which title had already vested in the Crown upon forfeiture. The circumstances of the case to which the inquiry as to satisfaction is referenced, are all of those that may have relevance to whether the vested title ought to be perfected by a condemnation order.
[54] On this approach to s 205D(3)(c), the inquiry undertaken by the court would be a relatively narrow one. It would be an inquiry as to whether the court is satisfied that the goods that have been seized are all goods that had been forfeited and that it is therefore appropriate to make a condemnation order in respect of all of them. An instance of where the court would not be so satisfied can be given by the following example. If offence proceedings are commenced involving a large number of goods seized as goods forfeited under s 229 and if, in those proceedings, evidence establishes that several of the items were not the subject of forfeiture, then notwithstanding that the offence is proved in respect of the remaining items, the court could not be satisfied that it was appropriate to make a condemnation order in respect of those several seized items, title to them not having vested in the Crown upon a forfeiture. Those items would then have to be returned to the claimant pursuant to s 205D(2).
[55] By contrast, the relevant inquiry on this approach is not one as to whether title ought, as a matter of discretion, vest, or continue to vest, in the Crown in forfeited goods. Indeed, the absence of any provision in s 205D or elsewhere in the Act expressly empowering the court to deprive the Crown of title that vested on forfeiture is apt to suggest that such an inquiry was not envisaged by the Parliament.
43 At 179. Section 262 was repealed by the 1995 amendments. The condemnation upon conviction concept in it was replaced with provisions, including those in s 205D, for condemnation by order of the court.
44 See, for example Frost v Collector of Customs (1985) 9 FCR 174 at 184 per Wilcox J; Pearce v Button (1986) 8 FCR 408 at 410 per Fox J; Sandery v Commissioner of Police (1986) 65 ALR 181 at 184 per Jackson J.
45 (1991) 31 FCR 469 at 477.
46 Ibid.
47 At 477-478, citing Bert Needham Automotive Co Pty Ltd v Commissioner of Taxation (Cth) (1976) 26 FLR 108 at 114 per Rath J.
48 De Keyser v British Railway Traffic and Electric Co Ltd [1936] 1 KB 224.
[56] The question that arises in this appeal is whether the interpretation of s 205D(3)(c) is to be controlled by the historically established meanings given to the concepts of forfeiture and condemnation. I would accept that the expression "in all the circumstances of the case" in paragraph (c), taken on its own, is apt to suggest some wide-ranging enquiry. Building on that, the reader might infer that some such enquiry is to be undertaken to underpin the exercise of a broad discretion as to whether the Crown should have, or continue to have, title to the goods that have been seized.
[57] Such a reading of the provision is the one that the respondents endorse. It is, however, a reading that pays little, if any, regard for the established meanings to which I have referred, notwithstanding the absence of any indication of legislative intent to depart from those meanings. Moreover, insofar as the respondents' submission contends that title to forfeited goods does not vest in the Crown until a condemnation order is made, it is without authority and unsustainable in light of the Australian authorities to which I have referred.
[58] To my mind, there are additional reasons why the provision ought not be interpreted as reposing such a discretion in the court. Firstly, paragraph (c) does not employ the language of discretion. The court must make the condemnation order if it is satisfied as to the specified matter.
[59] Secondly, the specified matter is that, in all the circumstances of the case, it is appropriate for a condemnation order to be made in respect of the seized goods. The word "appropriate" is not a legal term with an ascertained meaning in a legal context. In ordinary parlance, it means "suitable or fitting for a particular purpose". 49 It is not a synonym for words such as "just", "fair" or even "reasonable", each of which is apt to convey a sense of discretionary judgment in which relevant facts or circumstances are to be balanced in order to arrive at a just, fair or reasonable outcome.
[60] Thirdly, paragraph (c) gives no guidance as to what would, or would not, render it fair, just or reasonable that, in effect, the Crown's title to forfeited goods be affirmed or that the Crown be deprived of the title to them. In the absence of guidance on such a significant topic, it is, I think, unlikely that Parliament intended to confer a discretion of the kind suggested by the respondents.
[61] For these reasons, I would reject the interpretation of s 205D(3)(c) for which the respondents contend.
[62] I would mention that I have not overlooked the following statement in the Replacement Explanatory Memorandum for the Customs Excise and Bounty Legislation Amendment Bill 1995:
"283. If proceedings for an offence are brought under new paragraphs 2(b) or (c) and the offence proved, a court may order that the goods are condemned as forfeited to the Crown if the court is satisfied that to do so is appropriate (new subsection (3) refers)."
The use of the word "may" here is apt to confuse. Firstly, it misrepresents the clause in the Bill that became s 205D(3). Under the enacted provision, the court must order condemnation if it is satisfied that it is appropriate to do so. Secondly, to the extent that it might be ventured that the word is meant to imply an intended discretion, its use for that purpose is problematic. It is just as likely that the word was meant to
indicate that a condemnation order is an outcome that is open to occur, and will occur if the requisite satisfaction is reached.
[63] I would also note that the absence of a provision in terms similar to paragraph (c) in s 205D(3) from ss 205D(4) and (5) is explicable by the dual circumstances that, firstly, in neither is the requirement to order condemnation dependent upon proof of an offence and, secondly, in each, the requirement is dependent upon the court being satisfied that the goods that were seized are special forfeited goods. In my view, this feature of 205D is not an indicator that paragraph (c) was intended to enact a broad discretion.
[64] Penalty: On the interpretation of s 205D(3)(c) which I favour, neither the fact that a penalty is imposed for the offence proved nor the amount of such a penalty would be a circumstance relevant to the matter about which the court is to be satisfied.
[65] I would add that even if a different interpretation which attributed some measure of discretion to s 205D(3)(c) were adopted, I would not regard either of those factors as a relevant circumstance. I am influenced to that view by several reasons.
[66] Firstly, to have regard to either factor would, in my view, at least erode, if not contradict, the statutory injunction in s 239 of the Act that all penalties shall be in addition to forfeiture. This provision operates upon a premise that there will be a forfeiture of goods when a statutory fact or circumstance for forfeiture has occurred. Penalties, which are imposed at a later time, are additional. The forfeiture is not abrogated or moderated because there is a subsequent imposition of a penalty or because of its amount.
[67] Secondly, to have regard to those factors would undermine the policy considerations which inform the sanctioning of Customs offending by both forfeiture and penalty. These considerations were explained by Kitto J in the frequently cited passage from his judgment in L Vogel & Son Pty Ltd v Anderson. 50 His Honour observed:
"…but the offences are in a field in which punishments for deliberate offences must be severe. The Customs laws represent the judgment of Parliament upon an important aspect of the economic organization of the community, and the object of the penal provisions is to make that judgment as effective as possible. It is important to remember that Customs officers have of practical necessity to rely extensively upon the information supplied to them by importers, for the flow of commerce could not be maintained if every importation had to be fully investigated. Moreover, detection of frauds is not always easy. No doubt ordinary conceptions of honesty and of civic responsibility suffice to ensure a great deal of fair dealing with the Customs, but for some people little seems to matter but fear of the consequences of discovery. The Customs Act makes those consequences potentially drastic. It is for the courts to make them, in suitable cases, drastic in fact, for otherwise traders who are not saved by qualms of conscience from willingness to defraud their fellow citizens may weigh the profits they hope for against the penalties they have cause to fear and find the gamble worthwhile."
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[68] Thirdly, and related to the first reason, that the amount of penalty may be fixed by a court having regard to forfeiture, as was acknowledged by the Full Court of the Supreme Court of South Australia in R v Weller, 51 does not imply a reciprocal relationship between penalty and forfeiture such that forfeiture or subsequent condemnation are to be influenced by the imposition of a penalty or its amount. Certainly, the decision in Weller is not to that effect.
[69] For all these reasons, I would reject the conclusion of the judge below that penalty is relevant to the matter about which the court is to be satisfied under s 205D(3)(c).
Disposition
[70] The applicant has established error in that conclusion and in the view taken by his Honour that, properly construed, s 205D(3)(c) reposes a broad discretion in the court. These are errors of law. Given that the interpretation of a provision in Commonwealth legislation concerning the jurisdiction of courts is involved, the errors concern matters of general importance. Leave to appeal ought therefore be granted.
[71] The appeal should be allowed and the orders made in the District Court, including the costs order, set aside. The effect of that would be to leave extant the condemnation order made in the Magistrates Court. Whilst the magistrate's consideration of s 205D(3) focused upon whether penalty was to be considered, the factual matters before him did not disclose any circumstance or circumstances which, upon a proper application of s 205D(3)(c), ought to have caused him not to have been satisfied that it was appropriate that an order for condemnation be made in respect of all of the seized goods, including the four Rolex watches. In these circumstances, the condemnation order made by the magistrate ought to be affirmed.
Orders
[72] I would propose the following orders in each appeal:
1. Grant leave to appeal.
2. Allow the appeal.
3. Set aside the orders made in the District Court on 18 December 2015 and 29 January 2016.
4. Dismiss the appeal to the District Court.
5. The respondent is to pay the costs of the appellant, Comptroller-General of Customs, of the appeal to this Court and of the appeal to the District Court on the standard basis.
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GEORGIA 2008, UKRAINE 2014: IS MOLDOVA NEXT?
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Briefing of the Commission on Security and Cooperation in Europe
Washington: 2015
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Commission on Security and Cooperation in Europe
234 Ford House Office Building Washington, DC 20515 202–225–1901 email@example.com http://www.csce.gov
Legislative Branch Commissioners
SENATE BENJAMIN L. CARDIN, MARYLAND, Chairman SHELDON WHITEHOUSE, RHODE ISLAND TOM UDALL, NEW MEXICO JEANNE SHAHEEN, NEW HAMPSHIRE RICHARD BLUMENTHAL, CONNECTICUT ROGER WICKER, MISSISSIPPI SAXBY CHAMBLISS, GEORGIA JOHN BOOZMAN, ARKANSAS
HOUSE CHRISTOPHER SMITH, NEW JERSEY Co-Chairman JOSEPH PITTS, PENNSYLVANIA ROBERT ADERHOLT, ALABAMA PHIL GINGREY, GEORGIA MICHAEL BURGESS, TEXAS ALCEE HASTINGS, FLORIDA LOUISE MCINTOSH SLAUGHTER, NEW YORK MIKE MCINTYRE, NORTH CAROLINA STEVE COHEN, TENNESSEE
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ABOUT THE ORGANIZATION FOR SECURITY AND COOPERATION IN EUROPE
The Helsinki process, formally titled the Conference on Security and Cooperation in Europe, traces its origin to the signing of the Helsinki Final Act in Finland on August 1, 1975, by the leaders of 33 European countries, the United States and Canada. As of January 1, 1995, the Helsinki process was renamed the Organization for Security and Cooperation in Europe (OSCE). The membership of the OSCE has expanded to 56 participating States, reflecting the breakup of the Soviet Union, Czechoslovakia, and Yugoslavia.
The OSCE Secretariat is in Vienna, Austria, where weekly meetings of the participating States' permanent representatives are held. In addition, specialized seminars and meetings are convened in various locations. Periodic consultations are held among Senior Officials, Ministers and Heads of State or Government.
Although the OSCE continues to engage in standard setting in the fields of military security, economic and environmental cooperation, and human rights and humanitarian concerns, the Organization is primarily focused on initiatives designed to prevent, manage and resolve conflict within and among the participating States. The Organization deploys numerous missions and field activities located in Southeastern and Eastern Europe, the Caucasus, and Central Asia. The website of the OSCE is: <www.osce.org>.
ABOUT THE COMMISSION ON SECURITY AND COOPERATION IN EUROPE
The Commission on Security and Cooperation in Europe, also known as the Helsinki Commission, is a U.S. Government agency created in 1976 to monitor and encourage compliance by the participating States with their OSCE commitments, with a particular emphasis on human rights.
The Commission consists of nine members from the United States Senate, nine members from the House of Representatives, and one member each from the Departments of State, Defense and Commerce. The positions of Chair and Co-Chair rotate between the Senate and House every two years, when a new Congress convenes. A professional staff assists the Commissioners in their work.
In fulfilling its mandate, the Commission gathers and disseminates relevant information to the U.S. Congress and the public by convening hearings, issuing reports that reflect the views of Members of the Commission and/or its staff, and providing details about the activities of the Helsinki process and developments in OSCE participating States.
The Commission also contributes to the formulation and execution of U.S. policy regarding the OSCE, including through Member and staff participation on U.S. Delegations to OSCE meetings. Members of the Commission have regular contact with parliamentarians, government officials, representatives of non-governmental organizations, and private individuals from participating States. The website of the Commission is: <www.csce.gov>.
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GEORGIA 2008, UKRAINE 2014: IS MOLDOVA NEXT?
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MAY 6, 2014
WITNESSES
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GEORGIA 2008, UKRAINE 2014: IS MOLDOVA NEXT?
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May 6, 2014
Commission on Security and Cooperation in Europe Washington, DC
The briefing was held from 12:03 to 1:34 p.m. EDT in 268, North Congressional Meeting Room, Capitol Visitor Center, Washington D.C., David Killion, presiding.
Mr. KILLION. Ladies and gentlemen, if we could get started today with this important briefing. Good afternoon. I'm Ambassador David Killion. I'm the chief of staff of the Helsinki Commission and this is my first event as chief of staff, so it's very special to me. I think this is an incredibly timely event. I want to welcome our speakers as well as our audience to this important briefing to examine Russia's intention toward Moldova and Transnistria, its secessionist region, in the face of growing violence and instability in southeastern Ukraine.
This briefing is occurring at an urgent time, as violence in Odessa, which borders Moldova, continues to escalate, aided and abetted by Russia. In fact, we heard some information indicating over the weekend that many of the individuals arrested for violently attacking peaceful demonstrators for Ukrainian unity in Odessa were actually Russian nationalists and residents of Transnistria. At the same time, Ukrainian authorities reported that arms found in the building where over 30 of the individuals instigating violence and secession were tragically killed last Friday also originated from Transnistria and Russia.
Equally concerning is the continuing lawlessness and violence across the region that's being perpetrated against state institutions and Ukrainian citizens who do not want to see their country Balkanized, occupied or controlled by Russia. Fighting continues in Slovyansk, where pro-Russian secessionists launched violent attacks upon supporters of Ukrainian unity, occupied government buildings and held OSCE military observers hostage for over a week. Pro-Russian thugs shot down two Ukrainian military helicopters in Slovyansk last week, resulting in the death and injury of several military officers. Only yesterday, other casualties were added as fighting persisted between the military and proRussian insurgents.
The destabilizing events in Odessa are occurring a little over a hundred miles from Transnistria, where Russia maintains military forces and weapons against the wishes of the Moldovan government. Along with political and economic coercion, Russia has used this military presence to impede a peaceful and lawful settlement of Transnistria for over 20 years.
Today, the presence of Russian armed forces on Moldovan territory, on Ukraine's borders and in occupied Crimea violate the sovereignty and territorial integrity of both countries and aim to prevent their integration into Europe and hinder their economic and democratic development. Russia's actions violate every core principle of the OSCE and the United Nations, as well as Russia's obligation to guarantee Ukraine's sovereignty under the Budapest Memorandum.
We look forward to this opportunity to discuss Russia's intentions in Moldova and Transnistria, and what the ongoing insecurity and conflict in the region portends for countries in the southern Caucasus and beyond. Deputy Assistant Secretary of State for Human Rights and Labor Thomas Melia was not able to join with us, so we will first hear today from our very distinguished guest, Moldova's deputy prime minister for reintegration, Mr. Eugen Carpov.
Mr. Carpov has held the office of deputy prime minister of the government of Moldova since 2011. He has an extensive background in foreign affairs and has held positions in both the public and private sectors. From 2002 until 2005 he served as the Moldovan ambassador to Poland, before becoming the head of the Moldovan Mission to the European Union in 2005, a position he held until 2007. Following this, he became the chief of the International Cooperation Department of ASCOM Company from 2007 to 2008, and subsequently was the deputy general manager of the Komet Group Corporation from 2009 to 2011.
We will then hear from Mr. Paul Goble, a longtime specialist on ethnic and religious matters in Eurasia. Paul has had a distinguished career. He has served as the director of research and publications at the Azerbaijan Diplomatic Academy and as vice dean for the social sciences and humanities at Audentes University in Tallinn. His previous work includes tenure as a senior research associate at the Euro College of the University of Tartu, in Estonia, during which he launched the Window on Eurasia series. Prior to joining the faculty of Tartu University, he served in various capacities in the U.S. State Department, the Central Intelligence Agency and the International Broadcasting Bureau, as well as the Voice of America, Radio Free Europe, Radio Liberty and at the Carnegie Endowment for International Peace. He's a prolific writer on ethnic and religious issues and has edited five volumes on ethnicity and religion in the former Soviet space. We're very, very pleased to have him with us today.
Finally, we'll hear from Dr. Stephen Blank, a senior fellow at the American Foreign Policy Council in Washington and a leading international expert on Soviet, Russian, U.S., Asian and European military and foreign policy. From 1989 to 2013, Dr. Blank was a professor of Russian national security studies at the Strategic Studies Institute of the U.S. Army War College, in Pennsylvania. During 1998 to 2001 he was Douglas MacArthur professor of research at the War College. He's testified before Congress on Russia, China and Central Asia, and he has published or edited 15 books focusing on Russian foreign, energy and military policies and on international security in Eurasia.
Following the statements of our panelists and questions from this panel, the audience will have an opportunity to ask questions.
So, Mr. Carpov, the floor is yours.
Mr. CARPOV. Thank you, Ambassador. Dear colleagues, thank you for organizing this event. The Helsinki Committee continues to serve as perfect platform for trans-Atlantic dialogue on important issues where U.S. and Europe have mutual and shared interests.
Today's event has quite a provocative title. So at this session we will share our thoughts on the situation in Moldova and in our region. I hope this will be helpful to you to understand better what is going on in our part of the world and what are the perspectives.
Since I'm dealing in the government of Moldova with the resolution of the Transnistrian conflict, it will represent major part of my remarks. First of all, let me set the parameters of the issue we are discussing. Transnistrian conflict has, at its basis, mainly a political dispute. It does not have ethnic or a religious background. The situation in the conflict area is generally peaceful. There were no military hostilities between sides since 1992. Certain tensions or incidents appear from time to time, but they have no direct military character and involve mainly law-enforcement bodies.
The dialogue on conflict settlement process is taking place through a number of channels. The most-known is the five-plus-two negotiations format, where the Moldovan and Transnistrian region are the sides; OSCE, Russia and Ukraine mediators; and U.S. and EU observers. We have also meetings of the political representatives of the sides: the chief negotiators. In parallel, senior experts and decision-makers from various authorities are meeting in the sectoral working groups. There are contacts on higher political level as well. From our side, this is the prime minister and from the Transnistrian side is the leader of the region's administration. These meetings are taking place with different intensity depending on the situation. The key unresolved issue of the conflict settlement is: What status would the Transnistrian region have within Moldova?
All international players involved in the conflict resolution have committed to assist in resolving the Transnistrian conflict on the basis of respecting sovereignty and territorial integrity of the Republic of Moldova and providing the Transnistrian region with a special status.
Where the conflict settlement stands now: Current situation in the Transnistrian conflict settlement process can be characterized as stalemate in terms of the moving towards political settlement of the conflict. Regretfully, the trust and confidence between sides has been undermined by increasing negative rhetoric and unilateral actions which run against the ongoing negotiation process.
About political aspects: The strategic goal of the Republic of Moldova is to achieve a lasting political settlement of the conflict based on the respect for sovereignty and territorial integrity of the Republic of Moldova. The Transnistrian region should have a special status within the reintegrated country. Such a status would enable the administration of Transnistrian region with sufficient level of competences to enjoy large autonomy within Moldova. The political solution of the conflict should ensure an effective and balanced decision-making mechanism.
The European vector of the development of the Republic of Moldova after reintegration should also be preserved. Currently, Tiraspol, supported fully by the Russian Federation, refuses to talk, in the five-plus-two negotiations, on political and security issues. In the meantime, Tiraspol is promoting, outside of the political negotiations, the so-called concept of civilized divorce, as well as recently has made an address to the Russian Federation to be recognized as an independent state.
Our position with regard to these steps is clear. The demands of the Transnistrian region are based on illusions and have no real perspectives. The Transnistrian region is recognized by all as part of the Republic of Moldova, and any request for international
recognition contradicts the international law and principles of the conflict resolution process.
On official level, all international partners which are participating in the negotiations process are unanimously supporting a peaceful solution based on the principles that I outlined earlier: respect for sovereignty, territorial integrity of Moldova, and special status for Transnistrian region within the Republic of Moldova. Basically, these principles are stipulated in the OSCE ministerial statements of the Transnistrian conflict adopted at the meetings of the OSCE Council of Ministers in Dublin 2012 and Kiev 2013.
At the same time, we keep reiterating that real actions of the international partners should be in line with their official positions. This is not always the case. While the political process is stagnating, the efforts are concentrated on tackle some technical issues, but even in technical issues, the room for maneuver is limited due to difference in approaches. Chisinau is promoting proposals based on the idea of a rapprochement between sides, while Tiraspol is insisting on further separation. For example, when we are talking about radio frequencies or access of the Transnistrian companies to international transportation corridors, our view is that solutions should be based on, or at least not contradict, the existing international commitments that Moldova has undertaken. Also, such solutions should not lead to further separation. So we are a bit in a vicious circles there.
In 2013, we managed to find agreement on few issues related to ecology, pensions, dismantling of some old and dangerous infrastructure objectives, and some aspects of freedom of movement. These are positive developments, but to move ahead, the conflict resolution process needs more comprehensive forward-looking decisions. There are a number of issues that could generate tensions. I will go briefly just to list them.
A general point that I would like to make is that since the end of the last year, we feel increased pressure on every element of the Moldovan presence in the Transnistrian region. This is the case of Moldovan Latin script schools, case of access of Moldovan farmers to their lands on Transnistria-controlled de facto territory, case of the Moldovan police and two penitentiaries located in the Bender town. The line that we observe in each case is that Transnistrian side tries, by various means, to impose their rules or take under their control institutions subordinated to Moldova or apply pressure on people working in these institutions.
Security situation in the region remains under our constant monitoring. In the last period of time, you observe that Transnistrian side is taking actions aimed at consolidation of its infrastructure at the administrative boundary line. The risk of increase of the presence of the Transnistrian military and security structures above notified limits also remain real. The deployment of military observers of the peacekeeping mechanism, whose main function is to monitor the situation, is frequently blocked because it's matter of consensus decision by all parties to the peacekeeping mechanism. The main supervisory body in the security zone, the Joint Control Commission, in many cases does not have a clear assessment of the situation. So all in all, there are a number of vulnerabilities that could turn into security challenges if there will be such an intention.
The Russian military presence in Moldova remains factor of our concern. Our longstanding position has not changed. We call for finalization without any precondition of the withdrawal of ammunition stockpiles from Kobasna and remaining Russian forces in accordance with the relevant international commitments. We also consider that efforts
toward modernization or buildup of this military presence would not contribute to security in the region and therefore are not welcomed.
Let me sum up the approach of the Republic of Moldova. We put main focus on peaceful political dialogue. We will keep all channels of dialogue with Transnistria open to prevent unilateral steps and deterioration of the situation. We will demonstrate a calm approach and avoid involvement in any provocation. Prime Minister Iurie Leanca is ready to meet with Shevchuk without any preconditions. We also continue the dialogue at the level of chief negotiators and working groups.
Our short- and medium-term goals are the following: maintain stability in the security zone; resolve issues like Moldovan Latin script schools or access to farmers' lands without any tensions; discourage pressure applied on police and penitentiaries in Bender; keep dialogue ongoing at all levels and try to achieve progress in all areas to create positive dynamics; maintain close contacts with all international partners involved in the settlement process and encourage their joint actions; move forward with the 5+2 negotiations.
Situation in Ukraine and implications for the Transnistrian settlement—let me make a couple of remarks on the implications of the situation in Ukraine on the Transnistrian settlement process. First of all, as a neighboring country, and as friendly nation to Ukraine, the Republic of Moldova is very much concerned about what is going on there. We condemned the so-called referendum in Crimea and did not recognize the further annexation of Crimea by the Russian Federation. We consider it as a major challenge to the international law, political cooperation and security architecture in Europe.
We are also very worried about spreading violence in east and south of Ukraine, in particular in the Odessa region. We consider that all efforts should be focused now on finding a peaceful solution that would preserve sovereignty, territorial integrity and unity of Ukraine. Nationwide dialogue between all political players that are acting in the legal and constitutional framework of Ukraine is needed.
We continue to believe that the way towards de-escalation should be found jointly by Ukrainian government in cooperation with all international actors that could influence the situation on the ground. International engagements such as the OSCE Special Monitoring Mission to Ukraine, transparency mechanisms of the Vienna Document on CSBM and other tools should be applied to their full capacity.
One of the trends which has become visible in the context of the situation in Ukraine is an intensified propaganda regarding the fact that Transnistrian region is under blockade. Tiraspol tries to provide it by saying that the crossing points on the border are empty and the flow of goods and people has decreased. Another element is that Russian citizens are almost prohibited to enter Ukraine through Transnistrian segment of the MoldovanUkrainian border. The reality is that the movement of persons has decreased due to objective reasons related to people's safety. Despite the increased control measures by Ukrainian authorities on this segment, available data shows that the refusal ratio of foreign citizens entering Ukraine remains extremely low, about 1 percent of total entries.
Concerning goods, the available statistics from both Tiraspol and Chisinau show that the foreign trade operations, in particular exports from the Transnistrian region continue to register positive dynamics. There was no disruption in cargo traffic. Moreover, in April this year, the Moldovan parliament canceled a number of taxes previously applied to the Transnistrian companies. All these facts clearly demonstrate that the rhetoric about blockade is not proved by facts.
Let me also add a few more points about the political context in which Moldova lives these days. First of all, we are approaching a breakthrough in our relations with the European Union. Recently Moldova was granted a visa-free travel regime in Schengen Area for short-time trips. This was a result of major efforts undertaken by all national authorities in law enforcement, human rights, and document security areas. In June we are planning to sign the association agreement with the European Union and DCFTA. This event will mark the irreversible character of our European path.
At the same time, we face some counteractions to European integration. I'll just exemplify it by recent developments in the southern part of the country, namely the Gagauzia autonomous unit. We feel that skeptical mood towards European integration is being worked up in this region. The government of Moldova is committed to dialogue, and we are already taking actions to explain better our policies and perspectives. The parliament has also formed a special group for dialogue with the legislative body of Gagauzia. So we are intensifying our dialogue with the autonomous region Gagauzia.
The last point is the upcoming parliamentary elections in late November this year. We anticipate quite a tough competition between the governing parties and opposition. In recent years elections in Moldova have quite a visible geopolitical dimension, and we expect it to be so in current year.
Summing up, I would say that these days Moldova finds itself in a crucial moment of its history, being geographically very close to the center of major dispute and tension between the key international players, facing a number of security challenges and experiencing ongoing political debate about the future of the country. This is time to support Moldova, and we thank again the Helsinki Committee for this opportunity to present our story.
Thank you.
Mr. KILLION. Thank you very much, Mr. Deputy Prime Minister.
Now I give the floor to Paul Goble. Thank you very much.
Mr. GOBLE. Thank you, Ambassador.
I thank the commission for calling this hearing and giving me an opportunity to speak on Moldova. It is a country I care very much about, and unfortunately, it is one that has not gotten the attention it deserves.
The topicality of the focus of this hearing is obvious. I suspect that my colleagues, like myself, felt in preparing our remarks that we had a very real risk that developments on the ground were moving so fast that anything we might have written even last night might be overtaken by events given what is occurring in Ukraine and in Moldova itself.
The importance of Moldova simply cannot be overstated at the present time. What Moscow is up to in Moldova as an extension of its policy Ukraine and into the Balkans could easily prove far more fateful to Europe and the West than Russia's invasion of Georgia six years ago did, or than its ongoing aggression in Ukraine is. The three reasons that that may very well prove to be the case can be quickly stated. First of all, the outcome of Vladimir Putin's actions in Ukraine, and thus of his entire imperial project, will depend in large measure on what Moscow is able to do and make use of Moldova's Transnistria.
Second, in his efforts to derail Moldova's efforts to join Europe, where it quite properly belongs, Putin has put in play, as has been mentioned, the Gagauz, a Turkish community in the country's southeast that would likely secede in a violent fashion if Transnistria is allowed to exit or even gain significant autonomy as a result of Russian pressure.
Third, the demise of the Moldovan state—which would likely occur if those two things took place—could trigger changes not only in the borders of Moldova but throughout Southeastern Europe, force the federalization of what could become a greater Romanian state, reverse the post-World War I settlement there of Trianon, and contribute to a radical destabilization of the continent. Consequently, focusing on Moldova should be a matter of concern for everyone.
Each of these possibilities requires a great deal of additional comment but I will simply limit my remarks to this: These dangers are so great that we can identify them quite easily and we can, at the present time, take steps which maximize the area we have a relative advantage in, which is in soft power, and reduces the possibility that in the future we will have to make use of hard power, which is someplace where in Southeastern Europe we enjoy a comparative disadvantage. Consequently, it is terribly important that groups like the OSCE and the Helsinki Commission make demands on what we need to do immediately.
For two decades Moscow has consistently supported, both in public and covertly, the breakaway Transnistria region, a place where many have observed that the August 1991 coup against Mikhail Gorbachev in fact succeeded. It may have failed elsewhere but it succeeded there—and one which has the largest, or almost the largest, Soviet arms cache, which this regime has sold off to terrorists and others to support itself and to promote a variety of nefarious missions around the world, giving Russia plausible deniability but in fact being done in closest coordination with the Russian government.
The Putin regime has declared Transnistria a frozen conflict, and all too many in the West have been willing to accept that idea and that there must be a negotiated settlement in which Moscow will have the whip hand. That acceptance of course has meant that no settlement is possible or will be possible because the Russian government, at least under Vladimir Putin, prefers the managed instability in this region to a stable, thriving and pro-Western Moldova.
In recent weeks—and this is terribly important to take note of—Moscow propagandists have changed their thematics on Transnistria. They have proclaimed it, quote, ''a second Crimea,'' arguing that, like Crimea, its population—which Moscow untruthfully claims consists of a Russian majority; there is no ethnic Russian majority in Transnistria; there is a Slavic plurality but that is not the same thing—that Transnistria should and must become part of the Russian Federation, and that if an application is made, Moscow should agree.
But far more disturbingly, in the last few weeks Moscow writers and officials have begun talking about Transnistria as an ally of Russia's in Putin's project of creating Novo Rossia, a new Moscow client state stretching from Crimea on the east to Transnistria in the west and reducing Ukraine to a landlocked country, or even eliminating it altogether by partition. There have already been credible reports that armed individuals and groups from Transnistria have entered Southwestern Ukraine and were present in Odessa during the recent troubles, in support of secessionist groups.
If Moscow does launch an overt invasion of Ukraine—something I think it probably will not do precisely because its subversion of Ukraine is succeeding as well as it is from Moscow's point of view—it seems clear that Transnistria will play a major supporting
role, at a minimum forcing Kiev to divide its forces and, at a maximum, catching Ukraine in a two-front war that it would find far more difficult to win.
The second Russian action in Moldova, one that has attracted far less attention but may ultimately play an equally large geopolitical role, is a promotion of Gagauz's separatism. The Gagauz, a 200,000-strong nation living in a dispersed rather than compact area of settlement which is conveniently neglected by many of the Russian commentators, have long wanted greater linguistic and political autonomy. In the early '90s their activism forced the Moldovan government to cede power to them and to agree that should Moldova's external borders be changed by the exit of Transnistria, the right of the Gagauz would exist to move toward independence.
The Gagauz have neither the numbers nor the arms supply nor the international contacts that the regime in Transnistria does, but they do have an important political resource in addition to the support they are getting from Moscow. They are Christian Turks and thus enjoy the attention and potential support of both the Moscow patriarchate and the Republic of Turkey. In the event of a crisis, either or both could come to their aid, something the Russian government would undoubtedly use as a cover to promote a new wave of secessionism, just as they used that technique in Crimea and in greater Ukraine in recent weeks.
If both Transnistria and Gagauzia, defined in border terms were to secede, Moldova would, like Ukraine in the Putin project, be left a rump state where a large percentage of the population would likely have to find union with someone else. It's been suggested that a rump Ukraine would have to be absorbed by Poland and a rump Moldova would have to go for some kind of union with Romania.
That is the third action that Russia has a longstanding and long-term interest in. Indeed, some in Moscow now appear to be more interested in destabilizing the broader region and undermining Europe than even in seizing control of particular territories, given the social and economic costs that Moscow would have to bear. It is far better to destabilize areas and keep other people out than it is to take control and have to pay for the social welfare costs that are involved.
What would happen if Moscow provoked disintegration in Moldova and alleged a union with Romania? Almost certainly, given the differences in historical experience deriving from Soviet control in Moldova, that new state would be federalized, and federalization in this case would spark demands for a Hungarian autonomy in the north. And such demands, given the Hungarian government in place at the present time, would likely enjoy support from the north, and that would create a very unstable situation that could lead to the kind of controversy that the settlements after World War I were intended to eliminate and start destabilization that would go even further into the former Yugoslavia and south to Greece as well, all of them affecting American interests.
Given how serious this potential threat is, we need to think what we can do now. None of them, of course, are inevitable. Russia's ''victory,'' quote, unquote, in Crimea is not inevitable. It is not necessarily that it will stay the course. I welcomed your remarks about nonrecognition of the Russian occupation of Crimea, which is an illegal act. I believe we must articulate a clear nonrecognition policy with regard to Crimea and other Russian areas, just as we did with respect to Estonia and Latvia and Lithuania in 1940. That was a policy that was kept in place for more than 50 years and became the birth certificate
of the recovery of independence of those three countries. We need to understand that we are in an equally fateful situation now.
I would like to argue that we need to do five things right now. First, we need to recognize Moldova's centrality to our security concerns and to build up expertise inside the government and in the American For far too long—based as a personal experience, I can tell you—Moldova has been treated as a, quote, ''orphan'' country, as a country that doesn't have domestic support in this country because of the Romanian connection and that is not somehow terribly important. In fact, Moldova's geographic position means that in an age of geopolitics, which Mr. Putin is playing even if we are not, it is much more important than anyone can imagine. It isn't about size. It's about location.
Second, we need to expand Western broadcasts to Moldova and especially Russianlanguage broadcasts there. The fact is that Vladimir Putin has transformed Moscow television into an organizing tool, much as Lenin used Iskra a hundred years ago to organize and undermine stability in neighboring countries. We need to have an alternate voice. It is terribly important that the people in Transnistria who do speak Russian get their news from a Russian-language channel that is not propaganda from the central government in Moscow.
Third, we need to promote change within Moldova, not by holding it up to standards that will allow us to say no. Too many of the suggestions about how we should assist countries other than Russia start by saying, these are the standards we have to require, but that is usually a covert way of saying, and we'll then have an excuse not for doing something. We need to have a much bigger picture. We need to promote exchanges, sending Americans to Moldova and bringing Moldovans to the United States. Such exchanges were the heart and soul of American policy in Western Europe after 1945. They should be at the heart and soul of American policy now.
Fourth, we need to recognize, and be open about it, that our approach to Transnistria, like our approach to Nagorno-Karabakh, and our approach to almost all of the frozen conflicts on the territory of what once was the Soviet empire, has been wrong. Involving Russia in these things is a guarantee that they will not be solved, because Russia has no interest in solving these conflicts. What we need is to promote bilateral talks of the kind that the deputy prime minister has discussed rather than injecting things in a way to allow Moscow to have a veto.
Fifth, in my view anyway, we need to offer a united Moldova immediate membership in NATO and, together with our European allies, put it on the fast track to European Union membership. Despite the vocabulary of many in Washington over the last two decades, one does not, quote, ''qualify'' for a defense alliance. One includes a country in a defense alliance either because of its position or its ability to contribute to the goals of that alliance. Moldova, by its position, can do that. It is worth noting that one of the earliest members of NATO does not even have a military, something those of us who were part of the Baltic cause frequently had occasion to note.
In considering these ideas, I would like to suggest that we need to remember the implications of a remark that Winston Churchill made to the American ambassador in 1944. He said at the time that, quote, ''The Americans can always be counted on to do the right thing—after they've tried everything else.'' That is often quoted as a suggestion that Americans are simply bumbling incompetents. In fact, what Churchill was calling attention to is something that we have not yet been willing to focus on, and that is we
no longer have such disproportionate economic, political and military power that we can afford to make mistake after mistake. We have to get things right soon. That requires expertise. That requires attention. And it requires that we use the soft power, which is where we will always enjoy a comparative advantage, before it's too late. Moldova is a very good place for us to start. Thank you.
Mr. KILLION. Thank you, Mr. Goble, for your very powerful testimony and the bright lines that you drew for us. And now, Mr. Blank, it's your turn.
Mr. BLANK. Thank you, Ambassador Killion. I'd like to thank you and the Helsinki Commission for inviting me and for holding this hearing. I agree with what has been said here before, that Moldova is a critical country which does not receive the attention it deserves. It plays an important geostrategic part in Southeast Europe, for a number of reasons.
Basically, Moldova serves as a precedent, as a template, and as a lynchpin of Russian strategy to destabilize the entire area from the Balkans to the Caucasus by exploiting and inciting conflicts using the ethnic card and all the instruments of power at its disposal to prevent the creation of consolidated states, whether it be in the former Yugoslavia, in Moldova or in the Caucasus, or in Ukraine, and to regain the empire. It is very clear from what we are now seeing in Ukraine, which acts by Russia constitute an act of war, and that has to be understood. When people say we are risking a war if we do something in retaliation for all this, the fact is that there already is a war. Invasion, occupation and annexation, as in Moldova, are acts of war, as in Georgia, as in Ukraine, and they need to be recognized as such.
Moldova is a precedent. It is the first place where the Russian government used the ethnic card and the military card 22 years ago in order to establish a kind of neo-Soviet criminalized regime, which looks to Moscow, and which Moscow has gradually come to recognize as its own and therefore to resist negotiation. It is a template for what is happening now in the Ukraine by virtue of that operation, but furthermore because Mr. Putin has been preparing for this operation for the 15 years that he's been president.
Already in 2000 he made clear that he did not believe that Moldova was really a genuine state and that it had to acknowledge the special interests of the Russians there. His federalization plan of 2003, the so-called Kozak plan, would have destroyed any genuine sovereignty in Moldova and is a template for what he is trying to impose now on Ukraine. Moreover, at least since 2006, we know for a fact—this has been published in open sources—that Mr. Putin and the Russian government were training Russian, Ukrainian and Moldovan soldiers at a camp in Solnechnogorsk to conduct the kinds of operations we see going on in Ukraine that have gone on since February 27th.
So there is no excuse for anyone to say that this was unforeseen. It certainly wasn't unforeseen by Mr. Putin. He was planning this operation for years. And he even said to George Bush at Bucharest that he would dismember Ukraine if it moved to the West, and that it was not a state and that its territory, meaning Crimea, was a gift from Russia. We need to keep an eye on what's going on here and pay greater attention to the Balkans and the Caucasus and Ukraine, because the future of European integration and European security, which are the vital interests of both the United States and of Europe, are at risk here, as Paul Goble and Deputy Prime Minister Carpov have pointed out.
In the Caucasus we see Moscow inciting the Nagorno-Karabakh conflict. Four billion worth of arms has been sold to Azerbaijan in the last four years, the buildup of the Russian forces in the Caucasus, the achievement of a base at Gyumri for 25 years, plus arms sales to Armenia indicate that Moscow has no interest in solving the Nagorno-Karabakh conflict because it is profiting from keeping it going, not just in financial terms but in geopolitical terms, because it is able to impose its will on Armenia and to prevent Azerbaijan from getting closer to the West.
What's more, it is inciting conflict by running guns covertly from Montenegro in the Balkans to Stepanakert. From 2010 through 2013, for example, 38 Ilyushin-76 planes took off from Montenegro, loaded top to bottom with arms, heading for Stepanakert, the capital of the, quote, ''independent'' Nagorno-Karabakh. It doesn't take much imagination to understand whose weapons these are and whose planes these are, and what that means in terms of Russia's ability to corrupt officials in Montenegro, and its efforts to use the Balkans in order to incite trouble in the Caucasus.
Moreover, historically the conquest and incorporation of Ukraine has been the basis from which Moscow has then proceeded to launch all of the imperial gambits it has launched in the Balkans, going back to Catherine the Great. Today that is—there is no difference. We look at the pattern in Ukraine. The territories that are being threatened are precisely those that would allow Russia a direct landline to Moldova. I don't think that's a coincidence.
Furthermore, in the Balkans Moscow's project is to prevent, frustrate and obstruct European integration and democratization, and to project its military power. It has asked Serbia for a base ostensibly for humanitarian interventions at Nis˘. It restored a naval base on Montenegro at Bar in the Adriatic. And it has projected its power into Transnistria and then used that power, as we have heard, to go back in and incite difficulties in the Ukraine.
If Moldova is allowed to be truncated in its sovereignty, abridged in its territorial integrity, then all the kinds of consequences that Paul Goble has just specified become real, relevant and potential threats to European security. And they will not only take place around Romania, Moldova and Hungary because the Russians are also busy trying to prevent Serbia and Kosovo from achieving a lasting piece by inciting every kind of Serbian nationalist outrage against Kosovo that it can and to prevent the unification of Bosnia Herzegovina in the Baltics, just as it's doing in the Caucasus. Whereas in the Caucasus, it runs guns, or uses the military arm in order to prevent Georgia from achieving its integrity and sovereignty over Abkhazia and South Ossetia or to prevent conflict resolution in Nagorno-Karabakh. It is doing exactly the same thing in the Balkans. It is all part of a single strategy whose objectives are, A, restoring the Russian empire, if not necessarily the Soviet Empire; B, solidifying Mr. Putin's domestic hold by playing the imperial card to claim that he is a gatherer of Russian lands. C, preventing European integration in the Balkans and the Caucasus, and D, perpetuating what can be called a state of siege in East-West relations; much like Lenin did in 1917 when he took power.
For all those reasons, Moldova is a state that deserves much more consideration and interest and attention from the United States. Apart from the recommendations that Paul Goble has made, all of which I support, it is necessary also for us to understand that the threat we now face in Ukraine is one that will not only be dealt with by sanctions, although much more rigorous sanctions are needed. The ones that have been imposed to date are clearly insufficient, and have been reported as such.
But it is also unfortunately necessary that we have to help Ukraine with the instruments of hard power: training, weapons, and I would argue, also, an invitation to NATO to bring in NATO forces as peacekeepers into the afflicted areas, because I believe that that will deter Russia, and unfortunately, only that will deter Russia, because what has been done up till now is not enough and will not be enough and certainly has not altered Mr. Putin's decision-making calculus, as President Obama has indicated.
Therefore, much more vigorous action is needed and is needed over the long term. What is at stake today, as Secretary Kerry has observed, is the European settlement after the Cold War's termination in 1989 to '91 to the extent that we continue to be missing in action in the Caucasus, in the Balkans and in Ukraine, it turns out that that revision of the settlement is likely to occur without our participation and against our interests, and those interests are the same as our allies' interests.
So if we abandon our alliances because we don't understand what's at stake, or are too selfish or apathetic to care, we will have indeed harvested a much greater danger. Ukraine is not the end of Mr. Putin's ambitions, it is only the beginning. Thank you.
Mr. KILLION. Thank you, Mr. Blank, and thanks to all of the witnesses for very provocative testimony, and food for thought for the commission and for others. I'd like to start by asking a question to our very distinguished deputy prime minister, Mr. Carpov. An issue that was raised in Mr. Goble's testimony—recent poll results in Moldova indicate that Russian television and other Russian media have a very strong influence in Moldova in reflecting Moldovan and international news, especially related to the Russian invasion of Ukraine. EU integration—Eurasian customs union, et cetera. Does your government plan any action to put Russian TV channels on the same footing with other foreign channels?
Mr. CARPOV. Thank you for this question, Ambassador. It's really a sensitive one. We are facing difficult times in the Republic of Moldova, and I mentioned why. Well, informational competition is a real thing that exists in the Republic of Moldova. We also can see that different Russian channels in this specific period are using elements that are not corresponding fully to different democratic standards or levels according to the legislation of the Republic of Moldova, according to the international standards and rules.
That's why now we started a process—when we tried to monitor closely—very close the way that Russian channels are presenting the information that is spreading over the media area of the Republic of Moldova. Based on the results of this monitoring, we will definitely decide what are the next steps in order to assure there are equal rights and possibilities for all channels, national and foreign media channels and full respect of the legislation that is governing the activity of foreign media channels. Thank you.
Mr. KILLION. Thank you very much. And now a question for Mr. Goble. You stated that the leadership in Transnistria has sold arms caches from the Soviet Union era. Could you advise as to the recipients of such arms and what the Moldovan government and the international community is doing to prevent the proliferation?
Mr. GOBLE. The problem is that during the Cold War and during the Soviet occupation of Eastern Europe, there were a number of arms caches that were put in forward areas to be used in the event of a NATO-Soviet conflict. One of those places with millions of tons of arms was in what is now Transnistria. That has been an arms bazaar, and it has gone to a variety of groups. I know that it has gone to a number of Islamist radical
groups. There are reports, which I find credible, that it has gone to terrorist organizations that are directed against Western countries.
I do not believe that those sales were undertaken autonomously by Tiraspol. I believe that they reflect a way of Moscow providing arms to anti-Western forces with the kind of plausible deniability, which I regret to say is rarely challenged. The Moldovan government, I am absolutely certain, would not tolerate these sales if it were in a position to control that territory if, in fact, what the international community said were realized, namely that the borders of Moldova include a place called Transnistria, rather than Transnistria being run as a Russian project outside of the control of Kishinev.
One of the many reasons for doing away with the idea that Moscow can be our partners in solving Transnistria is that Moscow has no interest in doing that, because this is a resource it is quite interested in continuing to use. I believe that we have a compelling interest in preventing terrorist groups from being armed, and I believe that we have an immediate danger that that will continue to be the case out of Transnistria unless and until the Russian government is not in a position to make use of Transnistria as it has for two decades. I suspect it's true that some of the sales that went out of the Soviet arms cache were done to make money for the people in the Tiraspol government, and to even pay some of the Tiraspol government's bills. But I believe that on the whole, those sales have been coordinated carefully with Moscow rather than being an autonomous action, even of Tiraspol.
Mr. KILLION. One additional question, Mr. Goble. You talked about the establishment of a clear nonrecognition policy regarding Crimea. Could you elaborate a little bit about what elements would be included in such a clear nonrecognition and how that would be different from the status quo?
Mr. GOBLE. There's an enormous difference, and I'm delighted to have that question and have a chance to speak to it. Since 1930, the United States has taken a position that was articulated by then Secretary of State Stimson that it did not recognize any territorial change achieved by force alone. That is to say that if force is used, and then there's a post-force settlement, as there was in 1918, 1919, that that might be the case. Indeed, when, in 1940 American nonrecognition policy with respect to Estonian, Latvia, Lithuania was articulated, it was on the assumption, at least I believe so from what I've read—that there would be a peace conference after World War II was concluded.
Nonrecognition policy for Estonia, Latvia and Lithuania is a useful model. It is important to say what it specified and what it did not specify and why it's so important to have such a policy in place with respect to Crimea or any other place that the Russian government tries to seize.
First, nonrecognition policy said that the United States did not recognize this seizure, period. That we've already done. But that's not enough. Second, this specified that no senior American official—that was defined as someone confirmed by the Senate—would ever visit that territory while it was under occupation. Third, in the case of Estonia, Latvia, Lithuania, we recognized the diplomats of the pre-war governments. We did not recognize governments in exile. Fourth, the United States specified that any map produced by the U.S. government—we produce an awful lot of them, would carry on it the statement that the borders as claimed by the USSR were not recognized by the United States and that we did not recognize the forcible inclusion of Estonia, Latvia and Lithuania into the USSR, and that policy stayed in place. We have already seen the problem of not having
a clearly articulated policy like that, which was crafted in 1940 by Loy Henderson. In that, there have been several American government websites that have put out maps showing Crimea already part of the Russian Federation. That's intolerable and would not be the case if there were a clear policy statement. Simply saying we will never recognize it isn't enough. You have to say what that means.
Now, two other points that I think are important. The U.S. non-recognition policy of Estonia, Latvia and Lithuania never carried with it a suggestion that the United States was committed to doing anything military to the liberation of these places not even in the darkest days of the Cold War. That was important because it is not that we would engage in a response to aggression by using military force, but rather we will use moral suasion, and this is why we will have maps that should show as long as Moscow claims that Crimea belongs to it and is part of the borders—inside the borders of the Russian Federation, that the United States government, as a matter of settled policy, does not recognize that, but not that the United States is committed to using force from the Black Sea or anywhere else to drive the Russians out. That's important because the distinction, which gives us some moral high ground, and does not create expectations, which I regret to say we would never realize anyway.
The second thing is that by articulating a new nonrecognition policy in Crimea, we can revive a policy which was one of the most morally important during the Cold War. We did not do that, tragically, after the Russian invasion of Georgia in August of 2008. We did not articulate a nonrecognition policy of that kind. Crimea is a second occasion when we should do that. And it would serve notice to Moscow and to a variety of other governments around the world that the United States, as a matter of settled policy, is going to not recognize the results of aggression as legitimate, period. That is something that flows from our own national tradition. It's a policy that was the right thing to do from 1940 to 1991 for Estonia, Latvia and Lithuania and is the right thing to do with respect to Georgia and now with respect to Ukraine, and I would like to see it ready and we can fill in any place else that the Russians or anyone else tries to use military force. But just saying that you'll never recognize it isn't enough, because it does not create the doctrinal basis within the bureaucracy to prevent errors, which will be used by the other side to chip away at this attack on international legitimacy. As Steve Blank has quite accurately said, what Mr. Putin is doing is a regression not only against the settlement of 1991 but against the settlements of 1945 and 1919. And nonrecognition policy is a way of making it very clear the United States is opposed to the revision of those three settlements and that we have a policy in place that will prevent any American official, be he an embassy officer in Kiev, someone at a U.S. international broadcaster or anywhere else from crossing a line that the Russians will make and other people may make use of to legitimate a criminal act.
Mr. KILLION. Thanks for that clarification.
I want to ask you, Mr. Blank, you talked about a hard power dimension of policy response to the current situation in Ukraine, and you spoke about NATO and training and so forth, and I just would like you to elaborate a little bit and talk about how the timing of your proposed policy response would work with the speed at which events seem to be unfolding on the ground in eastern Ukraine and other parts of the country.
Mr. BLANK. Well, thank you. It's necessary really to begin right away. What is necessary here is, I would say, that if the Ukrainian government were to invite NATO peacekeeping forces—which is its sovereign right—then the response should be yes and we should start moving forces into Ukraine right away. They would have restricted rules of engagement. They would not be able to conduct offensive operations, but they would be given the capabilities to protect themselves against either regular or what we might call irregular forces that are currently involved, and that means also air and air defense capabilities if necessary.
Beyond that, it is urgent to help the Ukrainian government stabilize its Ministry of Defense and command establishment, and to start providing training for Ukrainian soldiers, because there is a great danger that Ukrainians who are opposed to this Russian invasion will start organizing themselves and that the Ukrainian government will lose control of that instrument of power, plunging the country into something let's say similar to Bosnia or Northern Ireland or Syria. So it's important for us to help the Ukrainian state get a handle on its own military and to devise a strategic coordinated approach to prevailing over and repulsing the Russian invasion, because it's very clear that the Russians have now decided to up the ante and use violence. Shooting down helicopters clearly indicates the presence not only of Russian weapons but of Russia officers, because you just don't give people air defense weapons and say go ahead and use this. There's training involved here, as we know from our own experience in—for example, in Afghanistan. So there is that. Second, we also know that what is going on already in these occupied territories is repression. We've had numerous cases of reports already of anti-Semitic outrages, attacks on Crimean Tatars, and coercion. It was just revealed last night, for example, that the Russia government's own information sources indicated that only 30 percent of Crimea voted in the quote ''referendum,'' and only 15 percent of those voting supported it. That's hardly a sign of the democratic will of the people. What that means, therefore, is an occupation by force. So that has to be countered.
Now, the rules of engagement for that force are to be clearly marked out as being purely defensive, but I think that sanctions alone are not going to do the job, because, first of all, European energy and other companies are busy making private deals with Mr. Putin, as we have seen. Secondly, a lot of European governments really don't want to impose sanctions. Wall Street and Bulgaria are looking for ways to bring about the South Stream pipeline, which is the key to Russian domination of the entire area through energy. The European Commission has not yet said that it will under no circumstances allow South Stream, which is what it should do, because that would make it clear to Russia what's going on. There are other sanctions that we have the capability of doing on our own or together with our allies, and nothing is happening in that regard. So as a number of analysts—for example, George Friedman of Stratfor point out—sanctions provide the illusion that we're doing something when we are really not doing enough or doing serious activity to roll back and prevent further incursions. It is my firm conviction, therefore, that if we allow this to go forward, then we will face further questions in Europe, and not only in Europe, and not only from Russia, and that therefore the blend of hard and soft power instruments, with a coherent strategy in mind, is the only way forward.
Mr. KILLION. Thank you very much.
Very shortly we're going to turn questions over to the audience, so please be prepared for that. Before we do that, I'd like to turn the floor over to my colleague Winsome Packer, who is the Helsinki Commission's expert on the security dimension of the Helsinki Final Act and also this region, including Moldova.
Mr. PACKER. Thank you, Ambassador.
I'd like to ask a question about the conflict resolution mechanisms in Transnistria, Georgia and Nagorno-Karabakh. They have, by a limited estimation proven entirely ineffective over the 20 years that they have been in place. And I'd like to ask the panel's recommendations as to what you think might be done to modify them and achieve some progress in any one of these areas.
Mr. BLANK. If I may go first, there has to be a recognition in the United States that— A, that these programs have failed, as you have said; and that, B, that it is in our important, if not vital, interest that we regenerate the conflict resolution process in order to bring both sides, in at least one or more of these conflicts, to the table and to an ultimate solution. And unfortunately, that means that we would have to take the lead and sponsor, if you like, a Camp David type situation with regard to any or all of those conflicts.
It is patently clear that Moscow has not only no interest in resolving these conflicts, but that it has a positive interest and is undertaking actions toward those ends to incite them further, and not only these, Kosovo and Serbia, Bosnia and Herzegovina as well.
I would recommend—and I have written this before about Nagorno-Karabakh, but it applies to the others—that the president invite the leaders of Armenia and Azerbaijan to the United States and essentially conduct that kind of negotiation that President Carter did with regard to Camp David, because that's the only way it's going to come about. Armenia, for example, been virtually deprived of its ability to conduct a sovereign foreign policy, thanks to Russia. We saw that last September when Russia said, if you sign the association agreement with the European Union, we will cut off aid, we will make sure you can never get Nagorno-Karabakh back, and we may destroy your economy and so forth and so on. And Armenia caved in to that.
So it's necessary for the president to undertake the action. There's no guarantee of success. The same thing is true with regard to Moldova. Moscow will no doubt tell Armenia and Transnistria not to attend these conferences, and it will certainly prevent the South Ossetians and the Abkhazians from doing so. But in that case, we can then turn around and say, in that case, we will not participate in any of those processes, and there will be no conflict resolution, and what's more, we will support our allies, and make the cost of doing so much greater to Russia, because there is no way at present in order to bring about conflict resolution given what is going on.
If you understand that Moscow not only wants to block this, but wants to incite conflict, then it is our responsibility to understand that the only way forward is to prevent Moscow from gaining its objectives. And their objectives are to prevent both European integration and the spread of democracy in Europe. And the spread of democracy in Europe cannot take place in conflict zones.
Mr. GOBLE. I would just add to that—I agree with everything Steve has said. I would just point out, as someone who's old enough to have been completed the Minsk Process about Karabakh, wrote at the time that it was a recipe for making sure there was never a settlement, because it insisted that one of the players that would have a veto was over it was the Russian Federation. I remember visiting Baku in 1996, and Heydar Aliyev, who was then the president, asked me, how long do we have to be independent before we will stop being treated as newly independent states and appendages of Russia?
It is worth remembering that the closest that Armenia and Azerbaijan ever got to a settlement was not because of the Minsk Process, but the Key West meeting where
it was a bilateral conversation. The United States has an important interest in promoting resolutions of these conflicts, but we have to understand that you don't invite someone who is a longtime arsonist to the table to talk about how to put out fires. And that is what the Russian government is doing.
The tragedy is that if these conflicts go on, at some point someone will use force— Azerbaijan in Karabakh is a possibility—and that works to Russia's advantage as well. So it's very much in our interest to promote bilateral talks. It's very much in our interest to stop assuming that the Russians should have a seat at the table.
This country failed utterly for the first decade in treating the countries that emerged when the Soviet Union disintegrated as separate and independent. The only time that an empire has fallen apart and where for a whole decade the United States kept all of those countries in the same bureaucracy they'd been part of at our key institutions of foreign policy was with respect to what had been, in effect, the Soviet Russian empire. That drove an awful lot of things where the assumption was that Russia should have a seat at the table. It is the only time in the history of American diplomacy that a man who's been an ambassador at one of the countries that gained its independence in this process is subsequently, quote-unquote, promoted to become deputy chief of mission in the imperial capital. That sends a very profound message. If you do that, if you keep acting as if Russia has regard in this area, the Russians will pocket that and continue.
We've got to promote bilateral talks. The Key West model, I don't believe at present, is practical, but I think that's what we should be moving toward. We should recognize that Armenia is in a much weaker position vis-a`-vis Moscow than it was when Key West happened and that the Azerbaijanis are less susceptible to Western influence. But that's an indictment of what we've done for two decades, not something that was unknowable at the time. It's going to be bilateral talks.
I was delighted to hear the deputy prime minister talk about the importance of bilateral talks between Chisinau and Tiraspol. If we insist on thinking that everything has to be multilateral, which is a way of getting us off the hook, in a way, what we will do is we will guarantee that you will not get a settlement and that the situations will deteriorate because one player that we will insist at being at the table will do this.
One last thought on this. I think it was a horrific mistake to have the meeting between the foreign minister of the Russian Federation, the international affairs representative of the European Union and the United States and the foreign minister of Ukraine in Geneva because in effect, what we asked the Ukrainians to do was to agree to their own submersion. With respect, even the people who are most criticized for the way they responded to Nazi aggression in the '30s did not ask the Czechoslovaks to be present at their own submersion. You don't do it that way.
When a country has engaged in open aggression—and this is open aggression, it is time not to talk about pro-Russian forces. This is an action of the Russian state. And it is something much worse for those who are concerned about the OSCE project. As Steve has said, and as I tried to indicate, what we have seen is a man who is reversing the settlement of 1945, the basis of the United Nations and the basis of the international order. Vladimir Putin is insistent that ethnicity is more important than citizenship. That is what got us into World War II. That is what is the basis of Russian aggression in Ukraine, Moldova and in the Balkans, not to speak of Central Asia and the Caucasus. This is what people should really be worried about—if that principle goes unchallenged
in the Russian case, there are a number of other rising powers that will invoke the same thing, and we will have problems in Asia as well. And that is something we can't afford to counter then, so we had best counter it now.
Sorry to be so emotional about this, but it's outrageous to constantly assume that we are talking with people who want to find a settlement when what they want is American cover for aggression that they have committed. And that's what we have with respect to the Russian government of Vladimir Putin.
Mr. KILLION. Mr. Deputy Prime Minister.
Mr. CARPOV. To add some words based on our experience with the Transnistrian conflict settlement, well, from the very beginning, I mentioned that in Moldova, there were no ethnic or religious roots for the conflict. It's a, purely political conflict, and political elements that generated the violence in Moldova. If we agree with this, then we have to clarify from where these political interests are coming and who are the international actors interested in such processes.
In our case, and now having Ukraine in the situation that it is, it's clear that it's a geopolitical competition between East and West. Unfortunately with Moldova and Ukraine—we are a part and we are suffering part from this competition.
Conflict resolution—it's obvious that if there are powerful international actors interested in a specific development in a country, we have to see who can be a real co-partner for such a dialogue. In the case of the Transnistrian conflict, you remember that until 2005, the negotiation format was composed by five participants: Chisinau, Tiraspol, and only Ukraine, Moldova and OSCE. That is why we considered that the format was unbalanced. It was Moldovan efforts to bring to the table of negotiations some other participants, and now we have United States of America and the European Union unfortunately, as observers. We are pleading further for the increasing of the role of United States of America and EU at the level of the mediators to have an equal dialogue between all really important international actors that can bring positive evolutions in the settlement.
Well, as I mentioned before, we see a vital necessity to maintain contacts at the level of Chisinau and Tiraspol, because this is also an additional way to understand better the mentality of the opponents and to bring arguments in case there are elements that are not corresponding to the realities. Now, this is an additional element to the 5+2.
Then looking at the procedures, it's obvious that consensus in adopting decisions is a democratic principle, consensus. But in many cases, this element becomes an obstacle when if there is one participant who is not agreeing because of some internal, arguments, not agreeing with the decision shared by all other participants, it becomes a problem. It becomes a problem, and then probably there is a need to have additional instruments of explaining, convincing such actors in the truth of some arguments and coming to this common idea.
Thank you.
Mr. KILLION. I would like to now jump quickly to the audience. We need to move to your questions because we will lose the deputy prime minister very soon. As you can imagine, he's very much in demand at this moment in history and his visit to the United States.
QUESTIONER. Thank you.
Mr. KILLION. Our former ambassador to Moldova. Please introduce yourself.
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QUESTIONER. I'm Pamela Hyde Smith. I was ambassador to Moldova some years ago and, like many Americans who spend time there, fell in love with the place and have stayed that way. So thank you for your excellent testimony.
I would like to follow up on a question I've had about Moldovan public opinion, RightBank Moldovan public opinion. I heard some months ago that there was limited enthusiasm for European integration among a majority, a plurality of Moldovans, and also not much interest in the Transnistria issue. Is that still true? And if so, what should we be doing to help it not be so? Thank you.
Mr. CARPOV. Well, thank you, Ambassador, for being here with us and for your question. That's true, there are different polls showing different figures of support of the Moldovan society for the European integration process and Euro-Asian aspects of possible integration. Well, I personally think that it is also a part of a beginning of a campaign, electoral campaign that Moldova will face in November this year. That's true in Moldova, we have pro-European forces and parties, political parties, and there is opposition, with mainly Communist Party being clearly pro-Customs Union now, promoting this message in favor of pro-Eastern Europe integration, Euro-Asian integration.
But I'm convinced that we have a clear majority in the Republic of Moldova pleading for the European integration. And the results of the voting in November will show this. At least I'm convinced that this is the only possible way for Moldova to continue democratic reforms and transformations is to have the democratic government and majority in parliament for the next four years, and not only for four years.
Transnistria—that's true probably; 22 years of negotiations is a long period of time, and maybe some sensibilities of this issue have been lost and the society somehow is now acting with the sentiment that Transnistria is a problem, and the end of the story is not even very visible. That's why the interest is not so high. But this is probably also a part of our homework for the next immediate time, to have an informational campaign to really try to explain to our society, especially to the Transnistrian region, to Gagauz autonomy, other Russian-speaking areas, what are the real content of the European integration process, what are the benefits, what it means—European perspectives and reintegration of the country. This is what we have to intensify.
Mr. KILLION. If you could identify yourself.
QUESTIONER. Thank you. Margarita Assenova, of the Jamestown Foundation. I have a question for Deputy Prime Minister Carpov. What kind of assistance would you like to receive from the United States to deal with the illegal smuggling of weapons from Transnistria to other regions, and radioactive materials? I realize it's about a depot that stays there with so many years and how it can be dismantled and destroyed, so it's a wider question, but it's time to be solved. Thank you.
Mr. KILLION. Simon, one more question right here. We'll collect the last two questions and then let the panelists deal with the collective.
QUESTIONER. Thank you very much. I am Batu Kutelia, The McCain Institute. I'm from Georgia. I am former Georgian ambassador to the U.S. In the '90s, we were facing a very serious problem of the building up a cornerstone of European security. In the process of the adaptation of Conventional Forces in Europe, there was quite a significant achievement based on the regional cooperation when Moldova, Ukraine, Georgia and Azerbaijan formed a group called GUAM, and in particular the CFE dimension, this group
achieved a lot while having a consolidated approach against Russia's interest to maintain its military presence in so-called near abroad.
So what would be your assessment of need or necessity of that type of regional cooperation by countries concerning the Russian aggressive behavior?
Mr. KILLION. Who would like to go first in dealing with those questions?
Mr. GOBLE. I'll just say three sentences. First, I think the United States has to get involved in international broadcasting into Moldova, both television and radio, and in both Moldovan and in Russian language. Second, I think that GUAM is a wonderful organization; I'd like to see it get its second U back. I'd like to see it get some others added. That is a very hopeful thing. It would be very important as a counterweight and as a forum for discussions that would clearly indicate that a rejection of the CIS and its latest Russian imperial incarnation, the Eurasian Union, which I think is going to fall under its own weight, but Putin has moved much too fast, and I think Lukashenko can see that. I'll stop with that.
Mr. CARPOV. Thank you. On the assistance, I have to admit that we have a very good level of cooperation with partners from the United States of America on different concrete projects. And if it is about border control or radioactive materials—and I understand—you based your question on the last information from Ukrainian sources that they stopped a car with 1.5 kilograms of radio and nuclear materials coming from Transnistria region for not very clear purpose, and now we are in contact with our Ukrainian colleagues to clarify the situation.
But about assistance for the Ministry of Interior—the institution dealing with the border guards and combating international crimes, they have a very good program of assistance from the United States of America in this respect, but now we are discussing possibility to increase the support that we are receiving from our American friends in order to be prepared to react promptly at the new elements of risks that can occur.
On the GUAM, that's obvious that Moldova supports different forms of regional cooperation, and we were among the countries that initiated the GUAM cooperation. We maintain our interest for this group. We think there are a lot of positive possibilities to develop cooperation between us in the different areas, and we think that while it doesn't necessarily to have evolutions like we have in Ukraine in order to strengthen regional cooperation; it should be natural—coming from participating countries as part of getting better life for our societies. Thank you.
Mr. BLANK. I would add to that that for an organization like GUAM to succeed— and is one of many attempts to create regional security organizations on the peripheries of the Russian Empire, which have historically all failed, it is necessary for the parties to work out a genuine strategic consensus that they keep to, because if they allow themselves to move apart, then the whole organization will fall apart. Furthermore, with regard to the CFE treaty—this is another case which—that U.S. policy, I think, has failed to assess the situation. When Russia suspended its participation, which is a nonexistent legal category with regard to an international treaty in the CFE seven years ago, we didn't do anything about it. I would argue that it's really no longer possible to sustain that treaty and that given the fact that the Russian military is almost always going to be stronger than any of its neighbors, just given the preponderance of resources at its disposal, which we need to come up with a new modality.
I'm not altogether certain that regional organizations are going to prevail when they appear to be much more attracted to the European Union and NATO. Given that, although I would support something like GUAM, and provided that there is a genuine working consensus that leads to it, I think it's necessary for us and for Brussels—and that's both organizations in Brussels—NATO and the EU—to make it clear that we are prepared to take action to expand both organizations and invest the necessary resources not only in European self-defense but also in European energy and freedom from Moscow, and therefore, to invest in these countries and to help them strengthen their capabilities to be independent and resist Russian subversion and threats and make it clear to Russia that, just as is the case in Ukraine, any attempt to undermine them carries severe costs.
The fact of the matter is, Russia has declared itself to be an outlaw state, and second and this is even more critical, based on what Paul has said, that it has told the world that it believes Russia can only be secure if it's an empire, that the system of governance in Russia can only continue if Russia is an empire, which means the diminished sovereignty, if not territorial integrity, of all of its neighbors, not just the former Soviet neighbors, because it doesn't really recognize the sovereignty and integrity of Poland, Romania, et cetera. Therefore, if they are going to act in such a way as to preserve the state of siege in Europe, then Europe must return to a policy of deterrence, which means building up strong states on the peripheries.
Mr. KILLION. Thank you very much, and thank you to all three participants. It's been a very useful briefing for us, and we'll take back what we learned to our commissioners. Thank you very much.
Æ
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THE NEWSLETTER OF THE SOCIO-LEGALSTUDIES ASSOCIATION
AUTUMN/WINTER2006
SLSA 2007 KENT
Kent Law School's Helen Carr brings news of two very special plenary sessions and announces a new combined streams and keywords approach to organising papers.
organising committee, selecting one or two keywords from a predetermined list which best reflect the theme of their paper. For 2007 the chosen keywords are:
The SLSA annual conference will take place from Tuesday 3 April to Thursday 5 April 2007 at the Canterbury campus of Kent Law School. We are particularly pleased to host this conference as 2007 is the law school's 40th birthday. The conference website is now up and running and provides full details of all aspects of the conference including booking forms and contact details – see w www.kent.ac.uk/law/slsa07.
Plenary sessions
SLSA 2007 will continue the tradition of innovative and lively legal debate informed by scholarship which is common to both the SLSA and to Kent Law School. We are delighted that Professor Nick Blomley from Simon Fraser University has accepted our invitation to deliver the first plenary lecture. Nick is currently Professor of Geography at Simon Fraser University, in British Columbia, Canada. He has a PhD in Geography from the University of Bristol (1986) and has taught at UCLA and Boston. He has a long-standing interest in critical legal geography and recently completed a project on everyday conceptions of public and private property in relation to garden spaces in inner-city Vancouver. He is currently exploring the geographies of rights in relation to anti-begging law in Canada. His most recent book is Unsettling the City: Urban land and the politics of property (2004, Routledge). Nick's title is Homelessness and the delusions of property.
In a new departure for 2007 there will be a second plenary. Professor Martin Partington CBE, one of the founder members of the SLSA, will reflect upon the past, present and the future of socio-legal studies. During his long career, he has taught at Bristol, Warwick and Brunel Universities and at the LSE. He held visiting posts in Osgoode Hall Law School, Canada, and the University of New South Wales, Australia. He is now an Emeritus Professor of the University of Bristol, and Senior Research Fellow at the Institute of Advanced Legal Studies. He has sat on many public bodies, including the Lord Chancellor's Advisory Committee on Legal Aid, the Council on Tribunals, the Judicial Studies Board and the Civil Justice Council. He was an expert adviser to Sir Andrew Leggatt's Review of Tribunals, and Janet Gaymer's Review of Employment Tribunals. He chaired the Advisory Committee for the Nuffield Inquiry into Empirical Research in Law which reported in 2006. From 2000–05 he was a Law Commissioner and he has been retained as a Special Consultant to the commission until the end of 2007. He is also advising Sir Robert Carnwath, Senior President, on research relevant to the development of the new Tribunals Service. A barrister, he still does some part-time practice from Arden Chambers, London. He was appointed CBE in 2002 and elected a bencher of Middle Temple in 2006. Martin's title is Back to the future: the success and challenge of socio-legal scholarship.
New approach: streams and keywords
For this conference the SLSA is moving away from organising papers solely around streams. While streams are being retained, a keyword approach is also being introduced. Those offering papers can therefore choose to submit their abstracts to the
* becoming legal
* networks
* class
* development
* embodiment
* governance, governing and governability
* justice
* order/ordering
* participation
* resistance
* risk
* sovereignty
* space and architecture
* narrative
* technologies
Alternatively, abstracts may be submitted, as usual, to stream convenors. Details of the streams that have so far been confirmed can be found on the website.
Delegates are also encouraged to organise their own panels around a keyword. The SLSA discussion board provides a useful forum for contacting other members who may be interested in forming a panel. w www.slsa.ac.uk/boards
About the venue
The city of Canterbury is within easy reach of London and the rest of the UK and a variety of international airports. Rail and road links to mainland Europe are good and the campus itself is a short bus or taxi ride away from either of the city's stations. Canterbury is an attractive city set in pretty countryside and it (usually) has some of the best weather in the UK! We are organising some social activities for early arrivals and those who wish to stay on after the conference. The members of he conference committee – Donald McGillivray, Helen Carr and Rosemary Hunter – are very much looking forward to welcoming you to Canterbury and SLSA 2007. Any queries about the conference should be directed to the organising committee at e firstname.lastname@example.org
SLSA STUDENT BURSARIES
The SLSA has a healthy student bursary fund and is keen to support postgraduate members who would otherwise not be able to attend Kent 2007. The SLSA Executive Committee recently allocated an additional £1000 to the fund making a total of £3000. For more information on how to apply for a bursary, go to w www.slsa.ac.uk/students.
Also in this newsletter . . .
SLSA Executive Committee announces new Seminar Competition: p 3
Details of our free Postgraduate Conference 2007 in Bristol: p 3
Update on Socio-Legal Meeting, Berlin 2007, including SLSA student bursaries: pp 4–5
SLSA response to RAE consultation on metrics: p 3
1
SLSA Executive Committee 2006–2007
School of Law, Queen's University Belfast
CHAIR Sally Wheeler e email@example.com
VICE-CHAIR
Anthony Bradney
Department of Law, University of Keele e a.brad firstname.lastname@example.org
SECRETARY
Julian Webb
University of Warwick
email@example.com
TREASURER
Daniel Monk
Birkbeck College
firstname.lastname@example.org
MEMBERSHIP SECRETARY
Lisa Glennon
Queen's University Belfast e email@example.com
RECRUITMENT SECRETARY
Alison Dunn
University of Newcastle-upon-Tyne
firstname.lastname@example.org
NEWSLETTER, DIRECTORY, WEBSITE CONTENT,
EMAIL NETWORK AND BULLETIN BOARD
Marie Selwood
email@example.com
WEBMASTER
Nick Jackson
Kent University
firstname.lastname@example.org
KENT 2007 CONFERENCE ORGANISERS
Helen Carr
email@example.com
Donald McGillivray
firstname.lastname@example.org
Rosemary Hunter e email@example.com
. . . people
At Queen's University Belfast, DR HANSDIETER PESENDORFER has joined the Law School as a senior lecturer in regulation (he was previously at the University of Saltzburg), DR ALISON MAWHINNEY and DR TARIK KOCHI TOM OBOKATA (previously at Dundee), and AOIFE NOLAN have been appointed lecturers and KAREN BRENNAN has begun a two-year post. SARA RAMSHAW and DR PHILIP LARKIN have been appointed as permanent lecturers. DR PETE SHIRLOW (senior lecturer in Criminology) and DR PETER DORAN (lecturer in sustainable development) will go to Queen's Law School in the new year as will MS CLARE DWYER, for an 18-month post. DR CIARAN O'KELLY will also join the School of Law at Queen's University as a lecturer in financial architecture and to strengthen the staff complement for the new Masters in Law and Governance that will be launched next academic year.
CELIA WELLS has moved from Cardiff to the University of Durham and has been elected President of the Society of Legal Scholars for the coming year e firstname.lastname@example.org.
PROFESSOR MICHAEL GUNN has been appointed Pro Vice Chancellor (Learning, Teaching and Scholarship) at the University of Derby.
From 1 September 2006, PROFESSOR FIONA COWNIE moved from the University of Hull to the Law Department at the University of Keele. Her new details are Law Department, Keele University, Keele, Staffs ST5 5BG t 01782 584 130 e email@example.com.
STIRLING 2006 CONFERENCE ORGANISER
Nicole Busby
firstname.lastname@example.org
LIVERPOOL 2005 CONFERENCE ORGANISERS
Helen Stalford
email@example.com
Fiona Beveridge
firstname.lastname@example.org
SLSA EXECUTIVE MEMBERS
Rosemary Auchmuty University of Westminster e email@example.com
Anne Barlow
University of Exeter
firstname.lastname@example.org
Dave Cowan
University of Bristol
email@example.com
Fiona Cownie
University of Hull
firstname.lastname@example.org
Robert Dingwall
University of Nottingham
email@example.com
Anne-Maree Farrell
University of Manchester
firstname.lastname@example.org
Dermot Feenan
University of Ulster
email@example.com
John Flood
School of Law, University of Westminster
firstname.lastname@example.org
Simon Halliday
University of Strathclyde
email@example.com
Caroline Hunter
Sheffield Hallam University e firstname.lastname@example.org
The School of Social and Political Studies at Edinburgh University is pleased to announce that DR FRAN WASOFF, the leading sociolegal researcher on family law and family policy in Scotland, has been promoted to a Personal Chair in Family Policies; DR KAY TISDALL, well-known for her research and publications in the field of children's rights, has been promoted to a Readership in Social Policy; ELAINE SAMUEL, who has undertaken a great deal of socio-legal research for the Scottish Executive, has been seconded to a senior research post in civil justice in the Scottish Executive Justice Department which she will combine with her part-time Senior Lectureship in Social Policy; ANDY
AITCHISON, who is completing a PhD in Criminology at Cardiff University on the reconstruction of criminal justice in Bosnia, has been appointed to a Lectureship in Social Policy.
DR ANDREAS RAHMATIAN has left the University of Stirling and moved to the Law Faculty at the University of Leicester e email@example.com.
At Brunel, CHRISTINE PIPER has been promoted to a Chair and FELICITY KAGANAS has been promoted to Reader, both posts are in the School of Social Sciences and Law.
Sussex Law School is delighted to welcome SUSAN MILLNS who took up her position as Chair in Law in October 2006, joining from Kent Law School. PROFESSOR HARRY RAJAK, who made a significant contribution to the development of Law at Sussex, retired in July.
Grace James
University of Reading
firstname.lastname@example.org
Bettina Lange
Keele University
email@example.com
Morag McDermont
University of Bristol
firstname.lastname@example.org
Richard Moorhead
Cardiff University
email@example.com
Bronwen Morgan
University of Bristol
firstname.lastname@example.org
Newsletter contact details
Marie Selwood, Editor ✉ Socio-Legal Newsletter, 33 Baddlesmere Rd, Whitstable, Kent CT5 2LB t 01227 770189 e email@example.com. The next copy deadline is Monday 27 January 2007.
SLSA website and directory
The SLSA website is currently undergoing an extensive redesign and restructuring. This also includes the process of integrating the directory into the website in its new electronic format. Members will be contacted in the near future via the email network with news on developments.
w www.slsa.ac.uk
ABBE BROWN has been appointed Lecturer in Information Technology Law at the University of Edinburgh.
From 1 September 2006, MATTHEW WAITES moved from Sheffield Hallam University to become Lecturer in Sociology in the Department of Sociology, Anthropology and Applied Social Sciences at Glasgow University.
DESPINA KYPRIANOU, an advocate and a PhD student at the London School of Economics (Law Department) has been appointed by the President of Cyprus as one of the five members of the newly formed Cyprus Independent Police Complaints Commission.
At an ESRC award ceremony in London recently, DR MICHAEL NAUGHTON was runnerup for the first ESRC Michael Young prize. There were nearly 200 applicants (across the social sciences) of whom seven were selected as finalists. The Michael Young prize was founded to encourage new social scientists to communicate their research in a lucid way to non-academic audiences, and 'rewards work which is of relevance to a wider audience, based on research of evident social and economic value and which achieves insight into contemporary society and the patterns and dynamics of social change'. There was one prizewinner and two runners-up, all of whom received cash prizes.
NICK WIKELEY has retired as Hon Secretary of the Society of Legal Scholars and been succeeded by PROFESSOR STEPHEN BAILEY of the University of Nottingham.
firstname.lastname@example.org.
© Socio-Legal Studies Association 2006 ISSN: 0957-7817
THE MERRY WORLD OF METRICS
SLSA vice-chair Tony Bradney explains why metrics and socio-legal studies don't mix.
Research Assessment Exercises have become ubiquitous in academic life. Whilst each exercise has been different their basic format has remained the same. Departments are asked to return a range of data for the RAE period including things like numbers of research students and amounts of research income. These returns are then read by the RAE panel and an overall judgement of the quality of research in the department is reached and published. In law the panels have always been clear that the most important information returned by departments concerns the publications that have been produced during the assessment period. It is the peer assessment of this material that has determined the overall rating given to the law school. The merry world of metrics promises to change this approach.
The idea of metrics was first raised by Gordon Brown in a budget speech. The basic idea is that the RAE should be simplified and departments asked to provide only quantifiable data, taking out the element of peer assessment. This would mean adding to the range of metric data that is already given and finding some mechanism to judge the quality of publications in a mechanical manner. The most obvious way of doing this would be to resurrect the idea, mooted by the AHRC, of a list of top journals.
The main thrust of metrics is to make the research audit process cheaper. For universities it has the attraction of reducing some of the bureaucracy attendant on producing returns. A metrics approach is already said to dominate some of the hard
SLSA POSTGRADUATE CONFERENCE 2007
science assessments in the RAE. It has only one problem for the social sciences and humanities in general and socio-legal studies in particular. There is no conceivable metrics approach that could ever come close to producing a defensible judgement of research quality. In a context where government ministers vie with each other to produce ever-more inane ideas about higher education, Gordon Brown is to be commended for producing something that takes us to a new level of silliness. Both the SLSA and the Society of Legal Scholars rejected the AHRC's call for a list of leading journals on the grounds that there is no way of arriving at agreement on such a list. Repeated RAE law panels have noted that research of international quality was found in a huge range of journals and in books from a wide range of publishers. Things like amounts of research income are important for some scholars' work and inconsequential for others. In an area like socio-legal studies, where new areas of work are constantly emerging, metrics would be deeply problematic since, because of its quantitative approach, it would tend to value mainstream, majority scholarship. In judging the quality of research there is no metrical proxy for peer judgement.
Early reactions to the call for metrics have been mixed. The Research Councils seem to be in favour, either because they genuinely believe that the approach would be good for the universities or because they think it would enhance their own status. The academic community across a range of social science and humanities disciplines seems hostile to the approach because of the problems noted above. Changes to the RAE process are inevitable; each exercise has been slightly different to that which preceded it. However it is too late to change the 2008 exercise now and, whatever additional merits are put into future exercises, the peer review element is essential if the academic community is to take the exercise seriously.
The conference is aimed at students who are contemplating a career in research. This year, for the first time, we are inviting some final-year undergraduate students who may be thinking of progressing to socio-legal research to join the conference.
Bristol, Wednesday 10 and Thursday 11 January
The SLSA regards the encouragement and support of postgraduates working in the field of socio-legal studies as one of its most important roles. Our successful postgraduate conference is completely free for members and nonmembers alike. At this event, members of the socio-legal research community give their time to host this event for their junior colleagues. The conference is free – a refundable £50 deposit is required – and all accommodation and refreshments are also included in the package. The deadline for registration has been extended to 15 December 2006.
The 2007 conference will be run principally through small group workshops. Sessions will be led by sociolegal academics from the SLSA – some at the beginning of their careers in sociolegal studies, others with established research and publication records. Students will be able to choose sessions reflecting both their interests and the stage they have reached in their own career.
SLSA SEMINAR COMPETITION
One of the principle aims of the conference is to facilitate networking between postgraduate research students with similar interests, theoretical or methodological approaches. Everyone who attends will be invited to submit a synopsis of their research interests. These will be distributed to all students attending the conference and will be used to construct workshop sessions of students working in compatible areas.
The topics covered in the conference workshops will be: giving a conference paper; getting published; time management and managing your supervisor; academic job-hunting; sociolegal studies as an academic discipline; submitting a research proposal – for students at the beginning of research training; exploring different methodologies; ethical issues in research.
If you have any questions about the conference, contact Morag McDermont at Bristol University School of Law: e email@example.com.
The conference programme and registration form can be found at w www.slsa.ac.uk/conferences/future_pg.
The SLSAis delighted to announce a new annual seminar competition to complement our well-established SLSA small grants scheme.
The total seminar competition fund will be £5000 per year which may be awarded to a single proposal or divided between a number of applicants. The money can be used to support the delivery of either an individual seminar or short conference, or a series of events. There are no restrictions concerning the subject matter, provided applicants can show relevance to the socio-legal community. Lead applicants must be members of the SLSA. Applications will not be considered where the amount of support required from the SLSA is less than £300, or where the event is targeted at staff or students of a single institution. The full competition criteria are on the website at w www.slsa.ac.uk/prizes&grants/ seminars.htm. Applications should be submitted by email or post to: Professor Julian Webb, SLSA Secretary ✉ School of Law, University of Warwick, Coventry, UK CV4 7AL t 0247 6150231 e firstname.lastname@example.org. Closing date: 5.00pm on 31 January 2007.
3
UPDATE ON BERLIN 2007
Preparations for the large and exciting international socio-legal meeting to take place in Berlin next year are now well advanced. Bronwen Morgan summarises developments.
As mentioned in previous newsletters, the meeting is cosponsored by, in addition to the SLSA, five other socio-legal organisations from all over the world. It will take place at Humboldt University in Berlin from 25–28 July 2007. The theme of the meeting – Law and Society in the 21st Century: Transformations, Resistances, Futures – is intended to encourage debate on the transformations that are redefining law and society in the new century. However, papers on all sociolegal topics are welcome.
If you're interested in participating, you need to start planning very soon. We encourage the participation of those who otherwise would not have thought to attend, especially newer and junior socio-legal scholars and graduate students. This article provides a variety of pointers to the different ways in which you can get involved. If you have further questions, please contact Bronwen Morgan e email@example.com.
The Call for Participation is now live on the SLSA website and also on the LSA website. There is also an additional website hosted in Germany providing instructions in German and Japanese (see weblinks box for details). The LSA provides clear instructions for on-line submission of papers or full panels, and all submissions will be accommodated if the closing date of 12 January 2007 is observed. You can submit an individual paper, or you can get together with three or four other people and submit a proposal for a full session. You can also choose to present your research in poster form. If you don't want to present a paper, you are still encouraged to attend, perhaps by volunteering to act as a discussant or chair for panels. You can also do this through the online registration system.
If you don't know other people but would still like to form a session, you can put out a call for interested people via the discussion board on the SLSA website or a similar board on the LSA website (see weblinks box opposite).
SLSA SMALL GRANT PROJECT REPORT
The impact of human rights in Scotland: five years after devolution
Penny Martin (independent researcher)
This project considered the socio-legal impact of the European Convention on Human Rights (ECHR) (given effect by the Human Rights Act (HRA) 1998 and the Scotland Act (SA) 1998) on law, policy and practice in Scotland since devolution.
Few analyses of the implementation of the ECHR in the UK take into account the specific legal, political and social context in Scotland. This research sought to consider the ECHR's impact in Scotland using the theory of 'legal cultures'. This holds that law can only be understood in its social context, such that legal change takes place and can only be effective to the extent that the existing 'internal' and 'external' legal cultures (the former being legal and political insiders, and the latter the public, non-governmental organisations, the media etc) accept, adapt and interpret the introduced legal norms. This approach appeared particularly apt in the case of human rights norms, with the focus in UK political discourse on the development of a 'culture of human rights'.
This grant supported the conduct of in-depth semistructured interviews at different locations in Scotland and
Alternatively, if you don't know other people but would like to make some connections before suggesting something as concrete as a session – or would simply like a bit more focused supportive feedback – then you should venture into the world of acronyms! The conference features Collaborative Research Networks (CRNs), Working Groups (WGs) and International Research Collaboratives (IRCs), which are all really variations on the idea of 'streams' familiar from our own SLSA conferences. You can contact the people runing these stream-like initiatives, saying you are interested in the their broad theme and ask for support or suggestions on how to participate.
CRNs are open-ended groups of scholars interested in particular themes, located in the LSA. WGs are open-ended groups of scholars interested in particular themes, located in the Research Committee on Sociology of Law. IRCs are focused on specific time-limited research projects and therefore some of them may not accept additional members after a certain date, but you can always contact those who lead them to find out (see weblinks box).
There is a Berlin Blog, for everyone – whether compelled or confused by all this information – where anyone can read information and offer comments or questions about any of the aspects of the conference.
Finally, if none of the above is helpful, you are encouraged to contact individual members of the Programme Committee who share your interests. Their names, contact details, interests, and the 'keyword' areas they are responsible for are all available on the LSA website.
If you are a postgraduate student, you can take advantage of everything described above, but in addition the meeting will include a Graduate Student Activity (GSA). The SLSA is providing funding subsidies to our members to help postgraduate students attend this (see p 5). The LSA is also offering travel subsidies open to all (details available on the Call for Papers website).
In short, there are many features of this meeting that promise to make it a very exciting one for anyone interested in socio-legal approaches to law and legal systems and want to explore the international and global possibilities of their work.
England with the following parties selected with the assistance and guidance of the project's Advisory Board: the Scottish judiciary; members of Scottish Parliament (MSPs); members and staff of Scottish Parliament cross-party committees; the Faculty of Advocates; solicitors and Solicitor Advocates; senior Justice Department civil servants; senior civil servants at Whitehall; the Judicial Studies Committee; the Scottish Law Commission; political party spokespersons; Scottish Legal Aid; parliamentary researchers; parliamentary legal advisers; academics; and nongovernmental organisations. The interview data were supplemented by research of primary and secondary materials from Scotland and other 'bill of rights' jurisdictions.
The interviewees were asked pre-seen questions based on a funnel structure regarding their views on the trajectory of human rights since devolution, the key devolved areas in which human rights issues have or have not been raised, the responses of the key Scottish institutions, the general attitudes towards human rights in the broader community, the drivers and inhibitors to implementation, possible reforms and the impact of the ECHR on the processes of their workplaces and their individual professional duties.
The predominant perception was that the ECHR has had a 'moderate' impact in Scotland, after an apparent novelty period in the first year that was driven by a small group of lawyers and caricatured by the media.
The response of the courts was considered to have been the most conservative of the Scottish institutions. The key direct
The unprecedented co-sponsorship by six socio-legal organisations will facilitate a truly diverse, international group of participants. Special graduate student activities will foster the development of international connections among the next generation of socio-legal scholars. The presence of IRCs, WGs and CRNs will provide easily accessible spaces for international collaboration and dialogue. We think that this meeting will be a real milestone in socio-legal studies and an event not to be missed. Join us!
Graduate Student Activities and SLSA Bursaries
The Graduate Student Activities (GSA) are a series of events for postgraduate students attending the Law and Society Association Annual meeting in Berlin. The overall theme of the GSA will be Building Dialogue in Socio-Legal Studies – a dialogue among scholars of different methodological and regional/intellectual traditions, and between scholars and those they study, about the relation between socio-legal studies and politics. Events begin with an informal social for postgraduates on the Thursday evening. On the afternoon of Friday 27 July there will be a panel discussion amongst invited international scholars, followed by small group discussions and workshops in which postgraduates can discuss their own research. During the weekend there will be workshops on getting published and getting a job, plus a chance to meet informally with established academics working in the field of your research.
The GSA will require advanced registration and a small fee (US$5). Information on the programme will be available later on the conference website (see weblinks box).
The SLSA will be providing 10 bursaries of £100 to postgraduate members of the SLSA to help with the costs of travel to Berlin and with their accommodation. The programme for the GSA and a bursary application form can be found on the SLSA website Berlin 2007 page. For further information contact Morag McDermont at e firstname.lastname@example.org.
legal impact has been in the field of criminal law, in particular, Article 6 arguments relating to fair trial, judicial independence and delay, and less so in other areas such as planning and employment and least so in the areas of housing, education and health. Even though the HRA and SA empower the Scottish courts to strike down legislation of the Scottish Parliament, these rules were overlaid on a legal culture that was, until relatively recently, more sceptical about international norms than the English legal system. This background was felt to affect current attitudes to ECHR arguments and often result in a deferential and conservative approach.
Some interviewees questioned whether the Scottish legal system has the capacity to ensure that all potential human rights issues are drawn out, as legal practitioners were perceived to lack training on human rights issues, standing rules are restrictive and legal aid is limited. A test case culture does not exist in Scotland and the non-governmental sector is small and struggles to obtain adequate funding.
According to a number of interviewees, the Scottish Parliament and Scottish Executive have responded reasonably proactively to the ECHR after initial legal challenges, hence averting the risk of any successful challenges to the validity of Scottish primary or secondary legislation. However, the Scottish Executive has also pushed the limits of the HRA, for example in the case of Napier (relating to slopping out in prisons), forcing the courts to take a more robust stance.
New CRN – collective human rights
Just in time for the call for papers for Berlin 2007, the LSA has approved the establishment of this new CRN, to focus on the area of collective human rights. The network has been established to provide a forum for cooperation in relation to an often-overlooked field of human rights research, which is particularly well-suited to socio-legal study, in the sense that socio-legal approaches are capable of giving voice to those whose concerns are often stifled by dominant states and dominant law. Researchers from around the world will use the network to collaborate and promote debate on a range of collective rights areas, including self-determination and sovereignty, women's rights, the rights of indigenous peoples, language rights, minority rights, and the rights of refugees and asylum seekers. Research will cover the spectrum from theory and philosophy, to implementation and enforcement of collective human rights. As well as facilitating collaboration through a mailing list and discussion board, the organisers will organise a stream of panels and papers as part of the 2007 Berlin joint socio-legal meeting. The network will then continue to operate into the future, with plans to promote publication and future conference activity in the area of collective human rights.
Organisers: Amy Maguire, University of Newcastle, Australia e email@example.com and Paddy Hillyard, Queen's University Belfast e firstname.lastname@example.org.
Berlin 2007 weblinks
www.slsa.ac.uk/conferences/berlin07 www.lawandsociety.org/ann_mtg/am07/call www.lsa-berlin.org (German and Japanese) CRNs: www.lawandsociety.org/CRN/crn4.htm WGs: www.ucm.es/info/isa/rc12.htm IRCs: www.lawandsociety.org/international/ic_sum.htm Blog: http://berlin2007.wordpress.com PC: www.lawandsociety.org/ann_mtg/am07/PC_bio.htm
Discussion boards
www.slsa.ac.uk/boards/index.php?c=2 www.lsaboards.org/pbb
The Scottish Parliament was seen by some not to be doing enough to hold the Executive to account on human rights issues, although the cross-party committees of the Parliament were seen to be quite effective. It was felt that many MSPs lack comprehensive knowledge of Scotland's human rights obligations and understanding of the basic concepts of Strasbourg jurisprudence, for example proportionality. The resulting risk is the development of a 'checklist' mentality to human rights compliance.
Almost all interviewees supported the appointment of a Scottish Commissioner for Human Rights to enable the system to mature and develop institutional capacity. Interestingly, few interviewees believed that there was anything identifiably Scottish about the response to the ECHR. Furthermore, many interviewees believed that Scottish civil society has a negative perception of ECHR rights, mainly due to the media depiction of human rights litigation. Many interviewees felt that a Scottish Commissioner could go some way towards addressing these issues.
During the project, the grantholder also spent three months as a Visiting Research Fellow at Queen Mary, University of London. The research is currently being completed as a report and developed into a journal article to be submitted for publication in 2007. The award of an SLSA Small Grant was greatly appreciated as it made it possible to undertake this research. e email@example.com
5
Policing and defending in a post-PACE World
Next year marks the 21st anniversary of the implementation of the Police and Criminal Evidence Act (PACE) 1984. The time has come to address the question – has PACE come of age, or should it be pensioned off? The Government appears to have lost virtually all interest in research into the fairness, effectiveness and impact of safeguards for suspects. We are unlikely to see a repeat of the kind of overview of PACE that David Brown of the Home Office Research and Statistics Directorate carried out on PACE a decade ago ('PACE Ten Years On', Home Office Research Study no 155). For this reason, we are organising a one-day conference on 29 March 2007 to bring together academics, researchers, defence lawyers, police officers and policy-makers to examine the critical questions and issues surrounding PACE (see p 15 for details).
justice and . . . the rights and liberties of persons suspected or accused of crime', it was founded upon the principles of 'fairness', 'openness' and 'workability'.
PACE was an innovative and controversial attempt to regulate the investigation of crime and, in particular, the detention and questioning of suspects. Based upon the recommendations of the Royal Commission on Criminal Procedure, which envisaged that it would represent a balance between 'the interests of the community in bringing offenders to
PACE now operates in a very different context than that in the mid1980s. On the one hand, crime rates have declined and the Human Rights Act 1998 has resulted in a greater awareness of the human rights implications of policing powers. On the other, PACE and the Codes of Practice have frequently been amended to give the police greater powers, attitudes have changed with regard to the collection and retention of personal information, and the demands on those suspected of crime to co-operate with the police have increased. Relations between the police and suspects (and their defence advisers) have been further complicated by the growing recognition of victims' interests at the pre-charge stage, and by the fact that responses to terrorism have resulted in a parallel system of regulation which is, nevertheless, closely interrelated with PACE.
There have also been substantial shifts in the organisations and groups that operate within the PACE framework. The police service, for example, has become increasingly professionalised, but also increasingly driven by government inspired incentives, objectives, targets, inspection and audit. And there are now
Sport and EU politics at Loughborough
The Department of Politics, International Relations and European Studies at Loughborough University recently hosted a workshop on 'Sport and the EU 10 Years after Bosman: Situation and Perspectives'. The seminar, organised jointly with Sport&EU, the Association for the Study of Sport and the EU (w www.sportandeu.com), was sponsored by the Department of Politics, International Relations and European Studies, the School of Sport and Exercise Sciences and the East Midlands Eurocentre. It brought together 21 academics and practitioners from 14 institutions in three different countries with the aim of assessing the origins, current status and possible future developments of the EU's involvement in sport-related matters and to review the state of academic research on the topic.
The seven papers presented, plus the guest speakers, covered a range of issues from a truly interdisciplinary perspective. Dr Richard Parrish (Edge Hill University, UK) provided an introduction drawing delegates' attention to issues relating to the extent of legal certainty in the regulation of professional sport and the possible emergence of a space of supervised autonomy for sports governing bodies. He also emphasised the need for appropriate analytical frameworks in the study of the discipline.
The conference was relatively football-centric despite the best efforts to secure papers on a wider range of sports. Papers covered subjects such as stakeholder representation in the governance of football; the development opportunities open to British basketball players after the ruling of the Bosman case; the new transnational efforts to create a regime against doping; the new FIFA rules for international transfers in force since 2005; the tension between representation and power in football; attitudes far fewer defence firms of solicitors, subject to far greater governmental regulation, than was the case in the mid-1980s.
At the one-day conference, national and international speakers from diverse practitioner and academic standpoints will systematically scrutinise different aspects of PACE in the context of policy and legal developments and research evidence. Speakers will also consider whether the particular approach to regulation embodied in PACE – especially the Codes of Practice – has been effective, and whether it forms an adequate basis for regulation in the future. Speakers include David Dixon, from the University of New South Wales, and John Jackson, from Queen's University, Belfast, who are at the forefront of thinking concerning pretrial regulation. Police perspectives will be provided by Chief Constable Barbara Wilding and Chief Superintendent John Long and defence perspectives by Ed Cape and Anthony Edwards. Andrew Sanders (Manchester University), Richard Young (Bristol University) and Eric Shepherd (a consultant forensic psychologist) complete the line-up of speakers. For details contact Susan Harris e firstname.lastname@example.org.
Richard Young and Ed Cape of EU citizens towards an increased EU role in the field of sport; and the question of what European integration studies can get out of analysing football. It was evident in the debates that, in the study of sport and sport policy at European level, we are dealing with a multiplicity of actors and venues with 'joined-up thinking' often lacking. It is also important to be careful about treating sport as unique or exceptional. Some systematic comparison with other EU policy arenas would be welcome. We must also be careful about confining ourselves to the EU level: it is also necessary to know more about sports policy at MemberState level. As Professor Wyn Grant (Warwick University, UK) concluded, this workshop illustrated 'that the study of sport and the EU is now being taken much more seriously than it was, that interest in the area does not simply reflect a perception that it offers light relief and that the quality of work is improving by leaps and bounds'.
More information about the workshop, including downloadable versions of the papers can be found at w www.sportandeu.com/workshop. Borja Garcia
DEFRA review of environmental legislation
Professor William Howarth of Kent Law School has been part of a team commissioned by the Department for Environment, Food and Rural Affairs to research and report on the effectiveness of enforcement of environmental legislation in the UK. Prepared in conjunction with the leading environmental consultants, WRc, the report is due for publication later this year and contributes to a wider review of environmental enforcement being undertaken by DEFRA.
Building the legal education gateway
Do you use resources created by other academics, whether from law or another discipline, in your teaching? Do you share the resources you create? New services aimed at enabling the average academic to find and contribute learning and teaching resources are now available, with the Jorum repository going live in the spring and SOSIG, including the SOSIG law gateway, relaunched in July as Intute.
The UK Centre for Legal Education has launched leGATE, a new service aimed at highlighting key resources to support law teachers. A database of learning and teaching resources, leGATE includes details of both web-based and offline resources. It can help you identify examples of how other law teachers have used a particular approach, or to find out about research in the legal education field. Articles from a number of journals are already included, as well as the best websites and learning resources we have run to ground so far, and we aim to expand coverage of the database over the coming year.
However it is recognised that there are significant barriers to the widespread take-up of resource sharing among law teachers – and not just of a technical nature. UKCLE's Good Practice in Sharing Resources in Law project investigated the landscape in law, aiming to find new ways to promote the sharing of resources and to increase the findability of resources supporting law teachers. Work on the project fell into two main areas: gathering the views of the legal education community and mapping law participation in existing services.
The project has identified five key themes around the issue of resource sharing, with some pointers to effective practice in relation to those themes.
1. The reusability paradox – resources need context to be effective, but reusability is best without context. Reusing aims to prevent 'reinventing the wheel', but institutions may require materials to be written to a specified format or style. Resources you create yourself reflect your own personality and teaching style – and can be fun to create. On the other hand, reusing other people's resources can be inspiring – it is rewarding to see others using your work and to help colleagues in return for their help.
2. If we build it will they come? Building and sustaining a user community is not trivial. The factors needed to sustain a 'community of practice' are not yet clear, and substantial support is required in terms of both technical development and information management. While a user community must emerge rather than be imposed, there is still a need for a facilitating role, and the community 'home' must have a baseline of content at the start.
3. What type of service? It is essential to be realistic about what can be achieved, and to be clear about the service(s) on offer. What is to be reused – content, tools, processes? Authors should be encouraged to take responsibility for depositing
Consultations
Nuffield Council on Bioethcis: the forensic use of bioinformation
The Nuffield Council on Bioethics would like to hear about views on a number of questions raised by the ethical issues surrounding the forensic use of bioinformation. The period of consultation will last for three months. The forensic uses of bioinformation have the potential to raise a number of ethical, social and legal issues The council has formed a Working Group to examine the issues further and it will consider all responses The council plans to publish its report in autumn 2007. Deadline for responses: 30 January 2007. A consultation paper and more information is available at: w www.nuffieldbioethics.org.
and describing their resources. Services need to make a trade-off between quantity and quality, in particular given the inherent difficulties in identifying best practice. A peer rating and reviewing system is a useful feature.
4. Technical, metadata and copyright issues – technical churn is a fact of life. It is important to allow for slippage in the development of tools and to keep the platform simple, while 'future proofing' as far as possible. If services are to be interoperable it is important to create and maintain high quality metadata records, while also exploring complementary and more informal modes of resource description. Despite the apparent lack of clarity and knowledge regarding the copyright of learning and teaching resources, intellectual property rights are not as significant as many may fear, at least until fully customisable resources are on offer.
5. The legal education information environment – our survey indicates that law-based services are the most attractive solution, however a certain amount of advocacy work will be required on behalf of enthusiasts in order to engage their peers. The prevailing law school culture is a factor – notably the presence or absence of a team culture amongst law teachers. The nature of the information landscape for law, with a large and complex map of services and a reliance on proprietary datasets, may also be a barrier. Current information-seeking behaviour may have a significant impact on the sharing of resources – but that is a question calling for further research!
As academics, law teachers are comfortable with, or at least accustomed to, the prevailing academic publishing model of submitting articles to peer-reviewed journals. This publishing process has a recognised system of rights and rewards, and is the key outlet for thinking in relation to academic research. However, new forms of electronic publishing are leading to attacks on this traditional model, with digital repositories offering an alternative or additional route to peer-reviewed journals.
UKCLE is developing a range of support services aimed at encouraging the legal education community to make its knowledge visible in new and hitherto unaccustomed ways and to enable law teachers to explore more informal modes of publishing – see for example our new e-learning weblog, 'Digital Directions'.
Further information on the Good Practice in Sharing Resources in Law project can be found at w www.ukcle.ac.uk/research/projects/sharing.html. Find out more about leGATE and search the database at w www.ukcle.ac.uk/legate. We would welcome submissions of new resources for the database – contact e email@example.com.
Ann Priestley
Scottish Executive: Abolition of Priority Need
The Ministerial Statement on the Abolition of Priority Need published in December 2005, confirmed that Ministers intend to legislate this year to make changes to the current local connection provisions within homelessness legislation. This consultation paper is part of that process and is intended to ensure interested parties can express their views on the changes proposed and the effective monitoring of these. Deadline: Friday 15 December 2006. Details of all consultations issued by the Scottish Executive can be found on the SE website at: w www.scotland.gov.uk/consultations.
RSPMB Research Group
The Regulation of Socially Problematic Medical Behaviour (RSPMB) Research Group is based at the University of Groningen in the Netherlands. Its work consists of a number of research projects involving the interdisciplinary and comparative study of questions concerning the regulation of socially problematic medical behaviour. The group has recently enlarged the scope of its interests to situations in which the death of a patient is not necessarily involved.
A major current project is a new edition of Euthanasia and Law in the Netherlands (J Griffiths, A Bood and H Weyers, 1998). The new book (planned for 2007), by John Griffiths, Heleen Weyers and Maurice Adams, is entitled Euthanasia and Law in Europe (with special attention to the Netherlands and Belgium). It will cover law, medical practice and the legal control regime for all medical behaviour that shortens life (including, for example, a chapter on termination of life in neonatology). It will contain a comprehensive treatment of the situation in Belgium, where euthanasia was made legal in 2002, and legal developments in the Netherlands since 1998 (including the euthanasia law of 2002, the Regional Assessment Committees, and new case law, such as Brongersma which rejected the availability of physician-assisted suicide for persons whose suffering is not medical). Data from a large number of empirical studies in the two countries will be featured as will overviews of the law and available data in a number of other European countries.
In 2004, Heleen Weyers published a comprehensive history of the ethical, medical and political debate on termination of life on request between 1945 and 2002 (Euthanasia: The process of legal change, Amsterdam University Press). Her research since then has included explaining why legalisation of euthanasia first occurred in the Netherlands and the effectiveness of legislation regulating smoking.
Graciela Nowenstein Piery's work examines the failure of the French attempt to modify organ donation behaviour by means of a law presuming consent. Following the law from inception to practice, the study shows that professionals with the power of presuming consent used it only occasionally before the late 1980s and ceased doing so in the 1990s. In practice, presumption of consent is not applied when in conflict with the views of donors' relatives. From 2007, Nowenstein Piery, recently awarded a European Commission Marie Curie Fellowship, will join Groningen's Department of Legal Theory to work on a two-year continuation of this research in relation to Italy and the Netherlands.
Another current project, by Nicolle Zeegers, concerns the regulation of research using human embryos and stem cells.
The RSPMB also has a strong doctoral programme. Completed theses include, for example, Cristiano Vezzoni's recent doctoral study on treatment (or advance) directives. This included a critical survey of the legal status of treatment directives in a large number of jurisdictions and of the rather limited empirical data available. The study of the practice in the Netherlands, where these documents are legally binding on doctors, concluded that treatment directives are more frequent there than elsewhere in Europe but low relative to North America and that they probably have little effect on medical decision-making. This may be because doctors do not promote their use, are not inclined to accept their binding nature, and policy measures to complement the legal position have not been put in place. Dick Kleijer's work on regulating life-prolonging treatment in Dutch intensive care units was an empirical study of decisions to withhold or withdraw treatment. It includes a
Sussex Law School news
proposed national protocol based on the research findings, the opinions of respondents (doctors and nurses), Dutch law, medical ethics and the international literature. Donald van Tol's dissertation on the classification of euthanasia and other medical behaviour that shortens life explored how GPs, coroners and prosecutors classify cases in which death is hastened by something the doctor does or does not do. It concludes that there are fundamental differences between the legal and medical perspectives that are responsible for the unsatisfactory reporting rate of euthanasia. Doctors do not regard as euthanasia many cases that prosecutors would expect to be reported as such. Van Tol is now researching unbearable suffering, a crucial requirement for lawful euthanasia in the Netherlands.
Ongoing doctoral research includes Kim Goossens' project seeking to explain the different outcomes in judicial decision-making concerning medical end-of-life decisions. Landmark cases from the Netherlands, UK, US and Canada concerning active voluntary euthanasia, physicianassisted suicide and the termination of life of newborns with severe birth impairments are being compared and analysed. Sofia Moratti's interdisciplinary and comparative research analysing the concept of medical futility – as a criterion for clinical decision-making on withholding and withdrawing interventions in individual cases – aims to explicate its function in the context of the ethical and legal rules governing the practice of medicine and to explore its role in case-by-case decision-making
If you would like to know more about the RSPMB Group please contact Sofia Moratti e firstname.lastname@example.org or visit w www.rug.nl/law/faculty/ departments/rth/rechtssociologie/onde rzoek/rspmb/index.
European Group of Public Administration
In September 2006, Susan Millns began work on a three-year European Community FP6 Strategic Targeted Research Project involving nine partner institutions and entitled The Strasbourg Court, Democracy and the Human Rights of Individuals and Communities: Patterns of Litigation, State Implementation and Domestic Reform. For further details see w www.eliamep.gr.
Dr Marie-Benedicte Dembour is currently co-editing a volume on Paths to International Justice: Social and cultural perspectives which is the result of a workshop held in September 2005 with the support of the ESRC and the British Academy. It explores the social life of international criminal and human rights judicial institutions by paying attention to the way ordinary people turn to (or avoid) these institutions and what they expect and get from them. w www.sussex.ac.uk/law
The European Group of Public Administration (EGPA) is a Regional Group of the International Institute of Administrative Sciences (IIAS) which exists to strengthen contacts and exchanges among European specialists in public administration, both scholars and practitioners. Its annual reunion is held in various European universities. In addition to meetings on the general workshop theme, research and study groups meet to present papers and work on subjects of common interest. A new study group on administrative law, inaugurated by Professor Jacques Ziller of the European University Institute, Florence, met at Milan in September and would welcome new members. EGPA provides an excellent opportunity for public lawyers to meet with political scientists, public administrators and other students of the administrative sciences from around Europe. More information is available on the IISA website w www.iiasiisa.be/egpa or from Professor Ziller e email@example.com.
Australian Research Council projects
Australian Innovations in legal aid services: balancing cost and client needs
Cate Banks, Rosemary Hunter and Jeff Giddings recently completed this project which aimed to evaluate the effectiveness of recent Australian innovations in legal aid service delivery and to examine the impact that new legal aid services have on their consumers. The project involved a series of qualitative case studies of duty-lawyer services, group-based services, self-help kits and technology-based services. Major themes arising from all of the case studies included issues of the planning and design of services, the need for services to be user rather than providercentred, the need for coordination with related services and providers, and the need for systematic monitoring and evaluation of service performance and cost-benefits. While a few of the case studies provided exemplars of effective service provision, most were susceptible to significant improvement and some appeared no longer to serve any valuable purpose.
Women and legal aid: identifying disadvantage
This research, by Rosemary Hunter, Tracey De Simone and Louise Whitaker, with Jane Bathgate and Alicia Svensson, was undertaken in conjunction with Legal Aid Queensland and examined barriers to access to legal aid for indigenous women, women from non-English-speaking backgrounds, women with a disability, older and younger women and women living in regional and rural areas. It examined statistical patterns of applications for and refusals of legal aid and analysed the files of women refused legal aid. Interviews were conducted with women refused legal aid and women representing themselves in court. Lawyers, community workers and legal aid grants officers were also interviewed. The study identified a range of barriers to women applying for and receiving legal aid, communicating with the legal aid funding body, appealing against decisions to refuse legal aid, and achieving satisfactory outcomes to their legal problems. Some of the problems applied to particular target groups of women while others applied in different locations or across the board. It concluded with a series of recommendations aimed at achieving a greater level of equity among legal aid applicants between offices, over time and regardless of personal characteristics. The executive summaries and full reports of both legal aid projects can be found at w www.griffith.edu.au/centre/slrc, by following the links to 'publications' then 'reports'.
Collections, creators and copyright
Andrew Kenyon and Andrew Christie were awarded funding from the Australian Research Council for their three-year project, Cultural Collections, Creators and Copyright: Museums, Galleries, Libraries and Archives and Australia's Digital Heritage. The project investigates current and emerging ways of using digital collections in museums, galleries, libraries and archives, in the light of copyright law and the interests of creators. It will assist Australia to manage its digital cultural collections more effectively and balance the interests of creators, institutions and public accessibility. As well as project funding, the grant includes an APA(I) award for PhD research. Along with the Australian Research Council, 10 organisations are partners in the project: Arts Law Centre of Australia, Australian Centre for the Moving Image, Australian Film Commission, Museum Victoria, Museums Australia, National Gallery of Victoria, National Library of Australia, National Museum of Australia, Powerhouse Museum and the State Library of Victoria. More information is available at w www.law.unimelb.edu.au/cmcl.
Centre for the Study of the Child, the Family and the Law, Liverpool University
For the last 18 months Centre Director, Professor Christina M Lyon, has been working with Mike Jones – now of the centre, formerly with The Children's Society (TCS) – to run a series of Agenda Days. This research also involved colleagues from Investing in Children, TCS, Edinburgh University, the European Yes Forum, young people from the Just Don't Tick the Box Group and children and young people from Liverpool, Newcastle, London, Bath and Durham.
The project was set up in response to concern by researchers about the requirement – related to so much government development of policy or funding of projects for children and young people – of being able to tick the participation box (typified by Virginia Morrow's labelling of the situation as the crisis of participation). At the Agenda Days, the children and young people were invited to decide what they might want to do about issues which concerned them. They decided that they wished to run 'adult-free zones' to enable them to put forward, unprompted by adults, those issues of concern to them in their daily lives. The Agenda Days are running until January 2007.
Out of these sessions, some of the participants might want to do follow-up research themselves on what steps might be taken to help address their concerns or do something about a particular problem. This could involve contacting schools, neighbourhood groups, local councillors, the Children's Commissioner or MPs. The results will then be fed into a Showcase Day in spring 2007 for children and young people from the English Agenda Days to put forward what they have done so far. They will be supported in all this work by staff from the centre, TCS, Investing in Children and the Yes Forum. The children and young people from Liverpool will also be encouraged to take their findings to the Liverpool Children's Festival 2007. Following on from this, the researchers are also hoping to set up Agenda Days in Scotland, Wales and Northern Ireland. There will be further showcases held in those countries in 2007 but the hope is that the whole will build into a major children and young people's event to be held as part of the Children's Festival for the Capital of Culture in Liverpool in 2008. European partners will also be invited and it is hoped that the event could attract children and young people from all over Europe and other parts of the world to talk about the issues which most concern them and to find common ground with their counterparts in the four UK jurisdictions.
The study is being written up by Christina Lyon together with the children and young people. Articles by Christina Lyon referencing this ongoing work and its history will also appear in Representing Children, and the Journal of Social Welfare Law. The Just Don't Tick the Box Group was also supported by the partners in this research in making a submission to the UNCRC Discussion Day on 15 September 2006. The paper can be found on the UNCRC website for the Discussion Day (wrongly entered as a submission from an NGO rather than by a group of children and young people). It will also be published in Young People Now. For further information on this work contact Professor Christina M Lyon on e firstname.lastname@example.org.
For more information about the centre's events, see p 15.
UKCLE resources
New resources available from the UKCLE include a set of materials for teaching EC law developed by Middlesex University for the Enterprise in Law project, case studies on the use of virtual learning environments in law schools and a tutorial on citing the law. For links to all these and a host of other resources visit w www.ukcle.ac.uk/resources/new.html.
9
Housing research from Bristol
Governing and governance: a social housing case study
The aim of this research was to examine the extent to which models of corporate governance are exportable from their private sector context to non-profit-making organisations. In particular, we examined the issues raised when corporate governance models are adopted. The context is the foundation of the 'market' in welfare services, such as social and health care, education, administration and housing.
In this case study of a social housing organisation, we looked at the role of the governing body – the board – in a newly registered social landlord (RSL), an organisation specifically created to take the transfer (under large-scale voluntary transfer – LSVT) of all of the housing stock owned by a local authority. From the outset this new organisation was constrained, by guarantees given to tenants, requirements of government departments and regulators, and a large loan and concomitant expectations of financiers. Within this complex environment the board of the association, made up of equal proportions from each of three constituencies – tenants, councillors and 'independents' – must govern. The research focused on the role of tenant board members, but raised issues of wider applicability.
Board membership by tenants, as well as councillors and independents, portrays a strong message that accountability to tenants, to the public at large, and to financiers are all valued. By reserving places on boards for tenants and councillors, LSVT RSLs have adopted an approach which is (ostensibly) more democratic and accountable than that in the traditional housing association sector.
Our second set of observations concerns expertise. There was strong evidence that in the early stages of the board's development, the expertise of the tenant members was highly valued. However, we suggest that expertise can be used as a 'dividing practice': dividing the board from the communities they are working for, and tenant governors from others because of their lack of professional or business expertise. Expertise divides paid staff from the board because the latter do not possess the highly specialised knowledges of the former, particularly in the area of private finance; and it de-politicises the role of the board, with board members assuming the role of providing a 'second opinion' to officers' proposals. Therefore, the overall world-view of the association is left unchallenged; and can produce over-reliance on individuals, whether they are board members with expertise, consultants or staff.
Given the central position that expertise appears to hold in the emerging forms of governance for public services, our research suggests the need for a greater understanding of the interplay between lay and expert knowledge, and the ways in which both can be understood as valuable to governing processes.
The research was funded by the ESRC through the Centre for Market and Public Organisation. The research report (Working Paper No 06/149) can be found on the CMPO website, w www.bris.ac.uk/depts/cmpo/workingpapers/workingpapers.
Dave Cowan, Morag McDermont and Jessica Prendergast, University of Bristol
Risk, trust and betrayal: a case study of social housing
The governance model adopted has been 'read across' from private sector models of governance – it requires that board members owe no allegiance to their 'constituency', but solely to the board. We call this the 'neutral allegiance model'. There are doubts, however, whether this model reflects either the theory or empirical reality of private sector corporate board membership. Although our key actors and board member interviewees mostly subscribed to the model, they all recognised that there were difficulties in its implementation. The greatest sources of tension arose for councillor board members who had been elected to represent the interests of constituents; and for tenant board members who are elected by tenants on a platform that they will represent tenants, but then cannot do so because of the need for neutrality.
Professor Dave Cowan and Dr Morag McDermont of the School of Law, University of Bristol, have also recently been awarded an ESRC grant of just under £100,000 for this new research project. The focus is the often conflictual relationship between local authorities and housing associations to provide housing for homeless households through nominations agreements. The project will examine the way in which organisations use contracts or simple agreements to govern ongoing relationships so as to balance risks and maintain trust between the different organisations. The research is due to begin in January 2007 and will run for 12 months. For further information contact: Morag McDermont t 0117 331 5122; e email@example.com or Dave Cowan t 0117 954 5224 e firstname.lastname@example.org.
Database on European experts
A new fully searchable database of people with experts on European (especially EU) affairs, including law, politics, economics and other disciplines has recently been launched: w www.expertoneurope.com. The website is owned and maintained by the University Association for Contemporary European Studies (UACES). The people who appear on the website are all members of UACES, and are entitled to be included in this directory as a benefit of membership. More about membership of UACES is available at w www.uaces.org. The database will be useful for academics, other researchers, journalists and any member of the general public interested in European affairs.
Current COMPAS research
COMPAS recently announced a new project, The Role of Migrant Health and Social Care Workers in Ageing Societies: Planning for the Future. The aim of the project is to examine the future need for migrant health professionals and lessskilled care workers in the context of ageing societies and workforces, and the implications this will have for immigration and integration policies. This is a two-year international project which started in October 2006 and is funded by Atlantic Philanthropies and the Nuffield Foundation.
which will extend over several years. The cities are supported in their peer review process by a group of expert European research centres in Oxford (COMPAS), Vienna, Liege, Amsterdam and Bamberg. This initiative will provide useful opportunities for cities in the EU which are in the start-up phase of new integration policies.
The European Foundation is launching the Network of Cities for Local Integration Policy (CLIP) to support the social and economic integration and full participation of migrants. The CLIP Network brings together 25 large European cities in a joint learning process
COMPAS is also developing its partnership with the community organisation Kalayaan. Kalayaan is a charity that provides advice, advocacy and support services for migrants working in private households in the UK. It recently obtained funding from the Big Lottery to undertake research on migrant eldercarers in collaboration with COMPAS. The project will further develop the centre's work on migration and care work and begins in January 2007. For more information on all these projects visit w www.compas.ox.ac.uk.
Courses
MA in Migration and Law
As facets of an increasingly globalised world, migration and law are matters of growing importance. The new Masters in Migration and Law, offered jointly by the Department of Politics and the Department of Law at Queen Mary, University of London, enables the student to correlate the theoretical and empirical, and the legal and social science aspects of the migrant experience. The degree will introduce the main theoretical and legal issues in the study of migration and equip students with knowledge of key themes and conceptual approaches used in analysis of movement of peoples. At the same time, the programme emphasises analytical and critical approaches to the study of migration and law.
By approaching migration issues from an interdisciplinary perspective, the degree is relevant for those pursuing a career in law, in local or national government, or with NGOs. The degree aims to extend students' knowledge and understanding of the ways in which migrants are affected by law and vice versa. The programme will also provide a sound theoretical and methodological foundation for an MPhil or a PhD degree by research. For further details, please contact: Dr Anne Kershen at e email@example.com.
Graduate criminology at Oxford
The University of Oxford's Centre for Criminology offers top quality taught masters courses and a doctoral research programme in criminology and criminal justice. Courses currently available include: MSc in Criminology and Criminal Justice; MSc in Criminology and Criminal Justice (Research Methods) for which some ESRC studentships may be available for some applicants; oneyear, full-time MPhil research degree available only as an add-on to the taught MSc degrees; and DPhil for which some ESRC studentships may be available for some applicants.
The centre considers applications for the MSc programmes and DPhil study between January and May. Places on the MSc degrees are limited and early applications are therefore encouraged. The deadline for those who wish to be considered for ESRC funding is early May and applications must be made in advance of that date.
The centre currently comprises the following members who are involved in both teaching the MSc programmes and supervising research students: Professor Andrew Ashworth, Dr Mary Bosworth, Dr Ros Burnett, Dr Benjamin Goold, Dr Carolyn Hoyle, Dr Liora Lazarus, Professor Ian Loader, Professor Julian Roberts, Professor Federico Varese and Professor Lucia Zedner.
For details of application procedures and links to college information, contact e firstname.lastname@example.org or visit w www.admin.ox.ac.uk/postgraduate w www.crim.ox.ac.uk.
New LLMs at Sussex
In October 2006, the Sussex Law School launched a new LLM programme in Family, Responsibility and the Law. The aim of this programme is to explore family law through a thematic analysis of the notion of rights, responsibilities and obligations in family relationships encouraging students to think about the expectations and ambitions of family law in a more critical light. Further changes to the LLM programmes, reflecting the specialisms within the Law School, include the introduction of a stream of courses in the LLM Master of Laws enabling students to specialise in International Law in advance of a new programme, LLM International Law: Rights and Responsibilities which will commence in October 2007. w www.sussex.ac.uk/law
Social and Legal Studies 16(1)
LLM programmes at University of Kent at Brussels
Kent Law School is now offering three taught LLM programmes at the Brussels School of International Studies (BSIS); the Brussels campus of the University of Kent. Established in 1998 the University of Kent at Brussels now offers a total of 10 taught MA and LLM courses, all of which have been designed to reflect the international and politically dynamic environment of the city very much at the political heart of Europe.
An LLM in International Law and International Relations has been offered at the Brussels School since 2000, and although a relatively rare combination, the course perfectly exemplifies this interrelation between two heavily connected academic disciplines. The LLM in International Economic Law was launched in 2004. Focusing on issues of trade and development, the programme builds on the interdisciplinary approach of the Brussels School by integrating political economy and sociology into the study of economic globalisation in a legal context. The continued increase in choice of modules has led this academic year to the offer of a highly specialised and focused LLM in Public International Law. The expansion of provision and popularity of the campus has led to the Brussels School moving into new premises for 2006, its third upward move in six years.
The Brussels School works in close collaboration with the Vrije Universiteit Brussel and the Université Libre de Bruxelles with students at the University of Kent at Brussels having shared use of the library and computing facilities of these two long-established and highly rated institutions.
More information about the Brussels School of International Studies can be found at w www.bsis.be and more information about Kent Law School is available at w www.kent.ac.uk/law.
Journal of Law and Society 16(1)
Debate and Dialogue: Law and Knowledge, Law as Knowledge – led by David Nelken
Mixed messages: housing associations and corporate governance – M McDermont
Framing same-sex marriage in Canada and the United States: Goodridge, Halpern and the national boundaries of political discourse – M Smith
In the shadow of Canada's camps – French
Coercive normalization and family policing: the limits of the 'psy-complex' in Australian penal systems – McCallum
Governance and susceptibility in conflict resolution:
possibilities beyond control – Brigg
Relocating the master's domain, social and legal locations of gender from post-disaster to everyday life – Krishnadas
Articles
Rights of non-humans? Electronic agents and animals as new actors in politics and law – Gunther Teubner
State, citizen and character in the French criminal process – Stewart Field
District judges and possession proceedings – David Cowan, Sarah Blandy, Emma Hitchings, Caroline Hunter & Judy Nixon English law's epistemology of expert testimony – Tony Ward Foucault, law and power: a reassessment – Gary Wickham Fairness in context – Michael Adler
Book reviews
J Hodgson: French Criminal Justice – John Bell
R Nobles & David Schiff: A Sociology of Jurisprudence – Michael King
S Mullally: Gender, Culture and Human Rights – Aileen McColgan
11
. . . b o o k s . . .
Who Believes in Human Rights?: Reflections on the European Convention (2006) Marie-Bénédicte Dembour, Cambridge University Press, Law in Context Series £29.99 338pp Many people believe passionately in human rights. Others – Bentham, Marx, cultural relativists and some feminists amongst them – dismiss the concept of human rights as practically and conceptually inadequate. This book reviews these classical critiques and shows how their insights are reflected in the case law of the European Court of Human Rights. At one level an original, accessible and insightful legal commentary on the European Convention, this book is also a groundbreaking work of theory which challenges human rights orthodoxy. Its novel identification of four human rights schools proposes that we alternatively conceive of these rights as given (natural school), agreed upon (deliberative school), fought for (protest school) and talked about (discourse school). Which of these concepts we adopt is determined by particular ways in which we believe, or do not believe, in human rights.
Regulating Social Housing: Governing decline (2006) David Cowan and Morag McDermont, Routledge Cavendish 250pp £22.95 What is social about social housing? Regulating Social Housing examines the conditions which make possible the present-day imagining of social housing, arguing that 'social housing' is a contingent term that has become linked to ideas about regulation, government and control. Drawing upon Foucauldian analyses of governmentality, the authors contend that social housing must be understood according to a range of political rationalities that saturate current practice and policy. They critically address the practice of dividing social from private tenure; situating subjects such as the purpose and financing of social housing, the regulation of its providers and occupiers, and its relationship to changing perceptions of private renting and owner-occupation, within the context of an argument that all housing tenures form part of an understanding of social housing. The authors also take up the ways in which social housing is regulated through the invocation and manipulation of obscure notions of housing 'need' and 'affordability'. And, finally, they consider how social housing has provided a focus for debates about sustainable communities and for concerns about anti-social behaviour. Social housing has always been a site for the moral regulation of households. And as Regulating Social Housing addresses its contested place in our social and political imagination, so it provides a rich and insightful analysis that will be of value to legal scholars, criminologists and other social scientists with interests in housing, urban studies and contemporary forms of regulation.
Rethinking Evidence: Exploratory Essays, 2nd edn (2006) William Twining, Cambridge University Press, Law in Context Series £29.99 532pp The law of evidence has traditionally been perceived as a dry, highly technical, and mysterious subject. This book argues that problems of evidence in law are closely related to the handling of evidence in other kinds of practical decisionmaking and other academic disciplines, that it is closely related to common sense and that it is an interesting, lively and accessible subject. These essays develop a readable, coherent historical and theoretical perspective about problems of proof, evidence, and inferential reasoning in law. Although individual essays stand alone, all are woven together to present a sustained argument for a broad inter-disciplinary approach to evidence in litigation, in which the rules of evidence play a subordinate, though significant, role. This revised and enlarged edition includes a revised introduction, the best-known essays in the first edition, and new chapters on narrative and argumentation, teaching evidence, and evidence as a multi-disciplinary subject.
Consent in the Law (2007) Deryck Beyleveld and Roger Brownsword, Hart Publishing £40/€60 372pp Consent features pervasively in both moral and legal discourse as a justifying reason: stated simply, where there is consent, there can be no complaint. However, without a clear appreciation of the nature of a consent-based justification, its integrity, both in principle and in practice, is liable to be compromised. This book examines the role of consent as a procedural justification, discussing the prerequisites for an adequate consent – in particular, that an agent with the relevant capacity has made an unforced and informed choice, that the consent has been clearly signalled, and that the scope of the authorisation covers the act in question. It goes on to highlight both the Fallacy of Necessity (where there is no consent, there must be a wrong) and the Fallacy of Sufficiency (where there is consent, there cannot be a wrong). Finally, the extent to which the authority of law itself rests on consent is considered.
If the familiarity of consent-based justification engenders confusion and contempt, the analysis in this book acts as a corrective, identifying a range of abusive or misguided practices that variously undervalue or overvalue consent, that fictionalise it or that are fixated by it, and that treat it too casually or too cautiously.
Documents of the African Commission on Human and Peoples' Rights, Vol II: 1999–2005 (2007) Rachel Murray and Malcolm Evans (eds), Hart Publishing £45/€67.50 1022pp Once again the aim of the work is to provide not only the basic documents, but also the less well-known material related to the jurisprudence emanating from the consideration of communications. This volume therefore includes, amongst other material, the most recent activity reports adopted by the commission, resolutions and final communiqués from the sessions. Together with Volume I this is the most comprehensive set of documents available on the African Commission.
Global Governance and the Quest for Justice, Vol II: Corporate Governance (2006) Sorcha MacLeod (ed), Hart Publishing £22.95/€34.43 270pp Against the backcloth of perceived abuse of corporate power – alleged violations of human rights, degradation of the environment, abuse of labour, Enron-style financial scandals, and the like – the papers in the first part of this collection examine the nature and function of the corporation as well as the way in which we should understand corporate governance and the power of transnational corporations. Central to the question is the issue of accountability, as well as the questions of social and environmental responsibility – here the authors ask whether corporations should be more accountable relative to the broader public interest, and suggest that public law approaches to accountability may offer a way forward. The second part of the book considers the most appropriate regulatory locus (local, regional, or international) and the most effective form of response to the deficit in corporate responsibility and the abuse of corporate power. For example, are transnational corporations most effectively regulated internationally (eg by the United Nations), regionally (eg by the EU or NAFTA) or locally (eg through stringent reporting requirements and implementation of triple bottom-line standards)?
Law in Social Theory (2006) Roger Cotterrell (ed), Ashgate, International Library of Essays in Law and Society, £125/US$250 527pp Taking a broad view of social theory, this book shows the importance of this theory for the study of contemporary law. Through studies of the work of Weber, Durkheim, Gurvitch, Habermas, Luhmann, Derrida, Bourdieu, Foucault, Schmitt, Neumann, Kelsen and others, the essays address such fundamental topics as the changing forms of regulation, law's relations with morals and beliefs, law and democracy and prospects for the rule of law in the context of globalisation.
Judicial Review and Bureaucratic Impact: International and interdisciplinary perspectives (2004, eBook 2006) Marc Hertogh and Simon Halliday (eds), CUPress US$32 How effective are the courts in controlling bureaucracies? What impact does judicial review have on the agencies which are targeted by its rulings? For the first time, this book brings together the insights of two intellectual disciplines which have hitherto explored these questions separately: political science and law/socio-legal studies. Leading international scholars from both fields present new research which focuses on the relationship between judicial review and bureaucratic behaviour. Individual contributors discuss fundamental conceptual and methodological issues, in addition to presenting a number of empirical case studies from various parts of the world: the United States, Canada, Australia, Israel, and the United Kingdom. This volume constitutes a landmark text offering an international, interdisciplinary and empirical perspective on judicial review's impact on bureaucracies. It will significantly advance the research agenda concerning judicial review and its relationship to social change.
British and Canadian Perspectives on International Law (2006) Christopher PM Waters (ed), Martinus Nijhoff €125/US$ 169, 408+xxpp British and Canadian Perspectives on International Law examines the impact of public international law on the UK and Canadian domestic legal systems. It also analyses the contributions of British and Canadian practice to the development of international norms. Topics addressed include international criminal law, international humanitarian law, human rights and human security, asylum, trade, jurisdiction, 'reception law' and media portrayals of international law. Whereas international law scholarship usually takes a global, regional or national approach, this book's chapters are written by leading scholars and practitioners from both countries and provide unique comparative views. While there remains much in common between the two states' understandings of international law, recent developments have shown significant points of departure.
Child Support Law and Policy (2006) Nick Wikeley, Hart Publishing £35 520pp This book analyses the current child support legislation in its broader historical and social context, synthesising both doctrinal and socio-legal approaches to legal research and scholarship. It draws on the historical and legal literature on the Poor Law and the development of both the public and private law obligation of child maintenance. Modern child support law must also be considered in the context of both social and demographic changes and in the light of popular norms about child maintenance liabilities. The main part of the book is devoted to an analysis of the modern child support scheme, and key issues that are addressed are, for example: the distinction between applications in 'private' and 'benefit' cases and the extent to which the courts retain a role in child maintenance matters; and the basis for, and the justification for, the exception from the obligation for parents with care on benefit to co-operate with the Child Support Agency where they fear 'undue harm or distress'. The final chapter examines compliance issues and explores various models for reform of the child support scheme.
Fathers' Rights Activism and Law Reform in Comparative Perspective (2006) Richard Collier and Sally Sheldon (eds), Hart Publishing £14.95 182pp This book brings together leading international commentators to provide a careful, critical and comparative analysis of the work of fathers' rights activists, the role law has played in their campaigning, their legal strategies, their success (or otherwise) in achieving legal reform, similarities and divergences with the women's movement, and the relationship between fathers' rights movements and the societies that frame them. In addition to Collier and Sheldon, contributors include: Susan B Boyd, Jocelyn Crowley, Maria Eriksson, Keith Pringle, Helen Rhoades and Carol Smart.
Law, Culture and Society: Legal ideas in the mirror of social theory (2006) Roger Cotterrell, Ashgate, Law, Justice and Power Series £60/US$114.95 and £22.50/US$39.95 199pp This book offers a distinctive approach to the study of law in society, focusing on the sociological interpretation of legal ideas. It explores links between legal studies and social theory and relates its approach to socio-legal studies, on the one hand, and legal philosophy, on the other. It argues for a rethinking of the concept of law to take account of new forms of legal and cultural pluralism and the growing significance of transnational law. The book also develops an original approach to theorising law's relations to culture, with many implications for comparative legal studies. Through a range of specific studies, closely interrelated and building on each other, it integrates the sociology of law with other kinds of legal analysis and engages with current juristic debates in legal theory and comparative law.
Law's Practical Wisdom: The theory and practice of law making in new governance structures in the European Union (2007) Katerina Sideri, Ashgate £55 This book develops a sociological understanding of law-making in the EU. In particular, it focuses on the social function of law in new governance structures promoting decentralised and flexible procedures that encourage deliberation, participation of stakeholders and public dialogue. It pays attention to both the practical knowledge and the power relations underpinning law making, while seeking to bring to the foreground the importance of compromise in the process. The empirical substantiation of the argument discusses the regulation of technology in the EU and is premised on case studies of governance of the internet, patents of high technology, filters used on the internet to block harmful material, trademark law and domain name dispute resolution by ICANN. To this effect, the book studies the dynamics of constructing a legal argument inside the European Commission, and its role in the process of coordinating the creation of networks, securing enforcement in self regulatory regimes, and steering activity on the part of autonomous groups of actors.
Law, Infrastructure, and Human Rights (2006) Michael B Likosky, Cambridge University Press From attacks on oil infrastructure in post-war reconstruction Iraq to the laying of gas pipelines in the Amazon Rainforest through indigenous community villages, privatised infrastructure projects are sites of intense human rights struggles. Many state and non-state actors have proposed solutions for handling human rights problems in the context of specific infrastructure projects. Solutions have been admired for being lofty in principle; however, they have been judged wanting in practice. This book analyses how human rights are handled in varied contexts and then assesses the feasibility of a common international institutional solution under the auspices of the United Nations to the alleged problem of the inability to translate human rights into practice.
New Dimensions in Privacy Law: International and Comparative Perspectives (2006) Andrew T Kenyon and Megan Richardson (eds), CUP (table of contents and introduction at w www.cmcl.unimelb.edu.au/cmcl) This collection examines challenges faced by privacy law in changing technological, commercial and social environments. It encompasses three overlapping areas of analysis: privacy protection under the general law; legislative measures for data protection in digital communications networks; and the influence of transnational agreements and other pressures toward harmonised privacy standards. Leading authors discuss developments across these three areas in the UK, Europe, USA, APEC, Australia and New Zealand. Chapters draw on doctrinal and historical analysis of case law, theoretical approaches to both freedom of speech and privacy, and the interaction of law and communications technologies, in order to examine present and future challenges to law's engagement with privacy.
13
Kinship Matters (2006) Fatemeh Ebtehaj, Bridget Lindley and Martin Richards (eds) for the Cambridge Socio-Legal Group, CUP £35/€55 326pp This is the fifth in a series by the Cambridge Socio-Legal Group and comes out of a three-day conference in 2005. It concerns the evolving notions and practices of kinship in contemporary Britain and the interrelationship of kinship, law and social policy. Assembling contributions from scholars in a range of disciplines, it examines social, legal, cultural and psychological questions related to kinship. Rising rates of divorce and of alternative modes of partnership have raised questions about the care and well-being of children, while increasing longevity and mobility, together with lower birth rates and changes in our economic circumstances, have led to a reconsideration of duties and responsibilities towards the care of elderly people. In addition, globalisation trends and international flows of migrants and refugees have confronted us with alternative constructions of kinship and with the challenges of maintaining kinship ties transnationally. Finally, new developments in genetics research and the growing use of assisted reproductive technologies may raise questions about our notions of kinship and of kin rights and responsibilities. This book explores these changes and continuities from various disciplinary perspectives and draws on theoretical and empirical data to describe understandings and practices of kinship over time and across social groups in contemporary Britain.
. . . other publications
Information about the ESRC seminar series, Changing Social Norms, Changing Family Law? (2004–05) is available on the series website at: w www.bradford.ac.uk/familylaw. This contains the programme, a briefing paper, paper abstracts and an annotated bibliography.
Ancilla Iuris is a new free online journal that is dedicated to contributions on Constellations of Law and Society. Following a interdisciplinary approach, the journal brings together law with its neighbouring disciplines such as political sciences, economy, sociology, linguistics, philosophy, history, art, psychology etc. At the end of the year, articles will be made available to libraries in the form of an edited volume. To help European contributors gain access to the important English speaking audience, nonEnglish publications are translated into English in order to make them available to readers in both languages simultaneously. In this way, all internet published contributions of Ancilla Iuris will become immediately part of global academic networks, while at the same time preserving and making available the important background of the original language. Editors-in-chief are Andreas Abegg and David R Wenger. w www.anci.ch.
The Cambridge Law Journal publishes articles on all aspects of law. Special emphasis is placed on contemporary developments, but the journal's range also includes other subjects such as jurisprudence and legal history. For more information, visit w www.journals.cambridge.org/jid_clj.
A selection of essential articles from recent issues of the Journal of Law and Society are available free online by authors such as Lucia Zedner, William Twining, David Sugarman, Kieron McEvoy and Heather Conway, Maureen Spencer and John Spencer, Didi Herman and Martin J Sweet. w www.blackwell-synergy.com/loi/jols.
Also available from Blackwell are online tables of contents for two other journals: Criminology and Criminology & Public Policy. See respectively w www.blackwellpublishing.com/crim and w www.blackwellpublishing.com/cpp.
The entire October edition of SCOLAG Legal Journal is available at w www.scolag.org. Of particular interest are several articles and an editorial on legal education, as well as coverage of human rights, employment law and administrative law. A small number of hard copies remain and are available on request while they last.
* LAW AND SOCIETY CONFERENCE, AUSTRALIA
13–15 December 2006: Legal Intersections Research Centre, Wollongong
An annual event bringing together academics, researchers and postgraduate students from Australia and abroad to examine the relationships between laws and legal institutions, and citizens and communities. This year's theme is 'Right or racket? The protection of law'. w www.uow.edu.au/law/lirc/law&socconference2006.html
* LEARNING IN LAW ANNUAL CONFERENCE AND VOCATIONAL TEACHERS FORUM: UKCLE
University of Warwick): 4–5 January 2007
These two events are combined for the first time to showcase what is best in the scholarship of learning and teaching in law. The conference will be based around a number of broad themes and will include a clinical legal education stream, a panel session on getting published – for postgraduate teaching assistants and new law teachers – and a discussion forum on teaching and learning issues.
wwww.ukcle.ac.uk/newsevents/ukcle.html.
* CLASSCRITS: TOWARD A CRITICAL LEGAL ANALYSIS OF ECONOMIC INEQUALITY
25–26 January 2007: Baldy Center for Law & Social Policy, University at Buffalo Law School, USA
Organised by University at Buffalo Law School Professors Martha McCluskey and Athena Mutua, the workshop will address three questions: Why 'classcrits'?; What are we doing and what do we want? How might a focus on economic class differ from other approaches to analysing economic policy and economic inequality in law?; and how can a focus on class build on and add to other antisubordination projects in law, taking an intersectional approach? Details: w www.law.buffalo.edu/baldycenter/events.htm
* NEW PERSPECTIVES ON THE INDUSTRIAL RELATIONS ACT 1971: SEMINAR
1 February 2007: Centre for Legal Research, Middlesex University Speaker: Robert Simpson, Reader in Law, London School of Economics. Chair: David Lewis, Professor of Employment Law, Middlesex University
The Industrial Relations Act 1971 has a number of interesting features for students of labour relations. It can be seen as the first major step towards the current labour law regime in which trade union action is circumscribed and relations between workers and management juridified. The Act attempted a comprehensive reform of labour law, sweeping away the old system of 'collective laissez-faire' but it remained in force for a short period only. This seminar is the second in a series on the Act and will be of interest to public and labour lawyers, industrial relations specialists, trade unionists and contemporary historians. Admission is free but numbers will be limited. For further details and bookings contact Dr Maureen Spencer e email@example.com
* 11TH ANNUAL SEMINAR IN FAMILY LAW: YOURS, MINE AND OURS?
3 February 2007: Staffordshire University Law School Featuring a series of presentations on money, property and children. For more information contact e firstname.lastname@example.org
* LAW AND ECONOMIC DEVELOPMENT: TOWARDS CONSTRUCTIVE ENGAGEMENT IN THE MIDDLE EAST
22–23 February 2007: Faulty of Law, Vrije Universiteit Brussel The conference offers a forum for scholarly debate to explore MiddleEastern issues from an academic perspective in a spirit of mutual respect and respect for the right of all people to live in freedom and dignity. There is ample room for different legal approaches including law and economics, socio-legal, critical legal studies, etc. For more information contact Professor Koen Byttebier e email@example.com or Professor Dr K Van de Borght e firstname.lastname@example.org w www.vub.ac.be/ECOR. Questions of a practical nature may be addressed to Mrs S Demeue e email@example.com or Mrs A Maertens e firstname.lastname@example.org.
* NATIONAL CRITICAL LAWYERS GROUP 2007 CONFERENCE
24–25 February 2007: University of Kent Planned plenaries are: critical legal studies and practice; Palestine, Israel and Lebanon, criminal justice system conflict in the Middle East; the impact of the Human Rights Act; the 'War on Terror' and; civil liberties, controlling damage to the environment; and many other equally contentious topics. To contribute as a speaker or participant, contact Ian Grigg-Spall e email@example.com. National Critical Lawyers Group w www.nclg.org.uk
* ACCOUNTABILITY FOR HUMAN RIGHTS VIOLATIONS BY INTERNATIONAL ORGANIZATIONS
Brussels: 16–17 March 2007
To explore manners, mechanisms and fora in which accountability can be realised for violations of human rights committed by, or attributable to, international organisations and their staff. Enquiries should be directed to Eva Brems, Ghent University: e firstname.lastname@example.org.
* POLICING AND DEFENDING IN A POST-PACE WORLD 29 March 2007: UWE, Frenchay Campus, Bristol
Jointly organised by the Criminal Justice Research Unit, UWE and the Law and Policy Research Unit, Bristol University. A one-day conference to bring together academics, defence lawyers, police officers, and policy-makers to examine the critical questions and issues surrounding PACE, 21 years on. National and international speakers from diverse academic and practice backgrounds will systematically scrutinise different aspects of PACE in the context of policy and legal developments, and research evidence. Speakers will also consider whether the particular approach to regulation embodied in PACE has been effective, and whether it forms an adequate basis for regulation in the future. e email@example.com.
* ALIENS AND NATIONS: CITIZENSHIP, SOVEREIGNTY AND GLOBAL POLITICS IN THE 21st CENTURY: Call
19–21 April 2007: Keele University, UK
The UK Association for Legal and Social Philosophy (ALSP) conference aims to stimulate debate about the nation-state. Keynote speakers: Seyla Benhabib; Stephen Macedo; Bhikhu Parekh; Andy Dobson; Judith Squires. Global crime networks and international terrorists, for instance, defy the executive will of nation-states, while states' integrity seems sapped by porous borders, cultural conflict and breakaway or irredentist movements. These problems hit failed states hardest, but often defeat even well-ordered polities. At the same time, supra-national bodies have proved largely impotent against the global challenges of climate change, capital mobility, nuclear proliferation, the AIDS pandemic, human rights abuses, and trafficking in drugs, weapons and persons. Contributors are invited to consider the role of the nation-state within these and other contemporary problems. 300word abstracts by 15 December 2006 to firstname.lastname@example.org. Details at w www.keele.ac.uk/research/lpj/alsp
* JOURNAL OF PRIVATE INTERNATIONAL LAW CONFERENCE 2007: Call
26–27 June 2007: University of Birmingham
The editors invite submissions for two presentation categories. Academic Conference Papers should be submitted to Jonathan Harris e email@example.com. Postgraduate Research Papers should be submitted to Martin P George e firstname.lastname@example.org. For full details go to: w www.law.bham.ac.uk/conflicts.
* RIGHTS, ETHICS, LAW & LITERATURE INTERNATIONAL COLLOQUIUM: CALL
6–8 July 2007: School of Law, Swansea University Plenary speakers: Professor Richard Weisberg and Professor Desmond Manderson. Abstracts should be sent to Professor Melanie Williams at e email@example.com by 10 December 2006.
* EUROPEAN SOCIOLOGICAL ASSOCIATION CONFERENCE: CONFLICT, CITIZENSHIP AND CIVIC SOCIETY: Call
Glasgow: 3–7 September 2007 RN Sociology of Professions, deadline for submission of abstracts 15 February 2007. A PhD workshop will be held immediately prior to the conference, deadline for submission 30 January 2007. Co-ordinator Ellen Kuhlmann e firstname.lastname@example.org w www.esa8thconference.com
* CENTRE FOR THE STUDY OF THE CHILD, THE FAMILY AND THE LAW
Annual Seminar Series 2006–07: Liverpool Law School No charge for attendance, all welcome – especially young people Please notify attendance to Christina Lyon e email@example.com or Mike Jones e firstname.lastname@example.org
* 7 December 2006: 'Institutionalised violence? Child imprisonment, abuse and accountability in England and Wales' – Barry Goldson: Professor of Criminology and Social Policy, University of Liverpool
* 1 February 2007: 'Child protection: children's rights and human rights'– Caroline Forder: Professor of in European Family Law, University of Maastricht
* 15 February 2007: 'Children and young people: participants or recipients' – Liam Cairns: Director, Investing in Children
* GENDER AND MIGRATION IN 21ST CENTURY EUROPE: WORKSHOP SERIES
Feminist Legal Research Unit of the Liverpool Law School This series explores issues such as 'The impact of migration on family life' (6 December 2006); 'Gender, migration and EU enlargement' (7 February 2007); 'The impact of migration on women's careers' (14 March 2006); and 'Gender perspectives on forced migration' (25 April). Further details at: w www.liv.ac.uk/law/flru. Alternatively, email Helen Stalford to book a place e email@example.com.
* CENTRE LGS: FORTHCOMING EVENTS Gender and Human Rights: 5–6 January 2007: University of Westminster
Jointly organised by Centre LGS, Liberty and LAG. Funded by the Modern Law Review. Confirmed plenaries include Zillah Eisenstein, Pragna Patel (Southall Black Sisters and Women Living Under Muslim Laws) and Justice Yvonne Mokgoro (Constitutional Court of South Africa). This two-day international conference will bring together academics with activists and practitioners to explore critical perspectives on the intersection of gender issues with human rights. Questions include: whether the structural and philosophical basis of the Act, and of human rights instruments generally, obscures a gender analysis; whether and how gender-based litigation on human rights can be effective in the long-term; whether the theoretical and political problems associated with making rights claims are outweighed by their strategic utility; and what lessons can be learned from other jurisdictions about litigation and campaigning. For further information, contact Emily Grabham e firstname.lastname@example.org or see w www.kent.ac.uk/clgs/events/clgslibertyhrconf.htm.
Call for papers: 'Gender Unbound': 9–11 July 2007: Keele University
An international, inter-disciplinary conference in the area of law, gender, and sexuality, broadly defined. Plenary speakers: Hazel Carby, Sander Gilman, Rosemary Hennesey, Carol Smart, Sylvia Tamale. Abstracts and/or panels should be submitted online by 31 December 2006. Particularly encouraged are papers exploring the intersections between gender and sexuality, as well as how other social relations (eg, race, disability) impact on and are shaped by these. w www.kent.ac.uk/clgs/events/genderunbound.htm
* THEMATICS: A WORKSHOP SERIES
January 2007: Birkbeck Law School, London
The Birkbeck Thematics Workshops are supported by the AHRC. The series focuses on theoretical perceptions that are reshaping conceptions of law. Dates and themes for future workshops in the series are as follows:
* 12 January 2007: Globalism
* 9 February 2007: Secular Theology
Each of the workshops will be a full-day event, leaving substantial time for discussion and intense engagement with the papers. Attendance is free, but numbers will be limited to 35 in order to facilitate discussion. Registration is essential. Queries and expressions of interest may be directed to Richard Joyce at e email@example.com.
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Bajaj Allianz
Bajaj Allianz General Insurance Company Limited is a joint venture between Bajaj Finserv Limited (recently demerged from Bajaj Auto Limited) and Allianz SE. Both enjoy a reputation of expertise, stability and strength. This joint venture company incorporates global expertise with local experience. The comprehensive, innovative solutions combine the technical expertise and experience of the more than 110 year old Allianz SE, and indepth market knowledge and good will of Bajaj brand in India Competitive pricing and quick honest response have earned the company the customer's trust and market leadership in a very short time.
The Bajaj Allianz Advantage
Why do you need a Critical Illness Insurance Policy?
There was a time when life cover was enough, Your main fear was probably of dying prematurely and leaving your family to cope without a breadwinner. However due to the advancement in Medical technology Many life-threatening illnesses such as heart attack, cancer can now be cured. You would agree that the requirement of financial support would be very critical in such situations.
Bajaj Allianz, in its efforts to provide a customer centric solution is offering an insurance policy to cover to some of these critical illnesses.
This is the reason why Critical Illness Insurance policies have been developed.
What does the Critical Illness Insurance Policy Cover?
Critical Illness insurance is a benefit policy which covers 10 Critical Illnesses. A lump sum amount would be paid on diagnosis of one of the listed critical illness subject to the policy terms and conditions:
Critical Illnesses covered under the policy:
1. First Heart Attack (Myocardial Infarction)
2. Open Chest CABG (Coronary Artery Disease Requiring Surgery)
UIN: IRDA/NL-HLT/BAGI/P-H(C) /V.I/281/13-14
3. Stroke Resulting in Permanent Symptoms
4. Cancer of Specified Severity
5. Kidney Failure Requiring Regular Dialysis
6. Major Organ Transplantation
7. Multiple Sclerosis with Persisting Symptoms
8. Surgery of Aorta
9. Primary Pulmonary Arterial Hypertension
10. Permanent Paralysis of Limbs
What is the entry age?
* Entry age for proposer/Spouse is 18years – 65years.
* Entry age for dependent Children is 6 years -- 21 years .
What will be the renewal age?
Under normal circumstances, lifetime renewal benefit is available under the policy except on the grounds of fraud, misrepresentation or moral hazard or upon the occurrence of an event of Critical Illness Insurance.
What is the policy period?
This is an annual policy
What are the Sum Insured options available?
* Sum Insured options of `100000/- to `5000000/- for age group 6 years to 60 years
* Sum Insured options of `100000/- to `500000/- for age group 61 years to 65 years
What are the advantages of Critical Illness Insurance cover?
1. The benefit amount is payable once the disease is diagnosed meeting specific criteria and the insured survives 30 days after the diagnosis.
2 The insured member can utilize this amount for treatment of the disease, lifestyle changes, donor expenses or a planned treatment outside India etc.
3. Hassle free In House claim process
4. Premium paid is exempt under section 80-D of Income Tax Act.
5. Competitive premium rates.
What are the Pre policy Medical examination Criteria?
* Prepolicy Medical examination would be advised based on the age, Sum insured opted and the adverse health declaration on the proposal form (if any).
* The pre-policy check up would be arranged at our empanelled diagnostic centres.
* The validity of the test reports would be 30 days from date of medical examination.
* If pre-policy check up is conducted in our paneled diagnostic centre, 100% of the standard medical tests charges would be reimbursed, subject to acceptance of proposal and policy issuance
UIN: IRDA/NL-HLT/BAGI/P-H(C) /V.I/281/13-14
Loading due to adverse Health Conditions?
* Loading is applicable for the proposals with adverse health conditions, or positive test report findings.
* Minimum 10% to maximum 150% loading on the standard premium rates would be applicable based on declarations on the proposal form and the health status of the proposed insured person.
* The loading is applicable from Commencement Date of the Policy including subsequent renewal with Us
* We will inform You about the applicable risk loading through a counter offer letter.
* You need to revert to Us with consent and premium within 15 days of the issuance of such counter offer letter.
What are the exclusions under the policy?
I. Waiting Period
1. Any Critical Illness diagnosed within the first 90 days of the date of commencement of the Policy is excluded. This exclusion shall not apply to an Insured for whom coverage has been renewed by the Named Insured, without a break, for subsequent years.
II. General Exclusion
1. Any Critical Illness for which care, treatment, or advice was recommended by or received from a Physician, or which first manifested itself or was contracted before the start of the Policy Period, or for which a claim has or could have been made under any earlier policy.
2. Any sexually transmitted diseases or any condition directly or indirectly caused by or associated with Human T-Cell Lymphotropic Virus type III (III LB III) or Lymphadinopathy Associated Virus (LAV) or the Mutants Derivative or Variations Deficiency Syndrome or any Syndrome or condition of a similar kind commonly referred to as AIDS.
3. Treatment arising from or traceable to pregnancy, childbirth postpartum complications including but not limited to caesarian section, birth defects and congenital anomalies.
4. Occupational diseases.
5. War, whether war be declared or not, invasion, act of foreign enemy, hostilities, civil war, insurrection, terrorism or terrorist acts or activities, rebellion, revolution, mutiny, military or usurped power, riot, strike, lockout, military or popular uprising, civil commotion, martial law or loot, sack or pillage in connection therewith, confiscation or destruction by any government or public authority or any act or condition incidental to any of the above.
6. Naval or military operations of the armed forces or airforce and participation in operations requiring the use of arms or which are ordered by military authorities for combating
UIN: IRDA/NL-HLT/BAGI/P-H(C) /V.I/281/13-14
terrorists, rebels and the like.
7. Any natural peril (including but not limited to storm, tempest, avalanche, earthquake, volcanic eruptions, hurricane, or any other kind of natural hazard).
8. Radioactive contamination.
9. Consequential losses of any kind, be they by way of loss of profit, loss of opportunity, loss of gain, business interruption, market loss or otherwise, or any claims arising out of loss of a pure financial nature such as loss of goodwill or any legal liability of any kind whatsoever.
10. Intentional self-injury and/or the use or misuse of intoxicating drugs and/or alcohol.
When can I enhance my Sum Insured under this policy?
The Insured member can apply for enhancement of Sum Insured at the time of renewal by submitting a fresh proposal form to the company.
Free Look Period
* If you are not satisfied with policy coverage, terms and conditions, You have the option of canceling the policy within 15 days of receipt of the first policy documents, provided there has been no claim.
* Free Look Period is not applicable for the renewal policies.
Condition for renewal of the contract
a. Under normal circumstances, lifetime renewal benefit is available under the policy except on the grounds of fraud, misrepresentation or moral hazard or Upon the occurrence of an event of Critical Illness
b. Upon the occurrence of an event of Critical Illness and (subject to the terms, conditions and exclusions of this Policy) without prejudice to the Company's obligation to make payment, this Policy shall immediately cease to exist with reference to that Insured
c. For renewals of age 61 years & above the maximum Sum Insured would be `5,00,000/- or expiring Sum Insured which ever is lower)
d. In case of 0ur own renewal a grace period of 30 days is permissible and the Policy will be considered as continuous for the purpose of waiting period. Any medical expenses incurred as a result of disease condition/ Accident contracted during the break period will not be admissible under the policy.
e. For renewals received after completion of 30 days grace period, a fresh application of health insurance should be submitted to Us, it would be processed as per a new business proposal.
f. Premium payable on renewal and on subsequent
UIN: IRDA/NL-HLT/BAGI/P-H(C) /V.I/281/13-14
continuation of cover are subject to change with prior approval from IRDA
Cancellation
a. We may cancel this insurance by giving You at least 15 days written notice, and if no claim has been made then We shall refund a pro-rata premium for the unexpired Policy Period.
b. You may cancel this insurance by giving Us at least 15 days written notice, and if no claim has been made then the We shall refund premium on short term rates for the unexpired Policy Period as per the rates detailed below.
| PERIOD ON RISK | RATE OF PREMIUM REFUNDED |
|---|---|
| Upto one month | 75% of annual rate |
| Upto three months | 50% of annual rate |
| Upto six months | 25% of annual rate |
| Exceeding six months | Nil |
Grace period:
* In case of our own renewal a grace period of 30 days is permissible and the Policy will be considered as continuous for the purpose of waiting period.
* Any medical expenses incurred as a result of disease condition/ Accident contracted during the break period will not be admissible under the policy.
Portability Conditions
* As per the Portability Guidelines issued by IRDA, If you are insured under any other Critical Illness Insurance policy of Non life insurer you can transfer to our Critical Illness Insurance policy with all your accrued benefits after due allowances for waiting periods and enjoy all the available benefits of Critical Illness Insurance policy.
* The pre-policy medical examination requirements and provisions for such cases shall remain similar to non-portable cases
Revision/ Modification of the policy:
* There is a possibility of revision/ modification of terms, conditions, coverages and/or premiums of this product at any time in future, with appropriate approval from IRDA.
* In such an event of revision/modification of the product, intimation shall be set out to all the existing insured members at least 3 months prior to the date of such revision / modification comes into the effect
Withdrawal of Policy
There is possibility of withdrawal of this product at any time in future with appropriate approval from IRDA, as We reserve Our right to do so with a intimation of 3 months to all the existing
UIN: IRDA/NL-HLT/BAGI/P-H(C) /V.I/281/13-14
insured members. In such an event of withdrawal of this product, at the time of Your seeking renewal of this Policy, You can choose, among Our available similar and closely similar Health insurance products. Upon Your so choosing Our new product, You will be charged the Premium as per Our Underwriting Policy for such chosen new product, as approved by IRDA.
| Sum Insured | | | |
|---|---|---|---|
| | 6years- | 26-35years | 36-40years |
| | 25years | | |
| 1,00,000 | 200 | 300 | 550 |
| 2,00,000 | 400 | 600 | 1,100 |
| 3,00,000 | 600 | 900 | 1,650 |
| 4,00,000 | 800 | 1,200 | 2,200 |
| 5,00,000 | 1,000 | 1,500 | 2,750 |
| 10,00,000 | 2,000 | 3,000 | 5,500 |
| 20,00,000 | 4,000 | 6,000 | 11,000 |
| 30,00,000 | 6,000 | 9,000 | 16,500 |
| 40,00,000 | 8,000 | 12,000 | 22,000 |
| 50,00,000 | 10,000 | 15,000 | 27,500 |
| Sum Insured | Age( in years) | | | |
|---|---|---|---|---|
| | 46-50years | 51-55years | 56-60years | 61-65years |
| 1,00,000 | 1,200 | 1,750 | 3,000 | 3000 |
| 2,00,000 | 2,400 | 3,500 | 6,000 | 6000 |
| 3,00,000 | 3,600 | 5,250 | 9,000 | 9000 |
| 4,00,000 | 4,800 | 7,000 | 12,000 | 12000 |
| 5,00,000 | 6,000 | 8,750 | 15,000 | 15000 |
| 10,00,000 | 12,000 | 17,500 | 30,000 | NA |
| 20,00,000 | 24,000 | 35,000 | 60,000 | NA |
| 30,00,000 | 36,000 | 52,500 | 90,000 | NA |
| 40,00,000 | 48,000 | 70,000 | 1,20,000 | NA |
| 50,00,000 | 60,000 | 87,500 | 1,50,000 | NA |
Premiums are exclusive of GST
Section 41 of Insurance Act 1938 as amended by Insurance Laws Amendment Act, 2015 (Prohibition of Rebates)
No person shall allow or offer to allow, either directly or indirectly, as an inducement to any person to take out or renew or continue an insurance in respect of any kind of risk relating to lives or property in India, any rebate of the whole or part of the commission payable or any rebate of the premium shown on the policy, nor shall any person taking out or renewing or continuing a Policy accept any rebate, except such rebate as may be allowed in accordance with the published prospectuses or tables of the insurers. Any person making default in complying with the provision of this section shall be liable for a penalty which may extend to 10 lakh rupees.
UIN: IRDA/NL-HLT/BAGI/P-H(C) /V.I/281/13-14
BAJAJ ALLIANZ GENERAL INSURANCE CO. LTD. BAJAJ ALLIANZ HOUSE, AIRPORT ROAD, YERAWADA, PUNE - 411006. IRDA REG NO.: 113.
FOR ANY QUERY (TOLL FREE) 1800-209-0144 /1800-209-5858
www.bajajallianz.com
firstname.lastname@example.org
For more details on risk factors, Terms and Conditions, please read the sales brochure before concluding a sale.
CIN: U66010PN2000PLC015329 UIN: IRDA/NL-HLT/BAGI/P-H(C) /V.I/281/13-14
BJAZ-B-0264/18-Feb-19
Policy holders can download Insurance Wallet for one -touch access Available on:
BAJAJ ALLIANZ CRITICAL ILLNESS
EXTENDED SECURITY IN CRITICAL TIMES
CIN: U66010PN2000PLC015329 | UIN: IRDA/NL-HLT/BAGI/P-H(C) /V.I/281/13-14
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ICAO'S CORSIA AND THE PARIS AGREEMENT: CROSS-CUTTING ISSUES
Susan Biniaz, United Nations Foundation
Two international bodies—the Council of the International Civil Aviation Organization (ICAO) and the Parties to the Paris Agreement (CMA)—will soon be making decisions that elaborate on the use of marketbased mechanisms to limit and reduce greenhouse gas emissions. How these emerging systems are devel oped, and the extent to which they align, will have implications for the strength and operation of the global greenhouse gas market and for the environmental integrity of these collective climate efforts.
ICAO's Carbon Offsetting and Reduction Scheme for International Aviation (CORSIA) provides for the aviation sector to offset its international CO 2 emissions above 2020 levels by buying credits from outside the international aviation sector. Article 6 of the Paris Agreement recognizes the voluntary use of interna tionally traded mitigation outcomes (ITMOs) toward parties' nationally determined contributions (NDCs) and establishes a new mechanism for generating emission offsets.
This brief summarizes the relevant provisions of the two regimes and the processes underway within each one to further elaborate them; outlines potential cross-cutting issues; and offers preliminary suggestions of options for addressing these issues.
BACKGROUND ON CORSIA
ICAO Assembly Resolution A39-3 1 provides the foundation for CORSIA. CORSIA's 15-year period (20212035) is divided into three time periods: an initial threeyear "pilot" phase, a subsequent three-year "first phase," and a nine-year "second phase."
The resolution strongly encourages all ICAO member states to "voluntarily participate" in the pilot phase and first phase. All member states are expected to participate in the second phase, except those that are specifically exempted. As of August 23, 2017, 72 states representing 87.7 percent of international aviation activity had volunteered to participate in the scheme from the pilot phase.
In order to address the difficult issue of allocating offset requirements between and among large-but-slowergrowing airlines and smaller-but-faster-growing airlines, CORSIA uses a "dynamic" approach. It initially allocates the requirements based 100 percent on a global growth factor and moves over time to a more and more indi vidual approach. 2
Certain elements of CORSIA, discussed below, are to be elaborated by the ICAO Council. 3
Developing the CORSIA Emissions Unit Criteria (EUC)
The resolution provides that ICAO will develop emis sions unit criteria (EUCs) determining what types of offsets will qualify for use under CORSIA. Paragraph 20 requests the council to develop the EUC, taking into account relevant developments in the U.N. Framework Convention on Climate Change (UNFCCC) and Article 6 of the Paris Agreement. The EUCs are to be adopted as soon as possible, but not later than 2018.
ICAO's Committee on Aviation Environmental Protection has developed recommended EUC, which the ICAO Council will consider in late October 2017. If the council accepts them, then offset programs seeking to be found "eligible" for use in CORSIA will be evaluated
against these criteria.
The recommended EUCs will not be public until they are approved by the Council (although summaries have been released by ICAO). 4
Issues:
There is likely to be an issue concerning how much flexibility the EUCs should accord those deciding which offset units are "eligible," i.e., meet the criteria. This will be a function of both the content of the EUCs and their "bindingness." For example, the EUCs:
* might be recommendatory.
* might be mandatory.
* might be partially recommendatory and partially mandatory, or
* might be mandatory but written to accord some flexibility.
Deciding Which Offset Program Units Meet CORSIA's EUC
The council is to establish a standing technical advisory body to recommend which units are "eligible" for CORSIA, based on the application of the EUCs. The council is likely to approve the use of units from specified programs (e.g., the Kyoto Protocol's Clean Development Mechanism (CDM), rather than units from individual projects. It might decide to approve a particular program with exceptions (e.g., no nuclear projects). As noted below, it might also limit the use of units based on vintage or with respect to particular timeframes.
Issues:
There is likely to be an issue whether program units blessed by the Council are the exclusive eligible units under CORSIA. In other words, can ICAO member states permit their airlines to use additional units based on their own application of the EUCs, i.e., from non-council approved programs? This is likely to be a controversial proposition, both in terms of the environmental integrity of the scheme (particularly if the EUCs accord flexibility) and competitiveness concerns.
There may also be an issue whether ICAO member states are free to be more restrictive than the council vis-à-vis their own airlines, i.e., not allow them to use certain council-approved units. Member states may want to consider this issue as well in drawing up the relevant documents.
BACKGROUND ON ARTICLE 6 OF THE PARIS AGREEMENT
Article 6 addresses various aspects of what, in other contexts, might have been referred to, in shorthand, as "market mechanisms."
Article 6.2 addresses the situation where parties voluntarily engage in "cooperative approaches" involving the use of ITMOs towards NDCs. Parties must promote sustainable development, ensure environmental integrity and transparency, and apply "robust accounting" to ensure, among other things, the avoidance of double counting. The robust accounting requirement is subject to guidance, to be elaborated by the CMA.
Article 6.4 establishes an offset-generating mechanism akin to the Kyoto Protocol's CDM. 5 Like the CDM, the use of the Article 6.4 mechanism is completely voluntary. It will operate under the authority and guidance of the CMA, be supervised by a designated body, and be subject to specified criteria (such as that reductions in emissions must be "additional" to any that would otherwise occur).
The Article 6.4 mechanism is distinct from Kyoto's CDM in certain ways. For example, any party may host an Article 6.4 project, not just a developing country. In addition, the context of the 6.4 mechanism is different. Under Kyoto, only Annex I (developed country) parties had emissions caps; CDM projects, by definition, took place in host countries without emissions caps. Under Paris, Article 6.4 units may be generated anywhere, and all parties pledge mitigation actions of some sort in their NDCs.
Accounting guidance related to Article 6.2, as well as rules, modalities, and procedures for the Article 6.4 mechanism, are be adopted by the CMA in 2018.
CROSS-CUTTING ISSUES
Neither CORSIA nor the Paris Agreement anticipates any direct operational linkage between the two regimes. However, CORSIA does make specific reference to the potential eligibility of UNFCCC and Paris-generated units under CORSIA. And other issues—in particular, the potential eligibility of REDD+ units, and the avoid ance of double counting—arise under both regimes, albeit in different ways.
Potential Eligibility of Kyoto and Paris Units for CORSIA
The ICAO Assembly Resolution makes specific reference to UNFCCC and Paris-generated units. However, the extent to which CDM and Article 6.4 units will be eligible for use under CORSIA is not yet known.
Specifically, paragraph 21 of the resolution states that UNFCCC and Paris-generated units "are eligible for use in CORSIA," but adds "provided that they align with decisions by the council…including on avoiding double counting and on eligible vintage and timeframe."
This language appears to reflect a lean in the direction of making such units eligible but stops short of making them automatically eligible. Rather, they must still meet the applicable criteria. Therefore, the council will need to decide whether there are limits on the eligibility of such units.
Issues:
With respect to the CDM, enough is known about the program for the council to judge whether it meets the generally applicable EUCs. Assuming it does, the council could still decide to adopt "vintage" or "timeframe" requirements, perhaps due to concerns such as oversupply.
With respect to Paris Article 6.4, while certain aspects of that mechanism are known from the Paris Agreement and accompanying decision, other aspects are not yet decided. The council is therefore unlikely to be in a position at this stage to determine whether units generated by this mechanism meet the EUC. In any event, the council could still decide at a later date to deem some or all of Article 6.4-generated units eligible. Paragraph 20(e) of the Assembly Resolution provides that the council is to periodically review the EUC-related material "to promote compatibility with future relevant decisions under the Paris Agreement."
Potential Eligibility of REDD+
The Paris Agreement addresses REDD+ in Article 5, which generally encourages parties to implement and support it. Parties to the Paris Agreement might decide to treat certain REDD+ units as meeting the requirements of the Article 6.4 mechanism. At such point, they would presumably be considered Parisgenerated units under the ICAO resolution and be accorded the same "lean" toward CORSIA eligibility as is accorded to CDM and other Article 6.4 units.
Irrespective of whether REDD+ units are considered eligible under Article 6.4 of the Paris Agreement, the ICAO Council could decide to treat units deriving from REDD+-related programs, such as the World Bank's Forest Carbon Partnership or the Verified Carbon Standard's Jurisdictional and Nested REDD+ (JNR), as CORSIA-eligible, provided they meet whatever criteria the Council adopts.
Issues:
It might be considered whether there is a policy interest in having units deriving from REDD+ programs become eligible under CORSIA. If so, it should be considered whether particular decisions need to be taken with respect to the EUCs and/or the relevant programs in order to achieve that result.
The Double Counting Issue
Paragraph 21 of the ICAO Resolution provides that UNFCCC- and Paris-generated units, in order to be eli gible under CORSIA, need to align with ICAO Council decisions, including on "avoiding double counting." This provision is likely intended to ensure, for example, that a unit used by an airline to comply with CORSIA is not also counted by a country towards achievement of its nationally determined contribution under the Paris Agreement. 6
This requirement could potentially be built into the EUCs; for example, for a program's units to qualify, the program might be required, at a minimum, to show that it has a method of ensuring that host countries will not count such units toward achievement of their NDCs.
While Article 6.2 of the Paris Agreement similarly addresses the "avoidance of double counting," it does not appear that the issue of double counting vis-à-vis CORSIA could be addressed through the accounting guidance to be adopted by the CMA. Article 6.2 appears to apply only where an ITMO is being used towards an NDC, not for another purpose (such as compliance with CORSIA requirements).
Although Article 6.2 does not appear to be an avail able tool for substantive guidance on double counting in relation to CORSIA, it might nevertheless be possible to address the issue, at least partially, through the transpar ency guidelines under Article 13 of the Paris Agreement.
Article 13 requires each Party to report information necessary to "track progress made in implementing and achieving" its NDC. The guidelines might, for example, require each party to report on any units it has trans ferred for CORSIA purposes (i.e., to ensure that it has not used them to implement/achieve its NDC).
Issues:
The ICAO Council will need to address the best means of avoiding double counting, including, for example, how the requirement might be built into the EUC against which eligible programs/units are evaluated.
The Paris parties will also need to consider how, consistent with the agreement, they might bolster the avoidance of double counting vis-à-vis CORSIA, e.g., possibly through the transparency guidelines.
It might also be considered whether supplemental work should be carried out on the avoidance of double counting, beyond the basic requirements of CORSIA and the Paris Agreement, in order to bolster the environmental integrity of both systems. For example, various offset crediting programs might voluntarily agree to more detailed, harmonized criteria for avoiding double counting.
ENDNOTES
1 https://www.icao.int/environmental-protection/Documents/Resolution_A39_3.pdf
2 During the pilot phase, first phase, and first three years of the second phase, participating airlines will be required to offset covered emissions based on global growth in emissions. During the next three years, "at least 20%" of the offsetting requirements of participating airlines will be based on their individual growth (i.e., at most 80% of their require ment will be based on global growth). During the last three years, "at least 70%" of the offsetting requirements of participat ing airlines will be based on their individual growth (i.e., at most 30% of their requirement will be based on global growth).
3 Consistent with ICAO practice, the council will elaborate these elements through the adoption of so-called "Standards and Recommended Practices," or "SARPs."
4 https://www.icao.int/Meetings/CORSIAHQ17/Documents/5-1_Explanation_Emissions%20Units%20and%20 Registries_V02.pdf.
5 The Paris Agreement does not end the CDM; however, the extent to which CDM units will qualify under the Article 6.4 mechanism is an open question.
6 For a discussion of other forms of double counting, see Petsonk and Vinsonhaler, Count It Once: Climate Mitigation under the Paris Agreement and CORSIA, https://www.belfercenter.org/sites/default/files/files/ publication/2017-10_market-mechanisms-paris_v5.pdf
The Center for Climate and Energy Solutions (C2ES) is an independent, nonpartisan, nonprofit organization working to forge practical solutions to climate change. We advance strong policy and action to reduce greenhouse gas emissions, promote clean energy, and strengthen resilience to climate impacts.
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Center for Climate and Energy Solutions
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WEEKLY EPIDEMIOLOGICAL REPORT
Ministry of Health & Indigenous Medical Services
A publication of the Epidemiology Unit
231, de Saram Place, Colombo 01000, Sri Lanka
Tele: + 94 11 2695112, Fax: +94 11 2696583, E mail: firstname.lastname@example.org
Epidemiologist: +94 11 2681548, E mail: email@example.com
Web: http://www.epid.gov.lk
Vol. 47 No. 42 10th – 16 th Oct 2020
Violence against children and women during COVID-19
Children, adolescents, and women are at risk of abuse. In many countries around the world affected by COVID-19, records from helplines, police forces, and other service providers indicate an increase in reported cases of domestic violence, child maltreatment, and intimate partner violence against women during taking measures to contain the spread of the disease such as lockdowns, stay-at-home, and physical distancing. Evidence shows a 10-50% increase in domestic violence helpline calls in some countries. There is a three times increase in intimate partner violence reports in the Hubei province of China and 92,000 child abuse cases reported to one helpline in India. The coronavirus pandemic has resulted in the escalation of violence against women and children in Sri Lanka too. A survey done in Sri Lanka shows that 76.8% of the respondents experienced verbal abuse, while 7.8% encountered physical and 5.6% sexual violence. The survey further reveals that 49% of the perpetrators were neighbors, followed by parents at 25%, and intimate partners at 24%. These numbers, however, do not represent the prevalence of the problem, as data on family violence during the COVID-19 pandemic are currently scarce because most cases are not reported to services.
Risk factors for violence against children, and women during COVID-19 pandemic
* Increased time spent with and exposure to their abusers.
* Stressors including economic uncertainty, job losses which lead to loss of income.
lockdown.
* Perpetrators of intimate partner violence may use COVID-19-related concerns to execute greater power and control over their victims, including limiting access to critical information and resources, and monitoring communication (e.g. telephones, mobile/sim cards, internet), thus making it difficult to contact support services, and access health services while protecting themselves.
* Increased consumption of alcohol and other substances.
High-risk population among children and women for violence during COVID19 pandemic
* Children, adolescents, and women who already live in homes with violence before the start of the COVID19 pandemic.
* Children and women living with disabilities or mental health issues have fewer opportunities to seek help.
* Children, and women from ethnic minority or indigenous populations, lesbians, gay, bisexual, transgender or intersex persons, migrant and refugee populations, and those living in poverty.
Children are at higher risk because,
* Smaller children are less likely to understand.
* They have fewer opportunities than adults to leave the house and access to pathways for seeking help.
* No school-related support networks and lack of access to school which is a safe space, due to school closures.
* Limited or no access to protective support networks, both informal (e.g. family, relatives, friends, neighbors, school teachers or support staff, colleagues) and formal (e.g. protection services, hotlines, social services, shelters) during mobility restriction/
Women are at higher risk because,
* Increased risk of online abuse due to time spent online has been increased.
The conflict with partners due to increased stress associated with the high household burden of caring for children, sick and older people.
WER Sri Lanka - Vol. 47 No. 42 10
* Stay-at-home may increase the frequency of demands for sex from a partner, and condoms and contraception may be less accessible which leads to an increased risk of unprotected or unwanted sex.
response and those who provide essential services to children, and women about the signs, symptoms, risk factors of violence, when and how to ask about violence in a safe manner.
* Telephones or internet access may be limited or monitored by the perpetrators of intimate partner violence.
* They have to financially depend on their partner or other family members (e.g. grown children) which increases economic abuse.
* Some women are overstretched and working under stressful conditions as frontline health workers.
However, in several other countries, there appears to be a decline in the reported numbers of child abuse victims and women survivors seeking help in-person or remotely since lockdown measures were implemented. This may be due to the child's or woman's inability to leave the home or access this help privately as they are confined with a perpetrator, or due to service reductions or closures.
Measures to address violence against children and women during COVID-19 pandemic
* Include violence prevention and response in pandemic preparedness and response plans and risk mitigation communications and adequate resource allocation for these activities.
* Plan prevention and response programs and services for those affected by violence, such as mental health, psychosocial support, and protection services, alcohol and substance use prevention programs, counseling services, and medical treatment including immediate post-rape care. Also, ensure the maintenance of such programs during lockdowns.
* Promote paid sick, medical, family leave, and affordable child care for all essential workers.
* Inform the public about the availability of services to prevent and respond to violence or self-help or peer support groups for survivors of violence, via radio, television, online, posters, leaflets notices in grocery shops or pharmacies, including via Braille system.
* Alert essential service providers in the community such as mail carriers, meter readers, first responders, and food delivery services about signs that indicate violence or abuse and what to do if help is needed by survivors.
* Law enforcement to reduce risks associated with violence, such as harms caused by alcohol, weapons, drug use, and/or addictive behaviors.
* Make provisions to allow those seeking help for violence to safely leave the home, even during the lockdown.
* Keep existing helplines functioning or establish new ones including phone calls or text messages or chat or miss calls or telemedicine for free of charge and ensure all survivors can reach them.
* Multisectoral collaboration to address violence, such as criminal justice, health, social services, and NGOs.
* Inform health workers involved in the COVID-19
Page 2
* Provide parenting tips to caregivers during lockdowns or quarantine period.
* Encourage self-care, techniques to reduce stress and mental distress, positive coping strategies, social support, safety planning, and avoidance of tobacco, alcohol, or drug usage.
* In health care facilities and COVID-19 testing facilities, provide information about services available locally, including opening hours, contact details, and whether services can be offered remotely.
* Prevent abuse in the workplace and other institutions such as homes for children by training staff to recognize signs and symptoms of abuse and how to report without compromising the safety of the person affected, worker rotation, encouraging work breaks, and implementing flexible schedules for workers who are directly impacted or have a family member affected by a stressful event.
* Arrange follow-up for patients who have experienced violence in case they are isolated or quarantined and remain in regular contact with them.
* Prioritize home visits and contacts with vulnerable populations, in particular infants and young children, and people with disabilities at risk of violence, with specific attention to their safety.
Compiled by Dr. Timashini Wickramasinghe
PG trainee in Community Medicine, Epidemiology Unit.
References
* General WHO, Adhanom T. WHO-2019-nCoV- Violence_actions-2020.1-eng. 2020;(June):1–7.
* http://www.ipsnews.net/2020/08/report-shows-srilanka-escalation-violence-covid-19-lockdown
Table 1: Selected notifiable diseases reported by Medical Officers of Health 03
rd–
09
th
Oct 2020 (41
st
Week)
| | T* | 57 | 43 | 51 | 63 | 63 | 22 | 34 | 70 | 22 | 26 | 65 | 40 | 64 | 39 | 48 | 69 | 43 | 49 | 56 | 40 | 55 | 50 | | 50 | 55 | 59 | 49 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Leishmani- asis | B | 3 | 60 | 0 | 67 | 289 | 0 | 5 | 630 | 342 | 2 | 13 | 0 | 1 | 7 | 1 | 6 | 1 | 432 | 10 | 244 | 262 | 26 | 0 | 125 | 44 | 0 | 2570 |
| | A | 1 | 0 | 0 | 1 | 5 | 0 | 0 | 40 | 12 | 0 | 0 | 0 | 0 | 0 | 0 | 1 | 0 | 14 | 0 | 9 | 16 | 0 | 0 | 8 | 2 | 0 | 10 |
| Meningitis | B | 46 | 33 | 40 | 28 | 6 | 15 | 69 | 51 | 22 | 12 | 11 | 10 | 4 | 7 | 35 | 15 | 9 | 43 | 56 | 61 | 19 | 38 | 0 | 99 | 64 | 43 | 836 |
| | A | 1 | 0 | 0 | 0 | 1 | 0 | 4 | 3 | 0 | 0 | 0 | 1 | 0 | 0 | 3 | 0 | 0 | 2 | 2 | 0 | 1 | 1 | 0 | 1 | 3 | 1 | 24 |
| Chickenpox | B | 209 | 256 | 305 | 157 | 61 | 78 | 304 | 182 | 128 | 103 | 16 | 2 | 33 | 13 | 94 | 122 | 100 | 315 | 78 | 182 | 136 | 158 | 0 | 177 | 170 | 275 | 3654 |
| | A | 0 | 0 | 12 | 1 | 1 | 0 | 4 | 4 | 2 | 1 | 0 | 0 | 0 | 1 | 1 | 6 | 0 | 7 | 1 | 2 | 0 | 4 | 0 | 2 | 0 | 1 | 50 |
| Human R abies | B | 0 | 2 | 2 | 0 | 1 | 0 | 2 | 2 | 0 | 2 | 0 | 1 | 0 | 2 | 1 | 0 | 0 | 3 | 1 | 2 | 1 | 0 | 0 | 1 | 0 | 0 | 23 |
| | A | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 1 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 1 |
| Viral Hepatitis | B | 4 | 7 | 6 | 12 | 11 | 4 | 8 | 4 | 15 | 2 | 1 | 0 | 0 | 3 | 6 | 4 | 8 | 9 | 2 | 15 | 24 | 14 | 0 | 17 | 21 | 3 | 200 |
| | A | 1 | 0 | 0 | 2 | 0 | 0 | 0 | 0 | 0 | 1 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 1 | 0 | 0 | 0 | 0 | 0 | 0 | 1 | 0 | 6 |
| Typhus Fever | B | 3 | 8 | 15 | 109 | 9 | 94 | 60 | 63 | 16 | 564 | 41 | 2 | 3 | 16 | 0 | 0 | 9 | 31 | 17 | 26 | 1 | 100 | 0 | 54 | 42 | 2 | 1285 |
| | A | 0 | 0 | 0 | 2 | 1 | 3 | 1 | 3 | 1 | 12 | 2 | 0 | 0 | 1 | 0 | 0 | 0 | 1 | 0 | 0 | 0 | 3 | 0 | 1 | 0 | 0 | 31 |
| Leptospiro sis | B | 368 | 281 | 863 | 224 | 96 | 121 | 804 | 215 | 492 | 26 | 20 | 7 | 43 | 27 | 33 | 88 | 31 | 236 | 60 | 258 | 130 | 353 | 0 | 1416 | 510 | 23 | 6725 |
| | A | 12 | 2 | 18 | 8 | 0 | 3 | 40 | 5 | 16 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 8 | 0 | 5 | 1 | 8 | 0 | 33 | 22 | 1 | 18 |
| Food Poisoning | B | 18 | 19 | 6 | 15 | 6 | 9 | 48 | 49 | 4 | 79 | 24 | 2 | 3 | 5 | 49 | 0 | 2 | 37 | 1 | 30 | 8 | 4 | 0 | 37 | 18 | 6 | 479 |
| | A | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 1 | 0 | 4 | 1 | 0 | 0 | 0 | 0 | 0 | 0 | 1 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 7 |
| Enteric Fever | B | 7 | 7 | 6 | 9 | 6 | 6 | 4 | 2 | 1 | 21 | 11 | 1 | 6 | 6 | 1 | 0 | 0 | 4 | 3 | 4 | 0 | 3 | 0 | 6 | 4 | 1 | 119 |
| | A | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Encepha litis | B | 9 | 8 | 6 | 1 | 4 | 1 | 18 | 4 | 17 | 0 | 2 | 0 | 0 | 0 | 8 | 4 | 0 | 12 | 5 | 3 | 1 | 7 | 0 | 29 | 10 | 3 | 152 |
| | A | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 1 | 0 | 0 | 0 | 0 | 0 | 1 | 0 | 0 | 0 | 0 | 0 | 2 |
| Dysentery | B | 31 | 12 | 17 | 26 | 9 | 35 | 39 | 12 | 27 | 99 | 43 | 0 | 13 | 14 | 90 | 21 | 17 | 23 | 10 | 19 | 8 | 27 | 0 | 88 | 18 | 56 | 754 |
| | A | 0 | 0 | 0 | 1 | 0 | 0 | 0 | 0 | 2 | 5 | 3 | 0 | 0 | 0 | 1 | 0 | 0 | 0 | 0 | 0 | 1 | 1 | 0 | 0 | 0 | 2 | 16 |
| Dengue Fever | B | 4033 | 2500 | 1706 | 3174 | 567 | 167 | 1632 | 350 | 506 | 2067 | 128 | 134 | 249 | 85 | 2420 | 310 | 2280 | 902 | 467 | 414 | 233 | 462 | 0 | 1905 | 783 | 948 | 28422 |
| | A | 44 | 11 | 8 | 54 | 7 | 1 | 7 | 5 | 9 | 10 | 1 | 0 | 0 | 0 | 39 | 0 | 1 | 8 | 2 | 6 | 3 | 3 | 0 | 12 | 8 | 14 | 253 |
| RDHS Division | | Colombo | Gampaha | Kalutara | Kandy | Matale | NuwaraEliya | Galle | Hambantota | Matara | Jaffna | Kilinochchi | Mannar | Vavuniya | Mullaitivu | Batticaloa | Ampara | Trincomalee | Kurunegala | Puttalam | Anuradhapur | Polonnaruwa | Badulla | Monaragala | Ratnapura | Kegalle | Kalmune | SRILANKA |
Vol. 47 No. 42 10
Table 2: Vaccine-Preventable Diseases & AFP
03
rd–
09
th
Oct 2020 (41
st
Week)
| Disease | No. of Cases by Province | | | | | | | | | Number of cases during current week in 2020 | Number of cases during same week in 2019 | Total num- ber of cases to date in 2020 | Total num- ber of cases to date in 2019 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| | W | C | S | N | E | NW | NC | U | Sab | | | | |
| AFP* | 00 | 00 | 00 | 00 | 00 | 00 | 01 | 00 | 00 | 01 | 03 | 36 | 65 |
| Diphtheria | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 |
| Mumps | 01 | 01 | 01 | 00 | 00 | 00 | 00 | 00 | 00 | 03 | 03 | 149 | 266 |
| Measles | 00 | 01 | 01 | 00 | 00 | 00 | 00 | 00 | 00 | 02 | 01 | 48 | 251 |
| Rubella | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 |
| CRS** | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 |
| Tetanus | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 03 | 17 |
| Neonatal Tetanus | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 |
| Japanese En- cephalitis | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 02 | 31 | 13 |
| Whooping Cough | 01 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 00 | 01 | 00 | 09 | 36 |
| Tuberculosis | 63 | 14 | 00 | 06 | 11 | 00 | 11 | 08 | 20 | 133 | 180 | 5102 | 6697 |
Key to Table 1 & 2
RDHS Divisions: CB: Colombo, GM: Gampaha, KL: Kalutara, KD: Kandy, ML: Matale, NE: Nuwara Eliya, GL: Galle, HB: Hambantota, MT: Matara, JF: Jaffna,
Provinces: W: Western, C: Central, S: Southern, N: North, E: East, NC: North Central, NW: North Western, U: Uva, Sab: Sabaragamuwa.
KN: Killinochchi,MN: Mannar,VA: Vavuniya,MU: Mullaitivu,BT: Batticaloa,AM: Ampara,TR: Trincomalee,KM: Kalmunai,KR: Kurunegala,PU: Puttalam,
AP: Anuradhapura,PO: Polonnaruwa,BD: Badulla,MO: Moneragala,RP: Ratnapura,KG: Kegalle.
Data Sources:
Weekly Return of Communicable Diseases: Diphtheria, Measles, Tetanus, Neonatal Tetanus, Whooping Cough, Chickenpox, Meningitis, Mumps., Rubella, CRS, Special Surveillance: AFP* (Acute Flaccid Paralysis ), Japanese Encephalitis CRS** =Congenital Rubella Syndrome
NA = Not Available
Let's Unite and Defeat COVID-19
Always keep a distance of 1M with others
Wash hands with soap and water or sanitize with a sanitiser which contains the alcohol percentage >70%
Comments and contributions for publication in the WER Sri Lanka are welcome. However, the editor reserves the right to accept or reject items for publication. All correspondence should be mailed to The Editor, WER Sri Lanka, Epidemiological Unit, P.O. Box 1567, Colombo or sent by E-mail to firstname.lastname@example.org. Prior approval should be obtained from the Epidemiology Unit before publishing data in this publication
ON STATE SERVICE
|
Scalable Atomic Visibility with RAMP Transactions
Peter Bailis, Alan Fekete † , Ali Ghodsi, Joseph M. Hellerstein, Ion Stoica UC Berkeley and † University of Sydney
ABSTRACT
Databases can provide scalability by partitioning data across several servers. However, multi-partition, multi-operation transactional access is often expensive, employing coordination-intensive locking, validation, or scheduling mechanisms. Accordingly, many realworld systems avoid mechanisms that provide useful semantics for multi-partition operations. This leads to incorrect behavior for a large class of applications including secondary indexing, foreign key enforcement, and materialized view maintenance. In this work, we identify a new isolation model—Read Atomic (RA) isolation—that matches the requirements of these use cases by ensuring atomic visibility: either all or none of each transaction's updates are observed by other transactions. We present algorithms for Read Atomic MultiPartition (RAMP) transactions that enforce atomic visibility while offering excellent scalability, guaranteed commit despite partial failures (via synchronization independence), and minimized communication between servers (via partition independence). These RAMP transactions correctly mediate atomic visibility of updates and provide readers with snapshot access to database state by using limited multi-versioning and by allowing clients to independently resolve non-atomic reads. We demonstrate that, in contrast with existing algorithms, RAMP transactions incur limited overhead—even under high contention—and scale linearly to 100 servers.
are fast but deliver inconsistent results and algorithms that deliver consistent results but are often slow and unavailable under failure. Many of the largest modern, real-world systems opt for protocols that guarantee fast and scalable operation but provide few—if any—transactional semantics for operations on arbitrary sets of data items [11,13,15,22,26,38,44]. This results in incorrect behavior for use cases that require atomic visibility, including secondary indexing, foreign key constraint enforcement, and materialized view maintenance (Section 2). In contrast, many traditional transactional mechanisms correctly ensure atomicity of updates [8,17,43]. However, these algorithms—such as two-phase locking and variants of optimistic concurrency control—are often coordination-intensive, slow, and, under failure, unavailable in a distributed environment [5, 18, 28, 35]. This dichotomy between scalability and atomic visibility has been described as "a fact of life in the big cruel world of huge systems" [25]. The proliferation of non-transactional multi-item operations is symptomatic of a widespread "fear of synchronization" at scale [9].
1. INTRODUCTION
Faced with growing amounts of data and unprecedented query volume, distributed databases increasingly split their data across multiple servers, or partitions, such that no one partition contains an entire copy of the database [7,13,18,19,22,29,43]. This strategy succeeds in allowing near-unlimited scalability for operations that access single partitions. However, operations that access multiple partitions must communicate across servers—often synchronously— in order to provide correct behavior. Designing systems and algorithms that tolerate these communication delays is a difficult task but is key to maintaining scalability [17,28,29,35].
In this work, we address a largely underserved class of applications requiring multi-partition, atomically visible 1 transactional access: cases where all or none of each transaction's effects should be visible. The status quo for these multi-partition atomic transactions provides an uncomfortable choice between algorithms that
1Our use of "atomic" (specifically, Read Atomic isolation) concerns all-or-nothing visibility of updates (i.e., the ACID isolation effects of ACID atomicity; Section 3). This differs from uses of "atomicity" to denote serializability [8] or linearizability [4].
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http://dx.doi.org/10.1145/2588555.2588562.
Our contribution in this paper is to demonstrate that atomically visible transactions on partitioned databases are not at odds with scalability. Specifically, we provide high-performance implementations of a new, non-serializable isolation model called Read Atomic (RA) isolation. RA ensures that all or none of each transaction's updates are visible to others and that each transaction reads from an atomic snapshot of database state (Section 3)—this is useful in the applications we target. We subsequently develop three new, scalable algorithms for achieving RA isolation that we collectively title Read Atomic Multi-Partition (RAMP) transactions (Section 4). RAMP transactions guarantee scalability and outperform existing atomic algorithms because they satisfy two key scalability constraints. First, RAMP transactions guarantee synchronization independence: one client's transactions cannot cause another client's transactions to stall or fail. Second, RAMP transactions guarantee partition independence: clients never need to contact partitions that their transactions do not directly reference. Together, these properties ensure guaranteed completion, limited coordination across partitions, and horizontal scalability for multi-partition access.
RAMP transactions are scalable because they appropriately control the visibility of updates without inhibiting concurrency. Rather than force concurrent reads and writes to stall, RAMP transactions allow reads to "race" writes: RAMP transactions can autonomously detect the presence of non-atomic (partial) reads and, if necessary, repair them via a second round of communication with servers. To accomplish this, RAMP writers attach metadata to each write and use limited multi-versioning to prevent readers from stalling. The three algorithms we present offer a trade-off between the size of this metadata and performance. RAMP-Small transactions require constant space (a timestamp per write) and two round trip time delays (RTTs) for reads and writes. RAMP-Fast transactions require metadata size that is linear in the number of writes in the transaction but only require one RTT for reads in the common case and two in the worst case. RAMP-Hybrid transactions employ Bloom filters [10] to provide an intermediate solution. Traditional techniques like locking couple atomic visibility and mutual exclusion; RAMP transactions provide the benefits of the former without incurring the scalability, availability, or latency penalties of the latter.
While the literature contains an abundance of isolation models [2, 5], we believe that the large number of modern applications requiring RA isolation and the excellent scalability of RAMP transactions justify the addition of yet another model. RA isolation is too weak for some applications, but, for the many that it can serve, RAMP transactions offer substantial benefits.
In addition to providing a theoretical analysis and proofs of correctness, we demonstrate that RAMP transactions deliver in practice. Our RAMP implementation achieves linear scalability to over 7 million operations per second on a 100 server cluster (at overhead below 5% for a workload of 95% reads). Moreover, across a range of workload configurations, RAMP transactions incur limited overhead compared to other techniques and achieve higher performance than existing approaches to atomic visibility (Section 5).
2. OVERVIEW AND MOTIVATION
In this paper, we consider the problem of making transactional updates atomically visible to readers—a requirement that, as we outline in this section, is found in several prominent use cases today. The basic property we provide is fairly simple: either all or none of each transaction's updates should be visible to other transactions. For example, if a transaction T1 writes x = 1 and y = 1, then another transaction T2 should not read x = 1 and y = null. Instead, T2 should either read x = 1 and y = 1 or, possibly, x = null and y = null. Informally, each transaction reads from an unchanging snapshot of database state that is aligned along transactional boundaries. We call this property atomic visibility and formalize it via the Read Atomic isolation guarantee in Section 3.
To avoid this upper bound, we separate the problem of providing atomic visibility from the problem of maintaining mutual exclusion. By achieving the former but avoiding the latter, the algorithms we develop in this paper are not subject to the scalability penalties of many prior approaches. To ensure that all servers successfully execute a transaction (or that none do), our algorithms employ an atomic commitment protocol (ACP). When coupled with a blocking concurrency control mechanism like locking, ACPs are harmful to scalability and availability: arbitrary failures can (provably) cause any ACP implementation to stall [8]. (Optimistic concurrency control mechanisms can similarly block during validation.) We instead use ACPs with non-blocking concurrency control mechanisms; this means that individual transactions can stall due to failures or communication delays without forcing other transactions to stall. In a departure from traditional concurrency control, we allow multiple ACP rounds to proceed in parallel over the same data.
The classic strategy for providing atomic visibility is to ensure mutual exclusion between readers and writers. For example, if a transaction like T1 above wants to update data items x and y, it can acquire exclusive locks for each of x and y, update both items, then release the locks. No other transactions will observe partial updates to x and y, ensuring atomic visibility. However, this solution has a drawback: while one transaction holds exclusive locks on x and y, no other transactions can access x and y for either reads or writes. By using mutual exclusion to enforce the atomic visibility of updates, we have also limited concurrency. In our example, if x and y are located on different servers, concurrent readers and writers will be unable to perform useful work during communication delays. These communication delays form an upper bound on throughput: effectively, 1 message delay operations per second.
The end result—our RAMP transactions—provide excellent scalability and performance under contention (e.g., in the event of write hotspots) and are robust to partial failure. RAMP transactions' nonblocking behavior means that they cannot provide certain guarantees like preventing concurrent updates. However, applications that can use Read Atomic isolation will benefit from our algorithms. The remainder of this section identifies several relevant use cases from industry that require atomic visibility for correctness.
2.1 Read Atomic Isolation in the Wild
As a simple example, consider a social networking application: if two users, Sam and Mary, become "friends" (a bi-directional relationship), other users should never see that Sam is a friend of Mary but Mary is not a friend of Sam: either both relationships should be visible, or neither should be. A transaction under Read Atomic isolation would correctly enforce this behavior, and we can further classify three general use cases for Read Atomic isolation:
1.) Foreign key constraints. Many database schemas contain information about relationships between records in the form of foreign key constraints. For example, Facebook's TAO [11], LinkedIn's Espresso [38], and Yahoo! PNUTS [15] store information about business entities such as users, photos, and status updates as well as relationships between them (e.g., the friend relationships above). Their data models often represent bi-directional edges as two distinct uni-directional relationships. For example, in TAO, a user performing a "like" action on a Facebook page produces updates to both the LIKES and LIKED_BY associations [11]. PNUTS's authors describe an identical scenario [15]. These applications require foreign key maintenance and often, due to their unidirectional relationships, multi-entity update and access. Violations of atomic visibility surface as broken bi-directional relationships (as with Sam and Mary above) and dangling or incorrect references (e.g., Frank is an employee of department.id=5, but no such department exists in the department table).
With RAMP transactions, when inserting new entities, applications can bundle relevant entities from each side of a foreign key constraint into a transaction. When deleting associations, users can "tombstone" the opposite end of the association (i.e., delete any entries with associations via a special record that signifies deletion) [45] to avoid dangling pointers.
2.) Secondary indexing. Data is typically partitioned across servers according to a primary key (e.g., user ID). This allows fast location and retrieval of data via primary key lookups but makes access by secondary attributes (e.g., birth date) challenging. There are two dominant strategies for distributed secondary indexing. First, the local secondary index approach co-locates secondary indexes and primary data, so each server contains a secondary index that only references (and indexes) data stored on its server [7,38]. This allows easy, single-server updates but requires contacting every partition for secondary attribute lookups (write-one, read-all), compromising scalability for read-heavy workloads [11,17,38]. Alternatively, the global secondary index approach locates secondary indexes (which may be partitioned, but by a secondary attribute) separately from primary data [7,15]. This alternative allows fast secondary lookups (read-one) but requires multi-partition update (at least write-two).
Real-world services employ either local secondary indexing (e.g., Espresso [38], Cassandra, and Google Megastore's local indexes [7]) or non-atomic (incorrect) global secondary indexing (e.g., Espresso and Megastore's global indexes, Yahoo! PNUTS's proposed secondary indexes [15]). The former is non-scalable but correct, while the latter is scalable but incorrect. For example, in a database partitioned by id with an incorrectly-maintained global secondary index on salary, the query 'SELECT id, salary WHERE salary > 60,000' might return records with salary less than $60,000 and omit some records with salary greater than $60,000.
With RAMP transactions, the secondary index entry for a given attribute can be updated atomically with base data. For example, if a secondary index is stored as a mapping from secondary attribute values to sets of item-versions matching the secondary attribute (e.g., the secondary index entry for users with blue hair would contain a list of user IDs and last-modified timestamps corresponding to all of the users with attribute hair-color=blue), then insertions of new primary data require additions to the corresponding index entry, deletions require removals, and updates require a "tombstone" deletion from one entry and an insertion into another.
3.) Materialized view maintenance. Many applications precompute (i.e., materialize) queries over data, as in Twitter's Rainbird service [44], Google's Percolator [36], and LinkedIn's Espresso systems [38]. As a simple example, Espresso stores a mailbox of messages for each user along with statistics about the mailbox messages: for Espresso's read-mostly workload, it is more efficient to maintain (i.e., pre-materialize) a count of unread messages rather than scan all messages every time a user accesses her mailbox [38]. In this case, any unread message indicators should remain in sync with the messages in the mailbox. However, atomicity violations will allow materialized views to diverge from the base data (e.g., Susan's mailbox displays a notification that she has unread messages but all 63, 201 messages in her inbox are marked as read).
With RAMP transactions, base data and views can be updated atomically. The physical maintenance of a view depends on its specification [14,27], but RAMP transactions provide appropriate concurrency control primitives for ensuring that changes are delivered to the materialized view partition. For select-project views, a simple solution is to treat the view as a separate table and perform maintenance as needed: new rows can be inserted/deleted according to the specification, and, if necessary, the view can be (re-)computed on demand (i.e., lazy view maintenance [46]). For more complex views, such as counters, users can execute RAMP transactions over specialized data structures such as the CRDT G-Counter [40].
In brief: Status Quo. Despite application requirements for Read Atomic isolation, few large-scale production systems provide it. For example, the authors of Tao, Espresso, and PNUTS describe several classes of atomicity anomalies exposed by their systems, ranging from dangling pointers to the exposure of intermediate states and incorrect secondary index lookups, often highlighting these cases as areas for future research and design [11,15,38]. These systems are not exceptions: data stores like Bigtable [13], Dynamo [22], and many popular "NoSQL" [34] and even some "NewSQL" [5] stores do not provide transactional guarantees for multi-item operations.
The designers of these Internet-scale, real-world systems have made a conscious decision to provide scalability at the expense of multi-partition transactional semantics. Our goal with RAMP transactions is to preserve this scalability but deliver correct, atomically visible behavior for the use cases we have described.
3. SEMANTICS AND SYSTEM MODEL
In this section, we formalize Read Atomic isolation and, to capture scalability, formulate a pair of strict scalability criteria: synchronization and partition independence. Readers more interested in RAMP algorithms may wish to proceed to Section 4.
3.1 RA Isolation: Formal Specification
To formalize RA isolation, as is standard [2], we consider ordered sequences of reads and writes to arbitrary sets of items, or transactions. We call the set of items a transaction reads from and writes to its read set and write set. Each write creates a version of an item and we identify versions of items by a unique timestamp taken from a totally ordered set (e.g., rational numbers). Timestamps induce a total order on versions of each item (and a partial order across versions of different items). We denote version i of item x as x i .
A system provides Read Atomic isolation (RA) if it prevents fractured reads anomalies and also prevents transactions from reading uncommitted, aborted, or intermediate data. Thus, RA provides transactions with a "snapshot" view of the database that respects transaction boundaries (see the Appendix for more details, including a discussion of transitivity). RA is simply a restriction on write visibility—if the ACID "Atomicity" property requires that all or none of a transaction's updates are performed, RA requires that all or none of a transaction's updates are made visible to other transactions.
A transaction Tj exhibits fractured reads if transaction Ti writes versions xm and yn (in any order, with x possibly but not necessarily equal to y), Tj reads version xm and version yk, and k < n.
3.2 RA Implications and Limitations
As outlined in Section 2.1, RA isolation matches many of our use cases. However, RA is not sufficient for all applications. RA does not prevent concurrent updates or provide serial access to data items. For example, RA is an incorrect choice for an application that wishes to maintain positive bank account balances in the event of withdrawals. RA is a better fit for our "friend" operation because the operation is write-only and correct execution (i.e., inserting both records) is not conditional on concurrent updates.
From a programmer's perspective, we have found RA isolation to be most easily understandable (at least initially) with read-only and write-only transactions; after all, because RA allows concurrent writes, any values that are read might be changed at any time. However, read-write transactions are indeed well defined under RA.
3.3 System Model and Scalability
We consider databases that are partitioned, with the set of items in the database spread over multiple servers. Each item has a single logical copy, stored on a server—called the item's partition—whose identity can be calculated using the item. Clients forward operations on each item to the item's partition, where they are executed. Transaction execution terminates in commit, signaling success, or abort, signaling failure. In our examples, all data items have the null value (?) at database initialization. We do not model replication of data items within a partition; this can happen at a lower level of the system than our discussion (see Section 4.6) as long as operations on each item are linearizable [4].
Scalability criteria. As we hinted in Section 1, large-scale deployments often eschew transactional functionality on the premise that it would be too expensive or unstable in the presence of failure and degraded operating modes [9,11,13,15,22,25,26,38,44]. Our goal in this paper is to provide robust and scalable transactional functionality, and, so we first define criteria for "scalability":
Synchronization independence ensures that one client's transactions cannot cause another client's to block and that, if a client can contact the partition responsible for each item in its transaction, the transaction will eventually commit (or abort of its own volition). This prevents one transaction from causing another to abort—which is particularly important in the presence of partial failures—and guarantees that each client is able to make useful progress. In the absence of failures, this maximizes useful concurrency. In the distributed systems literature, synchronization independence for replicated transactions is called transactional availability [5]. Note that "strong" isolation models like serializability and Snapshot Isolation violate synchronization independence and limit scalability.
While many applications can limit their data accesses to a single partition via explicit data modeling [7,19,25,38] or planning [18,35], this is not always possible. In the case of secondary indexing, there is a tangible cost associated with requiring single-partition updates (scatter-gather reads), while, in social networks like Facebook and large-scale hierarchical access patterns as in Rainbird, perfect partitioning of data accesses is near-impossible. Accordingly:
Partition independence ensures that, in order to execute a transaction, a client never has to contact partitions that its transaction does not access. Thus, a partition failure only affects transactions that access items contained on the partition. This also reduces load on servers not directly involved in a transaction's execution. In the distributed systems literature, partition independence for replicated data is called replica availability [5] or genuine partial replication [39].
In addition to the above requirements, we limit the metadata overhead of algorithms. There are many potential solutions for providing atomic visibility that rely on storing prohibitive amounts of state. As a straw-man solution, each transaction could send copies of all of its writes to every partition it accesses so that readers observe all of its writes by reading a single item. This provides RA isolation but requires considerable storage. Other solutions may require extra data storage proportional to the number of servers in the cluster or, worse, the database size (Section 6). We will attempt to minimize this metadata—that is, data that the transaction did not itself write but which is required for correct execution. In our algorithms, we will specifically provide constant-factor metadata overheads (RAMP-S, RAMP-H) or else overhead linear in transaction size (but independent of data size; RAMP-F).
4. RAMP TRANSACTION ALGORITHMS
Given specifications for RA isolation and scalability, we present algorithms for achieving both. For ease of understanding, we first focus on providing read-only and write-only transactions with a "last writer wins" overwrite policy, then subsequently discuss how to perform read/write transactions. Our focus in this section is on intuition and understanding; we defer all correctness and scalability proofs to the Appendix, providing salient details inline.
In this section, we present three algorithms that provide a trade-off between the amount of metadata required and the expected number of extra reads to fetch missing writes. As discussed in Section 2, if techniques like distributed locking couple mutual exclusion with atomic visibility of writes, RAMP transactions correctly control visibility but allow concurrent and scalable execution.
At a high level, RAMP transactions allow reads and writes to proceed concurrently. This provides excellent performance but, in turn, introduces a race condition: one transaction might only read a subset of another transaction's writes, violating RA (i.e., fractured reads might occur). Instead of preventing this race (hampering scalability), RAMP readers autonomously detect the race (using metadata attached to each data item) and fetch any missing, in-flight writes from their respective partitions. To make sure that readers never have to block for writes to arrive at a partition, writers use a two-phase (atomic commitment) protocol that ensures that once a write is visible to readers on one partition, any other writes in the transaction are present on and, if appropriately identified by version, readable from their respective partitions.
4.1 RAMP-Fast
To begin, we present a RAMP algorithm that, in the race-free case, requires one RTT for reads and two RTTs for writes, called RAMP-Fast (abbreviated RAMP-F; Algorithm 1). RAMP-F stores metadata in the form of write sets (overhead linear in transaction size).
Overview. Each write in RAMP-F (lines 14–21) contains a timestamp (line 15) that uniquely identifies the writing transaction as well as a set of items written in the transaction (line 16). For now, combining a unique client ID and client-local sequence number is sufficient for timestamp generation (see also Section 4.5).
RAMP-F read transactions begin by first fetching the last (highesttimestamped) committed version for each item from its respective partition (lines 23–30). Using the results from this first round of reads, each reader can calculate whether it is "missing" any versions (that is, versions that were prepared but not yet committed on their partitions). Combining the timestamp and set of items from each version read (i.e., its metadata) produces a mapping from items to timestamps that represent the highest-timestamped write for each transaction that appears in this first-round read set (lines 26–29). If
RAMP-F write transactions proceed in two phases: a first round of communication places each timestamped write on its respective partition. In this PREPARE phase, each partition adds the write to its local database (versions, lines 1, 17–19). A second round of communication marks versions as committed. In this COMMIT phase, each partition updates an index containing the highest-timestamped committed version of each item (lastCommit, lines 2, 20–21).
the reader has read a version of an item that has a lower timestamp than indicated in the mapping for that item, the reader issues a second read to fetch the missing version (by timestamp) from its partition (lines 30–32). Once all missing versions are fetched (which can be done in parallel), the client can return the resulting set of versions—the first-round reads, with any missing versions replaced by the optional, second round of reads.
By example. Consider the RAMP-F execution depicted in Figure 1. T1 writes to both x and y, performing the two-round write protocol on two partitions, P x and P y. However, T2 reads from x and y while T1 is concurrently writing. Specifically, T2 reads from P x after P x has committed T1's write to x, but T2 reads from P y before P y has committed T1's write to y. Therefore, T2's first-round reads return x = x1 and y = ?, and returning this set of reads would violate RA. Using the metadata attached to its first-round reads, T2 determines that it is missing y1 (since vlatest [y] = 1 and 1 > ?) and so T2 subsequently issues a second read from P y to fetch y1 by version. After completing its second-round read, T2 can safely return its result set. T1's progress is unaffected by T2, and T1 subsequently completes by committing y1 on P y.
Why it works. RAMP-F writers use metadata as a record of intent: a reader can detect if it has raced with an in-progress commit round and use the metadata stored by the writer to fetch the missing data. Accordingly, RAMP-F readers only issue a second round of reads in the event that they read from a partially-committed write transaction (where some but not all partitions have committed a write). In this event, readers will fetch the appropriate writes from the not-yetcommitted partitions. Most importantly, RAMP-F readers never have to stall waiting for a write that has not yet arrived at a partition: the two-round RAMP-F write protocol guarantees that, if a partition commits a write, all of the corresponding writes in the transaction are present on their respective partitions (though possibly not committed locally). As long as a reader can identify the corresponding version by timestamp, the reader can fetch the version from the respective partition's set of pending writes without waiting. To enable this, RAMP-F writes contain metadata linear in the size of the writing transaction's write set (plus a timestamp per write).
RAMP-F requires 2 RTTs for writes: one for PREPARE and one for COMMIT. For reads, RAMP-F requires one RTT in the absence of concurrent writes and two RTTs otherwise.
RAMP timestamps are only used to identify specific versions and in ordering concurrent writes to the same item; RAMP-F transactions do not require a "global" timestamp authority. For example, if lastCommit[k] = 2, there is no requirement that a transaction with timestamp 1 has committed or even that such a transaction exists.
4.2 RAMP-Small: Trading Metadata for RTTs
While RAMP-F requires linearly-sized metadata but provides bestcase one RTT for reads, RAMP-Small (RAMP-S) uses constant-size metadata but always requires two RTT for reads (Algorithm 2). RAMP-S and RAMP-F writes are identical, but, instead of attaching the entire write set to each write, RAMP-S writers only store the transaction timestamp (line 7). Unlike RAMP-F, RAMP-S readers issue a first round of reads to fetch the highest committed timestamp for each item from its respective partition (lines 3, 9–11). Once RAMP-S readers have recieved the highest committed timestamp for each item, the readers send the entire set of timestamps they received to the partitions in a second round of communication (lines 13–14). For each item in the read request, RAMP-S servers return the highesttimestamped version of the item that also appears in the supplied set of timestamps (lines 5–6). Readers subsequently return the results from the mandatory second round of requests.
```
1: versions: set of versions hitem, value, timestamp tsv, metadata mdi 2: latestCommit[i]: last committed timestamp for item i Server-side Methods 3: procedure PREPARE(v : version) 4: versions.add(v) 5: return 6: procedure COMMIT(tsc : timestamp) 7: Its {w.item | w 2 versions ^ w.tsv = tsc} 8: 8i 2 Its, latestCommit[i] max(latestCommit[i],tsc) 9: procedure GET(i : item, tsreq : timestamp) 10: if tsreq = /0 then 11: return v 2 versions : v.item = i ^ v.tsv = latestCommit[item] 12: else 13: return v versions : v.item = i v.tsv = tsreq
```
```
14: procedure PUT_ALL(W : set of hitem, valuei) 15: tstx generate new timestamp 16: Itx set of items in W 17: parallel-for hi, vi 2 W 18: v hitem = i, value = v,tsv = tstx, md = (Itx −{i})i 19: invoke PREPARE(v) on respective server (i.e., partition) 20: parallel-for server s : s contains an item in W 21: invoke COMMIT(tstx) on s 22: procedure GET_ALL(I : set of items) 23: ret {} 24: parallel-for i 2 I 25: ret[i] GET(i, /0) 26: vlatest {} (default value: −1) 27: for response r 2 ret do 28: for itx 2 r.md do 29: vlatest [itx] max(vlatest [itx], r.tsv) 30: parallel-for item i 2 I 31: if vlatest [i] > ret[i].tsv then 32: ret[i] GET(i, vlatest [i])
```
```
Algorithm 1 RAMP-Fast Server-side Data Structures 2 ^ Client-side Methods 33: return ret
```
By example. In Figure 1, under RAMP-S, P x and P y would respectively return the sets {1} and {?} in response to T2's first round of reads. T2 would subsequently send the set {1, ?} to both P x and P y, which would return x1 and y1. (Including ? in the second-round request is unnecessary, but we leave it in for ease of understanding.)
Why it works. In RAMP-S, if a transaction has committed on some but not all partitions, the transaction timestamp will be returned in the first round of any concurrent read transaction accessing the committed partitions' items. In the (required) second round of read requests, any prepared-but-not-committed partitions will find the committed timestamp in the reader-provided set and return the appropriate version. In contrast with RAMP-F, where readers explicitly provide partitions with a specific version to return in the (optional) second round, RAMP-S readers defer the decision of which version to return to the partition, which uses the reader-provided set to decide. This saves metadata but increases RTTs, and the size of the parameters of each second-round GET request is (worst-case) linear in the read set size. Unlike RAMP-F, there is no requirement to return the value of the last committed version in the first round (returning the version, lastCommit[k], suffices in line 3).
4.3 RAMP-Hybrid: An Intermediate Solution
RAMP-Hybrid (RAMP-H; Algorithm 3) strikes a compromise between RAMP-F and RAMP-S. RAMP-H and RAMP-S write protocols are identical, but, instead of storing the entire write set (as in RAMP-F),
```
Algorithm 2 RAMP-Small Server-side Data Structures same as in RAMP-F (Algorithm 1) Server-side Methods PREPARE, COMMIT same as in RAMP-F 1: procedure GET(i : item, tsset : set of timestamps) 2: if tsset = /0 then 3: return v 2 versions : v.item = i ^ v.tsv = latestCommit[k] 4: else 5: tsmatch = {t | t 2 tsset ^9v 2 versions : v.item = i ^ v.tv = t} 6: return v 2 versions : v.item = i ^ v.tsv = max(tsmatch) Client-side Methods 7: procedure PUT_ALL(W : set of hitem, valuei) same as RAMP-F PUT_ALL but do not instantiate md on line 18 8: procedure GET_ALL(I : set of items) 9: tsset {} 10: parallel-for i 2 I 11: tsset .add(GET(i, /0).tsv) 12: ret {} 13: parallel-for item i 2 I 14: ret[i] GET(i,tsset ) 15: return ret
```
RAMP-H writers store a Bloom filter [10] representing the transaction write set (line 1). RAMP-H readers proceed as in RAMP-F, with a first round of communication to fetch the last-committed version of each item from its partition (lines 3–5). Given this set of versions, RAMP-H readers subsequently compute a list of potentially highertimestamped writes for each item (lines 7–10). Any potentially missing versions are fetched in a second round of reads (lines 12).
By example. In Figure 1, under RAMP-H, x1 would contain a Bloom filter with positives for x and y and y ? would contain an empty Bloom filter. T2 would check for the presence of y in x1's Bloom filter (since x1's version is 1 and 1 > ?) and, finding a match, conclude that it is potentially missing a write (y1). T2 would subsequently fetch y1 from P y.
Why it works. RAMP-H is effectively a hybrid between RAMP-F and RAMP-S. If the Bloom filter has no false positives, RAMP-H reads behave like RAMP-F reads. If the Bloom filter has all false positives, RAMP-H reads behave like RAMP-S reads. Accordingly, the number of (unnecessary) second-round reads (i.e., which would not be performed by RAMP-F) is controlled by the Bloom filter false positive rate, which is in turn (in expectation) proportional to the size of the Bloom filter. Any second-round GET requests are accompanied by a set of timestamps that is also proportional in size to the false positive rate. Therefore, RAMP-H exposes a trade-off between metadata size and expected performance. To understand why RAMP-H is safe, we simply have to show that any false positives (second-round reads) will not compromise the integrity of the result set; with unique timestamps, any reads due to false positives will return null.
4.4 Summary of Basic Algorithms
The RAMP algorithms allow readers to safely race writers without requiring either to stall. The metadata attached to each write allows readers in all three algorithms to safely handle concurrent and/or partial writes and in turn allows a trade-off between metadata size and performance (Table 1): RAMP-F is optimized for fast reads, RAMP-S is optimized for small metadata, and RAMP-H is, as the name suggests, a middle ground. RAMP-F requires metadata linear in transaction size, while RAMP-S and RAMP-H require constant metadata. However, RAMP-S and RAMP-H require more RTTs for reads compared to RAMP-F when there is no race between readers and writers.
6
```
Algorithm 3 RAMP-Hybrid Server-side Data Structures Same as in RAMP-F (Algorithm 1) Server-side Methods PREPARE , COMMIT same as in RAMP-F GET same as in RAMP-S Client-side Methods 1: procedure PUT _ ALL ( W : set of h item , value i ) same as RAMP-F PUT _ ALL but instantiate md on line 18 with Bloom filter containing I tx 2: procedure GET _ ALL ( I : set of items) 3: ret {} 4: parallel-for i 2 I 5: ret [ i ] GET ( i , /0 ) 6: v fetch {} 7: for version v 2 ret do 8: for version v 0 2 ret : v 0 = v do 9: if v . ts v > v 0 . ts v ^ v . md . lookup ( v 0 . item ) ! True then 10: v fetch [ v 0 . item ] .add( v . ts v ) 11: parallel-for item i 2 v fetch 12: ret [ i ] GET ( k , v fetch [ i ]) if GET ( k , v fetch [ i ]) = ? 13: return ret
```
Table 1: Comparison of basic algorithms: RTTs required for writes (W), reads (R) without concurrent writes and in the worst case (O), stored metadata and metadata attached to read requests (in addition to a timestamp for each).
| Algorithm | RTTs/transaction W R (stable) R (O) | | | Metadata (+stamp) Stored Per-Request | |
|---|---|---|---|---|---|
| RAMP-F RAMP-S RAMP-H | 2 2 2 | 1 2 1+e | 2 2 2 | txn items - Bloom filter | - stamp/item stamp/item |
When reads and writes race, in the worst case, all algorithms require two RTTs for reads. Writes always require two RTTs to prevent readers from stalling due to missing, unprepared writes.
RAMP algorithms are scalable because clients only contact partitions relative to their transactions (partition independence), and clients cannot stall one another (synchronization independence). More specifically, readers do not interfere with other readers, writers do not interfere with other writers, and readers and writers can proceed concurrently. When a reader races a writer to the same items, the writer's new versions will only become visible to the reader (i.e., be committed) once it is guaranteed that the reader will be able to fetch all of them (possibly via a second round of communication). A reader will never have to stall waiting for writes to arrive at a partition (for details, see Invariant 1 in the Appendix).
4.5 Additional Details
In this section, we discuss relevant implementation details.
Multi-versioning and garbage collection. RAMP transactions rely on multi-versioning to allow readers to access versions that have not yet committed and/or have been overwritten. In our initial presentation, we have used a completely multi-versioned storage engine; in practice, multi-versioning can be implemented by using a single-versioned storage engine for retaining the last committed version of each item and using a "look-aside" store for access to both prepared-but-not-yet-committed writes and (temporarily) any overwritten versions. The look-aside store should make prepared versions durable but can—at the risk of aborting transactions in the event of a server failure—simply store any overwritten versions in memory. Thus, with some work, RAMP algorithms are portable to legacy, non-multi-versioned storage systems.
In both architectures, each partition's data will grow without bound if old versions are not removed. If a committed version of an item is not the highest-timestamped committed version (i.e., a committed version v of item k where v < lastCommit[k]), it can be safely discarded (i.e., garbage collected, or GCed) as long as no readers will attempt to access it in the future (via second-round GET requests). It is easiest to simply limit the running time of read transactions and GC overwritten versions after a fixed amount of real time has elapsed. Any read transactions that take longer than this GC window can be restarted [32,33]. Therefore, the maximum number of versions retained for each item is bounded by the item's update rate, and servers can reject any client GET requests for versions that have been GCed (and the read transaction can be restarted). As a more principled solution, partitions can also gossip the timestamps of items that have been overwritten and have not been returned in the first round of any ongoing read transactions.
Read-write transactions. Until now, we have focused on readonly and write-only transactions. However, we can extend our algorithms to provide read-write transactions. If transactions predeclare the data items they wish to read, then the client can execute a GET_ALL transaction at the start of transaction execution to prefetch all items; subsequent accesses to those items can be served from this pre-fetched set. Clients can buffer any writes and, upon transaction commit, send all new versions to servers (in parallel) via a PUT_ALL request. As in Section 3, this may result in anomalies due to concurrent update but does not violate RA isolation. Given the benefits of pre-declared read/write sets [18, 35, 43] and write buffering [17, 41], we believe this is a reasonable strategy. For secondary index lookups, clients can first look up secondary index entries then subsequently (within the same transaction) read primary data (specifying versions from index entries as appropriate).
Timestamps. Timestamps should be unique across transactions, and, for "session" consistency (Appendix), increase on a per-client basis. Given unique client IDs, a client ID and sequence number form unique transaction timestamps without coordination. Without unique client IDs, servers can assign unique timestamps with high probability using UUIDs and by hashing transaction contents.
Overwrites. In our algorithms, we have depicted a policy in which versions are overwritten according to a highest-timestamp-wins policy. In practice, and, for commutative updates, users may wish to employ a different policy upon COMMIT: for example, perform set union. In this case, lastCommit[k] contains an abstract data type (e.g., set of versions) that can be updated with a merge operation [22, 42] (instead of updateI fGreater) upon commit. This treats each committed record as a set of versions, requiring additional metadata (that can be GCed as in Section 4.7).
4.6 Distribution and Fault Tolerance
RAMP transactions operate in a distributed setting, which poses challenges due to latency, partial failure, and network partitions. Synchronization independence ensures that failed clients do not cause other clients to fail, while partition independence ensures that clients only have to contact partitions for items in their transactions. This provides fault tolerance and availability as long as clients can access relevant partitions, but here we further elucidate RAMP interactions with replication and stalled operations.
Replication. A variety of mechanisms including traditional database master-slave replication with failover, quorum-based protocols, and state machine replication and can ensure availability of individual partitions in the event of individual server failure [8]. To control durability, clients can wait until the effects of their operations (e.g., modifications to versions and lastCommit ) are persisted locally on their respective partitions and/or to multiple physical servers before returning from PUT _ ALL calls (either via master-to-slave replication or via quorum replication and by performing two-phase commit across multiple active servers). Notably, because RAMP transactions can safely overlap in time, replicas can process different transactions' PREPARE and COMMIT requests in parallel.
Stalled Operations. RAMP writes use a two-phase atomic commitment protocol that ensures readers never block waiting for writes to arrive. As discussed in Section 2, every ACP may block during failures [8]. However, due to synchronization independence, a blocked transaction (due to failed clients, failed servers, or network partitions) cannot cause other transactions to block. Blocked writes instead act as "resource leaks" on partitions: partitions will retain prepared versions indefinitely unless action is taken.
CTP (evaluated in Section 5) only runs when writes block (or time-outs fire) and runs asynchronously with respect to other operations. CTP requires that PREPARE messages contain a list of servers involved in the transaction (a subset of RAMP-F metadata but a superset of RAMP-H and RAMP-S) and that servers remember when they COMMIT and "abort" writes (e.g., in a log file). Compared to alternatives (e.g., replicating clients [24]), we have found CTP to be both lightweight and effective.
To "free" these leaks, RAMP servers can use the Cooperative Termination Protocol (CTP) described in [8]. CTP can always complete the transaction except when every partition has performed PREPARE but no partition has performed COMMIT. In CTP, if a server Sp has performed PREPARE for transaction T but times out waiting for a COMMIT, Sp can check the status of T on any other partitions for items in T 's write set. If another server Sc has received COMMIT for T , then Sp can COMMIT T . If Sa, a server responsible for an item in T , has not received PREPARE for T , Sa and Sp can promise never to PREPARE or COMMIT T in the future and Sp can safely discard its versions. A client recovering from a failure can read from the servers to determine if they unblocked its write. Writes that block mid-COMMIT will also become visible on all partitions.
4.7 Further Optimizations
RAMP algorithms also allow several possible optimizations:
Faster commit detection. If a server returns a version in response to a GET request and the version's timestamp is greater than the highest committed version of that item (i.e., lastCommit), then transaction writing the version has committed on at least one partition. In this case, the server can mark the version as committed. This scenario will occur when all partitions have performed PREPARE and at least one server but not all partitions have performed COMMIT (as in CTP). This allows faster updates to lastCommit (and therefore fewer expected RAMP-F and RAMP-H RTTs).
Metadata garbage collection. Once all of transaction T 's writes are committed on each respective partition (i.e., are reflected in lastCommit), readers are guaranteed to read T 's writes (or later writes). Therefore, non-timestamp metadata for T 's writes stored in RAMP-F and RAMP-H (write sets and Bloom filters) can therefore be discarded. Detecting that all servers have performed COMMIT can be performed asynchronously via a third round of communication performed by either clients or servers.
One-phase writes. We have considered two-phase writes, but, if a user does not wish to read her writes (thereby sacrificing session guarantees outlined in the Appendix), the client can return after issuing its PREPARE round (without sacrificing durability). The client can subsequently execute the COMMIT phase asynchronously, or, similar to optimizations presented in Paxos Commit [24], the servers can exchange PREPARE acknowledgements with one another and decide to COMMIT autonomously. This optimization is safe because multiple PREPARE phases can safely overlap.
5. EXPERIMENTAL EVALUATION
We proceed to experimentally demonstrate RAMP transaction scalability as compared to existing transactional and non-transactional mechanisms. RAMP-F, RAMP-H, and often RAMP-S outperform existing solutions across a range of workload conditions while exhibiting overheads typically within 8% and no more than 48% of peak throughput. As expected from our theoretical analysis, the performance of our RAMP algorithms does not degrade substantially under contention and scales linearly to over 7.1 million operations per second on 100 servers. These outcomes validate our choice to pursue synchronization- and partition-independent algorithms.
5.1 Experimental Setup
To demonstrate the effect of concurrency control on performance and scalability, we implemented several concurrency control algorithms in a partitioned, multi-versioned, main-memory database prototype. Our prototype is in Java and employs a custom RPC system with Kryo 2.20 for serialization. Servers are arranged as a distributed hash table with partition placement determined by random hashing. As in stores like Dynamo [22], clients can connect to any server to execute operations, which the server will perform on their behalf (i.e., each server acts as a client in our RAMP pseudocode). We implemented RAMP-F, RAMP-S, and RAMP-H and configure a wall-clock GC window of 5 seconds as described in Section 4.5. RAMP-H uses a 256-bit Bloom filter based on an implementation of MurmurHash2.0, with four hashes per entry; to demonstrate the effects of filter saturation, we do not modify these parameters in our experiments. Our prototype utilizes the "Faster commit detection" optimization from Section 4.5 but we chose not to employ the latter two optimizations in order to preserve session guarantees and because metadata overheads were generally minor.
Algorithms for comparison. As a baseline, we do not employ any concurrency control (denoted NWNR, for no write and no read locks); reads and writes take one RTT and are executed in parallel.
We also consider an algorithm where, for each transaction, designated "coordinator" servers enforce RA isolation—effectively, the Eiger system's 2PC-PCI mechanism [33] (denoted E-PCI; Section 6). Writes proceed via prepare and commit rounds, but any reads that arrive at a partition and overlap with a concurrent write to the same item must contact a (randomly chosen, per-write-transaction) "coordinator" partition to determine whether the coordinator's prepared writes have been committed. Writes require two RTTs, while reads require one RTT during quiescence and two RTTs in the presence of concurrent updates (to a variable number of coordinator partitions—linear in the number of concurrent writes to the item).
We also consider three lock-based mechanisms: long write locks and long read locks, providing Repeatable Read isolation (PL-2.99; denoted LWLR), long write locks with short read locks, providing Read Committed isolation (PL-2L; denoted LWSR; does not provide RA), and long write locks with no read locks, providing Read Uncommitted isolation [2] (LWNR; also does not provide RA). While only LWLR provides RA, LWSR and LWNR provide a useful basis for comparison, particularly in measuring concurrency-related locking overheads. To avoid deadlocks, the system lexicographically orders lock requests by item and performs them sequentially. When locks are not used (as for reads in LWNR and reads and writes for NWNR), the system parallelizes operations.
Using a coordinator violates partition independence but not synchronization independence. We optimize 2PC-PCI reads by having clients determine a read timestamp for each transaction (eliminating an RTT) and do not include happens-before metadata.
This range of lock-based strategies (LWNR, LWSR, LWNR), recent comparable approach (E-PCI), and best-case (NWNR; no concurrency control) baseline provides a spectrum of strategies for comparison.
Environment and benchmark. We evaluate each algorithm using the YCSB benchmark [16] and deploy variably-sized sets of servers on public cloud infrastructure. We employ cr1.8xlarge instances on Amazon EC2 and, by default, deploy five partitions on five servers. We group sets of reads and sets of writes into read-only and write-only transactions (default size: 4 operations), and use the default YCSB workload (workloada, with Zipfian distributed item accesses) but with a 95% read and 5% write proportion, reflecting read-heavy applications (Section 2, [11,33,44]; e.g., Tao's 500 to 1 reads-to-writes [11, 33], Espresso's 1000 to 1 Mailbox application [38], and Spanner's 3396 to 1 advertising application [17]).
By default, we use 5000 concurrent clients split across 5 separate EC2 instances and, to fully expose our metadata overheads, use a value size of 1 byte per write. We found that lock-based algorithms were highly inefficient for YCSB's default 1K item database, so we increased the database size to 1M items by default. Each version contains a timestamp (64 bits), and, with YCSB keys (i.e., item IDs) of size 11 bytes and a transaction length L, RAMP-F requires 11L bytes of metadata per version, while RAMP-H requires 32 bytes. We successively vary several parameters, including number of clients, read proportion, transaction length, value size, database size, and number of servers and report the average of three sixty-second trials.
5.2 Experimental Results: Comparison
Our first set of experiments focuses on two metrics: performance compared to baseline and performance compared to existing techniques. The overhead of RAMP algorithms is typically less than 8% compared to baseline (NWNR) throughput, is sometimes zero, and is never greater than 50%. RAMP-F and RAMP-H always outperform the lock-based and E-PCI techniques, while RAMP-S outperforms lock-based techniques and often outperforms E-PCI. We proceed to demonstrate this behavior over a variety of conditions:
Number of clients. RAMP performance scales well with increased load and incurs little overhead (Figure 2). With few concurrent clients, there are few concurrent updates and therefore few secondround reads; performance for RAMP-F and RAMP-H is close to or even matches that of NWNR. At peak throughput (at 10,000 clients), RAMP-F and RAMP-H pay a throughput overhead of 4.2% compared to NWNR. RAMP-F and RAMP-H exhibit near-identical performance; the RAMP-H Bloom filter triggers few false positives (and therefore few extra RTTs compared to RAMP-F). RAMP-S incurs greater overhead and peaks at almost 60% of the throughput of NWNR. Its guaranteed two-round trip reads are expensive and it acts as an effective lower bound on RAMP-F and RAMP-H performance. In all configurations, the algorithms achieve low latency (RAMP-F, RAMP-H, NWNR less than 35ms on average and less than 10 ms at 5,000 clients; RAMP-S less than 53ms, 14.3 ms at 5,000 clients).
In comparison, the remaining algorithms perform less favorably. In contrast with the RAMP algorithms, E-PCI servers must check a coordinator server for each in-flight write transaction to determine whether to reveal writes to clients. For modest load, the overhead of these commit checks places E-PCI performance between that of RAMP-S and RAMP-H. However, the number of in-flight writes increases with load (and is worsened due to YCSB's Zipfian distributed accesses), increasing the number of E-PCI commit checks.
This in turn decreases throughput, and, with 10,000 concurrent clients, E-PCI performs so many commit checks per read (over 20% of reads trigger a commit check, and, on servers with hot items, each commit check requires indirected coordinator checks for an average of 9.84 transactions) that it underperforms the LWNR lockbased scheme. Meanwhile, multi-partition locking is expensive [35]: with 10,000 clients, the most efficient algorithm, LWNR, attains only 28.6% of the throughput of NWNR, while the least efficient, LWLR, attains only 1.6% (peaking at 3,412 transactions per second).
We subsequently varied several other workload parameters, which we briefly discuss below and plot in Figure 3:
Read proportion. Increased write activity leads to a greater number of races between reads and writes and therefore additional second-round RTTs for RAMP-F and RAMP-H reads. With all write transactions, all RAMP algorithms are equivalent (two RTT) and achieve approximately 65% of the throughput of NWNR. With all reads, RAMP-F, RAMP-S, NWNR, and E-PCI are identical, with a single RTT. Between these extremes, RAMP-F and RAMP-S scale nearlinearly with the write proportion. In contrast, lock-based protocols fare poorly as contention increases, while E-PCI again incurs penalties due to commit checks.
Transaction length. Increased transaction lengths have variable impact on the relative performance of RAMP algorithms. Synchronization independence does not penalize long-running transactions, but, with longer transactions, metadata overheads increase. RAMP-F relative throughput decreases due to additional metadata (linear in transaction length) and RAMP-H relative performance also decreases as its Bloom filters saturate. (However, YCSB's Zipfian-distributed access patterns result in a non-linear relationship between length and throughput.) As discussed above, we explicitly decided not to tune RAMP-H Bloom filter size but believe a logarithmic increase in filter size could improve RAMP-H performance for large transaction lengths (e.g., 1024 bit filters should lower the false positive rate for transactions of length 256 from over 92% to slightly over 2%).
Value size. Value size similarly does not seriously impact relative throughput. At a value size of 1B, RAMP-F is within 2.3% of NWNR. However, at a value size of 100KB, RAMP-F performance nearly matches that of NWNR: the overhead due to metadata decreases, and write request rates slow, decreasing concurrent writes (and subse-
quently second-round RTTs). Nonetheless, absolute throughput drops by a factor of 24 as value sizes moves from 1B to 100KB.
Database size. RAMP algorithms are robust to high contention for a small set of items: with only 1000 items in the database, RAMP-F achieves throughput within 3.1% of NWNR. RAMP algorithms are largely agnostic to read/write contention, although, with fewer items in the database, the probability of races between readers and inprogress writers increases, resulting in additional second-round reads for RAMP-F and RAMP-H. In contrast, lock-based algorithms fare poorly under high contention, while E-PCI indirected commit checks again incurred additional overhead. By relying on clients (rather than additional partitions) to repair fractured writes, RAMP-F, RAMP-H, and RAMP-S performance is less affected by hot items.
Overall, RAMP-F and RAMP-H exhibit performance close to that of no concurrency control due to their independence properties and guaranteed worst-case performance. As the proportion of writes
Number of Servers
Figure 4: RAMP transactions scale linearly to over 7 million operations/s with comparable performance to NWNR baseline.
increases, an increasing proportion of RAMP-F and RAMP-H operations take two RTTs and performance trends towards that of RAMP-S, which provides a constant two RTT overhead. In contrast, lockbased protocols perform poorly under contention while E-PCI triggers more commit checks than RAMP-F and RAMP-H trigger second round reads (but still performs well without contention and for particularly read-heavy workloads). The ability to allow clients to independently verify read sets enables good performance despite a range of (sometimes adverse) conditions (e.g., high contention).
5.3 Experimental Results: CTP Overhead
We also evaluated the overhead of blocked writes in our implementation of the Cooperative Termination Protocol discussed in Section 4.6. To simulate blocked writes, we artificially dropped a percentage of COMMIT commands in PUT_ALL calls such that clients returned from writes early and partitions were forced to complete the commit via CTP. This behavior is worse than expected because "blocked" clients continue to issue new operations. The table below reports the throughput reduction as the proportion of blocked writes increases (compared to no blocked writes) for a workload of 100% RAMP-F write transactions:
As these results demonstrate, CTP can reduce throughput because each commit check consumes resources (here, network and CPU capacity). However, CTP only performs commit checks in the event of blocked writes (or time-outs; set to 5s in our experiments), so a modest failure rate of 1 in 1000 writes has a limited effect. The higher failure rates produce a near-linear throughput reduction but, in practice, a blocking rate of even a few percent is likely indicative of larger systemic failures. As Figure 3 hints, the effect of additional metadata for the participant list in RAMP-H and RAMP-S is limited, and, for our default workload of 5% writes, we observe similar trends but with throughput degradation of 10% or less across the above configurations. This validates our initial motivation behind the choice of CTP: average-case overheads are small.
5.4 Experimental Results: Scalability
We finally validate our chosen scalability criteria by demonstrating linear scalability of RAMP transactions to 100 servers. We deployed an increasing number of servers within the us-west-2 EC2 region and, to mitigate the effects of hot items during scaling, configured uniform random access to items. We were unable to include more than 20 instances in an EC2 "placement group," which guarantees 10 GbE connections between instances, so, past 20 servers, servers communicated over a degraded network. Around 40 servers, we exhausted the us-west-2b "availability zone" (datacenter) capacity and had to allocate our instances across the remaining zones, further degrading network performance. However, as shown in Figure 4, each RAMP algorithm scales linearly, even though in expectation, at 100 servers, all but one in 100M transactions is a multi-partition operation. In particular, RAMP-F achieves slightly under 7 . 1 million operations per second, or 1 . 79 million transactions per second on a set of 100 servers ( 71 , 635 operations per partition per second). At all scales, RAMP-F throughput was always within 10% of NWNR . With 100 servers, RAMP-F was within 2.6%, RAMP-S within 3.4%, and RAMP-S was within 45% of NWNR . In light of our scalability criteria, this behavior is unsurprising.
6. RELATED WORK
Replicated databases offer a broad spectrum of isolation guarantees at varying costs to performance and availability [8]:
Serializability. At the strong end of the isolation spectrum is serializability, which provides transactions with the equivalent of a serial execution (and therefore also provides RA). A range of techniques can enforce serializability in distributed databases [3,8], multi-version concurrency control (e.g. [37]) locking (e.g. [31]), and optimistic concurrency control [41]. These useful semantics come with costs in the form of decreased concurrency (e.g., contention and/or failed optimistic operations) and limited availability during partial failure [5,21]. Many designs [19,29] exploit cheap serializability within a single partition but face scalability challenges for distributed operations. Recent industrial efforts like F1 [41] and Spanner [17] have improved performance via aggressive hardware advances but, their reported throughput is still limited to 20 and 250 writes per item per second. Multi-partition serializable transactions are expensive and, especially under adverse conditions, are likely to remain expensive [18,28,35].
Weak isolation. The remainder of the isolation spectrum is more varied. Most real-world databases offer (and often default to) nonserializable isolation models [5,34]. These "weak isolation" levels allow greater concurrency and fewer system-induced aborts compared to serializable execution but provide weaker semantic guarantees. For example, the popular choice of Snapshot Isolation prevents Lost Update anomalies but not Write Skew anomalies [2]; by preventing Lost Update, concurrency control mechanisms providing Snapshot Isolation violate synchronization independence [5]. In recent years, many "NoSQL" designs have avoided cross-partition transactions entirely, effectively providing Read Uncommitted isolation in many industrial databases such PNUTS [15], Dynamo [22], TAO [11], Espresso [38], Rainbird [44], and BigTable [13]. These systems avoid penalties associated with stronger isolation but in turn sacrifice transactional guarantees (and therefore do not offer RA).
Related mechanisms. There are several algorithms that are closely related to our choice of RA and RAMP algorithm design.
Eiger provides its write-only transactions [33] by electing a coordinator server for each write. As discussed in Section 5 (E-PCI), the number of "commit checks" performed during its read-only transactions is proportional to the number of concurrent writes. Using a coordinator violates partition independence but in turn provides
COPS-GT's two-round read-only transaction protocol [32] is similar to RAMP-F reads—client read transactions identify causally inconsistent versions by timestamp and fetch them from servers. While COPS-GT provides causal consistency (requiring additional metadata), it does not support RA isolation for multi-item writes.
causal consistency. This coordinator election is analogous to GStore's dynamic key grouping [19] but with weaker isolation guarantees; each coordinator effectively contains a partitioned completed transaction list from [12]. Instead of relying on indirection, RAMP transaction clients autonomously assemble reads and only require constant factor (or, for RAMP-F, linear in transaction size) metadata size compared to Eiger's PL-2L (worst-case linear in database size).
Overall, we are not aware of a concurrency control mechanism for partitioned databases that provides synchronization independence, partition independence, and at least RA isolation.
RAMP transactions are inspired by our earlier proposal for Monotonic Atomic View (MAV) isolation: transactions read from a monotonically advancing view of database state [5]. MAV is strictly weaker than RA and does not prevent fractured reads, as required for our applications (i.e., reads are not guaranteed to be transactionally aligned). The prior MAV algorithm we briefly sketched in [5] is similar to RAMP-F but, as a consequence of its weaker semantics, allows one-round read transactions. The RAMP algorithms described here are portable to the highly available (i.e., nonlinearizable, "AP/EL" [1,23]) replicated setting of [5], albeit with necessary penalties to latency between updates and their visibility.
7. CONCLUSION
This paper described how to achieve atomically visible multipartition transactions without incurring the performance and availability penalties of traditional algorithms. We first identified a new isolation level—Read Atomic isolation—that provides atomic visibility and matches the requirements of a large class of real-world applications. We subsequently achieved RA isolation via scalable, contention-agnostic RAMP transactions. In contrast with techniques that use inconsistent but fast updates, RAMP transactions provide correct semantics for applications requiring secondary indexing, foreign key constraints, and materialized view maintenance while maintaining scalability and performance. By leveraging multi-versioning with a variable but small (and, in two of three algorithms, constant) amount of metadata per write, RAMP transactions allow clients to detect and assemble atomic sets of versions in one to two rounds of communication with servers (depending on the RAMP implementation). The choice of synchronization and partition independent algorithms allowed us to achieve near-baseline performance across a variety of workload configurations and scale linearly to 100 servers. While RAMP transactions are not appropriate for all applications, the many for which they are well suited will benefit measurably.
Acknowledgments The authors would like to thank Peter Alvaro, Giselle Cheung, Neil Conway, Aaron Davidson, Mike Franklin, Aurojit Panda, Nuno Preguiça, Edward Ribeiro, Shivaram Venkataraman, and the SIGMOD reviewers for their insightful feedback. This research is supported by NSF CISE Expeditions award CCF1139158 and DARPA XData Award FA8750-12-2-0331, the National Science Foundation Graduate Research Fellowship (grant DGE-1106400), and gifts from Amazon Web Services, Google, SAP, Apple, Inc., Cisco, Clearstory Data, Cloudera, EMC, Ericsson, Facebook, GameOnTalis, General Electric, Hortonworks, Huawei, Intel, Microsoft, NetApp, NTT Multimedia Communications Laboratories, Oracle, Samsung, Splunk, VMware, WANdisco and Yahoo!.
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APPENDIX: Proofs and Isolation Details
RAMP-F Correctness. To prove RAMP-F provides RA isolation, we show that the two-round read protocol returns a transactionally atomic set of versions. To do so, we formalize criteria for atomic (read) sets of versions in the form of companion sets. We will call the set of versions produced by a transaction sibling versions and call two items from the same write set sibling items.
Given two versions xi and y j, we say that xi is a companion to y j if xi is a transactional sibling of y j or x is a sibling item of y j and i > j. We say that a set of versions V is a companion set if, for every pair (xi, y j) of versions in V where x is a sibling item of y j, xi is a companion to y j. In Figure 1, the versions returned by T2's first round of reads ({x1, y ?}) do not comprise a companion set because y ? has a lower timestamp than x1's sibling version of y (that is, x1 has sibling version y1 and but ? < 1 so y ? has too low of a timestamp). Subsets of companion sets are also companion sets and companion sets also have a useful property for RA isolation:
Claim 1 (Companion sets are atomic). Companion sets do not contain fractured reads.
Proof. Claim 1 follows from the definitions of companion sets and fractured reads. If V is a companion set, then every version xi 2 V is also a companion to every other version y j 2 V where v j contains x in its sibling items. If V contained fractured reads, V would contain two versions xi, y j such that the transaction that wrote y j also wrote a version xk, i < k. However, in this case, xi would not be a companion to y j, a contradiction. Therefore, V cannot contain fractured reads.
To provide RA, RAMP-F clients assemble a companion set for the requested items (in vlatest ), which we prove below:
Claim 2. RAMP-F provides Read Atomic isolation.
Proof. Each write in RAMP-F contains information regarding its siblings, which can be identified by item and timestamp. Given a set of RAMP-F versions, recording the highest timestamped version of each item (as recorded either in the version itself or via sibling metadata) yields a companion set of item-timestamp pairs: if a client reads two versions xi and y j such that x is in y j's sibling items but i < j, then vlatest [x] will contain j and not i. Accordingly, given the versions returned by the first round of RAMP-F reads, clients calculate a companion set containing versions of the requested items. Given this companion set, clients check the first-round versions against this set by timestamp and issue a second round of reads to fetch any companions that were not returned in the first round. The resulting set of versions will be a subset of the computed companion set and will therefore also be a companion set. This ensures that the returned results do not contain fractured reads. RAMP-F first-round reads access lastCommit, so each transaction corresponding to a first-round version is committed, and, therefore, any siblings requested in the (optional) second round of reads are also committed. Accordingly, RAMP-F never reads aborted or non-final (intermediate) writes. This establishes that RAMP-F provides RA.
RAMP-F Scalability and Independence. RAMP-F also provides the independence guarantees from Section 3.3. The following invariant over lastCommit is core to RAMP-F GET request completion:
Invariant 1 (Companions present). If a version xi is referenced by lastCommit (that is, lastCommit[x] = i), then each of xi's sibling versions are present in versions on their respective partitions.
Invariant 1 is maintained by RAMP-F's two-phase write protocol. lastCommit is only updated once a transaction's writes have been placed into versions by a first round of PREPARE messages. Siblings will be present in versions (but not necessarily lastCommit).
Claim 3. RAMP-F provides synchronization independence.
Proof. Clients in RAMP-F do not communicate or coordinate with one another and only contact servers. Accordingly, to show that RAMP-F provides synchronization independence, it suffices to show that server-side operations always terminate. PREPARE and COMMIT methods only access data stored on the local partition and do not block due to external coordination or other method invocations; therefore, they complete. GET requests issued in the first round of reads have tsreq = ? and therefore will return the version corresponding to lastCommit[k], which was placed into versions in a previously completed PREPARE round. GET requests issued in the second round of client reads have tsreq set to the client's calculated vlatest [k]. vlatest [k] is a sibling of a version returned from lastCommit in the first round, so, due to
Invariant 1, the requested version will be present in versions. Therefore, GET invocations are guaranteed access to their requested version and can return without waiting. The success of RAMP-F operations do not depend on the success or failure of other clients' RAMP-F operations.
Claim 4. RAMP-F provides partition independence.
Proof. RAMP-F transactions do not access partitions that are unrelated to each transaction's specified data items and servers do not contact other servers in order to provide a safe response for operations.
RAMP-S Correctness. RAMP-S writes and first-round reads proceed identically to RAMP-F writes, but the metadata written and returned is different. Therefore, the proof is similar to RAMP-F, with a slight modification for the second round of reads.
Claim 5. RAMP-S provides Read Atomic isolation.
Proof. To show that RAMP-S provides RA, it suffices to show that RAMP-S second-round reads (resp) are a companion set. Given two versions xi, y j 2 resp such that x 6= y, if x is a sibling item of y j, then xi must be a companion to y j. If xi were not a companion to y j, then it would imply that x is not a sibling item of y j (so we are done) or that j > i. If j > i, then, due to Invariant 1 (which also holds for RAMP-S writes due to identical write protocols), y j's sibling is present in versions on the partition for x and would have been returned by the server (line 6), a contradiction. Each second-round GET request returns only one version, so we are done.
RAMP-S Scalability and Independence. RAMP-S provides synchronization independence and partition independence. For brevity, we again omit full proofs, which closely resemble those of RAMP-F.
RAMP-H Correctness. The probabilistic behavior of the RAMP-H Bloom filter admits false positives. However, given unique transaction timestamps (Section 4.5), requesting false siblings by timestamp and item does not affect correctness:
Claim 6. RAMP-H provides Read Atomic isolation.
Proof. To show that RAMP-H provides Read Atomic isolation, it suffices to show that any versions requested by RAMP-H second-round reads that would not have been requested by RAMP-F second-round reads (call this set v false) do not compromise the validity of RAMP-H's returned companion set. Any versions in v false do not exist: timestamps are unique, so, for each version xi, there are no versions x j of non-sibling items with the same timestamp as xi (i.e., where i = j). Therefore, requesting versions in v false do not change the set of results collected in the second round.
RAMP-H Scalability and Independence. RAMP-H provides synchronization independence and partition independence. We omit full proofs, which closely resemble those of RAMP-F. The only significant difference from RAMP-F is that second-round GET requests may return ?, but, as we showed above, these empty responses correspond to false positives in the Bloom filter and therefore do not affect correctness.
Comparison to other isolation levels. The fractured reads anomaly is similar to Adya's "Missing Transaction Updates" definition, only applied to immediate read dependencies (rather than all transitive dependencies). RA is stronger than PL-2 (Read Committed), but weaker than PL-SI, PL-CS, and PL-2.99 (notably, RA does not prevent anti-dependency cycles, or Adya's G2 or G-SIa—informally, it allows concurrent updates) [2].
RA does not (by itself) provide ordering guarantees across transactions. Our RAMP implementations provide a variant of PRAM consistency, where, for each item, each user's writes are serialized [30] (i.e., "session" ordering [20]), and, once a user's operation completes, all other users will observe its effects (regular register semantics, applied at the transaction level). This provides transitivity with respect to each user's operations. For example, if a user updates her privacy settings and subsequently posts a new photo, the photo cannot be read without the privacy setting change [15]. However, PRAM does not respect the happens-before relation [4] across users. If Sam reads Mary's comment and replies to it, other users may read Sam's comment without Mary's comment. In this case, RAMP transactions can leverage explicit causality [6] via foreign key dependencies, but happensbefore is not provided by default. If required, we believe it is possible to enforce happens-before but, due to scalability concerns regarding metadata and partition independence (e.g., [6] and Section 5), do not further explore this possibility. An "active-active" replicated implementation can provide available [5,23] operation at the cost of these recency guarantees.
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The integration in educational system of children with disability - a philosophy and a legal obligation
Entela HOXHAJ
University of Shkodra "Luigj Gurakuqi", Albania email@example.com
Irma Baraku
Commissioner for Protection from Discrmination, Albania firstname.lastname@example.org
Abstract
The increasing fisibility of the children with disability or special needs enhanced the debate and efforts for a new philosohy related to the treatment of disability problematics in general and, especially, to their education. The concept of diasbility has evolved to a model of integration and social inclusion, especially the social inclusion of children with disability in common schools. The law 'On the protection from discrimination' prohibits discrimination on grounds of disability, and refusal of registration in an educational institution because of this ground. Furthermore, this law provides the obligation of statal institutions to take positive measures to make possible the enhance of education of vulnerable groups, including children with disability or special needs. These provisions would lack if not accompanied with the creation of a legal framework that explicitly provide for this inclusion philosophy and create the proper mechanisms to make it applicable. It is evident the indispensability of a multi-dimensional treatment of this problematic, that requires also the collaboration of many actors. The innovative stands just in the creation of mechanisms that would make possible such an inclusion. This process requires directors of educational institutions and active and teachers, devoted on the integration of children with disability in every aspect of teaching and educational process.
Keywords: disability, inclusion, integration, reasonable appropriateness
Introduction
The treating of issues related to the education of children with disability is multidimensional. Thus, in this paper is proposed the treatment in 3 approaches:
(i) A general overview on the evolution of the concept 'disability'.
(ii) The legal framework on the rights of education for the children with disability (a comparative international approach).
(iii) The institutional mechanisms that guarantee the respect of the rights of children with disability in the field of education.
The following constitutes an attempt to highlight the indispensability of interlacing all the above aspects so that children with disabilities would be part of the qualitative education process.
1. A general overview on the evolution of the concept 'disability'.
The concept 'disability' has undergone an evolution that leads us from an analysis of the individual features of the child to an interlacing with the social attitude and engagement on the view and treatment of these features. The evolution or change of its meaning has been formalized through several international acts. In terms of the UN Convention on the Rights of Persons with Disabilities "persons with disabilities include those who have long-term physical, mental, intellectual or sensory impairments which in interaction with various barriers may hinder their full and effective participation in society on an equal basis with others" (UN Convention on the Rights of Persons with Disabilities, Article 1). This Convention constitutes an important document for the sanctioning of a new model of treating disability as one that imposes obligations on States parties. The Council of EU has adopted the legal framework for the implementation of this Convention (European
ISSN 2411-9563 (Print)
ISSN 2312-8429 (Online)
European Journal of Social Sciences Education and Research
January-April 2015
Volume 2, Issue 1
Commission, 2013, p. 52). 2003 was the European Year of people with disabilities for which it was drafted an action plan (EQUINET, 2009, p. 7).
The Charter of Fundamental Rights of the European Union provides for 'disability' as one of the grounds on which discrimination is prohibited (Botim i Ministrisë së Integrimit, 2008, p. 5), but the EU legislation does not provide a definition for 'the disability'. This concept has been treated by European Court of Justice (here in after ECJ) which does not link the disability with 'the decease', but with "the limitations resulting from physical, mental and psychological impairments and impede the participation of the the individual in his professional life". This is the approach of the ECJ in the first issue addressed regarding the provision of disability by the European Council Directive 2000/78 / EC of 27 November 2000, "On the definition of a general framework for equal treatment in employment and during labor relations " (ECJ, case Chacón Navas v. Eurest Colectividades SA (2006) C-13/05).
According to EU legislation, there are two models of disability treatment: (a) the medical model that sets the problem to the sick person, and (b) the social model that draws attention to the obstacles which the society itself creates by negative attitudes, stigma and prejudice (Baraku, I., Hoti, P., 2013, pp. 205-2013). The European Court of Justice extends the protection also to individuals who are discriminated against on grounds of their association with a person with disabilities (ECJ, case S. Coleman v.Law Attridge and Law Steve (2006) C-303/06).
However, nowadays three models of understanding 'disability' are recognised: medical, social and bio-psycho-social model.
(a) The medical model sets into focus the concept of the individual with his health problems and requires that he adapt to the demands of society in which is part (Save the Children, 2013, p. 23).
(b) The social model emphasises that, despite the medical condition, the society should offer to the individuals with a disability the necessary conditions for qualitative life (Rieser, R., Mason, M., 1992, p. 15).
(c) The bio-psycho-social model is a combination of the above models. This model comes from the International Classification of Functioning, Disability and Health (here in after ICF) of WHO. ICF looks beyond the idea of a purely medical or biological conceptualization of dysfunction, taking into account the other critical aspects of disability. This alloës for the impact of the environment and other contextual factors on the functioning of an individual or a population to be considered, analyzed, and recorded (WHO homepage).
The evolution of the concept of 'disability' requires a new approach in the treatment of children with disabilities, especially their education. The following issues deal with their right to education and some aspects closely related to it.
2. The legal framework on the rights of education for the children with disability (a comparative international approach).
The right to education of individuals with disabilities is a challenge of the democratic societies which increasingly tend towards inclusivness processes. The equality bodies emphasize that the promotion and fulfillment of human rights needs to respect and take account of the diversity of the population and to advance inclusion and equality (EQUINET, 2011, p. 6).
The raised question is "What 'inclusion' means?".
To be inclusive requires that we strive to identify and remove all barriers to learning for all the children. This means that we must attend to increasing participation not just for disabled students but for all those experiencing disadvantage (Ballard, K., 1999, p. 1).
Albania is the 127 th country that ratified, with the law no. 108 / 2012, the UN Convention on the Rights of Persons with Disabilities that provides special protection for the children with disabilities, to ensure that these children enjoy all rights and fundamental freedoms (UN Convention on the Rights of Persons with Disabilities, Article 7). On the other side its Article 24 pays attention to the obligation of States parties to guarantee the right of persons with disabilities to education, by not allowing them to be excluded from general education, free education and the primary compulsory primary due to disability.
The "qualitative education" as a model which should support the process of learning, is the focus of the Dakar Framework for Action adopted by the World Education Forum in Senegal in 2000. This concept should be also aimed for the children with disabilities because it exceeds the concept of 'intergrated education' which is based on the medical model of disability
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and reinforces the concept of 'inclusive education', which aims to the access, the participation and the achievement of results within the process (Save the Children, 2013, pp. 21-23).
Given that the first criterion for a comprehensive education is access, it would be of interest to give an overview of the current situation of school attendance of children with disabilities. According to INSTAT data (Instat is the Albanian Institute of Statistics), the number of children with disabilities registered in the compulsory education is 2.400, including the disabled students of the special schools. This number constitutes only 5 % of the total number of children registered in the cumpolsory education (INSTAT homepage). Meanwhile, according to a study realized by Save the Children, the total number of children with disabilities in kindergardens and primary schools for the scholastic year 2011-2012 results as following:
- 511 children in kindergardens that is 0,49 % of the total number (103.492) of children frequenting common kindergardens,
- 3.167 children in the primary schools that is 0,64 % of the total number (472.892) of children frequenting common schools.
Thus, the total number of children with disabilities in common education is 3.678 that constitutes 0,63 % of the total number of 576.383 children frequenting common education.
In the legal perspective, the first step towards guaranteeing the right to education of children with disabilities is its provision in the fundamental law of the state. It was also highlighted by Goldsworthy, according to which "the contemporary constitutional doctrine is based on a democratic liberal constitutional model based on four columns; one of these columns is the guarantee of individual rights" (Anastasi, A., 2009, p. 78). In this regard, the Albanian Constitution contains some provisions that guarantee this right. Prof. Anastasi highlighted that fundamental rights (including the right to education) are formally guaranteed by the Constitution through several facts:
(i) The provision of a set of principles such as those of direct democracy, the separation of powers, equality and nondiscrimination.
(ii) Setting margins on the extent to which the fundamental rights can be limited.
(iii) The provision of constitutional mechanisms for the protection of fundamental rights – Ombudsman, and the right to protect these rights by court way (Anastasi, A., 2009, pp. 80-81).
The adoption of legislation in conformity with international acts has been, and yet remains, an important obligation for Albania. The Constitutional Court plays an indisputable role in the protection of these rights, through addressing the constitutionality of laws and also their incompatibility with international acts ratified by the Republic of Albania (Albanian Constitutional Court, Decision no. 48 / 2013). In this respect it "bases its opinions not only on the text of the convention, but also the interpretation that the European Court of Human Rights has made on its provisions" (Anastasi, A., 2009, p. 84)
The law "On the pre-university education in the Republic of Albania", adopted in 2012 guarantees and promoted the inclusion of more children with disabilities in common schools. It has brought several innovations:
- It gives an understanding of disability according to international standards.
- It provides the principle of non-discrimination of children with disabilities in the exercise of the right to education.
- It enables the involvement of many stakeholders in education issues, especially the children and their parents, but also of psychologists and social workers.
During 2013, the Normative Dispositions "On Pre-university Education System" were approved; they provided detailed procedures and rules for the education of children with disabilities.
The law "On the Protection from Discrimination" prohibits the discrimination based on disability, and the refusal to accept in an educational institution because of it. The provision of 'discrimination because of association' as one of the forms of discrimination is a guarantee in the support of the parents of disabled children (KMD, Decision no. 54 / 2014). On the other hand, this law provides the obligation of state institutions to take positive measures to enable the promotion of education of vulnerable groups, including the children with disabilities and special needs.
In certain cases, certain individuals or groups have the same opportunities to realize their rights and "governments, employers and service providers must ensure that they take steps to adjust their rules and practices to take such differences into consideration – that is, they must do something to adjust current policies and measures... By taking special measures, governments are able to ensure 'substantive equality', that is, equal enjoyment of opportunities to access benefits available in society, rather than mere "formal equality" (FRA, 2010, p. 35). The Albanian Law On protection from Discrimination
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charges the Council of Ministers and the Minister of Education with the responsibility to take measures for the respect and ensuring of the right to education for persons with disabilities in the appropriate ways.
The 'reasonable adjustment' is another necessary condition for the inclusion of children with disabilities in the common base education. 'The denial of reasonable adjustment' is a form of discrimination provided by the Law On protection from Discrimination. However, this law does not provide a definition of this term. Even in light of European legislation, there is an absence of explicit provisions requiring a reasonable accommodation (Commissioner for Human Rights, 2011, p. 7). Although this term in everyday language relates primarily to the costs of this process, the experts in the field think that it could relate to the quality of the accommodation itself and mean that the accommodation must be effective (European Communities, 2009, p. 26). The reasonable adjustment relates primarily to the elimination of barriers to the accessibility to educational institutions. The lack of access to buildings and public spaces yet is one of the main barriers to achieving equality in the education of children with disabilities. However, this would be a very narrow interpretation of this concept; it should include the preparation of learning materials in a suitable format for the type of disability.
3. The institutional mechanisms that guarantee the respect of the rights of children with disability in the field of education.
The indispensability for the multi-dimensional treatment of the related problematic is evident. Thus, it is required the collaboration of several stakeholders. The innovation especially stands in setting the mechanisms that would make effective the inclusiveness. The following treats the mechanisms set up by:
(a) the educational institutions,
(b) the Commissioner for Protection from Discrimination,
(c) the judicial way to protect the right to education of children with disabilities.
(a) The educational institutions. The local educational unit should establish a commission, consisting of doctors, psychologists, teachers and specialists for children with disabilities. This commission provides the relevant recommendations for the child's attendance in a common educational institution or a specialized one after examining the request of a parent or a director of an educational institution. It recommends attendance in a specialized school only when it deems that the pursuit of a common school would not appropriately develop the child with disabilities. However, the decision is up to the parents to decide whether their child with disabilities will attend a specialized educational institution or a common one.
To integrate children with disabilities into every aspect of teaching and educational process, it requires active and dedicated directors of educational institutions and teachers. They are legally charged to develop personalized programs for students with disabilities, through the special commission refered above. The development of these programs is done in collaboration with the parents and the children. Ensuring the inclusiveness seeks to give support provided by law for the teacher who has in his class children with disabilities or special needs. This support can be accorded by giving available additional teachers, creating a class with a smaller number of students, etc.
It is equally important that the directors of educational institutions consistently take measures to raise the awareness of all stakeholders (teachers, parents, and students) and to treat any discriminatory phenomenon within the school environment. According to the Law On protection from Discrimination, they should address any complaint about discrimination within these facilitie. It also determines the deadlines for their handling of appropriate disciplinary measures to avoid discriminatory situations. In this perspective, the fight against prejudice against children with disabilities takes appropriate importance by promoting their integration within the premises of the educational institution.
(b) The Commissioner for Protection from Discrimination is an independent institution created to guarantee everyone's rights against discriminatory behaviours and discriminatory stimulating behaviours, on grounds of an open list among which disability. The Commissioner has the power to assist victims of discriminating behaviour through reviewing complaints, administrative investigations, through the drafting of reports and even recommendations. This institution is similar to
equality institutions in EU countries. It is an institution built on the Paris Principles that are applied as a standard for equality institutions. It is also created in conformity with article 13 of the Council Directive 2000/43/EC of 29 June 2000 "On the principle of equal treatment between persons irrespective of racial or ethnic origin" (EQUINET, 2010, pp. 9-10).
Although the improvement of the legal framework, the Commissioner has noticed that there are times when children with disabilities were denied admission to common schools. During his practice the Commissioner found the discrimination of children with disabilities due to the failure of the structures responsible for evaluating the student's individual needs through Multidisciplinary Commissions, pursuant to the applicable provisions governing the education of children with disabilities (KMD, Decision no. 92 / 2013). The Commissioner ascdertained that these legal provisions on education were too little known or overlooked by the directors of educational institutions and by the Regional Education Directorates and Offices, which have a major role in their implementation. Thus, disabled child is denied the right to be included in the common basic education or even when he enters, yet does not take the education in accordance with the legal requirements and in qualitative way affecting the future expected performance. Any deviation from the implementation of these obligations places children with disabilities in a discriminatory situation (KMD, 2013, p. 11).
(c) The judicial way to protect the right to education of children with disabilities.
The public administration must respect the Constitution, the legislation in force and fundamental human rights during its activity. However, reality brings cases of continuous violations by the executive institutions, and not only them. Lawyers and researchers highlight the necessity of creating mechanisms that would ensure the respect of fundamental rights by emphasizing the obligation of public administration to meet its extensive objectives that are constitutional wide ones (Dobjani, E., Puto, E., Dobjani, E., & Toska E., 2013, p. 265). Prof. Anastasi on this regard raises the question: Can only negative rights be protected in court or even socio-economic rights can enjoy this opportunity? According Anastasi, in the case of the right to education "it can not be denied the ability of the courts to force the state to give equal opportunity in order to be educated according to the skills of everyone" (Anastasi A., 2009, p. 88). Upon studying and analysing, in the following are listed some recommendations on educational institutions in Albania regarding the integration in the educational system of children with disability:
Recommendations
- Managerial staff of educational institutions and teachers should be trained continuously for a clear understanding of the concepts 'inclusive and qualitative education' as well as a treatment model for disability.
- To ensure effective implementation of new legislation adopted in the field of education in Albania, there should be taken measures aiming at the inclusion of children with special needs or disabilities in common schools, by offering a qualified and personalized treatment.
- To eliminate barriers to buildings, transportation, teaching methods and communication, the responsible state institutions must take measures to ensure that children with disabilities enjoy on equal basis with others and without discrimination the right to education.
- Within educational programs it should be included the concept of discrimination and its forms of appearance in order to raise awareness, respect for diversity and reduce prejudice for children with disabilities.
- Statistical data on the inclusion of children with disabilities in the educational process should be updated especially highlighting their numbers in common schools.
Literature
[1] (INSTAT homepage) www.instat.gov.al
[2] Albanian Constitutional Court, Decision no. 48 / 2013 (no. 48, date 15.11.2013), (www.gjk.gov.al)
[3] Anastasi, A., 2009, E drejta kushtetuese e krahasuar (Raste nga praktika kushtetuese dhe leksione për studentët e drejtësisë), Tiranë.
[4] Ballard, K., 1999, Inclusive Education: International Voices on Disability and Justice, Philadelphia.
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[5] Baraku, I., Hoti, P., 2013, The concept of discrimination and other concepts related to it in the albanian legislation – comparative overview with the EU directives in the anti-discrimination field, in Proceedings book of '4th International Conference on European Studies – Social, Economic and Political Transition of the Balkan', organizad by EPOKA University, Tiranë, 8-9 November 2013.
[6] Botim i Ministrisë së Integrimit, 2008, Versioni i konsoliduar i Traktateve të Bashkimit Europian dhe Karta e të Drejtave Themelore e Bashkimit Europian, Tiranë.
[7] Commissioner for Human Rights, 2011, Opinion of the Commissioner for Human Rights on National Structures for Promoting Equality, Strasbourg.
[8] Dakar Framework for Action, 2000, World Education Forum, Senegal.
[9] Dobjani, E., Puto, E., Dobjani, E., & Toska E., 2013, E drejta administrative – Kontrolli mbi Administratën Publike Tiranë.
,
[10] ECJ, case Chacón Navas v. Eurest Colectividades SA (2006) C-13/05.
[11] ECJ, case S. Coleman v.Law Attridge and Law Steve (2006) C-303/06).
[12] EQUINET (European Network of Equality Bodies), 2009, Towards a new European Union Disability Action Plan Belgium.
,
[13] EQUINET (European Network of Equality Bodies), 2010, Influencing the law through legal proceedings – The powers and practices of equality bodies, Belgium.
[14] EQUINET (European Network of Equality Bodies), 2011, Equality bodies and National Human Rights Institutions-Making the Link to Maximise Impact, Belgium.
[15] European Commission, 2013, 2012 Report on the Application of the EU Charter of Fundamental Rights Belgium, European Commission, Directorate – General for Justice.
,
[16] European Communities, 2009, Disability and non-discrimination law in the European Union, Luxembourg.
,
[17] FRA (European Union Agency for Fundamental Rights), 2010, Handbook on European non-discrimination law Luxembourg, European Union Agency for Fundamental Rights, Council of Europe
[18] KMD, 2013, Annual Report 2013 of the Commissioner for Protection from Discrimination, Tiranë.
[19] KMD, Decision no. 54 / 2014 (The Albanian Commissioner for Protection from Discrimination www.kmd.al)
[20] KMD, Decision no. 92 / 2013 (The Albanian Commissioner for Protection from Discrimination www.kmd.al)
[21] Principles relating to the Status of National Institutions, Adopted by General Assembbly resolution 48/134 of 20 December 1993 (The Paris Principles).
[22] Rieser, R., Mason, M., 1992, Disability equality in education, London.
[23] Save the Children, 2013, Analitical Study 'Arsimi gjithëpërfshirës në Shqipëri', Tiranë, Save the Children.
[24] UN Convention on the Rights of Persons with Disabilities (http://www.un.org/disabilities/convention/conventionfull.shtml).
[25] WHO homepage (http://www.who.int/classifications/icf/icf_more/en/).
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Contaminants and Remediation Division P.O. Box 1500 Yellowknife, NT X1A 2R3
September 18, 2020
Mr. Joseph Mackenzie Chair Wek'èezhı̀i Land and Water Board #1-4905 48 th St., Yellowknife, NT X1A 3S3
Re: Rayrock Remediation Project Type A Water Licence and Type A Land Use Permit Applications
Dear Mr. Mackenzie,
Please see attached applications and supporting documentation for a Type A Water Licence and Type A Land Use Permit for the Rayrock Remediation Project (RRP), respectfully submitted by Crown-Indigenous Relations and Northern Affairs Canada – Contaminants and Remediation Division (CIRNAC-CARD).
All assessment work has now been completed for the RRP, with the Remedial Action Plan (RAP) having been finalized with the Tłı̨chǫ Ndek'àowo (Department of Culture and Lands Protection) in July 2020. The full scale remediation work is scheduled to commence in May 2022 with completion by March 2025. The work required to complete final remediation at Rayrock – in particular, the remediation of Mill Lake – and other sites within the RRP bundle (Sun Rose, REX, Barge Landing, Power Line, TED, MK and GS), will trigger a Type A Water Licence and a new Type A Land Use Permit (LUP W2015X000 extended to August 13, 2022).
The table below provides concordance between the Wek'èezhı̀i Land and Water Board's Closure and Reclamation Plan requirements and the Rayrock Remedial Action Plan:
valued ecosystem components (e.g., air, land, wildlife, etc.). Proponents
* environmental agreements
| 3.0 Project Environment Proponents need to provide detailed descriptions of pre-disturbance conditions and the current development status of the project. The amount of information presented for each subsection should be sufficient to understand baseline conditions. Much of this information may be derived from current/historic baseline data, the environmental assessment phase (if applicable), or updated with data and information from monitoring plans, studies, and reclamation research. | 3.0 Project Environment 3.1 Site Overview and History 3.2.2 Geology/Morphology 3.2.3 Hydrology 3.2.4 Hydrogeology |
|---|---|
| 3.1 Atmospheric Environment Provide an overview of the regional and local climate setting, temperature, and precipitation statistics and trends based on regional and project-specific climate stations. Provide general descriptions of regional and site air quality conditions (e.g., due to emissions and dust from the project). Use tables and figures to help summarize and depict data. | 3.2.1 Ecoregion |
| 3.2 Physical (Terrestrial) Environment Provide an overview of the regional and local physiography (e.g., topography and relative relief and drainage basin, surface- and ground-water characteristics), surficial and bedrock geology, extent and distribution of permafrost, geologic hazards and hydrogeology. Use maps, photo mosaics, tables, and figures to help summarize and depict monitoring stations or wells and other data and information. | 3.2.2 Geology/Geomorphology 3.2.3 Hydrology 3.2.4 Hydrogeology |
| 3.3 Chemical Environment Provide an overview of regional and local soil and sediment chemistry, surface water quality (i.e., lakes, streams, springs), groundwater quality (i.e. from production and/or monitoring wells), and acid rock drainage (ARD) and metal leaching (ML) potential. (See Part 3.0, subsection 3.2.1 for more about ARD/ML.) Use maps, tables, and figures to help summarize and depict sampling locations, data, and information. | 3.3 Chemical Environment 5.3 - 5.10 Remediation Strategy |
| 3.4 Biological Environment Provide an overview of vegetation (flora), aquatic life, terrestrial wildlife (fauna), avifauna and their respective habitats, and the overall ecosystem(s); use maps, tables, and figures to help summarize and depict monitoring locations, biogeoclimatic zones, habitat extent and boundaries, and genera/species data and information. | 3.4 Biological Environment |
| 4.0 Project Description | 3.0 Project Environment 4.0 Project Description |
| 4.1 Location and Access Describe regional and local contexts of affected areas, and provide relevant reference coordinates where applicable; use detailed maps and photo mosaics. Describe access points and methods of access, with seasonal variations and limitations. | 3.1 Site Overview and History |
4.2 Site History
3.1 Site Overview and History
| 4.3 Site Geology Describe major rock types and structure, to the level of detail appropriate to depict the mining resource, extraction methods that were/will be used, and the rationale for footprint and specific target areas. Use tables, maps, cross sections, photos, and figures to help the presentation of relevant information. | 3.2.1 Ecoregion 3.2.2 Geology/Geomorphology |
|---|---|
| 4.4 Project Summary … List all of the project components, as more detailed descriptions of each component will be required in section 5. | 4.3 Remediation Summary |
| 5.0 Permanent Closure and Reclamation | |
| 5.1 Definition of Permanent Closure and Reclamation This section should include the following definition of permanent closure: “Permanent closure is the final closure of a mine site with no foreseeable intent by the existing proponent to return to either active exploration or mining.”… Proponents should indicate whether any components will require passive long-term care and the expected timelines for relinquishment. | 5.0 Remediation Strategy |
| 5.2 Permanent Closure and Reclamation Requirements Describe details for each individual project component. Project components should be categorized as follows unless proponents provide a rationale for a different categorization: • underground mine workings • open pit mine workings • waste rock and overburden piles • tailings containment areas • buildings and equipment • mine infrastructure • transportation routes • landfills and other waste disposal areas • water management systems. For each project component include, at a minimum, the following subsections. Project Component Description Provide a description of each project component, including proposed components and historical components no longer in use. Provide the details of the project component (e.g., dimensions, footprints, and relative locations on a site map) with accompanying figures, maps, and photos as appropriate. Each component should be presented in separate subsections for clarity. The descriptions should also include the lifespan and current status (operating, permitted, temporary closure, and any progressive reclamation completed, etc.) of each component… Pre-Disturbance, Existing, and Final Site Conditions Using maps, photos, photo mosaics, etc. as appropriate, describe (compare and contrast) the pre-development (or pre-disturbance), existing, and projected final site conditions. Illustrate all relevant water bodies (including | 5.0 Remediation Strategy 6.0 Implementation Strategy 5.0 Remediation Strategy Appendix A Appendix B Appendix A Appendix B Figures 20-21-22 |
watershed boundaries), topographic modifications (e.g., waste rock or tailings storage areas, etc.), and vegetation changes. Describe any important or unique environmental conditions (i.e., atmospheric, physical, biological, chemical, and/or social) for the project component that will have a bearing on closure. Accurate and transparent depiction of final site conditions can be critical to good engagement; 3-D representations are encouraged.
Closure Objectives and Criteria
This section of the CRP should list the closure objectives and closure criteria for each project component. …Any uncertainties related to closure objectives and criteria must be noted along with a reference to the reclamation research plan associated with each. A table may be helpful during certain stages of the project to illustrate the relationship between closure objectives, selected closure activities, closure criteria, reclamation research, and closure monitoring. The content of these tables may depend on the planning stage. During the initial development of objectives, it may be helpful to document preferences discovered during engagement activities. It is important to note that the timeframe to successfully achieve closure criteria may be short-, medium-, or long-term.
Consideration of Closure Options and Selection of Closure Activities
This section presents alternatives analyses of various closure options, including a discussion of various risk scenarios and any unique or novel closure situations for the component under discussion. …The alternatives analysis should clearly demonstrate the pros and cons of each option. Following the analysis should be a determination of the selected closure activity, with the rationale for the selection of the closure activity and reason(s) for the rejection of other options. This section is dynamic in that modifications will likely occur over time from development of the conceptual CRP through to interim CRPs and the final CRP.
Engineering Work Associated with Selected Closure Activity
This section should describe all demolition, construction, or other engineering work that will be necessary to close and reclaim each project component…
Predicted Residual Effects
This section contains an assessment of any potential negative residual effects that may remain after the completion of the reclamation. Provide results of any risk assessments that were conducted to identify or address the residual effects. Include a discussion on how any residual effects currently predicted to occur at the end of closure and reclamation compare to stakeholders' preferences or the company's commitments made during the environmental assessment (if one has occurred).
Uncertainties
Proponents should identify important uncertainties that arise during closure planning including uncertainties associated with the risks of various closure options and how to select the best closure activity, how to best implement a selected closure activity, how to define closure criteria, how Traditional Knowledge will inform closure planning, and more. Indicate how each uncertainty will be addressed—whether through specific reclamation research (including Traditional Knowledge research), an engineering study
Appendix C, Table C1
5.3 - 5.10 Remediation Strategy
5.3 – 5.6 Remediation Strategy
5.11 Reclamation
6.6 Environmental Monitoring
6.10 Uncertainties
plan, or other means. Proponents should include reclamation research plans in appendices as they develop...
Post-Closure Monitoring, Maintenance, and Reporting
The primary purpose of post-closure monitoring is to determine whether closure criteria have been met, and therefore that closure objectives and the closure goal have been achieved. The implementation of a successful monitoring program, which will likely begin during the exploration stage and continue during operations through post-closure, will help the proponent demonstrate that relinquishment can occur. The proponent should provide a description of what (e.g., fugitive dust, stream flow, wildlife and aquatic life movement, etc.) will be monitored and why. For interim and final CRPs, identify the sampling locations, frequencies, and duration. This section should also include a description of any maintenance activities that will occur postclosure and how monitoring and maintenance activities will be reported.
Contingencies
The proponent must describe what it will do if it becomes apparent that the selected closure activity will not be successful in meeting closure criteria and objectives. List possible contingencies, and identify the preferred contingency with rationale.
6.6 Environmental Monitoring
5.3 – 5.10 Remediation Strategy
6.0 Progressive Reclamation
N/A
| 8.0 Integrated Schedule of Activities It is important that the Boards are confident that a proponent’s planned schedule of activities will result in timely and successful closure and reclamation. Proponents need to provide a component-specific schedule that depicts operations, closure dates, and expected start and end times for selected closure activities. This schedule will include any progressive reclamation, initiation, and completion of research (including pilot studies), timeframes for meeting closure criteria and monitoring and reporting phases. For interim and final CRPs, a Gantt-type chart or equivalent may assist in depicting temporal sequences of multiple tasks and identifying critical paths (i.e., those that would impede the progress of inter-related tasks or the overall project process). Boards recognize that schedules are subject to change as mine plans adapt over time. Proponents should therefore discuss schedule uncertainties based on, for example, extent and success of progressive reclamation, temporary and permanent closure, research and studies, and upset conditions. | 6.3 Schedule |
|---|---|
| 9.0 Post-Closure Site Assessment The proponent should provide a description or study design of how the residual environmental impacts of the project as a whole will be assessed once they have completed the selected closure activities. | 6.6.3 Post-Construction Environmental Monitoring |
| 10.0 Financial Security | N/A |
| 11.0 References This includes documents and reports that support the characterization of baseline environmental data (e.g., terrestrial studies, hydrology and aquatic studies, and climate and air quality studies), geochemical analyses and predicted ARD/ML potential, and any relevant engineering work related to support the CRP. | 7. References |
| Appendices | |
| A) Glossary of Terms and Definitions | Table of Contents - List of Acronyms and Abbreviations |
| The definitions section should include discipline-specific technical terms (e.g., processed kimberlite, esker, dewatering) and key closure and reclamation planning terms (e.g., closure goal, closure objectives, closure criteria, etc.) explained in plain language. | Table of Contents - Tłıc̨ ho Translations |
|---|---|
| B) List of Acronyms, Abbreviations, Units, and Symbols | List of Acronyms and Abbreviations |
| C) Record of Engagement This is a table that outlines all engagement specific to closure that has occurred; it must include any issues identified by the engaged parties and how the company has addressed them or modified the project in response | 1.4.2 Key Engagement to Date (detailed Engagement Log included in Engagement Plan) |
| D) Lessons Learned from Other Projects In this summary table of relevant on-site closure issues/concerns that have been dealt with successfully or unsuccessfully, the proponent should focus on those lessons that would have direct application to managing project closure and reclamation | 6.2 Lessons Learned |
Additionally, and for clarity, the Rayrock RAP indicates that an Aquatic Effects Monitoring Program (AEMP) would form part of our Water Licence application. Unfortunately, the AEMP has not yet been finalized. Our anticipated completion date will be sometime in NovemberDecember 2020.
CIRNAC-CARD is requesting a seven (7) year Type A Water Licence term to align with the new Type A Land Use Permit (five years + two-year extension). These authorizations will allow for the completion of remediation at all sites and commencement of Long Term Monitoring for the Rayrock Remediation Project.
If you have any questions regarding these applications, please do not hesitate to contact me at 867-445-8539 or via email at email@example.com.
Yours truly,
Joel Gowman A/Senior Manager CIRNAC-CARD
cc. Ron Breadmore, Project Manager, CIRNAC-CARD Andrew Richardson, Project Officer, CIRNAC-CARD Tim Morton, Inspector, CIRNAC-RLMO Rhiana Bams, Regulatory Specialist, WLWB Violet Camsell-Blondin, Regulatory Manager, Tłı̨chǫ Ndek'àowo
Encl: 1. Rayrock Water Licence Application
2. Rayrock Land Use Permit Application
3. Supporting documents:
i) Remedial Action Plan
ii) Community Engagement Plan and Log
iii) Waste Management Plan
iv) Spill Contingency Plan
v) Sediment and Erosion Control Plan
vi) Wildlife Management and Monitoring Plan
vii) Emergency Management Fire Plan
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COVID-19 Vaccination and Reproductive Health
Town Hall Webinar May 27, 2021
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Open Forum
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Presenter
Karen Crowley, DNP, APRN-BC, WHNP, ANP, CNE
Vice President of Nursing, Education, Research, and Practice
Association of Women's Health, Obstetrics and Neonatal Nursing
Disclosure
The COVID Vaccine Facts for Nurses campaign is proudly sponsored by:
The American Nurses Association and its collaborating organizations are solely responsible for the data and related content associated with this campaign. The campaign's commercial sponsor was not involved in development of this content.
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Strategic Philosophy
LISTEN
Use surveys, town hall meetings, and other mechanisms to actively identify and rapidly address concerns from the nursing community.
EDUCATE
Provide materials for nurses to use in educating themselves, their patients, and their communities on the COVID-19 vaccines. Particular attention to addressing the needs of at-risk communities.
SHARE
Collaboratively provide key open-source resources with nurses and organizations in user-friendly environment.
AMPLIFY
Exponentially increase the reach of educational materials related to the vaccines. Build reach and engagement across the nursing community.
Collaborating Organizations
Confirmed 23, Direct reach = more than 750,000:
* American Nurses Association
* American Nurses Foundation
* American Association of Critical Care Nurses (AACN-Critical Care)
* American Association of Occupational Health Nurses (AAOHN)
* American Organization for Nursing Leadership (AONL)
* American Society of Health-System Pharmacists (ASHP)
* Asian American / Pacific Islander Nurses Association (AAPINA)
* Association for Professionals in Infection Control and Epidemiology (APIC)
* Association of periOperative Registered Nurses (AORN)
* Association of Women, Health Obstetric and Neonatal Nurses (AWHONN)
* Chi Eta Phi Sorority, Inc.
* National Association of Hispanic Nurses (NAHN)
* National Association of Indian Nurses of America (NAINA)
* National Association of Neonatal Nurses & National Association of Neonatal Nurse Practitioners
* National Association of Pediatric Nurse Practitioners (NAPNAP)
* National Association of School Nurses
* National Black Nurses Association (NBNA)
* National Coalition of Ethnic Minority Nurse Associations (NCEMNA)
* Nurses Who Vaccinate
* Orthodox Jewish Nurses Association (OJNA)
* Philippine Nurses Association of America (PNAA)
* Sigma Theta Tau International Honor Society of Nursing (Sigma)
* Transcultural Nursing Society (TCNS)
Town Hall Agenda
* COVID-19 Risks in Pregnancy and Breastfeeding
* Emergency Authorization Use and COVID-19 Vaccine Types
* General COVID-19 Vaccine Safety
* Immunogenicity in Pregnancy and Lactation
* Preliminary Pregnancy Safety Data
* Professional Organization Recommendation
* Vaccine Considerations and Education
* Resources
COVID-19 Risks in Pregnancy/Breastfeeding
* Higher risk of severe illness in pregnant individuals than non-pregnant people
* Severe illness includes hospitalization, ICU admission, breathing assistance and death
* Higher risk of preterm labor, Hypertension, Preeclampsia/Eclampsia
* Higher risk of NICU admission, Neonatal Respiratory Disease, severe neonatal morbidity index, and hyperbilirubinemia.
* limited data indicating that placental transmission of the disease occurs (0.9%)
* Approximately 13 % of neonates born to patients with COVID 19 during pregnancy tested positive, with cesarean delivery increasing risk of positive neonate results.
* Breastfeeding was not found to increase infant positivity rate.
COVID 19 Vaccine Types & EUA
* Emergency Use Authorization Pathway
* Emergency Use Authorization (EUA)
* mRNA- 2 currently released
* Age approved: 12 or 16
* require 2 doses
* No live virus
* No catch up if missed second dose
* Other mRNA vaccines used safely in pregnancy: Flu
* Viral Vector- 1 currently released (1 in clinical trial)
* Age Approved: 16
* Requires 1 dose
* Viral Vector- modified version
* Other Viral Vector vaccines used safely in pregnancy: Ebola and Flu
* Recombinant Protein subunits (2 in clinical trial)
* Other Recombinant protein vaccines used safely in pregnancy: Influenza
Safety Profile
* Intense monitory through Vaccine Adverse Events Reporting System (VAERS) and v-safe
* December 14, 2020- January 2021 VAERS
* 6,994 adverse events reported of 13,794,904 doses administered (.0005%)
* headache, fatigue, and dizziness, myalgia, fever
* 90.8% non-serious in nature and 9.2% as serous
* Anaphylaxis 4.5 per million doses
* Death 113 (65% LTCF patients)
* Review of medical records, autopsy and death certificates indicated no association of death and the vaccine
* December 14, 2020-January 2021 v-safe
* 262 reported pregnancy after vaccination at the 3- or 6-week check-in
* 10,825 of the 1.6 million vaccine recipients reported pregnancy at time of vaccine
* Non serious side effects that include injection site pain, headache, fatigue and myalgia
* Viral Vector Vaccine Pause
* Thrombosis with thrombocytopenia syndrome (TTS) is a rare but serious condition if not diagnosed in early stages. Occurs within 3 weeks of vaccination and presents with s/s of blood clots or bleeding disorder.
* Seen more in women less than 50
* Pause lifted after review of records confirmed benefits outweigh the risk
Vaccine Immunogenicity in Pregnancy and Breastfeeding
* Preliminary data indicates placental transmission
* 12/2020-3/2021 (Collier, A.Y., McMahan, K., Yu, J., et al. 2021)
* Antibody response present in pregnant, lactating and non-pregnant women after receiving full vaccination
* Antibodies present in infant cord blood and in breastmilk
* 103 total 18-45, 66% white HS (30 pregnancy/16 lactation and 57 non-pregnant-vaccinated and 22 pregnant and 6 non-pregnant with previous infection
* antibody response higher with vaccination than with infection for both maternal, cord blood and breast milk
* 1/28/2021-3/31/2021 (Prabhu, M., Murphy, E.A., Sukhu, A.C. et al. 2021)
* All (n=122) participants had a negative SARS-CoV-2 Nasopharyngeal test upon admission for delivery and all dyads were symptom free through discharge
* All received a mRNA vaccine- 55 (45%) received 1 dose; 67 (55 %) received 2 doses
* Maternal antibody response: 87 (71 %) + IGG, 19 (16 %) + IGM and IGG, 16 (13 %) no antibody response.
* Cord Blood IGG were found in 44% of those that received 1 dose and 99% in those that received 2 doses
* IGG levels increase week by week, starting with 2 weeks after 1 st dose (P=0.005 week 2-3, and P=0.019 weeks 3-4) as well as first and second week after second dose (P=2e-07)
* Positive correlation with Maternal IGG levels, cord blood IGG levels (R=0.89, P=2.2e-16) and the placental transfer ratio with each elapsed week from receipt of the 2 nd dose (R=0.8, P=2.6e-15).
* Initial maternal antibody response as soon as 5 days after 1 st vaccine and presence of IGG in cord blood samples as soon as 16 days after 1 st vaccination.
* All delivered healthy infants
Immunogenicity 2
* mRNA vaccines
* Maternal and cord blood samples for SARS-CoV-2 IGM and IGG antibodies
* Antibody transfer ratio (Cord blood IGG value/Maternal IGG value)
* 27 participants – delivered 28 infants
* Gestational age of first vaccination 33 weeks (SD2w)
* Maternal age mean of 33 (SD 3y)
* 75% non-Hispanic white, 11% Hispanic
* Mean latency from vaccination to delivery 6 weeks (SD 3w)
* 74% received both doses
* 50% maternal blood samples had + IGM at time of delivery, 0% of infants had +IGM
* 25 of the 28 infants born had + IGG antibodies in cord blood
* 96% maternal blood samples had +IGG at time of delivery
* Increase time between vaccination and delivery correlated with higher transmission to infant β=0.2, 95% CI 0.1-0.2), as did receiving the second dose (β=19.0, 95% CI 7.1-30.8) and latency from full vaccination to delivery (β=2.9, 95% CI 0.7-5.1)
Preliminary Safety Data 12/14/2020-2/28/2021
* v-safe self-reporting, v-safe pregnancy registry and VAERS
* 35,691 v-safe + pregnancy at time of and after vaccination
* Side effects consistent with non-pregnant-pain at injection site and nausea/vomiting seen more frequently in pregnancy
* 3,958 v-safe pregnancy registry referrals
* 712 (86%) delivery of live term baby
* 827 completed pregnancy
* 9 % preterm birth
* 3% small for gestational age
* 2% congenital abnormalities
* Zero neonatal deaths
* 115 (13.8%) pregnancy loss
* SAB 12.6%
* Stillbirth 0.1%
* Other –TAB or ectopic 1.2%
* VAERS reports:
* 221- SAB 16% 1 st trimester, 1% second trimester SAB, PROM, stillbirth and vaginal bleeding
Safety Data in Pregnancy and Breastfeeding
* Manufacturers collecting data on clinical trial participants who have since become pregnant
* VAERS and V-safe programs
* Animal studies for all three available vaccines showed no adverse outcome to pregnancy, fetus or babies.
* Limited data on safety of vaccine in pregnancy, effects on fetus, milk production or fertility are becoming available
* Standardized pregnancy testing prior to vaccination is not recommended
* No guidance for breastfeeding after + COVID 19 test after delivery
* Limited data on presence of COVID 19 in breast milk transmission, However, a small study conducted on 6 breastfeeding individuals showed no presence of SARS-CoV-2 in breastmilk
Professional Organization Recommendation
* ACOG
* recommends offering COVID 19 Vaccine to Pregnant individuals
* recommends all lactating individuals receive the COVID 19 Vaccine
* Recommends those considering pregnancy to receive the COVID 19 Vaccine without delay in seeking pregnancy
* AWHONN-recommends a shared decision-making model between pregnant or lactating individual and their HCP
* ACNM-recommends a shared decision-making model between pregnant or lactating individual and their HCP
* NPWH-recommends a shared decision-making model between pregnant or lactating individual and their HCP
* SMFM-
* recommends that all pregnant individuals have access to the COVID 19 vaccine in consultation with HCP
* Recommends vaccination for lactating individuals
* American Academy of Breastfeeding-identifies the potential benefit of passive immunity to infants
* CDC-recommends offering COVID-19 Vaccination to pregnant and breastfeeding patients
Vaccine Consideration
* Discussions with Healthcare provider
* Consider personal health risks
* obesity, diabetes, hypertension, asthma, cardiac disease, preterm risk
* Timing of Vaccination regarding reactogenicity of vaccine
* Risk of exposure to COVID-19
* Benefits of vaccination
* Age of patient
* Safety evidence in pregnancy and lactation
* Racial and ethnic disparities
* Black People are 6 times more likely to die from COVID 19 than White People
* Black People are 3 times more likely to be diagnosed with COVID 19 than White People, usually as a result of comorbidities
* Indigenous People are 4 times more likely to die from COVID 19 than White People
* Previous Vaccine allergic reactions
Education
* Fever- manage with antipyretic, not prophylactically
* Signs and symptoms of adverse events
* Pruritis, redness
* Shortness of breath, difficulty breathing, feeling as if throat is closing
* Severe headache with or without visual changes
* Change in mental status
* Swelling in legs
* Easy bruising
* Epitaxis/Epipulsis
* Pump breastmilk if needed
* Strictly recommend all preventative measures that include face mask, frequent handwashing, social distancing, and vaccination.
* AWHONN Maternal Immunization Website
* AWHONN COVID 19 Website
* ANA Microsite
* VAERS
* CDC V-safe
* CDC Sites:
* https://www.cdc.gov/vaccines/covid-19/info-by-product/clinical-considerations.html
* https://www.cdc.gov/vaccinesafety/pdf/vsafe-pregnancy-surveillance-protocol-508.pdf
* Mother to Baby Ask an Expert
Resources
References
* Advisory Committee on Immunization Practices. (2021). The Advisory Committee on Immunization Practices' Updated Interim Recommendation for Allocation of COVID-19 Vaccine- United States, December 2020. Morbidity and Mortality Weekly Report, 69(5125), 1657-1660. https://www.cdc.gov/mmwr/volumes69wr/mm695152e2.htm7s_cid=mm695152e_w
* American College of Obstetricians and Gynecologists. (2020). Vaccinating pregnant and lactating patients against COVID-19 (Practice Advisory). Vaccinating Pregnant and Lactating Patients Against COVID-19, ACOG.
* Bervieller, P., Guerby, P., Garabedian, C. (2020). COVID -19 and Breastfeeding: Not That Simple. Journal of Human Lactation, 00(0), 1-2.
* Collier, A.Y., McMahan, K., Yu, J., et al. (2021). Immunogenicity of COVID-19 mRNA Vaccines in Pregnant and Lactating Women. Journal of American Medical Association, May 13, E1-11. DOI: 10.1001/jama.2021.7563
* Center for Disease Control and Prevention. (2021). COVID-19: Pregnant or Breastfeeding. https://www.cdc.gov/coronavirus/2019ncov/vaccines/recommendations/pregnancy.html
* Dumitiriu, D, & Gyamfi-Bannerman, C. (2021). Understanding Risks of Newborns Born to SARS-CoC-2 Positive Mothers. Journal of American Medical Association. April 29. DOI: 10.1001/jama.2021.6210
* Dyer, O. (2020). Covid-19: Black People and Other Minorities are Hardest Hit in US. British Medical Journal, April 14, 369:m1483. DOI: 10.1136/bmj.m1483
* Gee, J., Marquez, P., Su, J., et al. First Month of COVID 19 Vaccine Safety Monitoring-United States, December 14, 2020-January 13,2021.(2021). MMWR Morb Mortal Wkly Rpt; 70, 283-288. DOI: http://dx.doi.org/10.15585/mmwr.mm7008e3
References
* Mithal, L.B., Otero, S., Shanes, E.D., Goldstein, J.A., & Miller, E.S. (2021). Cord Blood Antibodies following Maternal COVID-19 Vaccination During Pregnancy. American Journal of Obstetrics and Gynecology, doi:https://doi.org/10.1016/j.ajog.2021.03.035.
* Prabhu, M., Murphy, E.A., Sukhu, A.C., Yee, J., Singh, S., Eng, D., Zhao, Z., Riley. L.E., Yang, Y.L. (2021). Antibody Response to Coronavirus Disease 2019 (COVID-19) Messenger RNA Vaccination in Pregnant Women and Transplacental Passage into Cord Blood. Obstetrics and Gynecology, 00(00), 1-3. DOI: 10.1097/AOG.0000000000004438.
* Rasmusen, S.A., Kelley, C.F., Horton, J.P., Jamieson, D.J. (2021). Obstetrics and Gynecology, 137(3), 408-414.
* Shay, D.K., Gee, J., Su, J.R., Myers, T.R., Marquez, P., Liu, R., Zhang, B., Licata, C., Clark, T.A., & Shimabukuro, T. T. (2021). Safety Monitoring of the Janssen (Johnson & Johnson) COVID-19 Vaccine-United States, March-April 2021. MMWR Morb Mortal Wkly Rpt; 70(18), 680-694.
* Shimabukuro, T. T., Kim, S.Y., Myers, T.R., et al. (2021). Preliminary Findings of mRNA Covid-19 Vaccine Safety in Pregnant Persons. New England Journal of Medicine. April. DOI: 10.1056/NEJMoa2104983.
References
* Society for Maternal-Fetal Medicine. (2020). SARS-CoV-2 vaccination in pregnancy (Statement). https://s3.amazonaws.com/cdn.smfm.org/media/2591/SMFM_Vaccine_Statement_12-1- 20_(final).pdf
* Villar, J., Artiff, S., Gunier, R.B. et al. (2021). Maternal and Neonatal Morbidity and Mortality Among Pregnant Women With and Without COVID-19 Infection: The INTERCOVID Multinational Cohort Study. Journal of American Medical Association Pediatrics, April. DOI: 10:1001/jamapediatrics.2021.1050
* Wallace M, Woodworth KR, Gargano JW, et al. The Advisory Committee on Immunization Practices' Interim Recommendation for Use of Pfizer-BioNTech COVID19 Vaccine in Adolescents Aged 12–15 Years — United States, May 2021. MMWR Morb Mortal Wkly Rep 2021;70:749–752. DOI: http://dx.doi.org/10.15585/mmwr.mm7020e1external icon
* Woodworth, K.R., O'Malley-Olsen, E., Neelam V., et al. Birth and Infant Outcomes Following Laboratory-Confirmed SARS-CoV-2 Infection in Pregnancy-SET-NET, 16 Jurisdictions, March 29October 14, 2020. MMWR Morb Mortal Wkly Rep 2020; 69(44), 1635-1640.
Questions
Questions we are unable to address during this webinar may be submitted to:
Clinical Inquiries: firstname.lastname@example.org
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INDEPENDENT BROAD-BASED ANTI-CORRUPTION COMMISSION
"WHISTLEBLOWERS PROTECTION" PROCEDURES AND GUIDELINES
Purpose of these guidelines
Moreland City Council is committed to the aims and objectives of the Protected Disclosure Act 2012 (the Act), which replaced the Whistleblowers Protection Act 2001 in February 2013. Moreland Council does not tolerate improper conduct by its elected representatives or employees, nor the taking of reprisals against those who come forward to disclose such conduct.
Council recognises the value of transparency and accountability in its democratic governance, administrative and management practices, and supports the making of disclosures that reveal corrupt conduct, conduct involving a substantial mismanagement of public resources, or conduct involving a substantial risk to public health and safety or the environment.
Moreland City Council will take all reasonable steps to protect people who make such disclosures from any detrimental action in reprisal for making the disclosure. It will also make every endeavour to afford natural justice to the person who is the subject of the disclosure.
These guidelines and procedures establish a system for reporting disclosures of improper conduct or detrimental action by Moreland City Council councillors or its employees. The system enables such disclosures to be made to the protected disclosure coordinator. Disclosures may be made by employees or by members of the public.
These guidelines and procedures are designed to complement normal communication channels between supervisors and employees. Employees are encouraged to continue to raise appropriate matters at any time with their supervisors. As an alternative, employees may make a disclosure of improper conduct or detrimental action under the Act in accordance with these procedures.
The Independent Broad-Based Anti-Corruption Commission (IBAC) has issued guidelines as it is required to do under Part 9 of the Protected Disclosure Act 2012 (the Act). Section 57 of the Act sets out that the guidelines are to be used by entities in establishing procedures consistent with the guidelines:
– to facilitate the making of disclosures
– for the handling of disclosures and, where appropriate, for notification to IBAC
– for the protection of persons making disclosures from detrimental actions under section 45 of the Act.
The Moreland City Council guidelines below are closely modelled on the IBAC Guidelines.
Objects of the Protected Disclosures Act 2012 (the Act)
The main objective of the Protected Disclosures Act 2012 is to encourage and facilitate the making of disclosures of improper conduct by public officers and public bodies and establish a system for matters to be investigated. The Act provides protection from detrimental action to any person affected by a protected disclosure whether it is a person who makes a disclosure, a witness, or a person who is the subject of an investigation.
Who may make a disclosure and who may it be made about?
Any person may make a disclosure about improper conduct by public bodies and public officers. Improper Conduct, public body and public officer are defined in section 3 of the Act.
The types of bodies about which a person may make a disclosure include:
– government departments and agencies and statutory authorities
– officers of municipal councils
– government-appointed boards and committees
– government-owned companies
– universities and TAFE colleges
– public hospitals
– state-funded residential care services
Public officers include:
– Members of Parliament
– Judicial officers
– Councillors
– council employees
– public servants
– university employees
– police officers and protective services officers
– administrative staff of the Chief Commissioner of Police
– teachers
– office holders appointed by Governor-in-Council or a Minister.
Who can a disclosure be made to under the Act?
Disclosures may be made to IBAC and to other investigating entities such as the Chief Commissioner of Police, the Ombudsman and the Victorian Inspectorate. In addition, complaints may be made directly to a public officer or public body where the disclosure relates to the public officer or public body or a member, officer or employee of the public body, or a person acting on behalf of a public officer under section 13 of the Act. That is, disclosures relating to a Council officer can be made direct to the Council.
The Act sets out a number of disclosures which must be made direct to IBAC in section 14.
Disclosures relating to a Councillor must be made to IBAC or the Ombudsman.
If an entity considers a disclosure to be a protected disclosure and the disclosure was made to a body other than IBAC, it may be notified to IBAC for assessment.
The role of IBAC
IBAC aims to strengthen the integrity of the Victorian public sector, and to promote community confidence in public sector accountability. It is Victoria's first anti-corruption body with responsibility for identifying and preventing serious corrupt conduct across the whole public sector, including members of Parliament, the judiciary and state and local government. IBAC also has a broad oversight role in relation to police personnel misconduct.
IBAC has an important function to facilitate the education of the public sector and the community about the detrimental effects of corrupt conduct and police personal misconduct, and to assist public sector agencies to improve their systems and processes to prevent corruption.
IBAC has a central role in handling disclosures of improper conduct made under the Act. The role of IBAC involves:
– receiving disclosures directly or by notification
– determining whether a disclosure is a protected disclosure
– assessing and investigating disclosures
– preparing and publishing guidelines to facilitate making disclosures, for the handling of disclosures and for the protection of persons from detrimental actions
– reviewing written procedures established by public bodies and making recommendations in relation to those procedures
– monitoring investigations where they have been referred to public bodies
– monitoring the action taken by public bodies where the findings of an investigation reveal that improper conduct has occurred
– researching, collecting and analysing data and statistics relating to the protected disclosure scheme
– reporting to Parliament on IBAC's research and education functions
– providing education and information about the protected disclosure scheme.
Establishing written procedures
In addition to being the potential subject of a disclosure, each public body is required to establish written procedures for handling disclosures by section 58 of the Act. The procedures must facilitate the making of disclosures, the investigation of disclosures, and the protection of persons making disclosures from detrimental actions by the public body or any officer, member or employee of the public body. The procedures must be in accordance with the Act and these guidelines. These Moreland City Council Guidelines fulfil Council's responsibilities under section 58 of the Act.
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IBAC may review the written procedures of a public body and their implementation. IBAC may make recommendations to a public body as a result of such a review. It is the responsibility of the public body to ensure that its policies and procedures reflect the current Act, Regulations and Guidelines. Each public body should review its policies and procedures if amendments are made to the Act, Regulations or IBAC's Guidelines.
A public body must make a copy of its written procedures available to each of its members, employees or officers, and must have a copy available for inspection by members of the public during normal office hours free of charge. The procedures should also be located or linked on any website maintained by the public body.
The following list of matters should be included in the written procedures of a public body to establish an effective internal reporting system for the Act. Further information about each matter listed can be found in the following sections of these guidelines.
Contents of protected disclosure procedures
1. Statement of support for persons making protected disclosures
2. Purpose of the procedures
3. Objects of the Act
4. Definitions of key terms
5. The reporting system
6. Roles and responsibilities
7. Confidentiality
8. Collating and publishing statistics
9. Receiving and assessing disclosures
10. Preventing detrimental actions
11. Management of the person against whom the disclosure is made
12. Criminal offences
Establishing a reporting system
Moreland City Council is required under the Act to establish a reporting system for the receipt, assessment and investigation of protected disclosures.
The chief requirements of any reporting system are:
– ensuring senior executive staff are involved and retain oversight
– ensuring confidentiality of the information and the identity of the persons making protected disclosures are maintained throughout the process
– keeping the roles of assessment and investigation of a disclosure distinct from welfare management of the person making a disclosure
– identifying clear contact points for reporting protected disclosures, including all relevant disclosures made in person or by mail, phone calls and emails
– ensuring a disclosure about the Chief Executive Officer of the Council is immediately notified to IBAC.
A clear internal reporting system will benefit a public body by:
– encouraging staff to raise matters of concern internally
– providing a reporting channel for disclosures that may otherwise never be reported
– ensuring disclosures by such persons are properly and appropriately assessed and acted upon
– ensuring the protection of the Act is fully available to all internal and external persons making protected disclosures.
What reporting structure to adopt
Moreland City Council has a centralised reporting system. The centralised system of handling disclosures involves one officer who reports direct to the principal officer of an organisation. There are a number of benefits of a centralised system including:
– Fewer people handling disclosures enhances confidentiality and thereby reduces the likelihood of reprisals being taken against persons making protected disclosures.
– Direct involvement of senior management in the reporting system appropriately reflects the seriousness of protected disclosure matters.
– As the occurrence of improper conduct is often a result of poor supervision within an organisation, senior management should take overall responsibility for the investigation of these matters.
– It avoids conflicts of interest by excluding line managers from the assessment and investigation of any disclosure.
– Liaison with IBAC and other investigative agencies is clearly defined and information flows are able to be managed
Roles and responsibilities of those involved in the internal reporting system
This internal reporting policy identifies the officers who will be involved in the internal reporting system and clearly describes their individual roles.
Coordinator
The protected disclosure coordinator (the Moreland City Council Internal Auditor) is the central role in the internal reporting system. He or she will:
– impartially assess each disclosure to determine whether it appears to be a protected disclosure
– coordinate the reporting system used by the organisation
– be a contact point for general advice about the operation of the Act and for integrity agencies such as IBAC
– be responsible for ensuring that the public body carries out its responsibilities under the Act and the Guidelines
– liaise with IBAC in regard to the Act
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– where necessary, arrange for appropriate welfare support for the person making a protected disclosure
– advise the person making a protected disclosure of the progress of an investigation into the disclosed matter
– establish and manage a confidential filing system
– collate statistics on disclosures made
– take all necessary steps to ensure the identity of the person making a protected disclosure and the identity of the person who is the subject of the disclosure are kept confidential
– liaise with the Chief Executive Officer of the Council.
The protected disclosure coordinator is contactable by external and internal persons making disclosures and has the authority to make enquiries of officers within the organisation. The contact details for the Moreland City Council Internal Auditor are described in the final page of these guidelines.
Ensuring confidentiality
There are specific requirements of confidentiality under the Act relating to assessable disclosures and the identity of the person making the disclosure. These Guidelines, policies and procedures take these obligations into account to ensure non-disclosures of confidential information except in accordance with the Act. There are criminal penalties attached to unlawful disclosures under sections 52 and 53 of the Act which are summarised later in these guidelines. A breach of section 52 constitutes a criminal offence.
Section 52 of the Act requires any person who receives information due to the handling or investigation of an assessable disclosure, not to disclose that information except in certain limited circumstances. These include:
– where exercising the functions of the public body under the Act
– when making a report or recommendation under the Act
– when publishing statistics in the annual report of a public body
– in criminal proceedings for certain offences in the Act.
However, the Act prohibits:
– the inclusion of particulars in any report or recommendation that is likely to lead to the identification of the person making a protected disclosure
– the disclosure of particulars in an annual report and other reports to Parliament that might lead to the identification of a person against whom a protected disclosure is made.
There are particular circumstances where information may be disclosed. They are listed in Sections 52, 53 and 54 of the Act and include:
– where the disclosure is made in accordance with the consent of the disclosing person to the disclosure of their identity
– where IBAC or the Victorian Inspectorate has determined that the assessable disclosure is not a protected disclosure and the person or body subsequently discloses the information
– where necessary for the purpose of the exercise of functions under this Act or the Independent Broad-Based Anti-Corruption Commission Act 2011
– an investigating entity publishes a report to Parliament, made in accordance with its confidentiality requirements
– for the purposes of a proceeding for an offence against the relevant Act
– for the purpose of obtaining legal advice
–
to an interpreter
– to a parent or guardian of a person who under 18 years of age
– to an independent person, for the purposes of enabling a person who is suffering a disability to understand an obligation under this Act
Protection from reprisals
Section 58 of the Act also requires Moreland City Council to establish procedures for the protection of a person making a disclosure from reprisal by personnel for making a protected disclosure. Preserving the confidentiality of their identity will assist in minimising the risk of reprisals. Procedures should include ensuring that persons making such disclosures are advised that it is in their own interests to keep disclosures confidential by only discussing related matters with authorised persons within the public body or officers of IBAC's office or other persons as authorised by law.
There is further material later in these guidelines providing information about:
disclosure.
Establishing a confidential electronic and paper filing system
To prevent breaches of the confidentiality requirements and to minimise the possibility of detrimental action, public bodies must necessarily establish a secure electronic and paper filing system. Moreland City Council will ensure that:
– all paper and electronic files are secure and can only be accessed by authorised officers
– all printed material is kept in files that are clearly marked as a protected disclosure matter and include a prominent warning on the front of the file that criminal penalties apply to any unauthorised divulging of information concerning a protected disclosure
– any electronic files saved are password protected or have limitations on access rights
– any other material, such as tapes from interviews, are stored securely with access only to authorised officers
– the security of communications between nominated officers and/or contracted officers, i.e. sensitive information or documents, are not emailed or faxed to a machine to which staff have general access; personal delivery of documents is the best way to ensure confidentiality.
Education and training to ensure knowledge by personnel
All personnel should be provided with all relevant information and given appropriate training to ensure they are familiar with policies, procedures, the relevant parts of the legislation, particularly their confidentiality obligations and resulting consequences of a breach of the Act.
Owing to the confidentiality requirements for protected disclosures, public bodies must establish a reporting system that enables a possible disclosure under the Act to be identified as early as possible. The sources of possible disclosures include:
– correspondence, including faxes
– phone calls
– emails
– in person approaches by staff or members of the public.
If a public body has a separate complaints system, then those officers who deal with the receipt and assessment of complaints must be made aware of the Act, and what matters may fall under the Act.
Similarly mail centres, front desk staff, online services units and other employees must be made aware of the general nature of protected disclosures and the established reporting channels so that identified disclosures are dealt with appropriately.
Receiving a disclosure
When Moreland City Council receives a complaint, report or allegation of improper conduct or detrimental action, the first step is to determine whether the disclosure has been made to the right person or body and then whether the matter falls under the Act.
There will be situations where a public body receives an allegation of improper conduct or detrimental action, but the person making the allegation has not referred to the Act. If an allegation raises issues that may fall within the provisions of the Act, the public body should assess the allegations in terms of the Act. The protections of the Act may apply to a disclosure regardless of whether or not the individual making the disclosure specifically requests the protections of the Act. The assessment is made on the nature of the disclosure and not the intention of the individual making it.
For the protections of Part 6 of the Act to apply, a disclosure must be made in accordance with Part 2 of the Act. Disclosures made under Part 2 of the Act are called protected disclosures.
How can a protected disclosure be made?
Part 2 of the Act provides that a person may make a disclosure:
– orally
– in writing
– electronically
– anonymously.
This means that disclosures may be received from anonymous sources, including unverified email addresses, phone calls, by facsimile, in a conversation or meeting. If the disclosure is made orally, the public body should ensure that contemporaneous notes are made of the disclosure.
If the disclosure comes from an email address from which the identity of the person making the disclosure cannot be determined, the disclosure should be treated as an anonymous disclosure.
Any person can submit an allegation or complaint. The Act does not require the individual to be an employee of the public body they are complaining about, or a public sector employee. The complaint must be made by an individual and not by a company, organisation or group of people.
To whom must a protected disclosure be made?
Part 2 of the Act provides that a person must make a disclosure to the appropriate person or body for it to be a protected disclosure under the Act. As a general rule, a disclosure must be made to the public body that the complaint relates to, or to IBAC.
Therefore, public bodies can only receive disclosures that relate to the conduct of their own members, officers or employees. If a public body receives a disclosure about an employee, officer or member of another public body, the disclosure has not been made in accordance with Part 2 of the Act. The public body should advise the person making the disclosure of the correct person or body to whom the disclosure must be made. In such circumstances they should generally be advised to make their disclosure to IBAC.
Table 1: Requirements for receiving a disclosure
Mechanisms for the receipt of disclosures
Moreland City Council is responsible for any decisions or actions taken under the Act, the Guidelines or the Regulations. Any formal notification of a disclosure or other correspondence and communication between IBAC and the public body will generally will be between the Chief Executive Officer of the Council or, in some cases, its protected disclosure coordinator. It is
generally not appropriate for an agency to use a lawyer or an agent to communicate with IBAC, although separately obtaining legal advice may be appropriate in some circumstances.
The Act only requires that an individual make the disclosure to the public body. The reporting procedures must be available to advise potential disclosing persons of the most effective way to raise their concerns. However, the disclosure does not have to be made in accordance with the public body's preferred procedure. A disclosure may be made to any member, officer or employee of the public body. It is the responsibility of the public body to ensure that any allegation made that may fall under the Act is referred to the protected disclosure coordinator to assess the information.
Assessing a disclosure
Where a public body receives information relating to the conduct of an employee, member or officer of that public body, it must assess whether the disclosure meets the criteria of Part 2 of the Act to be a protected disclosure. If Part 2 of the Act is satisfied, the agency must determine if the information also satisfies Part 4 of the Act to be a public interest disclosure. Section 28 requires the public agency to reach its conclusion about the disclosure within 45 days of receiving it.
Protected disclosures
A protected disclosure is a disclosure that satisfies Part 2 of the Act. A protected disclosure receives the protections outlined in Part 6 of the Act. To be assessed as a protected disclosure it must meet the following criteria:
– Did a natural person (that is, an individual person rather than a corporation) make the disclosure?
– Does the disclosure relate to conduct of a public body or public officer acting in their official capacity?
– Is the alleged conduct either improper conduct or detrimental action taken against a person in reprisal for making a protected disclosure?
– Does the person making a disclosure have reasonable grounds for believing the alleged conduct has occurred?
– If one or more of the above elements are not satisfied, the person has not made a disclosure under Part 2 of the Act.
Improper conduct
A disclosure may be made about improper conduct by a public body or public official. Improper Conduct is defined in section 4 of the Act to mean:
– Corrupt Conduct (as defined in the Independent Broad-Based Anti-Corruption Commission Act 2011), or
– specified conduct that is not Corrupt Conduct including:
o a substantial mismanagement of public resources, or
o a substantial risk to public health or safety, or
o a substantial risk to the environment.
The conduct must be serious enough that if proven would constitute a criminal offence or reasonable grounds for dismissal.
Further, specified conduct includes:
– conduct of any person that adversely affects the honest performance of a public officer's or public body's functions
– conduct of a public officer or public body that constitutes or involves the dishonest performance of a public officer's or public body's functions
– conduct of a public officer, former public officer or a public body that amounts to knowingly or recklessly breaching public trust
– conduct by a public officer or a public body that amounts to the misuse of information or material acquired in the course of the performance of their official functions, or
– a conspiracy or attempt to engage in any of the above conduct
– conduct of a public officer or public body that involves:
o a substantial mismanagement of public resources, or
o a substantial risk to public health or safety, or
o a substantial risk to the environment.
These elements of improper conduct are qualified by the requirement that they would be a criminal offence or grounds for dismissal if proven. This indicates that the conduct will only fall within the meaning of the Act where it is dishonesty of a serious nature. The list is not exhaustive and, when in doubt, those with the responsibility for making a decision as to whether the conduct shows or tends to show that there was improper conduct, should contact IBAC for guidance.
Substantial mismanagement of public resources
The use of the word 'substantial' has the effect of confining the definition to a situation in which the mismanagement is of a significant or considerable degree. Mismanagement should not be confused with 'misuse'. Mismanagement is to manage badly or wrongly, whilst misuse is wrong or improper use. For example, to use a government car for personal gain is a misuse rather than mismanagement.
Substantial risk to public health, safety or the environment
The use of 'substantial' has the effect of confining the definition to conduct that puts public health, safety or the environment at considerable or great risk. The risk is limited to public health or safety. This means the risk is not just to an individual but relates to conduct which affects, or has the potential to affect, a large class or group of the wider community.
Detrimental action
The Act creates an offence for a person to take detrimental action against a person who has made a protected disclosure. Section 3 of the Act defines detrimental action as including:
– action causing injury, loss or damage
– intimidation or harassment, and
– discrimination, disadvantage or adverse treatment in relation to a person's employment, career, profession, trade or business, including the taking of disciplinary action.
Examples of detrimental action
A public body demotes, transfers, isolates in the workplace or changes the duties of a person making a disclosure due to the making of a disclosure.
A person threatens, abuses or carries out other forms of harassment directly or indirectly against the person making a disclosure, his or her family or friends.
A public body discriminates against the person making a disclosure or his or her family and associates in subsequent applications for jobs, permits or tenders.
Reasonable grounds for belief
The phrase 'reasonable grounds for belief' requires more than a suspicion and the belief must have supporting facts and circumstances. For reasonable grounds of belief, the usual test applied is whether a reasonable person would have formed that belief, having regard to all the circumstances. This test is an objective one, that is, whether a reasonable person, possessed of the same information that the person making the disclosure holds, would believe that the improper conduct had occurred. Reasonable grounds for a belief are also taken to require something more than a reasonable suspicion.
Nor can a belief be held to be based on reasonable grounds, where it is based on a mere allegation, or conclusion, which is unsupported by any facts or circumstances. The existence of evidence is required to show that the reasonable grounds are probable. For example, it is not sufficient for a person to base a disclosure on the statement 'I know X is accepting bribes to grant planning permits to Y developer'. This is a mere allegation unsupported by any further facts and circumstances.
However, the requirement for facts and circumstances to be present to support a belief does not mean that it is necessary that the person have a prima facie case, merely that the belief be reasonably based.
In some circumstances, hearsay or second-hand information may be used to establish reasonable grounds for the belief, provided that the information and its source appears credible. This may depend on how the person obtained the information, and the detail of the information.
The credibility of the person making a disclosure or individuals who have provided them with information may also be considered in determining if the individual has reasonable grounds for the belief.
Notification of the decision
Where IBAC determines that a person has failed to make a disclosure under Part 2 of the Act, the public body must advise the individual of its assessment. IBAC should indicate on what grounds it has made its assessment. This should include advising the person that their concerns may be made through the public body's general complaints mechanisms.
If the reason for the determination is based upon the failure of the person to support reasonable grounds for the belief that improper conduct has occurred, the public body should ensure the person has had sufficient opportunity to support the allegations or to present additional information prior to completing its determination. A reassessment of the disclosure can be made if the person provides additional information to support the allegations made.
Where a public body determines that a person has made a disclosure in accordance with Part 2 of the Act, this disclosure is now referred to as a protected disclosure and must be dealt with in accordance with the Act.
Possible criminal charges, legal action and disciplinary proceeding
The Act establishes a number of offences regarding a disclosure once it has been determined to be a protected disclosure. Public bodies must ensure all nominated officers and staff are aware of the criminal offences created by the Act and other legal action that may be taken against them for any breach by them.
Criminal offences
Detrimental action
It is an offence for a person to take or threaten action in reprisal when: – a protected disclosure has been made – a person believes a protected disclosure has been made – a person believes that another person intends to make a protected disclosure.
Breach of confidentiality
It is an offence for a person to divulge information obtained as a result of the handling or investigation of a protected disclosure without legislative authority.
Provision of false information
It is an offence for a person to knowingly provide false information under the Act with the intention that it be acted on as a protected disclosure.
Civil action
A person who takes detrimental action against a person in reprisal for a protected disclosure may be found liable in damages to that person. The public body may also be found to be vicariously liable.
Managing the welfare of the person making the protected disclosure
The protection of genuine persons making protected disclosures against detrimental action is essential for the effective implementation of the Act. Management of a public body must be responsible for ensuring persons making a protected disclosure are protected from direct and indirect detrimental action, and that the culture of their workplace is supportive of protected disclosures being made.
It is a requirement of the Act that public bodies establish procedures for the protection of persons making protected disclosures from reprisals. The procedures must comply with the Act and with these guidelines.
Internal and external sources
A person making a protected disclosure may be employed by a public body or may be a member of the public. Public bodies are obliged to protect both internal and external persons making protected disclosures from detrimental action taken in reprisal for the making of the disclosure. The management of both types of persons making protected disclosures will, however, be different.
The main issue of difference is that internal persons making protected disclosures are at risk of suffering reprisals in the workplace. A welfare manager must foster a supportive work environment and respond to any reports of intimidation or harassment.
Reprisals may also be taken against external persons making protected disclosures. Public bodies may also appoint a welfare manager for an external person making a protected disclosure. A welfare manager of an internal or external person making a protected disclosure cannot be expected to go beyond what is reasonable for a public body in providing support to them. The welfare manager should discuss the issue of reasonable expectations with the person making a protected disclosure.
Appointing a welfare manager
The senior management of a public body should take responsibility for the welfare of a person making a protected disclosure. The protected disclosure coordinator should appoint a welfare manager to monitor the needs of the person making a protected disclosure and to provide advice and support. Public bodies may wish to make use of an Employee Assistance Program for this purpose. In most circumstances, a welfare manager will only be required where a protected disclosure proceeds to investigation.
The role of the welfare manager is to:
– examine the immediate welfare and protection needs of a person making a protected disclosure who has made a disclosure and seek to foster a supportive work environment
– advise the person making a protected disclosure of the legislative and administrative protections available to him or her
– listen and respond to any concerns of harassment, intimidation or victimisation in reprisal for making a disclosure
– keep a contemporaneous record of all aspects of the case management of the person making the protected disclosure, including all contact and follow-up action
– endeavour to ensure that the expectations of the person making a protected disclosure are realistic.
The welfare manager must not divulge any details relating to the disclosed matter to any person other than the protected disclosure coordinator, the investigator or the chief executive officer. All meetings between the welfare manager and the person making a protected disclosure must be conducted discreetly to protect the confidentiality of the person making a protected disclosure.
Occurrence of detrimental action
If a person making a protected disclosure reports an incident of harassment, discrimination or adverse treatment that would amount to detrimental action apparently taken in reprisal for the making of the disclosure, the welfare manager or protected disclosure coordinator must:
– record details of the incident
– advise the person making a protected disclosure of his or her rights under the Act.
Where the detrimental action is of a serious nature likely to amount to a criminal offence, consideration should be given to reporting the matter to the police or IBAC.
The taking of detrimental action in reprisal for making a disclosure can be an offence against the Act, as well as grounds for making a further disclosure. Where such detrimental action is reported, the allegation must be assessed as a new disclosure under the Act. A public body must be extremely cautious about conducting enquiries or gathering information concerning an allegation of detrimental action, as a criminal offence may have been committed and any informal investigation may compromise the integrity of evidence.
Consequences for persons making disclosures implicated in improper conduct, or disciplinary matters
The person making a protected disclosure is not subject to criminal or civil liability for making the disclosure under section 39 of the Act. Section 42 of the Act specifically provides that a person's liability for his or her own conduct is not affected by the person's disclosure of that conduct under the Act. However, in some circumstances, an admission may be a mitigating factor when considering disciplinary or other action.
However, the management of the welfare of an internal or external person making a protected disclosure may become complicated when the person making a protected disclosure is implicated in misconduct, whether that misconduct is related to the disclosure made or not. The general obligations of a public body in relation to handling and investigating a disclosure and protecting the person making a protected disclosure still apply. A person making a protected disclosure is not protected from the reasonable consequences flowing from any involvement in improper conduct, as section 42 sets out.
Disciplinary or other action against a person making a protected disclosure invariably creates the perception that it is being taken in retaliation for the disclosure. In all cases where disciplinary or other action is being contemplated, the chief executive officer or other responsible public officer must be able to clearly demonstrate that:
– his or her intention to proceed with disciplinary action is not causally connected to the making of the disclosure
– there are good and sufficient grounds that would fully justify action against any other person in the same circumstances
– there are good and sufficient grounds that justify exercising any discretion to institute disciplinary or other action.
If a public body cannot demonstrate that the above preconditions have been met, it leaves itself open to allegations of taking detrimental action against a person making a protected disclosure in reprisal for making the disclosure. A public body may wish to obtain legal advice prior to taking any action against the person making a protected disclosure.
Great care should be taken to thoroughly document the process including recording the reasons why the disciplinary or other action is being taken, and the reasons why the action is not in retribution for making the disclosure. The person making a protected disclosure should be clearly advised of the proposed action to be taken and of any mitigating factors that have been taken into account.
Collating and publishing statistics
Section 67 of the Act requires that IBAC include in IBAC's annual report or report of operations must include in that report information about accessing issued guidelines and procedures under part 9 of the Act, and a range of details about protected disclosures in the reporting year. These details include:
– the number and types of assessable disclosures made directly to IBAC
– the number and types of disclosures notified to IBAC
– the number and types of assessments made by IBAC to determine if it is a protected disclosure
– the number and types of protected disclosures investigated, referred or dismissed by IBAC
– any recommendation made by IBAC under the Act.
Describing the type of disclosure requires a statement about the nature of the disclosure; for example, an allegation of bribery or fraudulent use of public funds.
It is the responsibility of the protected disclosure coordinator to ensure that confidential records are kept to enable accurate reporting as required by the Act.
Freedom of Information
It is highlighted that section 78 of the Act excludes the application of the Freedom of Information Act 1982 to any document that relates to a disclosure made under the Act. Public agencies should ensure that any of its officers handling freedom of information requests are aware of this section. A public agency should contact IBAC prior to providing any document originating from IBAC or relating to a protected disclosure, if requested under the Freedom of Information Act.
Contact details
Independent Broad-Based Anti-Corruption Commission
Phone: 1300 735 135
Fax: (03) 8635 6444
Post: IBAC, GPO Box 24234, Melbourne, Victoria 3000
Website: www.ibac.vic.gov.au
Internal Auditor
Moreland City Council
Phone 03 92402294 or firstname.lastname@example.org
Post: Moreland City Council, Locked bag 10, Moreland Vic 3058
Website: www.moreland.vic.gov.au
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Computational Fluid Flow and Heat Transfer, or simply CFD, has become a well-accepted tool in the design of many products and processes in the industrial sector. It has also become an enabling technology for research in an increasing number of disciplines, spanning from the traditional engineering sector up to the life sciences. The number of available CFD methods and approaches is rather large, however, traditionally, students at MSc level have only been exposed to a few of these. Moreover, the use of these tools for research tasks, even when they are packaged in friendly commercial platforms, would benefit greatly from a more indepth knowledge of their characteristics.
The 16th UIT Summer School attempts fill this gap by providing an intensive, one-week course focused on the fundamental methods used in Computational Fluid Flow and Heat Transfer. The lectures will span from traditional methodologies, like Finite Volume and Finite Element, to the more recent Lattice Botlzmann. Methods for multiphase flows will be also addressed, together with useful advice on how to use both commercial and open source software and an example of custom code development. Two CFD major vendors will illustrate the opportunities offered by modern CFD platforms with relevant examples and case studies.
CONTRIBUTORS
Diego Angeli, Università di Modena e Reggio Emilia
Pietro Asinari, Politecnico di Torino
Giulio Croce, Università di Udine
Stephane Cyr, EXA Corporation, Burlington, MA, USA
Norman Del Puppo, Sauber F1 Team, Hinwil, CH
Davide Frigerio, ANSYS Italia srl
Fabio Inzoli, Politecnico di Milano
Paolo Levoni, Università di Modena e Reggio Emilia
Oronzio Manca, Seconda Università di Napoli
Enrico Nobile, Università di Trieste
Carlo Nonino, Università di Udine
Pietro Poesio, Università di Brescia
ADDITIONAL INFORMATIONS
Additional info about the Summer Schools can be found on the UIT website:
www.uitonline.it
For any further questions and requests, please contact: Prof. Enrico Nobile, Director of 16th UIT Summer School (email@example.com).
CREDITS FOR PHD STUDENTS
PhD Students can gain credits according to the regulation of their own PhD School. In addition to the Attendance Certificate, a Proficiency Certificate can be obtained upon submission of a report, to be agreed, on one of the topics addressed in the program of the School.
APPLICATION AND FEES
The registration fee is 700,00 Euros and includes attendance to the Summer School, coffee breaks during the lessons, and full board treatment from the dinner of Sunday, August 28th to the lunch of Friday, September 2nd. The 50% of registration fee (€ 350,00) must be paid before August 12, 2016. The remaining must be paid directly during the check-in at Certosa di Pontignano.
To apply, please download (www.uitonline.it) and complete the registration form, and kindly send it by e-mail, before August 12, 2016, to:
firstname.lastname@example.org and, in cc:, to: email@example.com
LOCATION
The 16th Summer School will be held in the prestigious Ancient Certosa di Pontignano, a unique place where nature, history and hospitality blend together in a memorable harmony, at a few kilometers from Siena, in the heart of Chianti, on a hill dominating the town. Further information can be gathered directly at Certosa website (www.lacertosadipontignano.com).
COMPUTATIONAL FLUID FLOW AND HEAT TRANSFER
Director:
Prof. Enrico Nobile – Università degli Studi di Trieste
Certosa di Pontignano (Siena)
PROGRAMME
| | Monday 29 | Tuesday 30 | Wednesday 31 | Thursday 1 | Friday 2 |
|---|---|---|---|---|---|
| | August | August | August | September | September |
| 9:00 | | | | | |
| 9:45 | | | | | |
| 10:30 | | | | | |
| 11:00 | | | | | |
| 11:45 | | | | | |
| 13:00 | | | | | |
| 14:30 | | | | | |
| 15:15 | | | | | |
| 16:00 | | | | | |
| 16:30 | | | | | |
| 17:15 | | | | | |
| 18:00 | | | | | |
| 20:00 | | | | | |
| 21:00 | | | | | |
* For the lunch of Friday, September 2 nd , each participant is kindly asked to confirm his/her presence at the reception.
LIST OF CONTRIBUTORS
- Diego Angeli
Università degli Studi di Modena e Reggio Emilia (firstname.lastname@example.org)
- Pietro Asinari
Politecnico di Torino(email@example.com)
-
Giulio Croce
Università degli Studi di Udine (firstname.lastname@example.org)
- Stephane Cyr
EXA Corporation, Burlington, MA, USA (email@example.com)
- Norman Del Puppo
Sauber F1 Team, Hinwil, CH (firstname.lastname@example.org)
- Davide Frigerio
ANSYS Italia srl (email@example.com)
- Fabio Inzoli
Politecnico di Milano (firstname.lastname@example.org)
- Paolo Levoni
Università degli Studi di Modena e Reggio Emilia & Mimesis s.r.l., Modena (email@example.com)
- Oronzio Manca
Seconda Università degli Studi di Napoli(firstname.lastname@example.org)
- Enrico Nobile
Università degli Studi di Trieste (email@example.com)
- Carlo Nonino
Università degli Studi di Udine(firstname.lastname@example.org)
- Pietro Poesio
Università degli Studi di Brescia(email@example.com)
CFD VENDORS
- ANSYS Italia srl (www.ansys.com)
- EXA Corporation, Burlington, MA, USA (www.exa.com
)
LECTURE NOTES
Before the beginning of the Summer School, the slideshows and/or notes of the lectures will be available for download in a restricted access area of the UIT website (http://www.uitonline.eu).
LOCATION
The 16 th Summer School will be held at Certosa di Pontignano (Siena); further information can be gathered directly at Certosa website.
APPLICATION AND FEES
The registration fee is 700,00 Euros and includes attendance to the Summer School, coffee breaks during the lessons, and full board treatment from the dinner of Sunday, August 28 th to the lunch of Friday, September 2. Each participant is kindly asked to confirm at the reception his/her presence at the lunch of Friday, September 2.
The 50% of registration fee (€ 350,00) must be paid before August 12, 2016, following the instructions given within the attached registration form. The remaining 50% (€ 350,00) must be paid directly during the check-in at Certosa di Pontignano.
Please, to apply download and complete (in PDF or RTF format) the registration form, and kindly send it by e-mail, before August 14, 2016, to: firstname.lastname@example.org.
CREDITS FOR PHD STUDENTS
PhD Students can gain credits according to the regulation of their own PhD School. In addition to the Attendance Certificate, a Proficiency Certificate can be obtained upon submission of a report , to be agreed, on one of the topics addressed in the pro-gram of the School.
Additional info about the Summer Schools are available on www.uitonline.eu.
For any further questions and requests, please contact:
Prof. Enrico Nobile, Director of the 16th UIT Summer School (email@example.com)
Prof. Giulio Croce, Vice-Director of the 16th UIT Summer School (firstname.lastname@example.org)
Prof. Sara Rainieri, Secretary of UIT Steering Committee (email@example.com)
SUMMARIES
Giulio Croce
Fundamental equations for thermal-fluid problems
The lecture offers an overview of the fundamental equations for thermo fluid dynamics phenomena. The focus is on the physical and mathematical characteristics that may affect the numerical discretization: thus, after deriving the continuity, momentum and energy equations for compressible and incompressible flows from local balances, care is given to the evaluation of wave propagation speed and direction, their effect on the physical boundary conditions definition, and their impact on the numerical modelling. Uncompressible and compressible flow equation are considered, including comments on the discontinuities in compressible flow solution. Finally, similar form of transport equations will be briefly discussed (passive scalar transport, shallow water, mass transfer, mixing), as well as possible limitation of the standard Navier-Stokes equations, such as those arising in micro-scale applications.
Enrico Nobile
Finite Volume Method
The Finite Volume (FV) method gained popularity among CFD practitioners, using either commercial or open source CFD platforms, and in the academic community at large. The reason of this success is due to several aspects, which are peculiar of this method. Its simple physical interpretation, which leads to the use of the FV as the method of choice for introducing students to CFD. Its strict conservative property, due to the transformation of some of the terms of the original conservation equations in face fluxes. Finally its high geometrical flexibility, obtained by the use of grids constituted by arbitrary polyhedra. These are probably the most important factors. In this lecture, the FV method will be introduced considering first Cartesian grids, which lead automatically to simple data structures and easy coding, followed by unstructured grids, which require more complex data structures but provide, as a reward, the possibility to describe complex, and possibly time-varying, geometries.
Carlo Nonino
Finite Element Method
The Finite Element method (FEM) is a numerical technique for the solution of partial differential equations and is the dominant discretization technique for structural analysis. The basic concept in the physical interpretation of the FEM is the subdivision of the computational domain into disjoint (non-overlapping) components of simple geometry, which are called finite elements and form a mesh. After the first applications in the field of solid mechanics in the early 1960s, the FEM was soon extended to the solution of heat transfer and fluid flow problems. No conservation principles are explicitly enforced, but the method has strong theoretical bases. Its great flexibility, together with the possibility of using unstructured meshes make the FEM a very convenient method for the solution of many multiphysics problems (e.g.: fluid-structure interaction). In this lecture, a description of how the FEM works will be presented with reference to the solution of 1-D and 2-D steady-state and transient heat transfer problems.
Pietro Poesio
Methods for multiphase flows
The lecture provides an overview of the models and numerical methods to simulate two-phase flows, focusing, in particular, on the Direct Numerical Simulations approach. The most peculiar aspect of multiphase flows is the presence of an interface whose effects need to be accounted for. In DNS the interface is described explicitly by the kinematic boundary condition, which is represented by an advection equation. Different ways to solve and represent the equation give rise to different modeling approaches. In the first part of lecture we will focus on slug capturing. Broadly specking, within the slug capturing framework one can use the Volume of Fluid or the Level Set approach. The second part of the lecture will introduce and describe the more recent slug tracking approach. In the last part of the lecture, we will focus on the Eulerian-Eulerian approach, where the interface is not represented in an explicitly way, but by averaged equations where source terms are introduced.
Paolo Levoni and Diego Angeli
Commercial CFD codes
This lecture aims at introducing commercial CFD codes as a tool for both scientific research and academic development. The growth of commercially-available CFD software in the last 25 years has been tremendous, and nowadays most codes are virtually capable of dealing with multiple physical phenomena, coupled with the modeling of turbulent flow. More than ever, it is critical to understand the complexity and variety of such tools in order to perform reliable and physically sound analyses. In this lecture, the main potentialities, limits, pitfalls and risks of commercial CFD will be illustrated, starting from the study of the physical problem, and going through the definition of the mathematical model, the meshing process, the implementation of boundary and initial conditions, the numerical solution, the post-processing of results, and verification checks on the reliability of results. Finally, some examples of the applications of commercial CFD for the solution of thermofluid dynamics problems in research will be presented.
Norman Del Puppo
CFD with open source software
Today, numerical simulations are indispensable in industrial production. Many industries uses Computational Fluid Dynamics (CFD) to predict the flow behavior inside or outside a product in order to understand better the various characteristics of any product design. Numerical investigations dramatically reduce the cost of designing new products for which fluid dynamics is a large part of the valueadded. Nowadays, the high cost of the software is one, among the others, of the main drawbacks that more affects a widespread use of this theoretical approach to the design of new products. Recently, Open Source CFD software packages has become popular among universities and industries mainly because of the absence of a license cost and the possibility to customize the software to the user needs. The purpose of this talk is to give an overview of OpenFOAM® (Weller, Tabor, Jasak, & Fureby, 1998), an open source library based on the Finite Volume Method (FVM), which has gained popularity in the CFD community over the last decade. There will be given an introduction in the use of OpenFOAM® for computational fluid dynamics analysis and to the library code organization. Finally, there will presented some illustrative examples of custom software developments applied to marine and motorsport applications.
Fabio Inzoli
Turbulence Modelling
Many flows of engineering interest are turbulent. Turbulence causes the appearance in the flow of eddies with a wide range of length and time scales that interact in a dynamically complex way.
The lecture gives a brief introduction to the physics of turbulence and to its modelling in CFD. For most engineering purposes it is unnecessary to resolve the details of the turbulent fluctuations. CFD analysts are almost always satisfied with information about the time-averaged properties of the flow (e.g. mean velocities, mean pressures, mean stresses etc.). Therefore, the vast majority of turbulent flow computations has been and for the foreseeable future will continue to be carried out with procedures based on the Reynolds-averaged Navier–Stokes (RANS) equations. The most widely used turbulence models (k-ε, k-ω, RSM, etc..) are discussed.
A brief introduction to LES modelling is presented.
CFD management
Computational Fluid Dynamics analysis has become a useful research and design instrument albeit with errors and uncertainties. Appropriate standards and protocols for increasing confidence and reliability need to be identified and applied. These requirements become more relevant as improvements in hardware, software and user competence increase. Advances in these sectors have led to the increased use of CFD codes in the applied research industry. In the discussion on the opportunities of applying Quality Assurance to Research and Development activities, and on investigating methodologies (numerical or experimental), CFD results need to be qualified; rules, and procedures should be instated and followed.
The lecture aims to focus on methodological approach to qualify CFD. The approach is based on three interdependent, but related, dimensions: software reliability, user knowledge and process control. Applying the quality of CFD analysis to industrial problems, while following the principles of Quality Assurance, is of particular concerned.
Pietro Asinari
Lattice Boltzmann Methods
This lecture aims to introduce the basic concepts of the Lattice Boltzmann Method (LBM), which defines a class of computational fluid dynamics (CFD) methods for fluid simulation. This approach appears as well-suited to high performance computing (HPC) and in particular to massively parallel processors such as graphics processing units (GPUs), which are expected to become more and more popular in the future. The lecture starts with the historical kinetic interpretation of the method, but then it aims to focus on its essential peculiarities, which make it computationally effective for solving continuum equations. The mathematical analysis of the method is illustrated by a simple example based on the conduction equation. An overview of some relevant engineering applications is presented. Moreover the basic ingredients of the computational algorithm are discussed by means of some hands-on example codes, which will be distributed to the audience.
Oronzio Manca
Custom code development – an example
The lecture presents a development of a numerical procedure related to natural convection in channel. It is just an example to introduce and encourage graduate students and young researchers to try to build their own code with numerical thermofluidynamics knowledge. In the first part an introduction of the physical problem and the governing equations in dimensional and non-.dimensional form is given together with a description of the main dimensionless numbers in natural convection. The solution by boundary layer theory is described and the main limits of this approach are presented. The problem of the boundary condition in natural convection in open channels is highlighted and some choices of different computational domains are discussed. Stream function-vorticity formulation is presented together with the boundary conditions. The numerical analysis and the numerical algorithm of stream function - vorticity formulation is given and the problems related to the evaluation of pressure field in this formulation are underlined. The extension of the formulation to the transient regime is presented. The verification and validation processes are explained and their application in the considered problem is accomplished. Some discussion on the results are given to complete the topic.
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(1) By mail sent to: Corporation for National and Community Service; Attention: Cara Patrick, Learn and Serve America; 1201 New York Avenue, NW., Washington, DC, 20525.
(2) By hand delivery or by courier to the Corporation's mailroom at Room 8100 at the mail address given in paragraph (1) above, between 9 a.m. and 4 p.m. Monday through Friday, except Federal holidays.
(3) By fax to: (202) 606–3477, Attention: Cara Patrick, Learn and Serve America.
(4) Electronically through the Corporation's e-mail address system: firstname.lastname@example.org.
FOR FURTHER INFORMATION CONTACT: Cara Patrick, (202) 606–6905, or by e-mail at email@example.com.
SUPPLEMENTARY INFORMATION:
The Corporation is particularly interested in comments that:
* Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used;
* Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the Corporation, including whether the information will have practical utility;
* Enhance the quality, utility, and clarity of the information to be collected; and
* Minimize the burden of the collection of information on those who are expected to respond, including the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology (e.g., permitting electronic submissions of responses).
Background
These application instructions will be used by applicants for funding through Corporation competitions focusing on strategic initiatives or other priorities. The application is completed electronically using eGrants, the Corporation's web-based grants management system, or submitted via email. This information collection instructs applicants to complete a three part narrative which includes program design, organizational capability, and budget.
Current Action: Learn and Serve America Application Instructions. Type of Review: Renewal.
Agency: Corporation for National and Community Service.
Title: Learn and Serve Application Instructions.
VerDate Aug<31>2005 15:36 Apr 01, 2008 Jkt 214001
OMB Number: 3045–0045 for Learn and Serve America School and Community-Based Application Instructions and 3045–0046 for Learn and Serve America Higher Education Instructions.
Agency Number: None. Affected Public: Current/prospective recipients of Learn and Serve America funding.
Total Respondents: 900.
Frequency:
Annually, depending upon the availability of appropriations.
Average Time Per Response: Averages
8 hours.
Estimated Total Burden Hours: 7,200 hours.
Total Burden Cost (capital/startup):
None.
Total Burden Cost (operating/ maintenance): None.
Comments submitted in response to this notice will be summarized and/or included in the request for Office of Management and Budget approval of the information collection request; they will also become a matter of public record.
Dated: March 26, 2008.
Cara Patrick,
Associate Director, Learn and Serve America, Corporation for National and Community Service.
[FR Doc. E8–6848 Filed 4–1–08; 8:45 am] BILLING CODE 6050–$$–P
DEPARTMENT OF DEFENSE
Office of the Secretary
Privacy Act of 1974; Systems of Records
AGENCY: Defense Logistics Agency, DoD. ACTION: Notice to delete a system of records.
SUMMARY: The Defense Logistics Agency is deleting a system of records notice in its existing inventory of record systems subject to the Privacy Act of 1974 (5 U.S.C. 552a), as amended.
DATES: This action will be effective without further notice on May 2, 2008 unless comments are received that would result in a contrary determination.
ADDRESSES: Send comments to the Privacy Act Officer, Headquarters, Defense Logistics Agency, ATTN: DP, 8725 John J. Kingman Road, Stop 2533, Fort Belvoir, VA 22060–6221.
FOR FURTHER INFORMATION CONTACT: Ms. Jody Sinkler at (703) 767–5045.
SUPPLEMENTARY INFORMATION: The Defense Logistics Agency notices for systems of records subject to the Privacy Act of 1974 (5 U.S.C. 552a), as amended, have been published in the Federal Register and are available from the address above.
The specific changes to the record system being amended are set forth below followed by the notice, as amended, published in its entirety. The proposed amendment is not within the purview of subsection (r) of the Privacy Act of 1974 (5 U.S.C. 552a), as amended, which requires the submission of a new or altered system report.
Dated: March 27, 2008.
L.M. Bynum,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
S100.10 GC
SYSTEM NAME:
Whistleblower Complaint and Investigation Files (November 16, 2004, 69 FR 67112).
REASON:
The Governmentwide notice, OSC/ GOVT–1, OSC Complaint, Litigation and Political Activity Files (November 19, 1999, 64 FR 63359), covers all whistleblower complaint and investigation files, therefore Defense Logistics Agency (DLA) is deleting this notice from its Privacy Act system of records inventory.
[FR Doc. E8–6824 Filed 4–1–08; 8:45 am] BILLING CODE 5001–06–P
DEPARTMENT OF DEFENSE
Department of the Navy
[USN–2008–0022]
Privacy Act of 1974; System of Records
AGENCY: Department of the Navy, DoD. ACTION: Notice to Amend a System of Records.
SUMMARY : The Department of the Navy is amending a system of records notice in its existing inventory of record systems subject to the Privacy Act of 1974, (5 U.S.C. 552a), as amended. effective without further notice on May
DATES: This proposed action will be 2, 2008 unless comments are received which result in a contrary determination.
ADDRESSES: Send comments to the Department of the Navy, PA/FOIA Policy Branch, Chief of Naval Operations (DNS–36), 2000 Navy Pentagon, Washington, DC 20350–2000. FOR FURTHER INFORMATION CONTACT: Mrs. Doris Lama at (202) 685–6545. SUPPLEMENTARY INFORMATION: The Department of the Navy systems of
PO 00000 Frm 00012 Fmt 4703 Sfmt 4703 E:\FR\FM\02APN1.SGM 02APN1
records notices subject to the Privacy Act of 1974, (5 U.S.C. 552a), as amended, have been published in the Federal Register and are available from the address above.
The specific changes to the record system being amended are set forth below followed by the notice, as amended, published in its entirety. The proposed amendments are not within the purview of subsection (r) of the Privacy Act of 1974, (5 U.S.C. 552a), as amended, which requires the submission of a new or altered system report.
Dated: March 27, 2008.
L.M. Bynum,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
NM05211–1
SYSTEM NAME:
Privacy Act Request Files and Tracking System (November 16, 2004, 69 FR 67128).
CHANGES:
SYSTEM NAME:
After ''Request'' add ''Amendment''.
SYSTEM LOCATION:
In para 1, delete ''http:// neds.daps.dla.mil/sndl.htm'' and replace with ''http://doni.daps.dla.mil/ sndl.aspx''.
SYSTEM MANAGER(S) AND ADDRESS:
Under ''Policy Official'' delete ''(N09B10)'' and replace with ''(DNS– 36)''.
Under ''Record Holders'' replace ''http://neds.daps.dla.mil/sndl.htm'' with ''http://doni.daps.dla.mil/ sndl.aspx''.
NOTIFICATION PROCEDURE:
In para 1, replace ''http:// neds.daps.dla.mil/sndl.htm'' with ''http://doni.daps.dla.mil/sndl.aspx''.
RECORD ACCESS PROCEDURES:
In para 1, replace ''http:// neds.daps.dla.mil/sndl.htm'' with ''http://doni.daps.dla.mil/sndl.aspx''.
NM05211–1
SYSTEM NAME:
Privacy Act Request/Amendment Files and Tracking System.
SYSTEM LOCATION:
Organizational elements of the Department of the Navy. Official mailing addresses are published in the Standard Navy Distribution List (SNDL) that is available at http:// doni.daps.dla.mil/sndl.aspx.
Commander, U.S. Joint Forces Command, 1562 Mitscher Avenue, Suite 200, Norfolk, VA 23551–2488.
Commander, U.S. Pacific Command, P.O. Box 64028, Camp H.M. Smith, HI 96861–4028.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who request information concerning themselves which is in the custody of the Department of the Navy or who request access to or amendment of such records in accordance with the Privacy Act of 1974, as amended.
CATEGORIES OF RECORDS IN THE SYSTEM:
Letters, memoranda, legal opinions, messages, and miscellaneous documents relating to an individual's request for access to or amendment of records concerning that person, including letters authorizing release to another individual, letters of denial, appeals, statements of disagreements, and related documents accumulated in processing requests received under the Privacy Act of 1974. Names, addresses, and other personal identifiers of the individual requester. Database which tracks actions from start to finish.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 552a, The Privacy Act of 1974, as amended; 10 U.S.C. 5013, Secretary of the Navy; 10 U.S.C. 5041, Headquarters, Marine Corps; Secretary of the Navy Instruction 5211.5D, Department of the Navy Privacy Act Program and E.O. 9397 (SSN).
PURPOSE(S):
To track, process, and coordinate individual requests for access and amendment of personal records; to process appeals on denials of requests for access or amendment to personal records; to compile information for reports, and to ensure timely response to requesters.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:
In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the DoD as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
The DoD 'Blanket Routine Uses' set forth at the beginning of the Navy's compilation of systems of records notices also apply to this system.
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POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Maintained in file folders, microform, microfilm, manual/computerized databases, and/or optical disk.
RETRIEVABILITY:
Name of requester; year request filed; serial number of response letter; or case file number, etc.
SAFEGUARDS:
Records are accessed by custodian of the record system and by persons responsible for servicing the record system in performance of their official duties. Records are stored in locked cabinets or rooms. Computerized databases are password protected and accessed by individuals who have a need to know.
RETENTION AND DISPOSAL:
Granted requests, responses to requests for non-existent records, responses to requesters who provide inadequate descriptions and responses to requesters who fail to pay agency reproduction fees that are not appealed are destroyed 2 years after date of reply; requests which are denied and are appealed are destroyed after 5 years; requests which are amended are retained for 4 years; requests for amendment which are refused are destroyed after 3 years; disclosure accounting forms are retained for the life of the record of 5 years after the disclosure, whichever is later; and privacy act databases are destroyed after 5 years.
SYSTEM MANAGER(S) AND ADDRESS:
Policy Official: Chief of Naval Operations (DNS–36), 2000 Navy Pentagon, Washington, DC 20350–2000.
Record Holders: Organizational elements of the Department of the Navy. Official mailing addresses are published in the Standard Navy Distribution List (SNDL) that is available at http:// doni.daps.dla.mil/sndl.aspx.
Commander, U.S. Joint Forces Command, 1562 Mitscher Avenue, Suite 200, Norfolk, VA 23551–2488; and
Commander, U.S. Pacific Command, P.O. Box 64028, Camp H.M. Smith, HI 96861–4028. Official mailing addresses are published as an appendix to the Navy's compilation of systems of records notices.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether information about themselves is contained in this system should address written inquiries to the
Frm 00013 Fmt 4703 Sfmt 4703 E:\FR\FM\02APN1.SGM 02APN1
commanding officer of the activity in question. Official mailing addresses are published in the Standard Navy Distribution List (SNDL) that is available at http://doni.daps.dla.mil/ sndl.aspx.
The request must be signed and contain the full name of the individual and one or more of the following kinds of information: year request filed; serial number of response letter; case file number.
RECORD ACCESS PROCEDURES:
Individuals seeking access to information about themselves contained in this system should address written inquiries to the commanding officer of the activity in question. Official mailing addresses are published in the Standard Navy Distribution List (SNDL) that is available at http://doni.daps.dla.mil/ sndl.aspx''.
The request must be signed and contain the full name of the individual and one or more of the following kinds of information: year request filed; serial number of response letter; case file number.
CONTESTING RECORD PROCEDURES:
The Department of the Navy's rules for accessing records, and for contesting contents and appealing initial agency determinations are published in Secretary of the Navy Instruction 5211.5; 32 CFR part 701; or may be obtained from the system manager.
RECORD SOURCE CATEGORIES:
From the individual, Navy organizations, Department of Defense components, and other Federal, state, and local government agencies.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
Department of the Navy exemption rules have been promulgated in accordance with requirements of 5 U.S.C. 553(b)(1), (2), and (3), (c) and (e) published in 32 CFR part 701, Subpart G. For additional information contact the system manager.
Note: During the course of a Privacy Act (PA) action, exempt materials from other systems of records may become part of the case records in this system of records. To the extent that copies of exempt records from those 'other' systems of records are entered into these PA case records, the Department of the Navy hereby claims the same exemptions for the records as they have in the original primary systems of records of which they are a part.
[FR Doc. E8–6829 Filed 4–1–08; 8:45 am] BILLING CODE 5001–06–P
VerDate Aug<31>2005 15:36 Apr 01, 2008 Jkt 214001
DEPARTMENT OF DEFENSE
Department of the Navy
[USN–2008–0023]
Privacy Act of 1974; System of Records
AGENCY: Department of the Navy, DoD. ACTION: Notice to amend a system of records.
SUMMARY: The Department of the Navy is amending a system of records notice in its existing inventory of record systems subject to the Privacy Act of 1974 (5 U.S.C. 552a), as amended.
DATES: This proposed action will be effective without further notice on May 2, 2008 unless comments are received which result in a contrary determination.
ADDRESSES: Send comments to the Department of the Navy, PA/FOIA Policy Branch, Chief of Naval Operations (DNS–36), 2000 Navy Pentagon, Washington, DC 20350–2000.
FOR FURTHER INFORMATION CONTACT: Mrs. Doris Lama at (202) 685–6545.
SUPPLEMENTARY INFORMATION: The Department of the Navy systems of records notices subject to the Privacy Act of 1974 (5 U.S.C. 552a), as amended, have been published in the Federal Register and are available from the address above.
The specific changes to the record system being amended are set forth below followed by the notice, as amended, published in its entirety. The proposed amendments are not within the purview of subsection (r) of the Privacy Act of 1974 (5 U.S.C. 552a), as amended, which requires the submission of a new or altered system report.
Dated: March 27, 2008.
L.M. Bynum,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
NM05720–1
SYSTEM NAME:
FOIA Request/Appeal Files and Tracking System (December 29, 2005, 70 FR 77153).
CHANGES:
* * * * *
SYSTEM LOCATION:
In para 1, delete ''http:// neds.daps.dla.mil/sndl.htm'' and replace with ''http://doni.daps.dla.mil/ sndl.aspx''.
* * * * *
PO 00000 Frm 00014 Fmt 4703 Sfmt 4703
SYSTEM MANAGER(S) AND ADDRESS:
Under ''Policy Official'' delete ''(N09B10)'' and replace with ''(DNS– 36)''.
Under ''Record Holders'' replace ''http://neds.daps.dla.mil/sndl.htm'' with ''http://doni.daps.dla.mil/ sndl.aspx''.
NOTIFICATION PROCEDURE:
In para 1, replace ''http:// neds.daps.dla.mil/sndl.htm'' with ''http://doni.daps.dla.mil/sndl.aspx''.
RECORD ACCESS PROCEDURES:
In para 1, replace ''http:// neds.daps.dla.mil/sndl.htm'' with ''http://doni.daps.dla.mil/sndl.aspx''.
* * * * *
NM05720–1
SYSTEM NAME:
FOIA Request/Appeal Files and Tracking System.
SYSTEM LOCATION:
Organizational elements of the Department of the Navy. Official mailing addresses are published in the Standard Navy Distribution List (SNDL) that is available at http:// doni.daps.dla.mil/sndl.asp.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who request access to information under the provisions of the Freedom of Information Act (FOIA) or make an appeal under the FOIA.
CATEGORIES OF RECORDS IN THE SYSTEM:
FOIA request/appeal, copies of responsive records (redacted and released), correspondence generated as a result of the request, cost forms, memoranda, legal opinions, messages, and miscellaneous documents which related to the request. Database used to track requests from start to finish and formulate response letters may contain names, addresses, and other personal identifiers of the individual requester.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 552, the Freedom of Information Act, as amended; 10 U.S.C. 5013, Secretary of the Navy; 10 U.S.C. 5041, Headquarters, Marine Corps; E.O. 9397 (SSN); and Secretary of the Navy Instruction 5720.42F, Department of the Navy Freedom of Information Act Program.
PURPOSE(S):
To track, process, and coordinate requests/appeals/litigation made under the provisions of the FOIA.
E:\FR\FM\02APN1.SGM 02APN1
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1500) require Federal agencies to consider the consequences of Federal actions and prepare a detailed statement on actions that significantly affect the quality of the human environment.
The purpose of this rulemaking is to amend the Department's existing enforcement procedures to (1) to clarify the Department's position with respect to perishable hazardous material, by amending the opening of packages provision; (2) provide notice of enforcement measures to affected parties; and (3) address appropriate equipment for inspectors. Because this final rule addresses Congressional mandates, we have limited latitude in defining alternative courses of action. The option of taking no action would be both inconsistent with Congress' direction and undesirable from the standpoint of safety and enforcement.
PHMSA sought comment on the environmental assessment in the NPRM. PHMSA did not receive any comments regarding the environmental assessment contained in that rulemaking. This action has been thoroughly reviewed by PHMSA. Given that the inspection and enforcement procedures in this final rule will not change the current inspection procedures for DOT, but will provide transparency into our existing operations and procedures, PHMSA concludes that the rule will not result in significant environmental impacts.
J. Privacy Act
Anyone is able to search the electronic form of all comments received into any of our dockets by the name of the individual submitting the comment (or signing the comment, if submitted on behalf of an association, business, labor union, etc.). You may review DOT's complete Privacy Act Statement in the Federal Register published on April 11, 2000 (Volume 65, Number 70; Pages 19477–78) which may be viewed at: http://www.gpo.gov/ fdsys/pkg/FR-2000-04-11/pdf/008505.pdf.
List of Subjects in 49 CFR Part 109
Equipment, Inspections and investigations.
The Final Rule
In consideration of the foregoing, part 109 of chapter I, subtitle B of title 49 of the Code of Federal Regulations is amended as follows:
PART 109—DEPARTMENT OF TRANSPORTATION HAZARDOUS MATERIALS PROCEDURAL REGULATIONS FOR OPENING OF PACKAGES, FOR EMERGENCY ORDERS, AND FOR EMERGENCY RECALLS
■ 1. The authority citation for part 109 is revised to read as follows:
Authority: 49 U.S.C. 5101–5128, 44701; Pub. L. 101–410 Sec. 4 (28 U.S.C. 2461 note); Pub. L. 104–121 Secs. 212–213; Pub. L. 104– 134 Sec. 31001; 49 CFR 1.81, 1.97.
■ 2. In § 109.5, paragraph (a) introductory text is revised, and paragraph (b) is added to read as follows:
§ 109.5 Opening of packages.
(a) In general. Except as provided in paragraph (b):
* * * * *
(b) Perishable hazardous material. To ensure the expeditious transportation of a package containing a perishable hazardous material, an agent will utilize appropriate alternatives before exercising an authority under paragraph (a) of this section.
■ 3. Add § 109.16 to subpart B as follows:
§ 109.16 Notification of enforcement measures.
In addition to complying with the notification requirements in § 109.7 of this part, an agent, after exercising an authority under this Subpart, will immediately take reasonable measures to notify the offeror and the person in possession of the package, providing the reason for the action being taken, the results of any preliminary investigation including apparent violations of subchapter C of this chapter, and any further action that may be warranted.
■ 4. Add subpart D, consisting of § 109.25, to read as follows:
Subpart D—Equipment
§ 109.25 Equipment.
When an agent exercises an authority under subpart B of this part, the agent shall use the appropriate safety, handling, and other equipment authorized by his or her operating administration's equipment requirements for hazardous material inspectors and investigators.
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Issued in Washington, DC, on September 26, 2013 under authority delegated in 49 CFR 1.97.
Timothy P. Butters,
Deputy Administrator, Pipeline and Hazardous Materials Safety Administration.
[FR Doc. 2013–23894 Filed 10–1–13; 8:45 am]
BILLING CODE 4910–60–P
DEPARTMENT OF TRANSPORTATION
Pipeline and Hazardous Materials Safety Administration
49 CFR Part 173
[Docket No. PHMSA–2013–0205; Notice No. 13–14]
Clarification on Fireworks Policy Regarding Approvals or Certifications for Firework Series
AGENCY: Pipeline and Hazardous Materials Safety Administration (PHMSA), DOT.
ACTION
: Clarification.
SUMMARY: This notice clarifies PHMSA's policy regarding applications for firework device series. PHMSA has required separate applications for each individual firework device. Often one firework device has identical hazardous properties to another firework device that is intended to produce a similar result in a firework display. These similar firework devices are considered part of a series of firework devices. In this document, we are clarifying our policy to accept certain fireworks series applications.
DATES
: October 2, 2013.
FOR FURTHER INFORMATION CONTACT: Mr. Ryan Paquet, Director, Approvals and Permits Division, Office of Hazardous Materials Safety, (202) 366–4512, PHMSA, 1200 New Jersey Avenue SE., Washington, DC 20590.
SUPPLEMENTARY INFORMATION:
I. Introduction
In this notice, PHMSA's Office of Hazardous Materials Safety (OHMS) is issuing its policy regarding firework device series applications, which details the categories of fireworks for which PHMSA firework series applications may be permitted, and the criteria necessary to be considered a firework series. PHMSA believes that by issuing fireworks approvals or certifications to firework device series, the application backlog will be reduced, the current level of safety will be sustained, and firework series will reach the market faster.
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II. Background
The transportation of fireworks in Division 1.3 or 1.4 requires a classification approval issued by PHMSA, commonly referred to as an EX number, or in the case of Division 1.4G consumer fireworks, a classification certification may be issued by a fireworks certification agency (FCA). 1 The EX or FC number is a unique identifier that indicates the device has been classed and authorized for transportation in the U.S., and is specific to a particular device as specified in 49 CFR 173.64 or 173.65, and the American Pyrotechnic Association (APA) Standard 87–1, Version 2001 (IBR, see 49 CFR 171.7).
pattern. The hazardous properties of these fireworks are identical, but currently each firework must have a separate application. This current policy creates added paperwork for both the manufacturers and PHMSA, results in delays in processing applications, and consequently, creates delays in shipping the fireworks.
Following a review of the current policy, PHMSA is revising its policy with respect to firework series approval or certification applications. Specifically, PHMSA will accept firework series applications that comply with the basic requirements of the APA Standard 87–1, and the conditions specified in this policy.
Sky Rocket/Bottle Rocket Toy Smoke Device Wire Sparkler/Dipped Sparkler Display Aerial Shell (Fireworks, UN0335, 1.3G)
IV. General Requirements
PHMSA will accept firework series applications that comply with the basic requirements of the APA Standard 87– 1, Version 2001 (IBR, see 49 CFR 171.7) and for all series applications the following apply:
(1) Series applications for PHMSA approval or FCA certification will be limited to one category of device and one hazard classification, e.g., Cone Fountain, Division 1.4G;
Often manufacturers create one firework that has comparable hazardous properties and chemical compositions to another firework that is intended to produce a similar result in a firework display. These similar fireworks are considered part of a firework series. For example, five display shells are all eight inches in diameter and all contain the same pyrotechnic powder weight, but each display shell produces a different
III. Category of Devices Allowed in Series Applications
The categories of firework series applications will be limited to the following devices:
(2) There are two types of series applications: ''Effect Series'' and ''Dimensional Series.'' The combination of an ''Effect Series'' and a ''Dimensional Series'' is prohibited; and
Cone Fountain Cylindrical Fountain Illuminating Torch Mine and Shell Missile with Fin-type Rocket Roman Candle
(3) The thermal stability test must be performed on all combinations of the
components (chemical mixtures) used together in the device, or on each
''Finished Product'' covered under the application.
V. Effect Series
For all effect series applications the following apply:
powder weight (Figure 1—''Effect'' 8inch Display Shell Series).
(1) Devices must be the same size and have the same maximum pyrotechnic
(3) A series may cover an assortment of different combinations of effects and patterns. A pattern is the design created by the effects. (Examples: Figures 2 through 6).
1 Manufacturers of Division 1.4G consumer fireworks have the option of applying to a DOTapproved fireworks certification agency (FCA) instead of applying to PHMSA. The fireworks still must conform to the requirements in the APA
(2) Display shell diameter, tube diameter, the number of tubes in a device, and tube separation distances cannot change.
Standard 87–1, and pass a thermal stability test. Instead of applying to PHMSA, the manufacturer may apply in writing to an FCA with the information required in APA Standard 87–1. After reviewing the application, the FCA will notify the
VerDate Mar<15>2010 15:59 Oct 01, 2013 Jkt 232001 PO 00000
manufacturer, in writing, if the fireworks have been classed, certified, and assigned an FC number, or if the application is denied (see 49 CFR 173.65).
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(4) If devices contain single or multiple reports/salutes, the size, weight and number of reports/salutes must remain constant.
(5) The application must provide the following:
(i) A detailed table for each device that indicates the breakdown of all pyrotechnic composition names and weights;
(ii) A list of all effect combinations used in the application; and
VI. Dimensional Series
For all dimensional series applications the following apply:
(3) Tube separation distance must not change.
(1) Devices may increase in dimensional size and in total pyrotechnic composition weight. Change to the device size is limited to one of the following:
(i) Increasing the shell diameter (Example: Figure 7);
(ii) Increasing the tube diameter; or (iii) Increasing the number of tubes in the device.
(4) If devices in the series contain single or multiple reports/salutes, all of the devices must include reports/ salutes. However, the size, weight, and number of reports/salutes may vary.
(5) The application must provide the following:
(i) A detailed table of the different sizes that indicates the breakdown of all pyrotechnic composition names and weights; and
(iii) Diagrams of each device that identifies all components and dimensions.
(2) Effect(s) must remain constant throughout the series.
(ii) A diagram of the largest device in the series that details all components and dimensions.
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Issued in Washington, DC, under authority delegated in 49 CFR 1.97.
Magdy El-Sibaie,
Associate Administrator for Hazardous Materials Safety, Pipeline and Hazardous Materials Safety Administration.
[FR Doc. 2013–24082 Filed 10–1–13; 8:45 am]
BILLING CODE 4910–60–P
DEPARTMENT OF TRANSPORTATION
Pipeline and Hazardous Materials Safety Administration
49 CFR Part 173
[Docket No. PHMSA–2013–0206; Notice No. 13–15]
Clarification on Fireworks Policy Regarding Approvals or Certifications for Specialty Fireworks Devices
AGENCY: Pipeline and Hazardous Materials Safety Administration (PHMSA), DOT.
ACTION
: Clarification.
SUMMARY: This document clarifies PHMSA's policy regarding applications for specialty fireworks devices. Specialty fireworks devices are fireworks devices in various shapes that produce multiple effects, simultaneously. In this document, we are establishing our policy regarding specialty fireworks devices.
DATES
: October 2, 2013.
FOR FURTHER INFORMATION CONTACT: Mr. Ryan Paquet, Director, Approvals and Permits Division, Office of Hazardous Materials Safety, (202) 366–4512, PHMSA, 1200 New Jersey Avenue SE., Washington, DC 20590.
SUPPLEMENTARY INFORMATION:
I. Introduction
In this document, PHMSA's Office of Hazardous Materials Safety (OHMS) is issuing its policy regarding specialty fireworks devices, which sets forth the requirements for approval or certification applications for ''Specialty Fireworks Devices'' classified as Division 1.4G, consumer fireworks. This notice of our policy clarifies what is considered a ''Specialty Fireworks Device'' for fireworks manufacturers or their U.S. designated agents to enable them to accurately apply for PHMSA approval or Fireworks Certification Agency (FCA) certification 1 and
1 Manufacturers of Division 1.4G, consumer fireworks have the option of applying to a DOTapproved fireworks certification agency (FCA) instead of applying to PHMSA. The fireworks still must conform to the requirements in the APA Standard 87–1, and pass a thermal stability test. Instead of applying to PHMSA, the manufacturer
minimize the delay in processing applications for these devices.
II. Background
PHMSA's OHMS, Approvals and Permits Division often receives approval applications for Division 1.4G, consumer fireworks that are in the shape of an animal or a small vehicle that produce multiple effects. In this notice, we are providing guidance for PHMSA-approval or FCA-certification of specialty fireworks devices.
III. General Requirements
Specialty fireworks devices 2 may include tanks, small fire trucks, cars, boats, animals, and other similarly shaped devices that produce multiple effects (whistles, lights, sparks, noises, etc.) simultaneously. 3 Specialty fireworks devices, which are classified as UN0336, consumer fireworks, of Division 1.4G, must comply with the requirements of 49 CFR 173.56(b), 173.64 or 173.65, the APA Standard 87– 1 and the requirements below.
Specialty fireworks devices:
1. Must be ground based with or without movement;
2. May contain non-sequential fusing;
3. May not exceed 10 fiberboard or plastic tubes per device;
4. May not contain more than 2 grams of pyrotechnic composition per tube, and not more than 20 grams pyrotechnic composition in the finished device;
5. Have reports that do not contain more than 50 mg of explosive composition per report;
6. Must not contain aerial components and tubes with internal shells, which are prohibited; and
7. Must not be combined with other firework devices.
Issued in Washington, DC, under authority delegated in 49 CFR 1.97.
Magdy El-Sibaie,
Associate Administrator for Hazardous Materials Safety, Pipeline and Hazardous Materials Safety Administration.
[FR Doc. 2013–24092 Filed 10–1–13; 8:45 am]
BILLING CODE 4910–60–P
may apply in writing to an FCA with the information required in the APA Standard 87–1. After reviewing the application, the FCA will notify the manufacturer, in writing, if the fireworks have been classed, certified, and assigned an FC number, or if the application is denied (see 49 CFR 173.65).
2 An example of a specialty fireworks device is a fire truck with 10 tubes, 2 grams per tube, for a total pyrotechnic weight of 20 grams.
3 This policy only applies to UN0336, Fireworks, 1.4G, and does not apply to novelty fireworks devices. Requirements for novelty fireworks devices are found in the APA Standard 87–1, Section 3.2.
VerDate Mar<15>2010 15:59 Oct 01, 2013 Jkt 232001 PO 00000
DEPARTMENT OF THE INTERIOR
Fish and Wildlife Service
50 CFR Part 17
[Docket No. FWS–R4–ES–2012–0068]
RIN 1018–AY19
Endangered and Threatened Wildlife and Plants; Threatened Species Status for Spring Pygmy Sunfish
AGENCY: Fish and Wildlife Service,
Interior.
ACTION: Final rule.
SUMMARY: We, the U.S. Fish and Wildlife Service (Service), determine threatened species status under the Endangered Species Act of 1973 (Act), as amended, for the spring pygmy sunfish (Elassoma alabamae), which is found in Limestone County, Alabama. The effect of this regulation is to add this species to the List of Endangered and Threatened Wildlife and implement the Federal protections provided by the Act for this species.
DATES: This rule is effective December 2, 2013.
ADDRESSES: This final rule is available on the Internet at http:// www.regulations.gov and at the Mississippi Ecological Services Field Office site. Comments and materials received, as well as supporting documentation used in the preparation of this rule, are available for public inspection at http:// www.regulations.gov. All of the comments, materials, and documentation that we considered in this rulemaking are available by appointment, during normal business hours at: U.S. Fish and Wildlife Service, Mississippi Field Office, 6578 Dogwood View Parkway, Jackson, MS 39213; telephone 601–321–1122; facsimile (601–965–4340).
FOR FURTHER INFORMATION CONTACT: Stephen Ricks, Field Supervisor, U.S. Fish and Wildlife Service, Mississippi Ecological Services Field Office (see ADDRESSES section). If you use a telecommunications device for the deaf (TDD), call the Federal Information Relay Service (FIRS) at 800–877–8339. SUPPLEMENTARY INFORMATION:
Executive Summary
Why we need to publish a rule. Under the Endangered Species Act (Act), a species warrants protection through listing if it is endangered or threatened throughout all or a significant portion of its range. Listing a species as an endangered or threatened species can only be completed by issuing a rule.
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Working Class Movement: Quest for Freedom, Social Justice and Democratic governance in Nigeria
A Text of Paper Presentation at the 11 th Global Labour University Conference on "The Just Transition and the Role of Labour: Our Ecological, Social, and Economic Future" September 28 to 30, 2016 Johannesburg, South Africa
By
Adekunle Martin Egbanubi
Faculty Officer, Michael Imoudu National Institute for Labour Studies, P.M.B.1524, Ilorin, Nigeria. firstname.lastname@example.org +234-8033698816
Abstract
The natural liberty of man is to be free from any superior power on earth, and not to be under the will or oppressive authority of another man, but to have only the collective power, which is established by popular consent, in the commonwealth, not under the dominion of any will, or restraint of any law, but as expressed in the constitution and international treaties or covenants. Without doubt, freedom is a basic value that is shared by virtually all political actors. Philosophers such as John Locke, Jean-Jacques Rousseau, Immanuel Kant and Karl Marx, as well as representatives of Critical Theory, have at various historical moments thought through and described how freedom might be realized (Locke 1988:213).
The global advocate of social justice is the International Labour Organisation (ILO). It functions in a democratic way by taking interest in the protection of working class throughout the world.
Fundamental principles of labour rights and human rights are set out in the ILO‟s Constitution of 1919 and in the Declaration of Philadelphia of 1944 (appended to the Constitution). In particular, the Preamble to the Constitution refers to "recognition of the principle of freedom of association" to confront injustice, hardship and privation. The Declaration of Philadelphia reaffirms that "freedom of expression and association are essential to sustained progress" and that "All human beings are born free and equal in dignity and rights" and that "everyone is entitled to all the rights and freedoms set forth in this Declaration, without distinction of any kind, such as race, colour, sex, language, religion, … birth or other status."
The labour movement in Nigeria as represented by the two labour centres; Nigeria Labour Congress (NLC) and Trade Union Congress of Nigeria (TUCN) in strong collaborations with the Civil Society Organisations (CSOs) and other social movements have wage a significant struggle to ensure social justice in the country. The solidarity exhibited by these movements had brought about collective actions in the struggle against all forms of anti-people and neo-liberal policies of the state over the years. Coalition‟s platforms like Joint Action Front (JAF), United Action for Democracy (UAD), Committee for the Defence of Human Rights (CDHR), Civil Liberty Organisation (CLO), Democratic Socialist Movement (DSM), Socialist Workers League (SWL), Safe Nigeria Group (SNG) and Occupy Nigeria Movement have been used at different times in the history of Nigeria to champion the course of the workers and masses, promoting human rights and democratic values.
The labour movement in Nigeria has over the years supported left wing political parties and made several effort to form a political party ideal for a social democracy; this eventually led to the establishment of Labour Party (LP) in the Forth Republic. Political links of trade union have been almost universal although the nature and extent of the relationship between trade unions and political parties differ from country to country. While in many others, trade unions are tied up with many political parties through multiple federation of the Trade union. Unions have a vital stake in the political process and the decision that will change or restructure the balance of power within their society. The growth of the major political parties, which have different ideologies and approaches, top the distribution of power and the role of labour in society.
This paper seeks to x-ray the dialectical concept of economic and socio-political struggle in the Nigerian Labour Movement.
Thematic area: Political Parties, Alliances and Trade Union Organisations, and Political Power
Key words: freedom, labour movement, capital, neo-liberalism, state, social justice, trade union, class struggle, democracy,
Introduction
The Working Class in Nigeria just like its counterpart anywhere in the world, is represented by the trade unions and working class struggle is epitomised by the ideology of trade unionism. The struggle of the Labour Movement in Nigeria is driven by the collective aspirations of the working class from colonial to post colonial or neo-liberal era. The Nigerian labour is a forerunner of socio-economic and pro-democracy struggles in Nigeria, providing the foundation for efflorescence civil society. The labour movement is often described as the „veteran‟ of democratic struggles in the country. It spearheaded the struggles, and endured stiff repression from the state, particularly in the early days of the struggle (1970s-1990s) when the state was under military control... Indeed, the history of trade union movement in Nigeria and elsewhere is closely knit with the struggles for democratic values such as human rights, welfare, wage, and equal franchise (Tar, 2009b:165).
Trades unions have become key components of most modern societies. The nature and practice of trade unionism are however quite different, even in otherwise similar societies. The United Kingdom and the United States for example could be considered as similar as societies could be (being the leading "liberal market economies" in the world), but they have quite different types of trade unions and approaches to trade unionism. Similarly France and Germany, two leading "coordinated market economies" in the West, have clearly different trade union characteristics, while China and India with socialist market economy model do not have the same trade union structure and practice.
From the African trade union perspectives, there are distinct traits that mark the industrial relations systems and trade union practices as heritage of our colonial past that is; along Englishspeaking and French-speaking Africa lines. On the other hand, there are specific features of trade unionism and trades unions even in the closest of systems.
The labour movement is a broad category which covers the various efforts of working people, at combining their forces, by building collective organizations and solidarity. Labour regime buttresses the notion of formal and informal rules that govern the relationship between labour and capital (Gunilla & Beckman, 1999).
The nature of the state to a greater extent determines its relationship with the labour and wider civil society. Labour regime also implies an area of state - civil society relations. In the era of neo-liberal globalization, this often tends to reduce the power of the state to mere enforcer of policies or decisions which emerge from the world market. Series of contestation and agitation arose; trade unions and generally labour movement represent the aspiration of the popular demands for social justice and fairer globalization. This shows how labour goes beyond its traditional role of protecting wages and working conditions, but often embedded with issues of power relations and democracy (Williams, 2004).
It is based on this background that this paper seeks to examine the role of Nigerian Working Class movement in the struggle for freedom, social justice and democratic governance.
Historical Perspective of Working Class Movement and Class Struggle in Nigeria
In the early colonial period, the major employer of African labour was the state, and the earliest experience of organised class struggle in sub-Saharan Africa, whether in the form of popular protest or workers‟ action, was among public sector workers (notably dockers and railway men). One of the earliest strikes in Africa took place in Freetown harbour, Sierra Leone, in 1874. This was only two years after the congress of the International Workingmen‟s Association in The Hague, the culminating point in the development of the First International, which considered economic struggle to be a prerequisite (the „lever‟) for the struggle of the working class against the political power of its exploiters (Seddon, 2002).
The historic abolition of slave trade and the introduction of wage labour brought a new dimension to the struggle for freedom, socio-economic and political rights in Nigeria. The early workers‟ collective action in Nigeria was the Lagos strike of 1897. In April of that year, the governor of Lagos decided to cut wage rate of public sector workers and to increase productivity by altering the structure of the working day and came up with new terms and conditions of employment. This action triggered off a major strike by workers especially in the Public Works Department (PWD). Gradually, across Africa, more developed forms of resistance to exploitation and oppression were adopted as the numbers and self-consciousness of the working class grew.
However, the first organization that is known to have had interest in trade union activities was the Mechanics Mutual Aid Provident and Mutual Improvement Association formed in July 1883 in Nigeria during the colonial era (Otobo,1987) in (Olanrewaju, 2012).
Fashoyin (1992) in supporting Otobo‟s position went further that, the first major attempts made by Nigerian workers to assert their rights was by Artisan Workmen in the Public Works Department (PWD) who went on a 3-day strike in 1897.
The first attempt at union formation was first noticed in Nigeria early in the 20 th century during the British colonial era. The first of this was the formation of the Southern Nigeria Civil Service Union, which is said to have been inaugurated on the 19 th of August, 1912 (Ananaba, 1970:10). The union later changed its name to the Nigeria Civil Service Union (NCSU) after the amalgamation of the Northern and Southern protectorates which gave birth in 1919 to what is known today as Nigeria-the most populous country in Sub-Sahara Africa.
The working class struggle using the platform of Nigeria Civil Service Union assumed a classical dimension from 1912 to 1919 when the main preoccupation was the agitation for „war bonuses‟, which was some sort of relief payment to reduce the hardships arising out of the First World War. This led to the implementation of 30% of the pre-war salary as war bonus to African staff in addition to prevailing salaries. The period of the great depression from 1929 also witness another agitation by workers to agitate for increased wages and the demand for Africanisation of various posts some of which had been grudgingly granted, opened the flood-gate for the emergence of other unions (Adewumi, 1997).
Other unions subsequently formed include the Nigerian Railway Native Staff Union which was formed in 1919 and the Nigeria union of Teachers in 1931.
The colonial administration in 1938 enacted the Trade Union Ordinance which marked the formal recognition of trade unionism Nigeria. The ordinance laid down mode of registration of trade unions and prescribed the rights and obligations of unions in the employer-employee relationships.
By 1975 during the Military regime of General Murtala Mohammed, Trade Unions in the country have risen astronomically thus necessitating in 1976, the government establishment of a Commission of inquiry into the activities of the various Unions and appointed an administrator to administer the unions and come up with a structure for the proper administration of the Unions. This became necessary as the Unions were polarized into ideological divide (the east and west bloc) which was creating problems and industrial crises in the country.
Towards the end of 1977, these unions were restructured into 42 along industrial line. The government also insisted on the formation of a Labour Centre as there were various multiple centers. In February 1978 under the Military regime of General Olusegun Obasanjo, the Nigeria Labour Congress (NLC) was formed and inaugurated. The then 42 Industrial Unions became affiliates of the Nigeria Labour Congress with a legal backing of Trade Union (Amendment)
Decree 22 of 1978. In 1989, the Trade Unions were again further restructured to become 29 affiliate unions to the Nigeria Labour Congress making it the only labour centre in the country.
However, the Obasanjo‟s administration in 2004 sent a bill to the National Assembly for the amendment of the Trade Union Act 1990. The bill was eventually passed into law as Trade Union Amendment Act 2005, the Act led to the democratisation of labour centres, given birth to Trade Union Congress of Nigeria (TUCN), thus, breaking the monopoly of the Nigeria Labour Congress (NLC) as the only labour centre since 1978. The Trade Union Congress of Nigeria has existed before without official recognition under different names; first as Federation of Senior Staff Associations of Nigeria (FESSAN), then as Senior Staff Consultative Association of Nigeria (SESCAN) and, finally, was registered as a labour centre with the name, Trade Union Congress of Nigeria (TUCN) on 8th of August, 2005. The two labour centers modus operandi is similar to that of American Federation of Labour (AFL) and Congress of Industrial Organisations (CIO) of the United States of America.
The evolution of working class movement will be incomplete without the mention of the struggle for the official declaration of International Workers‟ Day as a work-free day in Nigeria. The labour movement in Nigeria after a long period of agitations was able to achieve the declaration of May First as a national public holiday during the second republic to celebrate International Workers Day. The first official declaration of May Day holiday was made by a pro-worker political party; the Peoples‟ Redemption Party led government in Kano State; Northern Nigeria on May 1, 1980. The then Executive Governor of Kano State; Late Alhaji Abubakar Rimi stated that "Today, May 1,1980, is been celebrated in Kano State as a work-free day in recognition of the contribution of the Nigerian working class to the material, social and political progress in Nigeria. I am proud to say that my government in Kano State is the first to declare May 1 a work-free day in honour of the working class the world over" (Rimi, 1980). A major victory was subsequently won when May 1, 1981 was declared as a national public holiday by former President Shehu Shagari of the Federal Republic of Nigeria; a government centrally controlled by the defunct National Party of Nigeria (NPN).
Social movements, Collective Struggle and working class solidarity against dominance of state power in Nigeria
The emergence of a unipolar world economic order in which the might of capital has been strengthened tremendously, constitutes a major threat to the well-being of workers and other vulnerable groups in society. Nigerian workers must come to terms with this grim reality. This reality demands solidarity among workers, it demands collective action and it demands a united front from the labouring masses if they are to overcome the adversities they face not just in the world of work but within the larger society as a whole (Adewumi, 2007).
Trade union is the most obvious foundation of workers collective actions. It is an organization voluntarily formed by workers to protect workers and improve their conditions of work. The working class solidarity across the world draws it strength fundamentally from the famous final phrase of the Communist Manifesto, "Working Men of All Countries, Unite!" in the original German is: "Proletarier aller Länder, vereinigt euch!" Thus, a more correct translation would be "Proletarians of all countries, Unite!" or "Workers of the World, Unite. You have nothing to lose but your chains!" That was the clarion call of Karl Marx and his comrade, Friedrich Engels at the Communist Manifesto of 1848. That call was based on the enormity of the task before workers in the struggle between labour and capital, not just within the work place but also in the general class struggle to overthrow the yoke of capital. Because capital is concentrated social power, in a context in which the worker has only his or her individual labour power, it is considered imperative for workers to be united in confronting the enormous power of capital.
The unity of workers makes the trade union a complete organisation and constitutes the foundation of the union‟s strength. The concept of collectivity or social character of trade unions means that to a great extent, union‟s power rest upon the willingness of members to unite. For Karl Marx, the working class was the only revolutionary class facing the capitalist class. In the Communist Manifesto he said: "Of all the classes that stand face to face with the bourgeoisie today, the proletariat alone is a really revolutionary class. The other classes decay and finally disappear in the face of modern industry; the proletariat is its special and essential product." (Marx, 1933).
In the struggle against all forms of oppression and dominance of state power, the working class movements in Nigeria have over the years form a formidable alliance with other social movements. Indeed, Nigeria has had a vibrant civil society in which the mass media, trade and professional unions, students‟ associations, human and civil rights groups have been able to act as an effective counterweight against the state. The Labour Civil Society Coalition (LASCO) provided a platform for these social movements to work together and wage a collective struggle against anti-people policies of the state and imperialist exploitative agenda.
The struggle for expanding Nigeria‟s democratic space and the promotion of the welfare of ordinary Nigerians demonstrates "a wide spectrum of actors"- labour unions especially Nigeria Labour Congress (NLC), National Union of Petroleum and Natural Gas Workers (NUPENG), and Trade Union Congress of Nigeria (TUCN); professional associations such as Academic Staff Union of Universities (ASUU), Nigerian Bar Association (NBA), and National Association of Nigerian Students (NANS), Committee for the Defence of Human Rights (CDHR), Campaign for Democracy (CD), National Democratic Coalition (NADECO), among others. These groups have not only been active in the democratic struggle but also tend to contest the relations of domination and arbitrariness of the Nigerian state (Nwoke, 2009). They have been an active mobilisational and agitational force in Nigeria‟s history and political development (Ikelegbe, 2005b:241).
Bratton in a broader African context lends voice not only the historic existence of civil society in Africa before independence but also acknowledges its capacity to mobilise popular support, when he avers: Far from being stunted in sub-Saharan Africa, it is often vibrant. While many pre-colonial cultures may have lacked states, they certainly did not lack civil society, in broad sense of a bevy of institutions protecting collective interests... Africans invented forms of voluntary associations during the colonial period as a response to the disruptive impact of urbanization and commercialization... they gave collective shape to new occupational identities (peaceful movements, labour unions, professional associations). Many of these voluntary associations became explicitly political by giving voice, first to protest the indignities of colonial rule, and later, to the call for independence (Bratton, 1989:411).
Thus, the struggle by civil society in Nigeria for democracy clearly predates the upheavals in Eastern Europe and third wave of democracy in the late 1980s and 1990s. The struggle for popular empowerment had been a continuing phenomenon since the immediate independence years and the struggle of Nigeria‟s popular civil society organizations is influenced and engendered by the exploitative, hegemonic and dominant character of the state (Osiki, 2009:156).
Colonial rule especially its attendant harsh economic conditions imposed on the people by the colonial state was the initial basis for civil society activism in Nigeria. Colonialism made civil society particularly labour, professional, women, and student organizations, and the media active in the politics of the colonial era. Repressive colonial policies- forced labour, dispossession and commercialization of peasants‟ lands, increased taxation including on women, and urban-biased development became sources of local resistance which helped in no small measure to nurture and strengthen civil society organizations in Nigeria. As a matter of historical fact, the rise of labour struggles and, indeed, other associational entities, is closely rooted in the process of colonial conquest, dependent capitalist and class formation (Tar, 2009:167).
Thomson argues following a more general African experience but one that resonates in Nigeria that: It had been civil society that had actually overthrown the colonial state. Associational activity... trade unions, professional societies and community organizations had all contributed to make the nationalist movement the powerful forces that they were (Thomson, 2010:276).
Iweriebor reminds us that colonialism induced labour and youth activism in Nigeria leading to the formation of the labour union, Nigerian Youth Movement, and the National Union of Nigerian Students (NUNS) now National Association of Nigerian Students (NANS) to mention but a few. According to him, colonial exploitation of Nigerians was the catalyst for activism "as a component of the larger Nigerian anti-colonial freedom movement" (Iweriebor, 2003:113).
These social movements in strong alliance with the Nigerian Labour Movement also engaged in Pan-African liberation struggle and participated in various class struggle and resistance movements across Africa such as; class struggle against apartheid in South Africa, colonial rules in Angola, Zimbabwe, Lesotho, Namibia, Guinea Bissau, and so on.
The establishment of the modern state by the British colonialists led to new social class formations including the new modern labour force used for the development of the capitalist system in Nigeria. This created segregation and engendered contradictions in the colonial economy that nurtured associational life among the exploited working class to challenge the obnoxious policies of the colonial state including forced labour, taxation, imposed agricultural development programmes, etc (Ake, 1981). So, "a domain of resistance populated by several indigenous groups often led by urban professional and wage labourers" emerged "to challenge the colonial state" (Tar, 2009). Civil society activism was a consequence of an anti-state struggle of indigenous people trapped by the contradictions of the developing capitalist system in Nigeria (Willems, 2012:15).
In Karl Marx theory of the state and class, the state is regarded as the instrument through which the ruling class dominates the masses. The theory explains further that the state is the executive committee of the bourgeoisie, so it (state) protects the property and interest of the bourgeoisie (Olson, 1971) as expressed in (Otobo, 2005). The state is far from being a benign entity rather it is an instrument of hegemony in the hands of the ruling class. The history of state formation in Nigeria dating from the colonial period and post-colonial era portrays the state as an arena of power struggle among various interest groups. "The state is an agency in the hands of the ruling class who manipulate it in achieving desired objective" (Tar, 2009: 2).
According to Grant (1980), Marxian theory of surplus value, Marx explains the price of production of commodities in that capitalist only gets the cost of production of his commodity plus the average rate of profit. Thus some capitalists will be paid below the actual rate, others above. Because of the different organic composition of different capitals, only in this complicated fashion does the law of value reveal itself. Marx posited that surplus value must necessarily be produced in order to develop industry to the point where the state, money, and the proletariat itself and all the other survivals of capitalism will have disappeared. So long as the working class exists as a class, surplus value will be produced.
The negotiation of a contract, formal or informal, between capital and workers, wherein workers sell their labour power, by no means guarantees, that labour power will actually be converted into work. And this is true of both sides of the question both of work as the production of use values and of work as the production of surplus value. The working day, Marx shows, is one in which each side has certain aims about how long, how intensely and under what conditions, the work will be performed. The capitalist seeks more work while the workers seek less work. There is thus a struggle that takes many forms.
Against capital‟s techniques of control such as the wage hierarchy, despotic oversight, and piece wages, the working class pits absenteeism, sabotage, loafing on the job, strikes, and so on. As in the question of whether the working class can be forced to sell its labour-power at all, we see that "predisposition" to crisis means the predisposition of the working class to struggle against capital‟s domination and exploitation. This phenomenon as expressed in Marx concept of "The Capital" is clearly x-ray class struggle against the dominance of the state and capitalist exploitation in Nigeria. Presently, the working class at various levels is agitating for payment of unpaid wages for months by some states and local governments. This unfair labour practice has led to series of protests by trade unions.
It is this manipulation of the ruling class express in terms of denying the society public goods through alienation, that raise the consciousness of the civil society to contest and articulate the national question. National question, represent the actual inequalities in the society, relations of ethnic domination and perceptions arising from these" (Seteolo, 2004).
National question here refers to the existing dominance of capital over labour and the consequent subjection of the working people into acute poverty due to neo-liberal policies and the way the civil society articulate to change it.
The attitude of the state further changes to respond to the yearning of neo-liberal globalization, the changes are outcome of marketisation of the economy which redefines the way the civil society and the labour movement relate with the state. In the new society, the state in particular is "rolled back", as state duties or responsibilities toward citizens and civil society becomes "dull and sluggish". On the other hand, the state becomes hostile and undemocratic in order to attain its goal" (Yusif, 2010). This process of globalization has affected the role of the state in terms of welfare provisioning, leading to economic hardship which erodes the basis of the state‟s authority and capacity to protect the social and economic wellbeing of its citizenry. With the deepening of neo-liberal globalization, via the integration of national economies, national borders have diminished, while national sovereignty became a highly contested term. Government macro-economic policies were geared towards neo-liberal reforms such as; currency devaluation, deregulation, privatization, withdrawal of subsidies on basic human needs, downsizing, amongst others.
The process of economic integration in Nigeria is deepened with the implementation of the Structural Adjustment Programme (SAP), SAP marks a significant period in the state-labourcivil society engagement on policy issues, as informed by privatization, commercialization and the withdrawal of subsidy. Pro-democracy groups and trade union have protested its implementation. Structural Adjustment Programmme as an austerity measure had severely affected the Nigerian people, employment and workers welfare. The strategy which is a blueprint of International Monetary Fund and World Bank has as its core strategy, promoting free markets, including retrenchment of workers and across the board reduction in their salaries from November 1985 to September 1986. This policy was unpopular with the Nigerian Labour Movement as it saw the policy as nothing but "gloom for the workers" and was met with serious resistance (Bulletin No. 1 of the Nigeria Labour Congress, 1985, cited in Nwoko, 2009: 146).
The politics of labour especially in the twenty first century is engendered by growing challenges of the market forces, the growth of information technology, flexibility in the working condition and the rolling back of the state from economic activities. However, this trend has engendered the weakening of labour unions as underpinned in the post-fordist mode of accumulation. As aptly captured by Lindstrom "a new regime of accumulation, the post fordist regime, was established and institutionalized in market-oriented political and economic reform under the aegis of International Monetary Fund (IMF) and the World Bank. It includes stabilization of price, privatization of the means of production, liberalization of trade, and deregulation and elimination of the price control" (Lindstrom, 2004: 103). The state was able to amend legislation so as to demobilize and contains the labour militancy as well as to ensure the primacy of capital over labour. The 2005 amendment of trade union act in Nigeria is a case in point; it tends to weaken the capacity of the trade unions to embark on industrial action such as strike and sought to undermine the collective bargaining rights of trade
Labour Movement Struggle for Workers' rights and Social Justice in Nigeria
Fundamentally, the International Labour Organisation declaration of Philadelphia in 1944 and its principle of promoting social justice gave birth to numerous international testaments and labour legislations for the protection of workers‟ and people‟s rights globally, such as expressed in:
* Universal Declaration of Human Rights, 1948: Promotes right to life and freedom, right to equality, right to desirable work and to join trade unions, freedom of information and association, right of peaceful assembly and association, Freedom of opinion and information.
* International Covenant on Economic, Social and Cultural Rights, 1966: Embodies some of the most significant international legal provisions establishing economic, social and cultural rights, including, inter alia, rights relating to work in just and favourable conditions; to social protection; to an adequate standard of living including clothing, food and housing; to the highest attainable standards of physical and mental health.
The Constitution of the Federal Republic of Nigeria, 1999 as amended and the Nigerian labour Laws contain provisions for the protection of rights of workers in Nigeria. For instance; the Fundamental Objectives and Directive Principles of State Policy of the 1999 Constitution of the Federal Republic of Nigeria as amendeded provides in Section 17(3)(a)(b)(e); the state shall direct its policy towards ensuring that:
all citizens, .....have the opportunity for securing adequate means of livelihood as well as adequate opportunity to secure suitable employment;
conditions of work are just and humane ;
there is equal pay for equal work without discrimination on account of sex, or on any other ground whatsoever (In consonance with ILO Convention 111)
Also, the Labour Act CAP.198 L1 LFN 2004 and Trade Union Act CAP T14 LFN 2004 contain general provisions for the protection of workers rights most especially in term of freedom to organise and collective bargaining, wages, contracts of employment and terms and conditions of employment, etc.
Reflecting the normative coherence of human rights, our constitutional structure and lived human experience, it is possible to identify four inter-dependent clusters of human rights. The first are life and livelihood rights, such as the rights to life, liberty and movement, freedom from torture, health and labour protections. The second would be capability and community (civic) rights, including freedoms of information, expression, association, assembly, nationality, civic and social rights, and the rights to education. These rights facilitate our existence as social and civic beings. The third cluster would be guarantees of protection and remedies, including due process rights, equality and non-discrimination, safety and security guarantees (including the right to an effective and humane police service). A final cluster would be rights of humane survival, extending to green, environmental and natural resources guarantees (Odinkalu, 2013).
The International Labour Organisation came up with The Declaration of Philadelphia, 1944, which reaffirms the fundamental principles on which the Organisation is based and, in particular, that: labour is not a commodity; freedom of expression and of association are essential to sustained progress; poverty anywhere constitutes a danger to prosperity everywhere; and the war against want requires to be carried on with unrelenting vigour within each nation…with a view to the promotion of the common welfare" (ILO, 2009). This Declaration of Philadelphia as enshrined in the International Labour Organisation Constitution laid the foundation for workers‟ rights globally, providing a legal instrument for the protection of workers and a shield from all forms of oppression and unfair labour practices.
The new global development agenda, enshrined in the 2030 Agenda for Sustainable Development and its Sustainable Development Goals, has since the early days of its negotiation been accompanied by the slogan and ambition to "leave no one behind". For workers and the union movement this means recognising and taking appropriate action on the ever increasing inequalities and social injustices people face in the world of work, within and between countries is inevitable. Social justice provides fair and just relationship between the individual and society. This is measured by the explicit and tacit terms for the distribution of wealth, opportunities for personal activity and social privileges. In most advanced societies, the concept of social justice has often referred to the process of ensuring that individuals fulfill their societal roles and receive what was their due from society. In the current global grassroots‟ movements for social justice, the emphasis has been on the breaking of barriers for social mobility, the creation of safety net and economic justice. Social justice assigns rights and duties in the institution of society, which enables people to receive the basic benefits and burdens of cooperation.
Nigerian Labour Movement has over the years in line with the principle of the International Labour Organisation and the Declaration of Philadelphia been committed to the struggle for social justice, freedom and respect for fundamental rights.
Through strong collaborations with the Civil Society Organisations (CSOs) and other social movements, trade union movement has waged significant struggles to ensure equal opportunity and social justice in the most populous country on the continent of Africa. The solidarity exhibited by these movements has brought about collective actions in the struggle against all forms of anti-people and neo-liberal policies of the state over the years. Coalition‟s platforms like Labour and Civil Society Coalition (LASCO), United Actions for Democracy, Joint Action Front and Occupy Nigeria Movement have been used at different times in the history of Nigeria to champion the course of the workers and masses.
The British colonial era in Nigeria was characterised with different forms of resistance by the labour movement and other social movements. Labour activists and nationalists notably: Comrade Michael Imoudu, Chief Obafemi Awolowo, Dr. Nnamdi Azikwe amongst others; were at the forefront of the struggle for independence which was attained after a prolonged agitations and mass protests in 1960. The contributions of the Nigerian workers to the independence and economic and social development of Nigeria cannot be over-emphasized. The trade unions contributions to national development have been recorded for posterity. The 45 days strike of railway workers in 1945 over the cost of living allowance (COLA), led by Nigeria's foremost Labour Leader, Comrade Michael Imoudu in a way triggered the nationalist struggle for the independence of Nigeria. In the same vein, the slaughter of 1949 of the 21 Enugu coalmine martyrs was the whistle that blew the start of the race for the demand for independence. After independence from British colonial rule, the role of trade unions was now to educate, promote, and protect the interests of their members in the independent Nigerian nation. In 1942, a government order, the General Defence Regulations outlawed strikes and lockouts. Workers considered this an affront and an attempt to suppress their new and fragile organizations (Adewumi, 1997).
The struggle later took a different dimension when the military truncated the civil rule under the leadership of the then Prime Minister; Alhaji Tafawa Balewa in 1966 as labour movement has to contend with the brutal forces of the military. The unfortunate bloody coup d‟état led by Major Kaduna Nzogwu which took the life of the Prime Minister and Some notable political leaders was a great set back to the structural and regional balance hitherto enjoyed in the country. This led the country to a civil war that is still threatening her corporate existence till date.
The return to civilian rule in 1979 was a milestone in the struggle against the military when General Olusegun Obasanjo as military Head of State handed over power to the first civilian President of the Federal Republic of Nigeria; Alhaji Shehu Shagari. The civilian rule again was terminated in 1983 by General Muhammadu Buhari the current civilian president; leading to another round of agitations by the labour movement and other pro-democracy groups, demanding for return to democratic governance. The democratic struggle was heightened when the military administration of General Ibrahim Babangida annulled a presidential election that was adjudged locally and internationally to be free and fair won by Chief Moshood Abiola in the June 12, 1993 presidential election. This development triggered a lot of protests and mass actions ever witness in the anal of the country‟s history. Labour leaders, human rights and political activists operated under the umbrella of National Democratic Coalition (NADECO) to wage series of agitations against General Babangida and later General Sanni Abacha administration respectively.
Many labour leaders and rights activists such as Chief Alfred Rilwanu, Alhaja Kudirat Abiola, Comrade Hassan Sunmonu, Comrade Frank Kokori, Comrade Pascal Bafyau, Professor Wole Soyinka, Chief Gani Fawehinmi, Dr. Beko Ransom-Kuti, Comrade Adams Oshiomhole, Mr. Femi Falana, and environmental activist like Comrade Ken Saro-Wiwa just to mention but a few were either assassinated, brutally assaulted, jailed, or forced on exile.
The struggle came to a logical end in 1999 after a general election that ushers in the fourth republic with Chief Olusegun Obasanjo emerging as the democratically elected president.
The return to civil rule in 1999 has opened the democratic space in the country which resulted into a new form of labour regime. With the widening of the political space, labour politics was engendered by new form of alliances that sort to engage the state.
The formation of Labour Civil Society Coalition (LASCO) in Nigeria was a watershed in forging alliances of popular forces aimed at addressing socio-economic and political inequalities in Nigeria. For instance the two trade union centers in Nigeria that is; Nigeria Labour congress, (NLC) and Trade Union Congress of Nigeria (TUCN) and their affiliates aligned at several occasions with the civil society to advocate for pro-poor macro-economic policies, good governance, social justice and respect for human rights and dignity.
The neo-liberal posture of the state under the current democratic regime since 1999 has been duly challenged by these social movements. Major issues at the front burner of their agitations and campaigns are: wage review (upward review of minimum wage), payment of arrears of salaries, pensions and allowances, electoral and political or constitutional reforms, fighting against privatisation of critical public enterprises and the deregulation of the downstream sector, protection of workers and human rights, curbing unfair labour practices, transparency and accountability in government, and other critical socio-economic issues.
This alliance becomes inevitable because, labour and civil societies "jointly provides an ideological alternative to the hegemonic pretensions of the neo-liberal positions and hold an alternative vision of national development" (Beckman, 2010:161).
The incessant hike in the prices of petroleum products, corruption, subversion of democratic procedures, election rigging, poor living wage of the work force, the selling out of national patrimonies through privatisation, and lack of ideological posture in political parties, have negatively affected good democratic governance in the country, and has subsequently dashed out the hope of the citizenry on nation building.
As the Nigeria Labour Congress was revived in 1999, having been banned by the General Sanni Abacha military junta, it pushed a broad based labour-civil society coalition through Joint action with other civil society organizations to resist recurring attempts to raise the local price of petroleum products, giving rise to the formation of Labour Civil Society Coalition (LASCO).
Strong unions are central to both social and economic progress, but without governments that share their values, unions cannot construct or sustain a more equal world where rights, opportunities and social justice are guaranteed.
There is a debate whether trade Unions should go beyond its narrow mandate of economic struggles (Akinyanju, 1987). However, the limit of narrow economistic struggles has dawned on trade Unions and they have come to the realization that it is better to struggle at the political level where the fundamental economic decisions are taken. This was clearly articulated by the Nigeria Labour Congress (NLC) in its memo of 1986 ( Olorode, 2011) to the Political Bureau of military president Babangida which stated The numerous problems facing Nigerian workers rural and urban have their origin in politics. Thus, it is clear that the problems of Nigerian workers have become multi-dimensional and as such cannot be resolved within the framework of industrial relations practice.
Conclusion
The sacrifices made by the Nigerian working class from the colonial era till date are enormous, especially anchored in the stiff resistance against obnoxious colonial policies such as poor wages in the wake of global depression that resulted in the general strike of 1945 over the Cost of Living Allowance (COLA). Another key sacrifice made by the Nigerian working class in the process of our nation building was the tragic, callous and unforgivable massacre of innocent miners at the Enugu colliery in 1949 in what has become known as the Iva valley Massacre. The working class movement through strategic alliances with other social movements challenged the dominance of state power and brutal forces of oppressions since Independence in 1960. The major mass movement and class struggle in the post-independence Nigeria was evident during the military incursion into the political landscape and governance of the country.
The organized labour in Nigeria has for a long time developed a reputation for radical and militant defense of workers‟ rights and advocacy in issues that concern the working population and ordinary Nigerians (Adesina 2000:143; Adesoji 2003; Yusuf 2009:156). This radicalism reached its crescendo under military with its marshal decrees, imposed hardship occasioned by SAP, pathological corruption, misrule and insincerity of the military leadership towards genuine democratization. However, the collective struggle of the social movements has always been visited with state repression and brutal forces. Despite this, however, these organizations have remained consistent, undaunted, resilient and resolute in the struggle against anti-people economic policies of the state ( Obono, 2011). Indeed, this is replicated in the contemporary era of neoliberal orthodoxy.
Trade Union Movement and other social movements in Nigeria have played vital roles in the vanguard for freedom, better working conditions, social justice, and democratic governance. Their roles could be traced to the various struggles during the colonial era, and even after independence. Most importantly, the several years of military dictatorship and despotic rules witnessed unprecedented challenges from the trade union and social movements. Working class movement in Nigeria has continues to pursue the need for good governance, accountability and transparency in government and adherence to the rule of law since the return to democratic rule on May 29, 1999.
In the Nigerian environment and world over today, trade unionism as with many aspects of the the image of the unions and more broadly the kind of industrial relations that the country has.
industrial relations system is now being subjected to what may be called external pressures, especially the globalization and the internationalization of labour. These are changing profoundly These contemporary changes pose a great challenge to trade union movement in Nigeria thereby requiring adoption of new strategy to champion collective struggle in term of defending the
rights of their members to better working conditions, freedom of association, collective bargaining and social justice.
Carefully examining and analyzing the theory of state and class by Karl Marx, it is imperative that the state represent the bourgeoisie class, while the workers represents the proletariat, the oppressed class, who must sell the labour to the bourgeoisie, and the government on the other hand is always ready to serve as a tool of the bourgeoisie, by providing the legal backing to oppression through enactment of laws and promulgation of decrees. In general, the state is controlled by the economically dominant class, enabling it to maintain its control over the exploited classes.
As the state arose from the need to hold class antagonisms in check, but as it arose, at the same time, in the midst of these classes, it is, as a rule, the state of the most powerful, economically dominant class, which, through the medium of the state, becomes also the politically dominant class, and thus acquires new means of holding down and exploiting the oppressed class. Thus, the state of antiquity was above all the state of slave owners for the purpose of holding down the slaves, as the feudal state was the organ of the nobility for holding down the peasant serfs and bondsmen, and the modern representative state is an instrument of exploitation of wage labour by capital. Workers can only through collective actions defend their fundamental rights and demand for good welfare and working conditions. It is also of paramount important to stress that a political strategy must be adopted in working class struggle in order to catalyse the process of assuming democratic control of the state.
Today, the Nigerian Labour movement occupies a respectable place in the country‟s civil society. This is partly because its "veteran" status as an organisation known for pro-masses struggles. Though there is debate on its democratic credentials and even its efficacy to fight the state, the Nigerian labour movement is seen one of the most developed, coordinated, and hierarchical social movement. Its consistent but controversial profile in engaging the state on wide range of issues-workers rights, public welfare, social justice, human rights, and democratisation has been characterised by both success and failure. For instance, during the industrial actions and mass protests led by the Nigerian labour movement against removal of oil subsidy or increment in the pump price of Premium Motor Spirit (PMS) in January, 2012; there were spontaneous reactions by the state or government to suppress the actions. The state argued that it is not within the rights of trade unions to challenge such action of government, thereby using the National Industrial Court and other instruments of the state to stop the industrial and mass actions.
As revealed in the case of Nigeria, the emergence of the state through colonialism and capitalist penetration meant that the state emerged as an organ, in the hands of colonialists, imperialists and later the domestic petty-bourgeoisie, for class control. It also meant that the state played a key role in reproducing socio-economic and political inequality and generating in the process, anti-state, anti-hegemonic and resistance reactions from the Labour or working class Movement.
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DOI: 10.2478/ejser-2018-0027
Open Access. © 2018 Abdul Hadi.
This is an open access article licensed under the
Creative Commons Attribution-NonCommercial-NoDerivs 4.0 License
Intimate partner Violence and Its Under-Reporting in Pakistan
Abdul Hadi
Assistant Professor. Harran University, Faculty of Arts and Sciences Department of Sociology, "Şanlıurfa" Turkey
Abstract
Intimate partner violence is not a culturally limited practice, but prevails in every country, irrespective of culture, class, and ethnicity. Violence is one of the mechanisms used by men to control and subjugate women; and is a manifestation of unequal power relationship sustained by patriarchy. Patriarchy makes violence necessary for the sake of its existence. Intimate partner violence encompasses the usage of power over a life partner through intimidating, harassing, or harmful behavior. The spouse endures violence many times and can be inflicted and harmed physically, sexually, and psychologically. Intimate partner violence in Pakistan persists almost in every family because women have subjugated and vulnerable status and are generally treated as second-class citizens. Generally, the occurrence of violence at home is effectively condoned and regarded it as 'private matter' which does not require any intervention. It is not generally considered as a criminal offense except in the cases when it takes the form of killing or attempted killing. This study aims to find out the factors which breed Intimate partner violence in Pakistan and what are the factors which preclude the reporting of intimate partner violence and seeking legal redress. This study has found that patriarchal system and cultural values breed intimate partner violence and also preclude victims to report the incidences by not giving them appropriate moral, cultural and legal support. This study considers that violence against women specifically intimate partner violence will not be eliminated unless the system which causes violence changes.
Keywords: Intimate partner violence, Domestic Violence, Patriarchy, Gender-based violence, Pakistan
1. Introduction
Intimate partner violence is not a culturally limited practice, but prevails in every country, irrespective of culture, class, and ethnicity. Gander-based violence, the most pervasive violation of human rights, denies equality of women and girls, their security, self-esteem and their right to enjoy basic liberty and freedom. It produces far-reaching physical, psychological, and economic impacts. The United Nations Declaration on the Elimination of Violence against Women (1993) defines violence against women as "any act of gender-based violence that results in, or is likely to result in, physical, sexual or psychological harm or suffering to women, including threats of such acts, coercion or arbitrary deprivation of liberty, whether occurring in public or in private life" (United Nations, 1993). Despite being proscribed in every country, violence against women is perpetrated either in the garb of cultural practice or through their own distorted interpretation of religion. Most often the occurrence of violence at home is effectively condoned and regarded it as 'private matter' which does not require any intervention.
Intimate partner violence, the most common forms of gender-based violence, has received the attention of researchers and scholars since the 1970s; however, violence within the four walls of families occurred long before these studies. Intimate partner violence encompasses the usage of power over a spouse through intimidating, harassing, or harmful behavior. The spouse endures violence many times and can be harmed physically, sexually, and psychologically.
Intimate partner violence is a global phenomenon occurring in both developed and developing countries. Despite underreporting of the incidence of intimate partner violence, existing statistical data, from across the world, reveals that one out of every three women experienced intimate partner abuse (WHO, 1997). In 48 population based studies conducted by Krug, mercy, Dahlberg, and Zwi, (2002) revealed that 10 to 69 percent of women faced intimate partner violence during their lifetime; Similar result were found in another study carried out in 36 countires by Heise, Ellsberg, & Gottmoeller, 2002). The occurrence of intimate partner violence is much higher in developing countries due to rigid cultural and patriarchal values. In the review of literature Nasir and Hyder (2003) revealed that 18 to 67 percent of women in developing countries are reported to experience intimate partner violence in comparison with 28 percent of those in developed countries. Such as in Canada and US, 29 percent and 28 percent of women respectively experienced Intimate partner violence (UNICEF, 1999 as cited in Khan et al. 2000); whereas, in Bangladesh varies from 35 to 42 percent (Bates, Schuler, Islam, & Islam, 2004) in India and Kenya, this rate is 45 and 52 percent respectively (UNESCO, 2000, as cited in Kocacık, et al., 2007); Egypt, Palestine, Israel and Tunisia at least one out of three women experience physical violence by their partners (Douki, Nacef, Belhadj, Bouasker, & Ghachem, 2003; Haj-Yahia, 2002).
Intimate partner violence in Pakistan persists almost in every family. The extended family system still prevails in Pakistan where in-laws also perpetrate violence on issues related to dowry and petty family disputes. Human Rights Watch (1999) and Aurat Foundation (2013) estimated that 70 to 90 percent of Pakistani women are subjected to intimate partner violence; however, the incidences of intimate partner violence are grossly under-reported. This study aims to find out the factors which breed intimate partner violence in Pakistan and what are the factors which preclude the reporting of intimate partner violence and seeking legal redress. However, before that this paper presents the available data of the incidences of Intimate partner violence in Pakistan and will put light on intimate partner violence through the feminist perspective.
2. Intimate partner Violence in Pakistan
The occurrence of Intimate partner violence in Pakistan is generally a common phenomenon prevailing almost in every home. Since extended family is still common in Pakistan, in many instances, in-laws are also the perpetrator of violence. The occurrence of intimate partner violence is the common story of every home, however, people often do not consider other types of violence such as psychological, verbal and the like, in the category of violence except physical violence. However, the incidents of intimate partner violence are grossly under-reported. Below is the table indicates the occurrence of violence against women during 2008-2014.
Table shows the numbers of reported cases of VAW across the country between 2008 and 2014.
| Categories of Crime | Year 2008 | Year 2009 | Year 2010 | Year 2011 | Year 2012 | Year 2013 | Grand Total |
|---|---|---|---|---|---|---|---|
| Abduction/Kidnapping | 1,784 | 1,987 | 2,236 | 2,089 | 1,607 | 2,026 | 2,170 |
| Murder | 1,422 | 1,384 | 1,436 | 1,575 | 1,747 | 1,425 | 1,610 |
| Domestic violence/ Intimate Partner Violence | 281 | 608 | 486 | 610 | 989 | 498 | 494 |
| Suicide | 599 | 683 | 633 | 758 | 575 | 668 | 931 |
| Honor Killing1 | 475 | 604 | 557 | 705 | 432 | 487 | 713 |
| Rape/gang rape | 778 | 928 | 928 | 827 | 822 | 956 | 1,515 |
| Sexual Assault | 172 | 274 | 74 | 110 | 58 | 38 | 74 |
| Acid Throwing2 | 29 | 53 | 32 | 44 | 83 | 43 | 65 |
| Burning | 61 | 50 | 38 | 29 | 71 | 42 | 55 |
| Miscellaneous | 1,970 | 1,977 | 1,580 | 1,792 | 1,134 | 1,669 | 2,443 |
| Total | 7,571 | 8,548 | 8,000 | 8,539 | 7,516 | 7,852 | 10,070 |
Source: Annual Report January-December 2014, Violence Against Women in Pakistan: A Qualitative Review of Reported Incidents. Aurat Foundation.
Statistics for 2008-2014 show that there were only 3966 cases of Intimate partner violence reported across the country; whereas 14,572 incidences of murders and 'honor' killings were reported during the same period. The total murder and 'honor' data is sufficient to know that Intimate partner violence is grossly under-reported. Since the crime of murder being
1
2 The act of throwing acid or corrosive substance onto the body of woman with the intention to disfigure her body and face.
The murder of a relative, generally woman considering that she has brought dishonor to the family or community
the most serious one under law, it is often too difficult to hide. A total of 14,572 murders and 'honor' killings during 20082014 are giving proof enough that Intimate partner violence is not reported as often as it takes place.
Violence against women including Intimate partner violence remained pervasive and intractable in 2017 also.
Source: HRCP 2018
Technical experts agree that the reported cases in 2017 were yet again simply the tip of a huge iceberg, especially in the rural areas, where violence against women remains largely unreported.
Family disputes- petty quarrels, dowry, property, marriage choice, and the like- are the common reasons for violence against women (HRCP, 2009). Below are the few examples of the situations which incite culprits to exercise violence (in some instances intensity of violence caused to death) to their wives.
Husband killed her wife on a refusal to give him a cup of tea
On bringing less dowry than her in-laws expected, Shumaila Bibi was beaten to unconsciousness by her in-laws Mother burned to death her daughter for 'disgracing' the family by getting married to a man of her own choice
The body of Amber was found inside a vehicle that had been set on fire on the orders of traditional assembly of elders/Jirga.
Maheen was burned to death by her husband because she wanted to visit her parents.
A woman was murdered solely for giving birth to girls.
The worst form of intimate partner violence is stove-burning perpetrated by husband and in-laws considering it as an easy and safe way to get rid of wives. Deaths by stove-burning are for the most part ascribed to be accidental bursting of stove and responsibility of the incidence is put on either manufacturer of gasoline-stove or the carelessness of woman who uses the gasoline stove. However, survived victims narrated the story that how their husbands and in-laws set them on fire. Among the stove burning incidents, the doctors at Burn Unit of one hospital in Pakistan estimated, at least sixty percent of women have been burnt by their spouses or in-laws. Aurat foundation has attributed 50 percent of these deaths to murder or suicide. Suicide is also a murder because living conditions for woman are made so hostile and unbearable that she does not have another option except to commit suicide. It is reported that every year not less than 500 women in the country meet such a horrible fate of stove-burning (HRCP, as cited in Bhatti, et al. 2011). In some instances, Women are so much suppressed and depressed that rather than fighting for justice, they commit suicide to end the unbearable torture from husband or in-laws. Suicide rates of women are on the increase.
3. Feminist Perspective on Intimate partner Violence
Feminist theorists especially being effective in bringing public attention to the violence against women view that intimate partner violence is a reflection of unequal power relationship among genders and should not be seen as isolated cases
1 This is the practice done to get rid of from spouse. In this practice, sometimes a woman is burnt alive through deliberate tampering with gasoline stove. In other times, husband or in-laws douse his spouse with kerosene oil and set her on fire
2 A Cultural practice in which girl is forced to get married as compensation for killing /murder committed by her male family member
emanating from psychological or criminal roots. Intimate partner violence reflects the unequal power between genders in society or within their personal relationships. There is a consensus among feminist theorists that intimate partner violence is fundamentally a gender issue and cannot be grasped without taking gender as the central component of analysis (see Anderson, 1997; DeKeseredy & Dragiewicz, 2007;Dobash & Dobash, 1979; Hadi, 2017; Johnson, 1995; Kurz, 1989; Ökten, 2017; Yllo, 1993).
Patriarchal societies and cultures give value and privileges to men over women and permit or encourage their domination, oppression, and exploitation over women. In patriarchal system women are perceived as an 'object' rather than a 'subject' and are given low status in society. The deep rooted ideas about low status of women and male supremacy enable men to exercise unlimited power over women and legitimize that power and domination. Women are kept in control through internalized patriarchal conditioning. With the internalization of patriarchal values both man and woman regards many instances of abusive conduct of man as normal and is part of the life. Due to the effect of patriarchal value, man consider his right to exercise violence whenever he feels necessary; whereas woman often does not perceive herself as abused unless she experienced severe physical violence.
The theme that runs through the literature on violence against women is women's unequal power between genders in patriarchal society. Patriarchy, is both ideological (the beliefs, norms, and values about the status and roles of women in a society) and structural (women's access to and positions within social institutions) (Dobash &Dobash, 1979). Violence is one of the mechanisms used by men to control and subjugate women; and is a manifestation of unequal power relationship sustained by patriarchy. Patriarchy makes violence necessary for the sake of its existence. Dobash and Dobash (1979) asserted that physical violence against wives is used as a mean to control and oppress them and it is the clear and visible manifestation of patriarchal domination. Walby (1990) having been identified violence as a mechanism to keep women subservient to men, stated that some men employ violence to assert their authority and other men exercise violence to reassert or regain their declining authority, power and status (Reiser 1999; Meltzer 2002; Xie et al. 2011).
4. Causes of Under-reporting of Intimate partner Violence in Pakistan
Traditional values and patriarchal attitudes which make women subservient to men and devalue the role of women still prevail amongst the people across Pakistan due to institutionalized restrictive codes of conduct, rigid gender-segregation, and a strong ideology linking family honor to female virtue. Women are perceived as the repository of family honor and are often not allowed to take big and important decisions. The underlying cause in restricting women to make decision in big issues is that Pakistani gender-biased society views that women are lacking in reasoning, wisdom, and ability to make correct decisions and giving them liberty on this matter may bring adverse outcomes. Linking honor of the family to woman and depriving her off from making important decisions even related to her own life have transformed woman to an "object" whose life, value and worth are not in her own hands. She is often discriminated, oppressed and subjugated and her basic rights are violated. Global Gender Gap 2014 report put Pakistan in the list of the second lowest performing country with respect to equality of gender.
Pakistani patriarchal society embraces cultural norms that breed discrimination and gender-based violence on a daily basis creating situation that not only violates women's human rights but also undermine their ability to benefit from their basic freedom. . Gender is one of the important organizing aspects of society and traditional gender roles still predominate. Women are socially conditioned to be subordinate to men. Society views that women are subordinate to men, and honor of man and family rest upon/lie in the actions and conduct of the woman of his family. In general, men is perceived as dominant, powerful and superior beings; whereas women are perceived as inferior, powerless, weak, and the like in the society. In this patriarchal society men regard that to threat of violence or exercise any form of violence on their wives is their right and can be used to 'correct their behavior' because men are often brought up to believe that nothing is socially wrong with beating of defiant women. Whereas, women often at the time of their wedding ceremony and departure from family are reminded directly or indirectly that now your husband's home is your home and will remain your home until death embraces you. This implies that whatever condition and suffering you encounter at your husband's home, you have to face it anyhow and do not try to consider leaving the home. Since divorce is socially stigmatized in Pakistan. Departing a daughter or sister with this reminding message, instills fear in newly wed women and she feels unprotected and vulnerable. She feels powerless and thinks that her life and destiny is now in the hands of her husband. If husband is kind and good enough, sooner she would feel protected and may spend satisfactory life; if man is fully imbued with prevailing cultural myths which consider women inferior to men, lacks ability of reasoning compared with men, he would treat wife differently. He is likely to put restriction on her mobility and interaction and may exercise violence when he feels necessary since he considers it as his "birth right". When husband exercises violence, he exercises it with impunity and a woman is left unprotected and often remains silent.
In Pakistan, people usually live in extended families, where in-laws also either cause or perpetrate violence in relation to dowry issues or petty family disputes. In a study conducted by Fikree, and Bhatti (1999) demonstrated that 30 percent of participants stated that in-laws are the common factor leading to intimate partner violence. Thomson Reuters Foundation Poll, in 2011 categorized Pakistan as the 3rd most dangerous country for women and girls in the world where every year more than thousand women are murdered in the name of cultural practice namely honor killing, and ninety percent women experience intimate partner violence (Jamal, 2012). Even increased access to education and information has often not succeeded in uprooting the deeply ingrained attitudes and concepts resulting in the widespread occurrence of violence against women.
Intimate partner violence is not generally considered as a criminal offense except in the cases when it takes the form of killing or attempted killing (HRCP, 2000). Despite the fact that intimate partner violence occurs in the most families of Pakistan, the response of the state and law enforcement agencies on intimate partner violence is so minimal, Because the law enforcement agencies largely view intra-familial violence against women is a personal and private family matter which would be resolved within family and cannot be and should not be meddled with. The gender-biased law enforcement actors fails to provide legal redress to victims and continuous to leave them with little justice (Bettencourt, 2000).
The most callous attitude of society is that it perceives intimate partner violence as a private household matter and should not meddled with, resulting in the seldom reporting of the intra-familial violence against women. Incidences of intimate partner violence are grossly under-reported. Structural factors including a weak criminal justice system and a dearth of societal support for women make it difficult to seek justice. Women who try to report violence face serious challenges. In Patriarchal society of Pakistan, this study has found following major factors preclude victims to come to the fore and seek help from state apparatus.
Women are socialized to accept intimate partner violence including physical, verbal, and emotional violence, but not limited to, as the matrimonial right of husband. Women grown up in such socialization internalize the patriarchal norms and value and view certain abusive conjugal conduct and behavior as normal.
Instead of seeking justice, women remain silent on the abuse inflicted on them on account of (a) real or imagined fear of harm by their intimate partner or in-laws; or (b) concern for the safety and future of their children; or (c) lack of support from the family and friends; or (d) hope that one day their partners will mend their behaviors.
Issues and problems triggering/precipitating intimate partner violence are tried to resolve amicably within family. Women experiencing intimate partner violence prefer to allow family and intermediaries affect a compromise between them and the offender and settle the matter within family. Getting help from state apparatus may end the marriage. Getting divorce though permitted, yet is generally discouraged due to taboo and stigma attached with it.
Seeking legal redress for intimate partner abuse is socially disapproved on account of bringing private matter into public. The attached social stigma with taking one's case to court generate feelings of guilt, shame, and embarrassment and make women feel uncomfortable to seek justice through legal system.
Women victims are reluctant to bring their cases into court for seeking legal redress because they do not have adequate knowledge and information about the legal process.
Viewing intimate partner abuse as private matter, Police and judges being plagued by gender bias are reluctant to interfere with the issue and dispense justice to the victims. Police being reluctant to file charges against abuser partner, often encourage and convince women victim to make reconciliation with abuser husband. Abused women are often sent back to their abusive husband. In this circumstance, laws enacted to protect women become ineffective.
Women who overcome all internal and external aforementioned hurdles and end up taking their cases to courts have to undergo numerous obstacles and humiliations before a conclusion is reached in their dispute. Ironically, women surmounting all hurdles and reaching to the court for legal redress do not get satisfactory relief at the end of the day. Experiences of women victim of getting unsatisfactory reliefs lead other victim women to avoid seeking justice through legal system.
Those victims, who do not get family and social support, endeavor to seek justice through judicial system, but the lack of protection and safety by law enforcement agencies and punishment by courts exemplifies that women in Pakistani society are often left helpless and live in continual fear and subjugation and find to place to turn.
5. Conclusion
Traditional values and patriarchal attitudes which make women subservient to men and devalue the role of women still prevail amongst the people across Pakistan due to institutionalized restrictive codes of conduct, gender-segregation, and a strong ideology linking family honor to female virtue. Gender-biased society of Pakistan often views that women lack in reasoning, wisdom, and ability to make correct decisions and giving them liberty on this matter may bring adverse outcomes. Therefore, many important decisions, even related to their own lives, are not allowed to take by them. Linking honor of the family to woman and depriving her off from making important decisions even related to her own life have transformed woman to an "object" whose life, value and worth are not in her own hands. She is discriminated, oppressed and subjugated and her basic rights are violated.
Pakistani patriarchal society embraces cultural and religious norms that breed discrimination and gender-based violence on a daily basis creating situation that not only violates women's human rights but also undermine their ability to benefit from their basic freedom. In this society, men regard that to threat of violence or exercise any form of violence on their wives is their right and can be used to 'correct their behavior' because men are often brought up to believe that nothing is socially wrong with beating of defiant women; Whereas, women are socially conditioned to be subordinate to men. This sorts of nurturing and internalization of patriarchal norms breeds not only intimate partner violence but also preclude the victims to break the silence and speak out.
Intimate partner violence reflects the unequal power between genders in patriarchal society. Pakistan is the 3rd most dangerous country for women in the world; women are treated as a second-class citizen, and their basic rights are frequently violated with ease. Society often does not consider verbal, sexual, psychological, and emotional violence in the category of violence. For society, violence is synonym with physical violence. Even physical violence is not generally considered as a criminal offense except in the cases when it takes the form of killing or attempted killing.
Gender quality is guaranteed in several articles of Pakistan's constitution. For instance, article 25 says: "All citizens are equal before law and are entitled to equal protection of law" and article 27 states: "There shall be no discrimination on the basis of sex alone". But the elements of practical implementation of rights are missing. Pakistan is also the signatory of several international commitments which make Pakistan oblige to protect basic human rights and ensure gender equality. These commitments include but not limited to, the Universal Declaration of Human Rights (1948); Beijing Platform for Action, Fourth World Conference on Women, Beijing, 1995; and Convention on the Elimination of All Forms of Discrimination Against Women (CEDAW) in 1996. Pakistani state and law enforcement agencies do not appear to have seriously taken their own laws and their intimate partner commitments to provide and ensure gender equality. Pakistan is also obliged to international laws which demand the equal rights of women; any violation of rights of women should be prevented, investigated and punished.
In Pakistani patriarchal society where rule of law is not prevalent in entire society so just making laws and signing international laws without proper implementation will not eradicate gender inequality and gender-based violence. This study asserts that intimate partner violence is the violation of human rights; Pakistani state along with its law enforcement actors is held accountable for such a violation of human rights occurring in families (Hadi, 2017). Pakistani state and law enforcement actors should take serious and firm actions to reduce the incidences intra-familial violence against women. This study views that actions of state can reduce the occurrence of gender-based violence but cannot eliminate it because in order to eliminate violence against women, patriarchal system has to be changed which can be achieved by strengthening the social, political and economic position of women.
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Biographical Pathways of Roots Migration: the Case of Students of Polish Ancestry from the Post-Soviet Area
Abstract: The paper presents, firstly, the phenomenon of internationalisation of Polish higher education, especially the structural conditions of pursuing studies by people of Polish origin from the post-Soviet successor states. Secondly, the article investigates biographical implications of students' roots migration to the ancestral homeland. It concentrates on the individual determinants of their mobility, including sociocultural background, role of the family and local community, as well as national ideologies and images of Poland and Polishness they have been exposed to in their countries of birth and upon relocation to Poland. Empirical data covers autobiographical narrative interviews with the examined students.
Keywords: educational mobility, roots migration, diaspora, Poland, USSR, narrative.
Introduction
The paper is an attempt to critically reflect on structural factors shaping the educational mobility of young Polish diaspora members (or the Polonia as it is sometimes referred to) 1 from the former USSR who are currently studying or have undertaken studies in Poland. They are mainly descendants of Poles who remained in exile as a result of resettlements into the Soviet territory during the Second World War and the post-war Poland's borders shifts westwards. Therefore, the article explores the role of students' arrivals in the return migration processes taking place in Poland since the early 1990s.
Hereinafter the notion of return migration refers to the individuals' relocation to an acknowledged homeland (Christou 2006a: 833), although in reality they are not "returning" to Poland since they actually never left it. The "return" term is mostly utilised in the migration literature to analyse counter-diasporic move of the first-generation migrants to their native homeland. 2 It might seem then it could be more accurate to define the investigated group as second- or subsequent-generation returnees (King and Christou 2008: 1–4) or, alternately, ethnic return migrants (Tsuda 2013: 172). Both
1 More about theoretical ambivalence and ideological burdens of using the Polonia notion see: Paluch 1976.
2 Magdalena Lesińska indicates two types of return: ethnic migration (repatriation, second-generation return) and 2) return migration of labour migrants. Additionally, one can differentiate: 3) voluntary return (based on original or revised intentions) or 4) forced return (result of deportation/expulsion from the country of current residence or resettlements covering larger groups of people) (2010: 6).
notions denote the "return" of descendants of diaspora members to the ethnic homeland after a long period of living abroad. 3 These conceptualisations, however, are not fully satisfactory either. Despite maintaining transnational contacts or even having experience of short staying in the homeland later-generation migrants often refuse to perceive their transfer there as return (Wassendorf 2007: 1087). Similarly they do not feel belonging to a given national community as they might be of multi-ethnic background. Researchers show recently a growing interest in return migration but they do not provide precise terms to describe migrants of mixed ethnicity relocating to a seemingly known place where only part of their family stem from. Therefore, in order to analyse the examined students' mobility I propose to utilise and develop further Susanne Wassendorf's concept of roots migration (2007). She refers it to "the migration to a place where members of the second generation originate from, but where they have never lived" (2007: 1084). The concept acknowledges then migrants' intergenerational and ethnic affinity features but does not necessarily explore the ontology of return itself.
These phenomena are confronted with students' narratives. The paper brings understanding of biographical pathways associated with their arrival and prospective settlement in Poland. It investigates the individual conditions that facilitate migration, e.g. social and cultural capitals, role of the family and local community, as well as national ideologies and images of the ancestral homeland distributed within the Polish diaspora. These factors are reviewed not only to define the motives of studying abroad but also to examine how the notions of home(land), roots and belonging are experienced and constructed when in the countries of birth and after arrival in Poland. Consequently, the narratives on Polishness transmitted to subsequent diasporic generations are reviewed in order to define their implications for collective identity construction. In case of roots migrants who straddle more than one national context it is necessary to investigate the process of identity negotiations in response to appearing opportunities and constrains during settlement in Poland (Jain 2011: 1316–1317).
The above issues are partly examined within my doctoral project. 4 The empirical basis of the study are 60 autobiographical narrative interviews (Schütze 1987; Kaźmierska 2012) with the investigated group that were carried out between 2010 and 2014 in major Polish academic centres. There is a significant tradition of caseoriented migration research, just to mention "The Polish Peasant in Europe and America" by William I. Thomas and Florian Znaniecki. However, while qualitative methods have become so diverse and fluid in their use, systematised utilisation of biographical method is no longer entirely adhered to in the contemporary qualitative research on migration (cf. Górny and Koryś 2009). Since cross-border mobility is undertaken at different stages of the life cycle, it should be analysed as continuous
3 There is a number of other semantically close terms such as ethnic migration, co-ethnic migration, ethnic affinity migration or ancestral return but they will not be used either because of their greater ambiguity (Tsuda 2013: 186). For more detailed typology of return mobilities see: King and Christou 2011.
4 PhD project is co-financed by the Polish National Science Centre. Project title: "Studenci polskiego pochodzenia z krajów byłego ZSRR. Doświadczenia kulturowe a przemiany tożsamości" (The Students of Polish Descent from the post-Soviet Sucessor States. Cultural Experiences and Identity Transformations), agreement no: UMO-2012/07/N/HS6/01457.
throughout life rather than completed at a definitive moment (Ley and Kobayashi 2005: 111). The biographical orientation answers this challenge and enables to trace migration pathways within complex social, cultural, political and economic contexts of both sending and receiving societies (Davis 2011: 2). As it addresses the entire lifetime and the interrelations between different life spheres, it shows to what extent migration experiences are connected with dynamics in particular life domains (e.g. professional, educational or family-related ones). It enables to investigate how migration can be diversely perceived over the time and in relation to individual or societal contexts by members of the same migrant community (Breckner 2007: 118). Giving the fact that analysis of narrative interviews reconstucts social events from the individual's perspective, it seems to be a relevant research method to get a deep insight into the discussed problems, irrespective of the number of cases being reviewed.
Internationalisation of Higher Education and Return Migration in Poland
The internationalisation of higher education systems has accelerated over the last decades. When it comes to its most visible dimension, educational mobility, the number of people enrolled for studies abroad has risen from 800 thousand in the mid1970s to 4.3 million in 2011, i.e. about 2.3 percent of all students (OECD 2013: 306). As it might have seemed, Poland due to its well-developed academic infrastructure and relatively low costs of studying could have become an attractive destination for foreigners after 1989. On the contrary, despite liberalisation of cross-border traffic and establishment of new (mostly non-public) universities, Polish higher education remained outside internationalisation tendencies. There were no clearly defined national policies and universities were mostly focused on participation in international research programmes, whereas no incentives for foreigners were proposed. Low attractiveness of the labour market also discouraged them from settling in Poland after the completion of studies (Żołędowski 2010: 46–47).
However, with the falling number of native students due to demographic decline and their outflow to Western universities, the authorities have lately noticed the necessity to open education institutions towards foreigners. In order to make them competitive globally a series of actions have been undertaken, including broadening the offer of courses in foreign languages, intensifying international cooperation and launching promotional campaigns abroad. They are mostly targeted at increasing recruitment in the post-Soviet and Asian area. In fact the number of overseas students has increased almost nine times between 1989 (4,100 students) and 2013 (36,000 students) (GUS 2014: 505). Nevertheless, their share of 2.3 percent among all students still remains one of the lowest in OECD countries (OECD 2013: 311).
The slow albeit consistent increase in international students volume can be also attributed to special enrolment programmes, in particular scholarships for young Polonia. In the year 2011/2012 the latter accounted for about 4,600 people, i.e. 19 percent of all foreign students at that time (Siwińska 2012: 1). Their arrivals are of symbolical significance since they are mostly Polish diaspora members in the East. As estimated, there are up to 20 million people of Polish origin living outside Poland, making that diaspora one of the largest in the world. Those in Western Europe and Americas are mainly labour migrants (and their descendants), whereas people of Polish ancestry in the East are subsequent generations of about 1.3 million Poles who remained in exile involuntarily (de Tinguy 2003: 115). Therefore these groups are considered one of the last visible victims of the Soviet regime.
Christian Joppke notes the main reasons for ethnic preference in state migration and citizenship policies are: the easier "assimilability" of co-ethnics, necessity of protection against foreign persecutions, and the expression of historical-cultural community (2005: 23–25). However, despite the Polish authorities' moral obligations to compensate the time of living outside homeland for the "brothers from the East," Poland has not developed any active instruments aimed at encouraging ethnic Poles to come back (de Tinguy 2003: 117). For instance, the Polish Constitution of 1997 and the Repatriation Act of 2000 impose upon Poland a duty to assist them in maintaining linkages with the national culture and possibility of repatriation. The 2007 Law on the Charter of the Pole guarantees the co-ethnics in neighbouring Eastern countries legal recognition of belonging to the Polish nation and a range of rights in Poland (Górny et al. 2007: 158–163). They are entitled to a number of social and economic resources such as free studies, health service or the right to work or run business without permits (Stefańska 2010: 87). However, these amenities do not in fact propel return migration. The repatriation system remains inefficient and prospective returnees must overcome lengthy procedures to get Polish citizenship. Moreover, local governing bodies are obliged to cover returnees' reception costs, but in fact they are hesitant to fulfil these duties (Wyszyński 2011: 410–416). Consequently, between 1997 and 2013 merely 6,800 people benefited from the repatriation programme (GUS 2014: 507).
It seems then a considerable fraction of foreign students of Polish background is not just the result of the offered privileges but also an effective way of getting to Poland. Since other return possibilities are limited, study enrolment often remains the only attainable way of moving westwards (cf. Grzymała-Kazłowska and GrzymałaMoszczyńska 2014).
Students' Migration Pathways
Migration is the consequence of a complex decision making process. Advocates of classical migration theories claim cross-border mobility is predominantly of economic nature and migrants' motives are related to labour market opportunities (Castles and Miller 2009). Other researchers emphasise the importance of social factors in migrants' intents formation, such as family and friend ties or professional contacts (Massey et al. 1998). Within the influential transnational perspective the attention is given to the function of social networks, multi-stranded personal relationships, symbolic ties and information channels between those who have migrated and those who remained in own country (Basch et al. 1994).
It does not seem adequate to explain the conditions of roots migration. Naturally, similarly to regular outward migration, it can be facilitated by one's need to improve the economic situation or the will to resolve the discomfort caused by maintaining the status of a stranger in the host society despite years (or centuries) of his/her ancestors' settlement there. When analysing this type of mobility one must, however, also scrutinise historical, cultural, emotional and ideological considerations as it can have a symbolical meaning related to one's reuniting with the ancestral homeland (Nowicka 2008: 11). In this sense it is often perceived by migrants as "a moral obligation or, possibly, a restoration of the natural order of things" (Boccagni 2011: 471).
On the other hand, roots migration is not just a matter of simple coming back home for later-generation migrants since they may experience significant uncertainty as to where they really belong. Their conceptualizations of home are often multisited or unclearly stated if it is the area of predecessors' homeland itself or rather a mythologised imaginative construction (King et al. 2011: 485). Lack of confidence is even deeper at the time of transnational homing experiences of migrants who can perceive the home simultaneously as stable and fluid, lived and imagined, localised and transnational (Walsh 2006: 123).
These ambiguities are facilitated by expatriates' subjective sense of belonging (identity) to a given nation or ethnic group. Antonina Kłoskowska's concept of national identity formation is worth underlining here. She claims all symbols, values, attitudes and habits that are shared by the nation members are transmitted by the closest social environment (family and community members) through socialisation and, on the other hand, by institutional milieu (school, church etc.) within culturisation, i.e. "the initiation and entrance into the universe of symbolic culture in general, including national culture" (2001: 97). The identity construction is understood here as a dynamic process that is situational, contextual, emerging from particular social and historical circumstances. It is fluid, fragmented and constantly negotiated rather than fixed and permanent (Christou 2006b: 39; Kempny 2012: 57–58).
Education of foreigners in Poland has been a subject of researchers' investigations for nearly half century now (Mucha 2003: 169). It is worth mentioning, among others, the general study of educational migration to Poland by Cezary Żołędowski (2010) and analysis of intercultural relations between the incoming students and the Polish host society by Ewa Nowicka and Sławomir Łodziński (1993) and Zofia KawczyńskaButrym (2014). There is also a number of publications on Polonia students from the former USSR, including comprehensive collection of articles in the edited volume by Robert Wyszyński (2005) as well as research findings on their national self-consciousness (Dzwonkowski et al. 2002), national identity (Głowacka-Grajper 2007) and culture contact with the Polish society (Mucha 2003). I will refer to these works in due course. It needs, however, to be emphasised that in contrast to the above investigations that are mostly of quantitative character, this study pertains to another theoretical and methodological perspective as it concentrates on biographical dimension of educational mobility in the special context of roots migration.
In detail, the following sections draw on empirical materials which examine diverse levels of intents that the students of Polish ancestry from the former USSR are driven by. Because of multiplicity of issues available in the interview data it is not possible to deliberately "fit" the informants into given conceptual categories as it would require separating one particular mobility dimension (economic, pragmatic, ideological, emotional etc.) from another. Therefore, the paper intends to illustrate the complexity of cross-national mobility processes rather than to elaborate classification of return motives. Consequently, it criticises overly-rationalist account of agency in (return) migration process that would suggest one's mobility as the result of fully conscious and intentional decisions. On the other hand, it attempts to exemplify the lack of adequateness of existing return concepts that have not recognised enough experience of people of multinational affiliations.
In order to give a snapshot of students' mobility pathways the autobiographical narratives of Darek, Lena and Sonia have been chosen since they organise the analysis of my data collection. Each narrator represents different biographical planning schemes and, thus, the position of homecoming in one's structures of relevance, namely: (1) answering predecessors' expectations, (2) attempting to cope with burdensome roots, (3) making use of ethnic background for self-realisation. 5 Although all three cases are a reference point for more detailed analysis, they are not the only possible scenarios. The development of other pathways is the subject of my further studies (cf. Gońda 2012; 2013).
Answering Predecessors' Expectations
Several analyses prove that return migration is principally an individual choice based on one's willing to reunite with co-ethnics who share the same cultural and historical narratives. However, since a returnee's origin create a binding relation with the country of ancestors, return can be considered as an obligation towards own community (Boccagni 2011: 471). In this sense the homecoming does not necessarily have to be an entirely voluntary decision. Darek's narrative, a 29-year-old doctoral student from Belarus, indicates this duty might be imposed by family and diaspora members—the carriers of ethnic traditions, cultural patterns and national ideologies. Participation in the nation's life has thus symbolical and ideological meaning for both the interviewee and, even more, his relatives. He was supposed to fulfil his predecessors' wishes of coming back to Poland in the situation of limited return possibilities for the whole family.
Darek was familiarised with the Polish language and culture through family, local community and school. As he comes from a Polish household and spent his formative life stage (childhood) in a town inhabited by numerous co-ethnics, he was growing into Polishness from his earliest years. Intergenerational transmission of knowledge about
5 Janusz Mucha has distinguished similar to a certain extent motivation modes of young Polonia: (1) motive grounded on strong ties with Polish culture or feeling being a Pole, (2) pracitcal motive related to relative availability of universities in Poland (e.g. being cheaper) and other possibilites (mostly economic) offered by Poland, (3) autotelic motive of studying abroad (no matter where), travelling and learning far from home. Interestingly, as Mucha notes, even if students declared other intents than their ties with Polish culture, the system of insitutional and family relations made Poland their first study destination (2003: 177–178).
Poland accompanied by remembrance of Tsarist and Stalin's persecutions resulted in patriotic upbringing in "the love for the predecessors' country, its traditions and language." It was not until the USSR's dissolution that the Polish minority could express own presence through re-established schools, organizations and Catholic Church. Since Darek's parents were among co-founders of the Polish minority association in Belarus his national awareness was well-grounded. He emphasises their role in creating his strong affiliation to Poland. Enrolment for studies there was his answer to the parents' expectations:
There was no other possibility, I didn't take into account studying in Belarus, and it was out of the question, only Poland and nothing else… It was clear from the very beginning, when I started to think about studies, Poland was the only choice. Dad brought us up that way, as he was saying: "This is your country, your language, your studies, your future."
The return dynamics to the desired homeland is often fuelled by collective nostalgia and memory that are mythologised through stories narrated by diaspora members. Even if actual return is not possible, the dream of homecoming is being persisted over generations and becomes an important constituent in the construction of collective diasporic identity (Datta 2013: 97). Since the predecessors' country is portrayed as the authentic site of original belonging, a returnee's plan is to relocate the dislocated self and to achieve stability and coherence of past times and places (King and Christou 2008: 17). As Darek explains:
I can't think otherwise, this is the way I was brought up… From the first moment I was thinking of my national belonging, when they explained me what the nation is, it was said I was Polish, there was no other possibility, "You are Polish, your homeland is Poland, your capital is Warsaw."
However, as the narrator's case proves, the homeland's seductive feature is not only grounded on ideological and emotional considerations but also economic advancement due to discrepancies between one's country of settlement and return destination (Wassendorf 2007: 1098). 6 While observing the deepening distance in wealth and availability of consumer goods between the Poles and the Belarusians his aspirations to associate his future with Poland have even tightened:
For us Poland was like a dream… In the early 1990s the West had entered our country, all these tape recorders, music, clothes, and all of them came mostly from Poland… Dad was almost every week in Poland because of his duties in the association, and he brought us some gifts… And when we looked at those colourful packages it seemed to us that Poland was a paradise… This attitude was dominant during holidays there, everything was perfect, accommodation, food, everything was of highest standard, and we were in some shopping malls, museums and we saw that the Poles took care of everything around, that cities looked nice, that cars were nice… It was a different world, a richer and more interesting one… Indeed, Poland was a model country to live.
6 Takeyuki Tsuda claims that ethnic return migration is mostly initiated, similarly to labour migration, by economic pressures. It should not be then exclusively perceived as ideological act of reuniting with one's nation but motivated individualistically and instrumentally to improve returnee's socioeconomic status: Although the desire to eventually return to the ancestral homeland is invoked in definitions of diasporic peoples, most of their descendants, who are quite rooted in their countries of birth, would not do so without sufficient economic incentives. Ethnic return migrants are generally in search of better economic opportunities, not ethnic roots. In this sense, diasporic return from the developing world initially appears to be another form of international labour migration caused by widening economic disparities between rich and poor countries (2009: 21).
Darek's statement is an expression of a myth of Poland of the country of milk and honey which is widespread among the Poles inhabiting the post-Soviet area (Głowacka-Grajper 2007: 335; Dzwonkowski et al. 2002: 70–71). 7 That image is rooted in a collectively maintained vision of the West as the Promised Land. Therefore, Poland is associated not only with an area of Western prosperity and opportunities, which are hardly accessible in their birth-countries, but more importantly as a part of higher civilisational order.
On the other hand, after years of living in Poland now, Darek remarks the vision of homeland that had been reimagined by his father was much idealised:
My parents were thinking about Poland only in the positive way, that it was the homeland and it was one step closer to the West than Belarus… Thanks to dad there is this blind patriotism, he sees no negative features, and when I arrive home and he tells me something I have to correct him and sometimes he doesn't believe me… So as he was going to Poland they had meetings with authorities, so they were socialising with people who were not aware of average Poles' issues, and they saw Poland from that diplomatic perspective… Poland funded them, it is even today that they are financed by the government, so they cannot speak negatively… And my father created this ideal picture of Poland, and with this attitude I came here… So dad created that image and probably it will never be denied… Now I don't want it to be changed, nothing I see here makes me sad…
Nevertheless, the informant opposes changing the mythologised image of Poland he was given. Darek preserves it as, having experience of living in authoritarian Belarus (cf. Mamul 2009), he appreciates freedom and opportunities provided by the Polish state to its inhabitants. His relocation to Poland can be thus considered as a success story of a returnee who managed to fulfil previous expectations and then transform the ideological homeland, he was linked to by imaginary beliefs and ideas (Nowicka 2008: 13), into the real place of living. In this sense his mobility fits the traditional pattern of intergenerational return migration.
Attempt to Cope with Burdensome Roots
King and Christou argue that "possession of a strong transnational or diasporic identity is a sine qua non for second-generation migration to the 'homeland'" (2008: 16). However, the will to reconnect with the ancestral land does not only characterise individuals of a well-grounded national identity. It might be also a result of one's (re)discovery of ethnic roots and his/her attempts to deepen ties with co-ethnic community. A manifestation of the lifelong ambiguities of collective identity and the following regaining of Polishness is the narrative of Lena, a 36-year-old graduate from Belarus who studied in Poland in the mid-1990s.
Lena comes from a bi-national family of Polish father and Belarusian mother. The family's ethnic origins were initially out of her interests. That issue appeared for
7 Interestingly, Darek's case is in contrast with research findings collected by Roman Dzwonkowski et al. They argue that the more often students have visited Poland before launching studies there, the less emotional they are when it comes to their return motives. On the other hand, students who visit Poland for the first time on the occasion of studies tend to idealise that country. Consequently, the dissonance between their earlier expectations and experience after arrival is also larger than in case of frequent "visitors" (2002: 69–70).
the first time when her boyfriend declared he would have married her if she had not been a Pole. Lena's Polishness was in fact a strong stigmatising factor which caused her alienation among school peers. That stigma raised a question of her national identification. Although she could not decide whether she was Polish or Belarusian, she concluded then the predominance of the Polish factor as, she believed, one inherited nationality from the father.
However, during secondary school she had a bad relationship with parents, particularly with father due to his authoritarian character and, even more, atheist orientation which was an obligation for an officer of the Soviet uniformed services. Since Lena was devoted to Catholicism, the more father forbade her to go to church, the more she was eager to do so. That constant conflict was the reason why she did not accept her Polishness as it identified her with the father. Furthermore, at that time Lena was rather discovering her Belarusian traits, including learning Belarusian language. She was fascinated by the rebirth of the Belarusian independence movement and began to engage in underground politics. It was accompanied by the will to follow the mother and become an artist. As parents did not let her enrol in a high school of fine arts in Minsk because it would not guarantee her adequate living standards, their conflict intensified. Therefore, when Lena got to know about possibility of studying in Poland she decided to relocate there and separate from parents:
In general it was an attempt to escape… I knew I would study in Minsk or in Poland, the further the better, if I hadn't made it I would have gone to Minsk as I was convinced that I didn't want to stay with my parents any more.
On the other hand, Polishness appeared to be a fate which Lena could not avoid. Undertaking studies in Poland was not only an escape from parents' custody but also an attempt to cope with Polish origin that had been a burden in her everyday life. She moved abroad both to fulfil her study-related plans and to learn the Polish culture:
I perceived my Polishness as a disadvantage, I was little ashamed I was Polish… But at the same time I had a feeling that I couldn't get away from that because I had a Polish father and a large family in Poland, even my mother's name was Kowalska so she was probably Polish but registered as Belarusian… I felt this was something I couldn't escape from, so I felt I might have gone to Poland as well.
Although coming back to the homeland is primarily aimed to compensate one's separation from a community of the same cultural and historical narratives, it can also invoke feelings of disillusionment (Datta 2013: 97–98). It usually relates to unfulfilled expectations regarding both social and cultural institutions as well as behavioural norms and practices of the ancestral society. They are founded on homeland's images that are preserved through predecessors' selective memories and narratives (King and Christou 2008: 18–19). These reconstructions may refer to several phenomena. In case of Lena it was her deep religiousness. She moved to Poland as the fervent Catholic with a belief that after religious persecution in the communist-era she would fully engage in her Church's life. Unexpectedly, she quickly noticed that clergy was much politicised, whereas Poles' faith appeared to be shallow. Furthermore, the disappointment was reinforced by negative reception by the receiving society that, presumably, resulted from Poles' limited knowledge on the co-ethnics' situation in the East. It manifested in their idifference to Lena's initial adaptation problems, labelling Ruska (derogative term for Russian people) and questioning her Polish origin due to her Russian-like accent (Pawlak et. al 2005: 292). Consequently, Lena's sense of Polishness that had been based on Catholic grounds was ruined (cf. Kurczewska 2005). The discrepancy between expected and actual attitudes of Poles resulted in a feeling of strangeness in the homeland (Nowicka 1993: 15–42). 8 Therefore Lena did not struggle for recognition of her Polishness among peers but rather started to play the role of "ambassador" of Belarus: she corrected unfavourable stereotypes and underlined individual character of its culture (Mucha 2003: 185).
Lena's story reflects the mismatch between one's expectations and reality after return to the homeland (Dzwonkowski et. al 2002: 76–82). As for outward migration one can anticipate loneliness and other challenges of adaptation, returning home is expected to be relatively easier than other modes of cross-national mobility (Tannenbaum 2007: 170). Paradoxically, return often requires negotiation of one's diasporic origins to make a home within a country that seemed to be familiar (cf. Schütz 1945). 9 It especially refers to later-generation returnees who, despite having some knowledge of the predecessors' country and maintaining cultural contact with the co-ethnics there, have not had in fact any embedded experience of it. Consequently, it may lead to similar feeling of alienation as in first-generation migrants' case (Datta 2013: 97– 98).
Despite the fact Lena had not been fully accepted by the ancestral society, every time she was back in Belarus her image of a Pole was still in force. The feeling of strangeness both in Poland and Belarus resulted in her national ambivalence that refers to uncertainty and confusion caused by one's experience of two or more national cultures (Kłoskowska 2001: 118). 10 As she wondered many times if she was Polish or Belarusian, she came to conclusion that national identity is much dependent on the local milieu's perception.
Unfortunately in Poland I'm a stranger and in Belarus I'm a stranger… But I can't say I'm Belarusian, I could identify with those who speak Belarusian language, who are conscious Belarusians, but I couldn't identify
8 Ewa Nowicka has observed the dichotomy of being "familiar" and "stranger" in the context of educational migration. Foreign students in Poland act within four circles of familiarity and strangeness that determine the intensity of cultural contact and social distance with the host society. The first circle consists of compatriots studying in Poland, the second are students from the same cultural area, the third is the whole population of foreign students, and the fourth is a wide community of students at Polish universities (1993: 22–24).
9 It brings the Alfred Schütz's classic concept of homecomer that concerns a person coming back home(land) after long absence with great expectations and optimism. He/she does not, however, anticipate how much home(land) has changed or, on the contrary, how much he/she has changed himself/herself. Conseqently, the homecomer finds it difficult to rebuild a sense of security and confidence in relation to the ancestral country, society and culture (1945: 369).
10 Janusz Mucha argues that Polish-born students from the former USSR may represent three types of indentification with Polish national culture (Polishness). The first group consists of those fully identifiying themselves with Poland (who consider themselves Polish). The second group has no clear cultural identity and, thus, might become either Poles or Ukrainians, Lithuanians etc. It often results from lack of acceptance by the host society and, thus, feeling like a stranger. The third group is represented by students who identify themselves only with the county of birth, irrespective of their Polish background (2003: 190–191).
with those who support Lukashenko… And in Poland I could identify with Poles who are non-Catholics and have left-wing political approach… Having in mind these preconditions I can say I'm Polish but not in that traditional meaning… On the other hand I don't think that an observer would qualify me as Polish… And in Belarus nobody would accept me as Belarusian, they would say I'm Polish… Many times I wondered, I still wonder what I feel, and, unfortunately, this is a typical situation that it doesn't matter what I feel but how do they perceive me.
Lena's return to the homeland appeared then to be unsuccessful. Polishness became unavoidable since she had always been identified as a Pole rather than thinking so herself. Thus she made an effort to cope with her Polish roots but it did not strengthen her bonds with co-ethnics. The ancestral homeland turned out to be different than the one she had expected. Furthermore, after nearly two decades of living in Poland she is still perceived as a stranger.
Making Use of Ethnic Roots for the Purpose of Self-realisation
In contrast to the above migration pathways, people of Polish roots may enrol for studies in Poland because of purely instrumental calculations rather than symbolical and ideological reasons. Their motives in this respect are not based on collective identifications. That type of relocation can be hardly described as return migration since it does not differ much from that of thousands of youngsters studying abroad every year.
Exemplification of this attitude is Sonia, a 21-year-old student from Kazakhstan who has been living in Poland for three years. Due to multinational background (father of Polish-Ukrainian ancestry and Russian-born mother) the issue of Polish roots did not raise her particular attention. Interestingly, although her family did not have any longing for Poland and they belonged to a community predominated by Russian culture and language, Sonia was occasionally encouraged by parents to attend Polish courses. They also wanted her to study abroad because of hardening nationalism of Kazakhs targeted at Slavic (mostly Russian) population. Leaving the country was to guarantee her safety. Therefore, when they got to know about scholarship programme for Poles living abroad, they persuaded her to make use of Polish origin and enrol for studies there. These practices of creating various security measures and building one's cultural capital to be exploited in the future seem to be typical for diasporic communities surrounded by hostile environment.
However, Sonia's decision to study abroad was primarily a search for ontological security (cf. Giddens 1991) within a conservative milieu, which did not recognise the values she followed, and, thus, she never had a feeling of belonging to it. At the age of 17 she had got involved in peace and vegan movements. As she became then radical in her beliefs she could not find any soul mates who would share her ideas. Therefore, looking for possibility of further anti-system engagement and finding like-minded people Sonia pursued studies in Poland, where she believed she could accomplish these goals:
I started to wonder what was important to me… I followed that alternative way of life and I realised that I couldn't find people like me, and I began to feel alone. I became vegetarian, it was a very important decision, but I didn't receive any support neither from parents nor from friend. I felt bad with my approach, but this is how it is when you're young, radical, you follow some ideas and you don't want drugs, alcohol, and then you don't want to eat meat… So when I was selecting a place to study I was thinking a lot whether I find people like me. Of course I wondered what I would do if I didn't study abroad, that I would stay in Kazakhstan but I tried not to think about it because it was terribly painful…Then I thought I would study in Poland…
Sonia's narrative reveals the process of instrumentalisation of her Polish roots. Having a limited chance to find understanding in Kazakhstan, she deliberately took advantage of the emerging institutional opportunities (scholarship programme) and got to a university in Poland. Contrary to Darek, leaving home was not ideologically driven but the result of rigorous assessment of available possibilities.
The informant confirms her pragmatic approach when she explains she does not perceive Poland in terms of homeland, but rather as an emotionally neutral space offering opportunities to be exploited:
Poland is the same country as any other, an area limited by borders. I respect its history and culture, but I don't feel I belong here… I don't belong to Kazakhstan either… I had special feelings towards Russia but it was very abstract, I thought Russia would offer me a better life than Kazakhstan, because Kazakhstan wasn't my country and it was a mistake I was born there… Sometimes I don't know where my home is because when I return to Kazakhstan I don't feel like home, rather like a guest, and when arriving in Poland I feel even more alienated… Therefore I can say I'm homeless.
Despite having Polish roots Sonia does not feel to be a Pole. She did not have a chance to get acquainted with the Polish culture in Kazakhstan and subsequently has not internalised Polish cultural patterns while studying abroad. Moreover, she also rejects Russian and Kazakh affiliations. The dominant feeling of homelessness does not, however, cause high emotional consequences:
In my passport it was written that I was Polish but then I changed it, I didn't want it like that because I didn't know whom I should have identified with, because I lived all my life in Kazakhstan, I have some Polish roots indeed but I've never felt like a Pole… I could say I'm Russian because there was always that division between Russian and Kazakh people in Kazakhstan… But I can't say I'm Russian, because I don't have any special relations with Russia, apart from speaking Russian… I've always had a problem with national identification… Although I live here I certainly can't say I'm Polish…
Sonia had only pragmatic expectations regarding Poland and, thus, leaving home did not entail biographical suffering or disappointment. As she had not identified herself with that country, she also did not idealise it. Therefore, in contrast to Lena, she has not experienced identity tensions upon arrival in Poland. Moreover, apart from her plans of engagement in alternative movements, decision on leaving home resulted from the increasing need for constructing her own life. Studies in Poland appeared then to be Sonia's way of emancipation and self-realisation. Referring to the dichotomy of migration motives in the situation defined as unbearable by Kaja Kaźmierska, Andrzej Piotrowski and Katarzyna Waniek (2011: 148), it was not only an escape from oppression caused by unfavourable life circumstances and home community constrains, as in Lena's case, but also an escape to the new possibilities of personal development which would not be accomplished in Kazakhstan.
Nevertheless, since alternative groups that she got involved in do not completely fulfil her expectations, Sonia is thinking of moving westwards to look for new experiences and continue the path of self-development. Poland is just another step on her way to, as she notes, "find a place where I could feel that I am safe and needed." Sonia's experience proves that coming back is not necessarily the end of a migration cycle but a step in further mobility. Ley and Kobayashi (2005: 111–113) argue that return migration concept does not capture the dynamic and temporal nature of migrants' decisions. In contrast to conventional immigration-assimilation narrative of outward migration, which conveys a sense of finality, return migration hardly ever leads to the closure or completion that migrants' desire. It is particularly visible in the era of growing transnational practices that dismantles the previous attachment to a given place and makes cross-border mobility continuous rather than completed. Indeed, if the opportunity of emigration to another country appears, Sonia will try to make use of it:
My situation is dependent on the fact that I get a scholarship which enables me to survive few years in Poland… I don't know what will be the future but it will be hard to combine a job with my activism. But at least for the next few years I'm confident that I will survive without problems… I can't talk about distant future because I don't know if I want to stay in Poland… I really like to live here but I'd like to see the world… I'm fascinated by Western Europe, I'd love to go to England, maybe to Spain, anywhere, just to experience a different mentality and culture.
Consequently, due to strong ideological foundations of an alternative activist Sonia does not pay attention to national or territorial affiliations. She rather believes in a single human community based on shared moral grounds irrespective of one's ethnic background. Her narrative is an example of one's refusal of auto-categorisation in national terms in favour of cosmopolitanism that negates actual identifications with particular national groups (Kłoskowska 2001: 151). The process of individualisation that has been launched with Sonia's arrival in Poland prevents her from affiliating with one country. Therefore her place of living is above all determined by pragmatic arguments: opportunities for self-development, new experiences and finding people she could identify with.
Conclusions
The analysis of narratives delivered by three informants provides a new insight into educational mobility as well as roots migration patterns. It reveals that the interviewees' intentions are multilayered and, thus, cannot be reviewed in purely traditional terms that would suggest the return as based on only ideological and emotional motives or ethnic affinity. It refers particularly to the investigated later-generation returnees of complicated ethnic background who, despite having some knowledge of the ancestral homeland where often only part of their family comes from, have not experienced that country and, thus, often do not have the feeling of belonging to it.
Roots migration can be conducted because of several reasons. Firstly, it might be a manifestation of typical later-generation return pattern, when an individual due to symbolical and emotional reasons makes an existential journey to the source of the self and reunites with the ideological homeland. It can be both a voluntary decision or, as Darek's case indicates, a result of an obligation imposed by the closest social environment that is also further facilitated by economic incentives. Secondly, following Lena's story, it might be also a result of individual (re)discovery of ethnic roots and the subsequent will to restore a partially-lost collective identity by deepening the bonds with the land of ancestors. On the other hand, despite symbolical and ideological importance of the homeland for the roots migrants, one can observe the weight of instrumental and pragmatic drives. Sonia's example shows that homecoming might become an opportunity for personal empowerment and self-development that would be hardly reachable in migrants' birth-countries. In this sense students' mobility is far from the typical return migration model. It fits, however, its primary goal when it is performed in order to gain new educational (professional) qualification and, in parallel, to launch individualisation and emancipation processes.
Educational mobility by a means of roots migration also influences the returnees' identities. Their transformations are not only dependent on the homeland's image that was nostalgically portrayed by relatives and other community members in the country of birth but they are also a response to appearing conditions upon the relocation there. Once the idealised far-away homeland becomes the real place of living, the examined students, whose privileged status of ethnic returnees does not in fact prevent them from becoming socioculturally marginalised, redefine its meaning as well as their collective sense ofbelonging. Unsurprisingly, in case ofreturneesofgrounded national identification roots migration is the opportunity for deepening the relation with native country, culture and community. However, for migrants of multiple ethnic affinities roots migration does not necessarily resolve previous identity ambiguities but may lead to further fragmentarisation and deterritorialisation of collective affiliations.
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Biographical Note: Marcin Gońda is a research assistant at the Centre for Research in European Culture, Institute of Sociology of the University of Łódź. He graduated from sociology and international relations at the Univeristy of Łódź. He is currently working on PhD project on biographical dimension of educational migration of people of Polish origin from the former USSR. He is also an author of a number of papers on migration, ethnic minorities and internationalisation of higher education in Poland.
E-mail: firstname.lastname@example.org
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Cairns, Australia. 5 – 9 September 2011
The role of TwinN, a microbial bio-fertiliser, in avocado production.
La función del TwinN, un fertilizante biológico, en la producción de aguacate
Robert Bower (Mapleton Agri Biotec Pty Ltd, firstname.lastname@example.org),
Abstract
As avocado producers around the world face rising nitrogen costs, an increased need for sustainable production and ongoing pressures from soil disease organisms, many growers are looking for new technologies to assist them. TwinN® is a freeze dried microbial inoculum that is used commercially by avocado growers and is also in trials with Avocado Australia, the national industry body. Trial results will be presented on the capacity of the product to enable significant reductions in nitrogen fertiliser applications in tree crops without loss of yield, or decreased leaf nitrogen levels. Commercial trials in citrus in South Africa and Australia showed that a reduction of 25% (~35kgN/ha) in annual nitrogen program levels was possible, in combination with TwinN, with leaf nitrogen levels remaining in the adequate range.
Results from the USDA show that application of Roundup herbicide to GM soya beans increased root infection from Fusarium solani by 58% with an associated 76% decrease in beneficial fluorescent pseudomonads. The same treatment plus TwinN resulted in a reduction of Fusarium infection level back to the levels prior to Roundup application and a restoration of fluorescent pseudomonads to 68% of the initial levels. Preliminary work with soil collected from underneath TwinN + urea treated pineapples has shown that infectivity by Phytophthora cinnamomi (Pc), as determined by the lupin baiting technique, decreased with reduced N fertiliser applied, irrespective of whether the source of N was urea or TwinN. TwinN application enhanced growth of avocado feeder roots in late winter/early spring at a time critical for overcoming effects of Pc infection. Increased root growth and vitality are important factors in determining tree crop nutritional status and yield.
Debido al aumento de los costos del nitrógeno para los productores de aguacate de todo el mundo, a la creciente necesidad de producción sostenible y a la presión continua de los organismos patógenos del suelo, muchos productores están buscando nuevas tecnologías que los asistan. TwinN es un inóculo microbiano liofilizado que utilizan comercialmente los productores de aguacate y también se están realizando pruebas en Avocado Australia, el organismo industrial de ese país. Se presentarán los resultados de los ensayos sobre la capacidad del producto para permitir reducciones significativas en las aplicaciones de fertilizantes nitrogenados en cultivos arbóreos sin pérdida de rendimiento ni disminución de los niveles de nitrógeno en las hojas. Pruebas comerciales de cítricos de Sudáfrica y Australia mostraron que una reducción del 25% (~ 35kgN/ha) en los niveles anuales de nitrógeno programa fue posible, en combinación con TwinN, con los niveles de nitrógeno de la hoja que queda en el rango adecuado.
Los resultados del USDA muestran que la aplicación del herbicida Roundup en soja GM aumentó la infección de las raíces por Fusarium solani en un 58%, con una disminución asociada del 76% en las pseudomonas fluorescens beneficiosas. El mismo tratamiento más TwinN resultó en una reducción del nivel de la infección con Fusarium a los niveles originales previo a la aplicación de Roundup y una recuperación de pseudomonas fluorescens al 68% de los niveles iniciales. El trabajo preliminar con suelo recolectado debajo de piñas tratadas con TwinN + urea ha mostrado que la infectividad por Phytophthora cinnamomi (Pc), de acuerdo a lo determinado por la técnica de cebo con lupino, disminuyó al reducir la aplicación de fertilizante nitrogenado, independientemente de la fuente de N, tanto si esta fue urea o TwinN. La aplicación de TwinN promovió el crecimiento de raíces absorbentes en aguacate a fines del invierno/comienzo de la primavera en un momento crítico para superar los efectos de la infección con Pc. El aumento del crecimiento de las raíces y la vitalidad son factores importantes para la determinación del estado nutricional del cultivo arbóreo y el rendimiento.
Key words Avocado, nitrogen, fertiliser, Phytophthora, bio-fertiliser, TwinN, roots
Introduction
Avocado production is dependent on supply of adequate nutrients, particularly nitrogen, to the tree in sufficient amounts and in the correct timings. Three main factors can affect how effectively this is achieved and this paper will examine the role of microbial bio-fertilisers in avocado production systems in relation to these factors.
1. Nitrogen supply is usually achieved via application of nitrogen fertiliser and this has been quite effective. However nitrogen fertilisers in high amounts have negative effects including, decreasing soil pH, increasing production costs, increasing carbon footprint and various environmental impacts. Use of an effective microbial bio-fertiliser has been shown to decrease the amounts of synthetic nitrogen fertiliser needed to maintain correct nitrogen levels in the tree. One mechanism by which this is achieved is by fixation of atmospheric nitrogen, N2, into plant available NH3 (Kennedy et al., 1997; reviewed in Sakia and Jain, 2007) and the results presented here show that use of TwinN enabled maintenance of leaf nitrogen levels in tree crops with reduced nitrogen fertiliser applications.
2. In addition to supplying nitrogen via fixation of atmospheric nitrogen, use of microbial biofertilisers has been shown to increase nitrogen use efficiency by increasing capture of applied nitrogen which increases nitrogen use efficiency. This occurs due to production of plant growth factors (PGFs), particularly auxins, by the microbes in the root zone after application. These beneficial effects of TwinN microbes on root growth directly influence the proportion of applied nitrogen fertiliser that is captured by the crop. This means that products like TwinN are very effective in conventional production systems that use nitrogen fertilisers. Photographs presented in this paper show effects of TwinN on root growth in avocados.
3. Results presented in this paper show suppression of numbers of some soil pathogens after use of TwinN. Avocado growers in most countries face a challenge controlling Phytophthora cinnamomi, which severely affects root function and ability to take up water and nutrients. Root vigour and health is vital for consistent, high production in avocado and use of biofertilisers can be a useful strategy to achieve this goal.
Microbial bio-fertilisers are a useful tool for both conventional and organic avocado growers to supply nitrogen, increase nitrogen use efficiency and improve the soil and crop health. This paper will present data from both commercial tree crop growers and research institutions to demonstrate efficacy of TwinN, a microbial bio-fertiliser, in several different cropping systems.
Results
The results in Table 1 and Table 2 show the leaf analysis from seven commercial citrus and mango producers in South Africa and Australia. The leaf nitrogen values in 2009 resulted from standard fertigation applications of nitrogen while those from 2010 resulted from a 25% (~35kgN/ha) reduction in nitrogen fertiliser rates on the same blocks, plus a single application of TwinN applied via fertigation.
Table 1 Leaf analysis results from seven commercial citrus and mango producers in South Africa after a 25% reduction in nitrogen fertiliser plus a single application of TwinN.
| Citrus in South Africa: Leaf nitrogen analyses: | | | | |
|---|---|---|---|---|
| Client | Ha | Block Name | 2009 | 2010 + TwinN |
| Piet Engelbrecht Drip PLM | 49 | 24 Nawels PLM 36 Midknigh Drup | 2.4 1.92 | 2.57 2.5 |
| | 9 | | | |
| Schoonbee | 13 | Schoonbee SL1 Eureka | 1.82 | 1.97 |
| Petrus Berg Groep 1 | 20 | 4Jong Nova Mid 1 & 2 | 2.34 1.87 | 2.55 1.73 |
| Bosveld Midknights | 27 | 2C Mid 14 Mid 15 Mid 16 Mid 17 Mid Zero 3 | 2.56 2.35 2.39 2.62 2.36 2.32 | 2.4 2.4 2.35 2.35 2.13 2.36 |
| Bruwer LRochelle Afourer | 104 | No.1 Teerpad Tennisbane Groot dam Agter groot dam Hemanus Huis | 3.07 2.01 2.49 1.57 2.13 | 2.41 2.16 2.45 2.05 2.18 |
| MEsterhuizen | 16 | Rivierplaas 14 Lina Rivierplaas 15 Autumn Gold | 2.28 1.83 | 2.1 1.91 |
| Total Average Average leaf N | | | 2.2 2.22 | |
| Mangoes in South Africa: | | | | |
| Bavaria Mango Grovedale | 6 | Grovedale Groep 5 H3 | 0.87 | 0.97 |
The underlined values in 2009 in Tables 1 & 2 are blocks where a larger reduction than 25% was made in nitrogen to reduce excess leaf nitrogen levels.
Table 2 Leaf analysis results from three commercial citrus producers in Australia after a 25% reduction in nitrogen fertiliser plus a single application of TwinN.
| Citrus in Australia | | | | |
|---|---|---|---|---|
| Client | Ha 2009 | Block Name: | | 2009 |
| Shane Kay | 10.4 | Kay Farm 1 | 1.4 A Late Lane 1.4 B Late Lane 1.6 A Murcott 1.6 B Murcott | 3.06 3.07 3.05 2.78 |
| | 8.6 | Kay Farm 2 | Late Late 2.3 A Murcott 2.3 B Murcott | 3.31 3.53 2.95 2.78 |
| | 8.1 | Kay Farm 3 | Clementine Clementine 3.1A Navel 3.1B Navel | 2.36 2.42 ND ND |
| Twynam | 8.34 47.9 53.2 | Stage 1 Stage 2 Stage 3 | Stage 1 South Stage 2 Stage 3 | 2.97 2.79 2.9 |
| John Davidson | 55 | Farm 484 | Salistiana Hamlin | 2.6 2.5 |
| Average leaf N | | | | 2.87 |
ND No Data
The results in Table 1 and Table 2 show that use of a bio-fertiliser was effective in allowing reductions of ~35kgN/ha in nitrogen fertiliser while maintaining leaf nitrogen levels in the optimum range in citrus and mango in commercial farms in South Africa and Australia.
Table 3 Leaf analysis results from tea treated with standard nitrogen rates or 50% nitrogen plus TwinN
| Trial plot | N % | P % | K % | Mg % | Ca % |
|---|---|---|---|---|---|
| Standard Fert. Central Divn | 0.68 | 0.63 | 0.14 | 0.24 | 0.47 |
| Twin N Central Divn | 0.89 | 1.16 | 0.89 | 0.26 | 0.43 |
| Standard Fert. Bandanga | 0.84 | 0.87 | 1.05 | 0.2 | 0.45 |
| Twin N Bandanga | 0.91 | 1.04 | 0.77 | 0.16 | 0.38 |
| Standard Fert. Nabomba | 1.47 | 1.93 | 0.39 | 0.2 | 0.47 |
| Twin N Nabomba | 1.03 | 0.41 | 0.56 | 0.22 | 0.54 |
Three blocks in Nchima Tea Estate, Malawi, received either 144 kgN/ha (Standard Fert.) or 75 kgN/ha plus TwinN. These treatments were continued for two years prior to the leaf analyses shown in Table 3. In combination with the results shown in Tables 1 & 2 these results show that use of TwinN can enable significant reductions in nitrogen fertiliser application with no loss of tree nitrogen status. This has positive implications for cost of production in avocado, as well as assisting in maintenance of tree and soil health.
The positive effects of PGPR microbes on root growth and improved capture nitrogen fertiliser from soil are reviewed in Adesemoye et al (2009). The images below show the effects of TwinN on avocado root growth in a trial performed by Avocado Australia.
Figure 1 Photograph of root growth assessment of avocado root growth from an Avocado Australia trial. The image on the left shows root growth under a Perspex window from a non-TwinN treated tree while the image on the right shows root growth from a tree that received a soil application of TwinN two months previously.
A soil application of TwinN was made and Perspex plates were put in place to enable observations and root tracings after two months. Soil was replaced over the Perspex plates between observations. Tracings of roots were taken to enable quantification of root growth (in progress). Figure 2 shows a clear effect of stimulation of avocado root growth after a soil application of TwinN compared to non-treated trees.
TwinN treated trees
TwinN treated trees
Untreated trees
The nutritional status of tree crops can be adversely affected by a build up of soil pathogenic microbes and in avocado Phytophthora cinnamomi is a serious problem. A number of agrochemicals provide partial protection but additional management techniques are being researched by Avocado Australia and other organisations to develop an integrated management strategy for control of this disease. Kloepper (1993) reviews use of plant growth-promoting rhizobacteria (PGPR) as biological control agents. We show here two results of the effects of addition of RGPR bacteria on levels of Fusarium solani and Phytophthora cinnamomi in soil under crops treated with TwinN.
A trial was conducted in soybean at the USDA/University of Illinois (Kremer, unpublished data) to examine the effects of TwinN on levels of Fusarium solani root colonisation, numbers of beneficial root pseudomonads and the proportions of manganese oxidising and reducing bacteria. A high ratio of Mn reducing to oxidising bacteria favours availability of some micronutrients including Mn. The amount of Fusarium infection was quantified by counting numbers of infection sites per length of root and the numbers of bacterial in the three classes was determined by plating of root zone samples.
Table 4 The effects of application of TwinN and Roundup herbicide on Fusarium infection and three bacterial classes
| Treatment | Fusarium root colonisation | Root fluorescent pseudomonads | Mn-reducing bacteria | Mn-oxidising bacteria |
|---|---|---|---|---|
| 1. No herbicide | 67.5 a | 116.9 a | 73.25 a | 104.75 a |
| 2. + Roundup | 106.4 b | 28.2 b | 35.12 a | 169.5 b |
Means followed by the same letter are not statistically different at p=0.05
Fusarium root colonisation was increased after application of Roundup herbicide and decreased back to the levels in T1 when TwinN was applied after the Roundup treatment. The increases in Fusarium colonisation corresponded to substantial decreases in root fluorescent pseudomonads in T2 and an increase in their numbers in T3 after TwinN application. Fluorescent pseudomonads have been used as a biocontrol method for some diseases and it is likely that the effect of TwinN on reducing Fusarium colonisation was enabled by the effect of TwinN on increasing the fluorescent pseudomonads. Further research to investigate this link would be useful.
In a separate trial conducted by an independent agronomist (Col Scott) in Queensland, Australia, TwinN was applied to pineapples in combination with reduced nitrogen fertiliser rates. Soil samples were taken from under trial plots and sent to a Queensland Government laboratory (DEEDI) for lupin mortality and Phytophthora chlamydospore counts. Lupin mortality provides a crude approximation of the amount of infective Phytophthora spores present in the soil, while chlamydospore counts provide a more accurate estimation. The results show that treatments receiving TwinN and reduced nitrogen fertiliser had lower spore counts, although these were not statistically analysed. The trial did not allow a conclusion on whether the decrease in spore count was due to TwinN, or reduced nitrogen rates, or both. However, the results provide an indication that a combination of TwinN and reduced nitrogen rates may be of value as part of an integrated management program to combine a different approach to nitrogen nutrition and soil pathogen management in avocado.
Table 5 The effects of different TwinN application frequencies and nitrogen fertiliser levels on Phytophthora cinnamomi spore levels in soil under pineapples
| Treatment | Lupin baiting tests (% Mortality) |
|---|---|
| Standard Farm Practice | 66.7 |
| TwinN every 3 months + 50% N | 46.7 |
Conclusion
Avocado producers face challenges of rising costs for nitrogen fertiliser, increasing need to reduce the environmental impacts of production, and increasing demands from consumers for avocados produced sustainable farming systems. Use of an effective microbial bio-fertiliser can provide a partial solution to each of these demands. When selecting a microbial biofertiliser growers should consider the following four factors:
* Consistency of product. The product should be produced in a modern fermentation facility and batches should be certified by an independent Government laboratory for microbe counts and lack of contaminating organisms.
* Demonstrated capacity to supplement nitrogen needs. The product should be backed by independent replicated trials showing capacity to enable reduced nitrogen requirements without loss of yield.
* Convenience of application. The product should be convenient to apply and easy to integrate into conventional or organic production systems.
* Cost effective. The product should provide an increase on profitability by reducing nitrogen costs or increasing production.
Acknowledgements
We thank Dr J Leonardi, Avocado Australia, for providing his root assessment data and photographs for this paper.
References
1. Adesemoye AO, Torbert HA and. Kloepper JW (2009) Plant Growth-Promoting Rhizobacteria allow reduced application rates of chemical fertilizers. Microb Ecol 58:921–929
2. Kennedy IR, Pereg-Gerk LL, Wood C, Deaker R, Gilchrist K, Katupitiya S (1997) Biological nitrogen fixation in nonleguminous field crops: facilitating the evolution of an effective association between Azospirillum and wheat. Plant Soil 194:65–79
3. Kloepper JW (1993) Plant growth-promoting rhizobacteria as biological control agents. In: Metting FB Jr. (ed.) Soil Microbial Ecology – Applications in Agricultural and Environmental Management, pp. 255–274. New York: Marcel Dekker, Inc.
4. Sakia SP and Jain V (2007) Biological nitrogen fixation with non-legumes: An achievable target or a dogma? Current Science 92, 317 -322
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